HUD Voluntary Compliance Agreement(W -A
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U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
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April 9, 2014
CERTIFIED MAIL – RETURN RECEIPT REQUESTED
Honorable Roy D. Buol
Mayor of Dubuque C) 4`
City Hall CJ `c 2-AJJ
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Dubuque, IA 52001 ..0r
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Dear Mayor Buol: 0 fl
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SUBJECT: Signed Voluntary Compliance Agreement c7bcO
Regarding Civil 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.
Enclosure
Sincerely,
B-tty J. B.ttiger
Regional Director
Region VII Office of Fair Housing
and Equal Opportunity
Phone (913) 551-6958 Fax (913) 551-6856
www.hud.gov espanol.hud.gov
THE UNITED STATES OF AMERICA
DEPARTMENT OF HOUSING 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
Dubuque, Iowa
Voluntary Compliance Agreement
Index
L Introduction 3
II. Definitions 4
M. General Provisions 7
IV. Specific Provisions 9
A. Agreement Administrator 9
B. Analysis of Impediments 10
C. Amendments to Section 8 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
VIII. Effect of Non -Compliance with the Agreement 30
IX. Signatures 31
THE UNITED STATES OF AMERICA
DEPARTMENT OF HOUSING 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
The City of Dubuque, Iowa (the City) receives funds from the U.S. Department of
Housing and Urban Development (HUD or the Department) through the Section 8
Housing Choice Voucher program (Section 8 or HCV) and the Community
Development Block Grant (CDBG) program. The City's Housing and Community
Development Department (HCDD) both administers and operates Section 8 and
operates and distributes CDBG monies. HCDD operates corollary programs that
include, but are not limited to the Family Self Sufficiency Program (FSS), and
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 VI); 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
affirmatively 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.
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On June 20-24, 2011, 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 Office 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 on policies that were primarily implemented in late 2009 and
early 2010 that limited the participation of African American participants in the
program. The review team collected demographic data on Section 8 program
participants, including wait list information, 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, (the LOF) which is incorporated by reference in its entirety into this
Agreement, concluding that the City violated Title VI in the administration of its
Section 8 Program.
Additionally, on October 26, 2012, based onthe 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 to 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 implementing 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 had the intent to
discriminate against anyone in a protected class, or that the City agrees with the
Department's conclusions in the June 17, 2013 Letter of Findings contained herein.
II. DEFINITIONS [Add or remove definitions as necessary.]
Administrative Plan (Admin Plan) — The written plan that establishes local policies
for the administration of the HCV Program in accordance with HUD requirements.
Affirmatively Further Fair Housing (AFFH) - A jurisdiction's obligation to conduct
an analysis to identify impediments to fair housing choice within the jurisdiction, take
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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 Housing - 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.
Analysis of Impediments to Fair Housing Choice (AI) — An analysis undertaken by
the City 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 undertaken 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. § 91.5.
City - the City of Dubuque, Iowa. Dubuque, through its Housing and Community
Development Department (HCDD), administers 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 jurisdictions 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 Subpart 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 -Sufficiency Program (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.
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Housing Assistance Payments (HAP) — The monthly assistance payment, on behalf of
the family participating in the HCV program, by a PHA to the property owner, for
. rent to theownerunder the family's lease.
Housing and Community Development Department (HCDD) Program — The City of
Dubuque, Iowa's Housing Program, which operates the Section 8 Program and
distributes CDBG monies.
HAP Contract — Housing assistance payments contract.
Non -housing Programs - 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 family) — 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 family
(first day of initial lease term).
Public Housing Agency/Authority (PHA) - Also referred 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.
Program or Activity — 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 Hardship — 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) If 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 noncompliance with this Agreement,
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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 identified by the City.
d) The City's notice of an undue hardship to the Department shall provide:
(1) an analysis detailing. why the cost or 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 alternative
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 time, 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 all 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 last 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
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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
manner with respect to the above -referenced compliance review; or participated
in any manner in protecting the civil rights of the Recipient's residents.
F. This Agreement 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 of this Agreement shall be made 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, upon request, in accordance with the City's
information and privacy practices and procedures 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 regulations 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 2015. The Department approved the
implementation of this goal.
To the extent that any prior HUD guidance (written or oral) in the form of
waivers, administrative decisions, letters, opinions, or similar guidance
regarding the City's obligations, responsibilities, or technical requirements
under Title VI, Section 109, and/or the Fair 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.
J.
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L. This Agreement does not affect any requirements fox the City to comply with all
requirements of Title VI, Section 109, and/or the Fair Housing Act not
addressed in this Agreement.
M. The City will provide in alternate formats, 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 HUD 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 knowledge 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.
The Agreement Administrator will report directly to the City Manager and
shall serve as the point of contact for the Department regarding this
Agreement.
(4) The Agreement Administrator will perform the following functions:
a. Coordinate the City's compliance with Title VI, Section 109, the Fair
Housing Act, and HUD's implementing regulations, as well as
compliance with the Recipient's obligations to AFFH;
b. Coordinate the implementation of the provisions of this Agreement;
c. Coordinate the activities of the City's personnel who will assist with
both the implementation of HUD's regulations and this Agreement.
d. Submit reports, records and plans required by this Agreement to the
Department.
Administration of this Agreement by the Administrator and the successful
accomplishment of the objectives laid out herein shall not be impaired by a
lack of sufficient resources. The City shall pursue and make effective
resource determinations 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
(3)
(5)
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(7)
Acting Agreement Administrator within fourteen (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.
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 AI 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 overcome
identified 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 integrate 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.
Generalstatements and/or goals without identified 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 AI.
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.
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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 Department 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.
11. Allow application packets to be mailed.
III. 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
"Local Preferences"1
(e)
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.
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(f)
B. The 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.
IV. Remove section detailing residency preference
verification.
"Certification and Verification of Preference Qualification"
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 individuals 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 point preference accumulate the points for all
preferences.
iii. "Eligibility and Denial of Assistance"
(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•
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PHA learned of the activity or occurrence, and what if
any, alternate option or information was provided to
the family at the time of denial or termination. 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"
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 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 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.
iv. "Termination"
(a) "Housing Assistance Termination."
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 PHA learned of the activity or occurrence, and what if any,
alternate option or information was provided to the family at
the time of denial or termination. The Department reserves
the right to require additional.changes to the Administrative
Plan, if information revealed throughout the bi-annual
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reporting process indicates non-compliance with Federal Civil
Rights law or non-compliance with this Agreement.
v. Additional Items
(a) "Managing the On -Going Operation"
I. Include language specifying that any proposals to
decrease the size of the program must be based on evidence
contained within the Con Plan that establishes the need for the
vouchers within the community 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 indicating 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 ninety (90) days of
receipt.
c. Within forty-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 Administrative 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.
D. 2015 Consolidated Plan (Con Plan)
(1) The 2015 Con Plan shall contain the following:
a. The section of the Con Plan entitled Section 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 shall include the effect this decrease had on the
lack of affordable housing in Dubuque, the loss of funds to the
community, the effect on African Americans who were previously
eligible to participate in 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 or desired, rather
an accounting of the number of units per census tract.
c. The section entitled Barriers to Affordable Housing must include a
narrative identifying and prioritizing 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 AI, as well as the information identified in the
narrative described in Section 1V.B.1.a. of this Agreement and shall
specifically identify and address the needs of minority populations.
d. The Fair Housing Action Plan 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
and/or 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.
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f.
g.
The Con Plan shall include a list of specific proposals that will expand
opportunities for Section 8 Program applicants and participants;
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 substantial 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 AI, 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.
The 2015 Con Plan shall contain a provision entitled Strategy
Development pursuant to the June 17, 2013, Title YI 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 increase housing opportunities throughout Dubuque
which takes into account the needs of minority populations;
ii. A strategy to provide affordable housing that is fully available
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.
(2) HUD will review the 2015 Con Plan upon receipt. The plan will be deemed
approved 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 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 take to meet the criteria for approval.
b. The City may revise and/or resubmit the 2015 Con Plan within forty
five (45) clays after the first notification of disapproval.
c. The Department shall respond to approve 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 findings 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.
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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 minorities, 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.
Additionally, the AAP may not generally reference the Fair Housing
Action Plan included 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 approved 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 disapproves the 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 take to meet the criteria for approval.
b. The City may revise and/or resubmit the plan within forty five (45)
days after the first notification of disapproval.
c. The Department shall respond to approve or disapprove within thirty
(30) days of receiving the revision or resubmission.
g.
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
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Voucher regulations 24 C.F.R. §§ 982.207(b) and 985.3(n) for the
fiscal year ending June 30, 2012, the City's SEMAP 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 within 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
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supplemented by General Funds 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 were reduced when the
program was decreased by over 200 participants. It should also
provide an explanation of what services are covered under the
administrative 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)(I); IV.C.(1)(a)(iii)(b)(I); and
N.C. (1) (a) (iv) (a) (I).
ix. Section 6.0 Civil Rights Certification — 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 Dubuque, 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 marketing
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
preference" 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
organiation, 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, affirming the City's intention to comply with Federal
non-discrimination 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.
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
(3)
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 shall 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. If a decrease is projected,
for any reason, a narrative explaining the cause of the decrease, how it
affects the AI, 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 2009 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 Policies section, required by 24 C.F.R. §
903.7(b)(3), shall include a narrative explaining why the residency
preference has been 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 and/or 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
disapproval and comments to the proposed Annual Plan within seventy-five
(75) days of receipt. HUD 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. Implementation 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 approved if the City does not
receive a response from the Department within forty-five (45) days.
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(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 L(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 Commission 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 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 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) 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.
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d. The Outreach Plan shall be considered approved if the City does not
receive a response from the Department within sixty (60) 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 disapproves 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 donsidered approved if the City does not
receive a response from the Department within sixty (60) days.
The City shall implement 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 notices 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.
(3)
(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 and/or 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.
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L. Recordkeeping Requirements
(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, familial/elderly or
disability status; 2) date of application; 3) date applicant placed on
waiting list; 4) applicant preference(s); 5) date and time of offer; 6)
date of lease; and 7) date applicant removed from waiting list and
justification.
(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 January 15.
(3) The Department 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 Agreement. Records
subject to review include, but are not limited to: participant lists, wait lists,
ineligible applicant and applicant rejected lists, applications, and terminated
participants/applicant resolution lists. These lists and records shall be kept
electronically and in hard copy. While Dubuque may select the format of
the list or record, it must be uniform and consistent for review purposes.
The City shall furnish copies of any and all records upon request from the
Department.
V. REPORTING AND COMPLIANCE REQUIREMENTS
A. Bi -Annual Status 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.
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(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
out 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 IV.B (Analysis of Impediments), C
(Amendments to the Admin Plan), G (2015 PHA 5 Year Plan), 11 (PHA
Annual Plans), I (Employee Education and Training), J (Notice and
Publication), K (Outreach Plan), and L(Remedies for Recordkeeping
Violations).
c. A report on the results of the OutreachiPlan referenced in Section IV.K
of this Agreement, including copies of the advertisements and
marketing required under Section IV.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 IV.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.
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.
The data collected pursuant to sections IV.C.(1)(a)(iii)(a)(I);
1V.C.(1)(a)(iii)(b)(I); and IV.C.(1)(a)(iii)(b)(I) of this Agreement.
(4) The Second status report shall contain:
a. A report on the results of the Outreach Plan referenced in Section IV.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 IV.K.(5) of this Agreement.
g.
b. Notice of the completion, submissions, or anticipated submissions of
the plans referenced in Section IV. G (2015 PHA 5 -Year Plan) and H
(PHA Annual Plans).
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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)(I);
IV.C.(1)(a)(iii)(b)(I); and IV.C.(1)(a)(iii)(b)(I) 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).
b. A report on the results of the Outreach Plan referenced in Section IV.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 IV.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 IV.C.(1)(a)(iii)(a)(I);
N.,C.(1)(a)(iii)(b)(I); and IV.C.(1)(a)(iii)(b)(I) 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 day after the
weekend or holiday.
(2) For purposes of this Agreement, all reporting and related material must be
mailed to:
(3)
Betty Bottiger, Director
Region VII
Office of Fair Housing and Equal Opportunity.
U.S. Department of Housing and Urban Development
Gateway Tower II, 4th Floor
400 State Avenue
Kansas City, KS 66101-2406
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.
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VL 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
manner 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, rental 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.
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.
The City shall maintain files containing documentation of its efforts to meet
the obligations of this Agreement.
(3)
(5)
VII. IMPLEMENTATION,MONITORING. AND ENFORCEMENT
A. HUD will monitor the City's implementation of this Agreement. During the
first year after the effective date of this Agreement, HUD 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 and/or 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, Title VI, Section 109 and the City's AFFH
obligations.
C. Prior to the expiration of any timeframe in this Agreement, the City may submit
a request for an extension supported by documentation of good cause. The
Department shall 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 HUD.
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 shall not be construed as a waiver of 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; or, in the alternative, an opportunity to
negotiate in good faith HUD'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 declaring 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(f) (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.
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
remedies available under law.
(3)
30
Dubuque, Iowa:
IX. SIGNATURES
Michael Van Milligen
City Manager
Dubuque, owa
/F
Roy Buct
Mayor
Dubuque, Iowa
4J
Alvin Nash
Housing and Community Development Director
Dubuque, Iowa
'74-1 /7
Date
For the U.S. Department of Housing and Urban Development:
Be ty . Boni -r Director
Office of Fair Housing and Equal Opportunity
Region VII
An
Frances Cleary, Director
Office of Public and Indian Housing
Region VII
• MAR 312014
Date
31
THE CITY OF
Dui
Masterpiece on the Mississippi
Dubuque
band
AI -America City
r
2007 • 2012 • 2013
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: U.S. Department of Housing & Urban Development Voluntary Compliance
Agreement
DATE: March 13, 2014
Assistant City Attorney Crenna Brumwell, Housing and Community Development
Department Director Alvin Nash, and Human Rights Director Kelly Larson have
negotiated a Voluntary Compliance Agreement with the U.S. Department of Housing
and Urban Development and they are recommending approval of that agreement.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
",'I144 ,,,,,,
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Crenna Brumwell, Assistant City Attorney
Alvin Nash, Housing & Community Development Department Director
Kelly Larson, Human Rights Director
THE CITY OF
DUB E MEMORANDUM
Masterpiece on the Mississippi
To: Michael C. Van Milligen
City Manager
FROM: Crenna Brumwell, Assistant City Attorney
Kelly Larson, Human Rights Director
Alvin Nash, Housing & Community Development Director
DATE: March 13, 2014
RE: U.S. Department of Housing & Urban Development (HUD)
Voluntary Compliance Agreement (VCA)
Background
HUD conducted a civil rights compliance audit of the City of Dubuque's housing
assistance program (Section 8) from June 20-24, 2011. The City received a "letter of
findings of noncompliance" notification from HUD on June 19, 2013.
The HUD audit analyzed changes to its Section 8 Housing Choice Vouchers Program
primarily between 2009-2011, including:
• Modifications to the residency preference point allotment
• Elimination of very low income preference
• Reduction in the number of housing vouchers utilized
• Waitlist purge
The letter of findings received from HUD summarized HUD's findings, reviewed the
Program changes, and cited the activities of and related to Dubuque's Safe Community
Task Force as well as community events and the public response.
HUD sought voluntary resolution of the findings as it is HUD's policy to resolve all
matters by informal means whenever possible through the execution of a VCA. City
staff, including Alvin Nash, Kelly Larson and Crenna Brumwell began working with HUD
to reach the terms of the VCA. Additional staff from the City Manager's Office, City
Attorney's Office, and additional Housing & Community Development staff participated
when necessary. The negotiations took place over several months.
Attached to this document is a PROPOSED DRAFT of a VCA for consideration by the
City Council.
The VCA begins with an introduction, definitions, and general provisions. Generally, the
document provides that it applies to all federally funded programs or activities under the
purview of the City of Dubuque. The agreement is binding for seven (7) years from the
effective date and requires a number of parameters be met. The document does not
create a private right of action for any person or class of persons who are not a party to
the Agreement.
Moving beyond the general items, the document requires that the City take specific
actions related to:
• Appointing an Agreement Administrator
• Analysis of Impediments
• Section 8 Administrative Plan
• Development of the 2015 Consolidated Plan
• Consolidated Annual Performance and Evaluation Report (CAPER)
• Annual Action Plan (AAP)
• 2015 PHA 5 -year plan
• PHA Annual Plans
• Employee Education and Training
• Notice and Publication
• Outreach Plan
• Recordkeeping Requirements
• Bi -Annual Status Reports
• General Reporting
The PROPOSED DRAFT VCA also addresses implementation, monitoring, and
enforcement by HUD as well as outlines what occurs in the event of non-compliance
with the Agreement.
We will have a presentation for the City Council to cover in more depth the requirements
of the Agreement and the effect of the Agreement.
Conclusion
It is our recommendation that the City approve the VCA and send it to HUD for its
signature and finalization.
1QdoMENrpF'90
460
71.6
111u1111
9eq 1 DE'J
Honorable Roy D. Buol
Mayor of Dubuque
City Hall
50 West 13th Street
Dubuque, IA 52001
Dear Mayor Buol:
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Region VII
OFFICE OF FAIR HOUSING AND EQUAL OPPORTUNITY
Gateway Tower II, 4`h Floor
400 State Avenue
Kansas City, KS 66101-2406
March 7, 2014
SUBJECT: Proposed Voluntary Compliance Agreement
Regarding Civil 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
This letter transmits the proposed Voluntary Compliance Agreement (VCA) negotiated by
representatives of the City of Dubuque, Iowa, and representatives of the U. S. Department of Housing
and Urban Development (HUD) regarding the civil rights findings described in HUD's letter of findings
(LOF) dated June 17, 2013.
HUD appreciates the City's cooperation in the negotiation of the terms of the proposed VCA and
efforts to date to address the findings. HUD's position is that the City needs to enter a written VCA
with HUD to informally resolve the findings of noncompliance. Departmental policy and practice
provide for informal resolution of findings of noncompliance through the execution of a written
agreement, the VCA, between the City, the recipient of HUD financial assistance, and HUD.
A declination to informally resolve findings can put HUD -provided financial assistance at risk.
If the City does not resolve outstanding findings of noncompliance with civil rights requirements, it
could affect the City's eligibility for future funding for HUD's Discretionary Programs. In the HUD
funding process, the General Section to HUD's Notices of Funding Availability (NOFAs) for
Discretionary Programs provides that if an applicant has been: (1) charged with systemic violation of the
Fair Housing Act; (2) named as a defendant in a Fair Housing Act lawsuit filed by the Department of
Justice alleging a pattern or practice of discrimination; or (3) has received a LOF identifying systemic
noncompliance under Title VI of the Civil Rights Act, Section 504 of the Rehabilitation Act, or Section
109 of the Housing and Community Development Act; and if the charge, lawsuit, or LOF has not been
resolved to HUD's satisfaction before the application deadline, then the applicant is ineligible for
funding. HUD determines if actions to resolve the charge, lawsuit, or LOF taken before the application
deadline are sufficient to resolve the matter. Examples of actions that would normally be considered
sufficient to resolve the matter include, but are not limited to current compliance with: (1) a VCA signed
1
by all parties in response to the LOF; (2) a HUD -approved conciliation agreement signed by all parties;
(3) a consent order or consent decree; or (4) a final judicial ruling or administrative ruling or decision.
HUD's objectives for the VCA/informal resolution process are to achieve a just resolution of the
matter and to obtain assurances that the City will satisfactorily remedy any violations and take such
actions as will assure the elimination of any violations and the prevention of the occurrence of such
violation in the future. Letters and verbal assurances from recipients describing proposed actions and
promising future actions are not adequate assurance upon which HUD can rely to ensure that recipients
are operating Federal programs in compliance with Title VI of the Civil Rights Act of 1964, and its
implementing regulations at 24 C.F.R. Part 1 (Title VI), and other civil rights requirements. Thus, if the
City does not resolve the findings of noncompliance by informal means by entering a VCA, HUD may
take additional action to effect compliance pursuant to HUD's regulations.
The City and HUD have mutually drafted the terms contained in the enclosed draft VCA, and the
City has not communicated objections with these terms at this time. The City will formally consider
approval of the proposed VCA at the City Council meeting scheduled for March 17, 2014. In a March
6, 2014, email, Ms, Crenna Bramwell, Legal Counsel for the City of Dubuque, Iowa, inquired when the
document may be made available to the media and whether this may be earlier than when the City
Council agenda materials become public record. HUD has no objection to the City following legally
required notice procedures for its City Council meeting; however, HUD does not typically designate a
document as public until after the document is signed by both parties. Consequently, HUD requests the
City refrain from publication, if the ordinance and policy permit, unless the City can assure HUD that
the published version, although unsigned, has been agreed upon and will ultimately be the version
signed by the City and HUD. If there is a requirement to make the document public prior to the City
Council's approval, the document must be limited to a scanned, PDF version, that is heavily water-
marked with "PROPOSED DRAFT."
Once the VCA has been signed by the identified public officials, please return the VCA to this
Office. The appropriate HUD officials shall then sign, upon which the VCA shall be effective. A final
copy of the signed version of the VCA will be returned to the City for its records.
If you would like to discuss this matter you may reach me at (913) 551-6857.
Sincerely,
Betty J. ottiger
Regional Director
Office of Fair Housing & Equal Opportunity
Region VII
Enclosure
cc: Crenna Brumwell, City of Dubuque
Michael Van Milligan, City of Dubuque
2
THE UNITED STATES OF AMERICA
DEPARTMENT OF HOUSING AND URBAN DEVELOPMkOS,,
OFFICE OF FAIR HOUSING AND EQUAL OPPOR
VOLUNTARY COMPLIANCE A
THE U.S. DEPARTMENT OF
D URBAN DEVELOPMENT
<< M NCE REVIEW CASE NUMBER 07-11-R001-6
Dubuque, Iowa
Voluntary Compliance Agreement
Index
I. 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 8 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 Re e p^t 26
A. Bi -Annual Status Repo 26
B. General Reporting 28
VI. Additional Recordkeepi ,� • i nts 29
VII. Implementation, ing an. nforcement 29
VIII. Effect of Non Co .han ` the Agreement 30
IX. Signatures 31
2
THE UNITED STATES OF AMERICA
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
OFFICE OF FAIR HOUSING AND EQUAL OPPORTUNITY
VOLUNTARY COMPLIANCE AGREEMENT
BETWEEN �\
THE U.S. DEPARTMENT OF HOUSING AND URBAN D =a< b'ME
AND
DUBUQUE, IOW
HUD COMPLIANCE REVIEW CAS
I. INTRODUCTION
ER 07-11-R001-6
The City of Dubuque, Iow the it ceives funds from the U.S. Department of
Housing and Urban D . nt' or the Department) through the Section 8
Housing Choice VouSection 8 or HCV) and the Community
Development B1. ( . nt (C ) BG) program. The City's Housing and Community
Development y a e DD) both administers and operates Section 8 and
operates a f:;; r tes CDBG monies. HCDD operates corollary programs that
include, b F t are ks 1 `` ted to the Family Self Sufficiency Program (FSS), and
Circle In
ject to various Federal civil rights laws and regulations including
he Civil Rights Act of 1964, 42 U.S.C. § 2000d-1 and the implementing
latio s at 24 C.F.R. § Part 1 (Title VI); Section 109 of Title I of the Housing and
Co`" unity 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
affirmatively 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.
On June 20-24, 2011, 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 Office 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 on policies that were primarily implemented in late 2009 and
early 2010 that limited the participation of African American participa $'` the
program. The review team collected demographic data on Section 8
participants, including wait list information, applicant resolution
voucher utilization. The team further collected and reviewed in
through public record, including City meeting minutes, co ttee
and newspaper articles. Finally, the team collected policies,
as the City's Consolidated Plan and HCDD's wait list: ad
As a result of the compliance review, the Depart
June 17, 2013, (the LOF) which is incorporat
Agreement, concluding that the City violated
Section 8 Program.
Additionally, on October 26, 201
compliance review, the Office
Assessment Program (SEM
substantial noncompliance
985.3(n) and 982.207
The City denies
However, the
Agreement
and its im
comp
d
n av` iable
ting minutes,
eports such
sio ''policies.
etter of Findings on
in its entirety into this
the administration of its
evidence gathered during the
the City's Section 8 Management
e fiscal year ending June 30, 2012, due to
Requirements found at 24 C.F.R. §§
against African American applicants to the program.
es ter this Voluntary Compliance Agreement (VCA or
continued compliance with its responsibilities under Title VI
g gulations, as well as the City's AFFH obligations and
Program Requirements.
shall be deemed or construed to be an admission or concession of any
ity 'a^Q . tsoever on the part of the City, that any policy or procedure of the City
h w>. discriminatory effect on a protected class, that the City had the intent to
disc ``__`" 'nate against anyone in a protected class, or that the City agrees with the
Department's conclusions in the June 17, 2013 Letter of Findings contained herein.
II. DEFINITIONS [Add or remove definitions as necessary.]
Administrative Plan (Admin Plan) — The written plan that establishes local policies
for the administration of the HCV Program in accordance with HUD requirements.
Affirmatively Further Fair Housing (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 Housing - 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.
Analysis of Impediments to Fair Housing Choice (AI) — An analysis undertaken by
the City to determine factors that prohibit or impede fair housing choice in the
Recipient' s jurisdiction.
Annual Action Plan (AAP) — The CDBG written plan detailing .a ! 4k�, .1 objectives
the City expects to achieve during the forthcoming program - ar an.e resources to
be used and activities to be undertaken in pursuit of these obj
Certification — A written assertion, based on suppo
available for inspection by HUD, by the Inspecto
public. See 24 C.F.R. § 91.5.
City - the City of Dubuque, Iowa. Dubu
Development Department (HCDD),
(Section 8 or voucher program) an R:
(CDBG). The City is a recipie
Consolidated Annual Perfo
review and report for j
jurisdiction has made
24 C.F.R. § 91.5
Consolidat
comprehe
sub •
for
hat must be kept
throu Housing and Community
Sec ion 8 Housing Choice Vouchers
Development Block Grant Funds
ancial assistance.
aluation Report (CAPER) — An annual
Consolidated Plans on the progress the
t its strategic plan and its action plan. See
Plan) — The document submitted to HUD that serves as the
affordability strategy, community development plan, and
ing under any of the Community Planning and Development
rams (e.g., CDBG, ESG, HOME and HOPWA) that is prepared in
the process described in 24 C.F.R. Part 91 Subpart C. See 24 C.F.R.
Effe""ve Date The effective date of this Agreement is the date of the last signature
in Section IX.
Family Self -Sufficiency Program (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
Housing Assistance Payments (HAP) — 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.
Housing and Community Development Department (HCDD) Program — The City of
Dubuque, Iowa's Housing Program, which operates the Section 8 Program and
distributes CDBG monies.
HAP Contract — Housing assistance payments contract.
Non -housing Programs - Non -housing programs include any aid, ben
provided by the Recipient, policies, procedures and services whos
contributes to the application for housing, full enjoyment of hou
participation in the Recipient's housing programs.
Participant (participant family) — A family that has bee
program and is currently assisted in the program. T
on the effective date of the first HAP contract ex
(first day of initial lease term).
service
full
ePHA
es a participant
A for the family
Public Housing Agency/Authority (PH • ... • Iso re d to as the Housing Authority
of Dubuque (HAD), operated by the R; DD Oji= the ity with Federal funding
received from HUD.
PHA Plan — The Annual Pia. w4 P d th -Year Plan as adopted by the PHA and
approved by HUD as requi .. e United States Housing Act of 1937
(42 U.S.C. § 1437c-1) accor.tance with 24 C.F.R. Part 903. These plans
provide the framewor for 1 =a 1 ountability.
Program or Ac
district, or
the progra
instru ...- t
CD
e operations of a department, agency, special purpose
mentality of a State or local government. For this Agreement,
encompasses all of the operations of the HCDD, the
ubuque, Iowa, that operates Dubuque's PHA and distributes
nds. See 24 C.F.R § 6.3.
ship — An undue hardship, with respect to compliance with this
A_= ement, means any action that would be unduly costly or disruptive or that would
signs" cantly and adversely affect the operations of the City in its day to day activities.
a) If 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 noncompliance with this Agreement,
6
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 identified by the City.
d) The City's notice of an undue hardship to the Department shall provide:
(1) an analysis detailing why the cost or 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 alternatourse of
action; and (4) a list of dates and times within twenty (20) busine of the
date of the notice within which representatives of the City can
(telephonically) with representatives of the Department to di 4 alterative
proposals. Upon receipt of the notice of undue hardship, , e De. ment will
respond to the City to confirm or to propose an alternate e, within
which to discuss the information provided by the C Du t meeting(s), the
Department may provide alternate terms, and th d th ; Department agree
to discuss potential alternatives. The Depart Y , .'°+`4Ek ie concurrence or
non -concurrence on the assessment of and = har• _ •, well as approval or non -
approval on the alternative proposal sought :'ng t 'e discussions between the
parties, within forty-five days of the eetin ! tween the Department and the
City.
Housing Choice Voucher HC
selected for admission to the
and the procedures for PH
also states the obligati
V s A eocu t issued by the PHA to a family
m. This document describes the program
unit selected by the family. The voucher
ly under the program.
Voucher Holder
"Si
III. GENE V ONS
ding a voucher with an unexpired term (search time).
A. reement applies to all federally funded projects, developments and
r ve• .cilities and programs or activities that the City, its agents, successors,
and �' signs or beneficiaries own, control, operate or sponsor.
B. is Agreement does 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 AN'FH; 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 last 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
7
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 i `r.lation of
Title VI, Section 109, and the Fair Housing Act and to refrain fr " °`-taliating
against any person who has exercised his/her civil rights; has . icip ,. in any
manner with respect to the above -referenced compliance re `_ part ipated
in any manner in protecting the civil rights of the Recip ent's r . ents.
F. This Agreement does not affect the ability of HUD or th eF:r s e action
under appropriate statutory or regulatory authori nrel ed t. issues covered
by this VCA.
G.
H.
This Agreement will be a public docume
Agenda. A copy of this Agreement shal
his/her review, in accordance with la
The City shall provide a copy o
Agreement to any person, u
information and privacy p
event will public discl
regarding applications
I. The Department
2012, respons
response
of nonc
on-si
City
on the City Council
v.ilable to any person for
data it generates to comply with this
accordance with the City's
cedures and applicable law. In no
rsonally identifiable information
receipt and approval of the City's December 5,
tc he wi ho ding of the City's SEMAP score. The City's
ive actions implemented by the City to address areas
e with Housing Choice Voucher regulations revealed during the
review. Included in the proposed corrective actions from the
ention to increase the City's lease up efforts to award 1,063
annual basis by June 2015. The Department approved the
ation of this goal.
To `'';g extent that any prior HUD guidance (written or oral) in the form of
waivers, administrative decisions, letters, opinions, or similar guidance.
garding the City's obligations, responsibilities, or technical requirements
under Title VI, Section 109, and/or the Fair 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 for the City to comply with all
requirements of Title VI, Section 109, and/or the Fair Housing Act not
addressed in this Agreement.
M. The City will provide in alternate formats, 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 t
shall hire or appoint an Agreement Adminis
the name of the individual designated to s
Administrator's resume and/or curricu
ent, the City
rov de HUD with
dacopy ofthe
(2) The individual fulfilling the role of F A ministrator must have
prior experience that demonstrates kno • • of and expertise concerning
the following: Title VI; Sec ► r: the it Housing Act; the regulations
implementing those statut requirements related to AFFH; and
Section 8 and CDBG P �'gr `i �r sorting requirements.
(3)
The Agreement A
shall serve as the
Agreement.
(4) The Agree t Ad .'n'trator will perform the following functions:
report directly to the City Manager and
ct for the Department regarding this
a. at ity's compliance with Title VI, Section 109, the Fair
Act, and HUD's implementing regulations, as well as
e with the Recipient's obligations to AFFH;
inate the implementation of the provisions of this Agreement;
oordinate the activities of the City's personnel who will assist with
both the implementation of HUD's regulations and this Agreement.
Submit reports, records and plans required by this Agreement to the
Department.
Administration of this Agreement by the Administrator and the successful
accomplishment of the objectives laid out herein shall not be impaired by a
lack of sufficient resources. The City shall pursue and make effective
resource determinations 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
(5)
9
(7)
Acting Agreement Administrator within fourteen (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.
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 Agre ''n , the City
shall commence an update of the 2010 AI to includ a e g:
a. A history of race relations in Dubuque fro i at le to the present,
and how the recent history of race rel Du 4< ue affects fair
housing choice within the City.
b. A section addressing City police .a c;,- that operated as
impediments to fair housing cho
c. A section addressing HCD PHA s c policies that operated as
impediments to fair hou g c ;ce.
d. The Fair Housing Ac on an s ` F 11 include within the identified
activities, specific on ete r the City shall take to overcome
identified impe , an t` address the discriminatory effects of the
City's reduct o the ion 8 program. The activities shall include
efforts th to integrate affordable housing that is fully
availab .; wrt" = t r. d to race or ethnicity throughout all of the
co �� ' 'es wi in the City and to create equal housing opportunities.
is and/or goals without identified implementing steps
be sufficient.
e ►'` ndred and eighty (180) days after commencing an update to
th I, t City shall submit the completed and updated AI to the
ent.
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 AI.
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 Department for review and approval.
a. Each Section of the Admin Plan is detailed below:
Application Process
(a) "Availability of Application":
I. Include a clause requiring the PHA to pr • °is UD with
notice and justification for, and to receive C appr
prior to accepting only applications meetin :in cr teria
such as limiting the waiting list to ap ants ocal
preference only.
II. Allow application packe d.
III. Cross reference the sng the Waiting List.
(b) "Program Outreach"
I. Insert the 0 , ch Pla ' ecified in this Agreement to
the section on utr ach.
(c) "Receipt o
I. u •`' aus. t at whenever the Housing Commission
direend taking applications, notice of such
be given to HUD with evidence that
ve at least a year wait prior to being offered
(e)
•
ing the Waiting List"
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
"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.
' 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
(0
B. The 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 a xpanding
or newly identified demographic.
III. Remove all residency preference poin
IV. Remove section detailing residency pr ce
verification.
"Certification and Verification o_'refecey- alification"
I. Remove language
residency.
II. Ensure con
verification of
ii. "Waiting List Sel
y•
'cation of
gst provisions on
(a) Clarify p. t s , if used, operates and individuals are
rank e e . anation clarifying that single member
hous r • o ` ting of disabled, elderly and displaced single
holds are housed prior to serving all other single
seholds, regardless of points, as explained in the
of the plan defining family, and family assistance.
Include information explaining the accumulative nature of
oint system, if used, i.e. that individuals qualifying for more
than one point preference accumulate the points for all
preferences.
iii. "Eligibility and Denial of Assistance"
(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 occurrence, 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"
Insert a clause requiring the City
families denied admission to t e E • _` . m baked on
the requirements and stand ds of � part, and to
submit a bi-annual report on fa ies,
including data on rac � ationori e in, address, age
of applicants, and 1 stat • and disability. The
report shall inc th. • ° c activity or
occurrence PHA in making the
determination . en . dmission to the program or
to ter ' parte ion, how the PHA learned of
the xtivity p occ rrence, and a copy of the denial
notice or other information provided
at the time of denial or termination.
ment reserves the right to require
al changes to the Administrative Plan, if
rmation revealed throughout the bi-annual
porting process indicates non-compliance with
Federal Civil Rights law or non-compliance with
this Agreement.
"Housing Assistance Termination."
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 PHA learned of the activity or occurrence, and what if any,
alternate option or information was provided to the family at
the time of denial or termination. 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-compliance with Federal Civil
Rights law or non-compliance with this Agreement.
v. Additional Items
(a) "Managing the On -Going Operation"
I. Include language specifying that any proposals to
decrease the size of the program must be based on evidence
contained within the Con Plan that establishes the need for the
vouchers within the community has decreased sig 'ficantly
from the creation of additional affordable house R Q through
other programs or organizations. The PHA s r l eeavor to
maintain not less than 95% utilization rate.;, as d on t reater
of unit months leased or 95% of the dollar �r { ' t subject to
the HAP budget. Any proposals to d . -ase t' e of the
program must be submitted to the Dep r verification
of the evidence presented in t Pla ind cating the
reduced need and Departme v .val wrior to
implementation.
b. HUD will provide its appro 1 or co
amendments to the Ad ue''istr; e P1
receipt.
c. Within forty-five
the proposed
Advisory Bo
public c
is to the proposed
within ninety (90) days of
UD's approval, the City shall submit
the Administrative Plan to the Resident
by the City's Housing Commission and for
nt to 24 C.F.R. §§ 982.54, 903.17 and 903.21.
d. Wit 'rty (3 days of the close of the public comment period and if
t s, is comments as described above, the City Council
ovide final approval and the City will fully adopt and implement
d Administrative Plan.
event that public comments require a change to any of the
nded Administrative Plan sections that relate to requirements of
is 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 Section 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 shall include the effect this decrease had on the
lack of affordable housing in Dubuque, the loss of funds to the
community, the effect on African Americans who were previously
eligible to participate in the program, the African Americ. " •mmunity
in Dubuque, and the worsening of the impediments ide in the AI.
b. The section of the Con Plan detailing affordable ho
provide both a table and map summarizing where a
generally located by census tract, the number
what kind of assistance the units receive (projec
tenant based assistance, or other, if any
the Department to track the location o
specific addresses of voucher hol
an accounting of the number of
nee • a+ st
le housing is
hether and
sistance,
allw the City and
using and type,
required or desired, rather
s tract.
c. The section entitled Barrier to Affo 'as.: Housing must include a
narrative identifying an• •rio ing � buque's need for affordable
housing throughout b e, a how Dubuque will increase
affordable housin and fair housing choice throughout
Dubuque. This a +e w 1 ake into account the information
presented in t e u • dat , as well as the information identified in the
narrative ction IV.B.1.a. of this Agreement and shall
specific ly i• °, t d address the needs of minority populations.
d. T h=. .usi Action Plan shall include within the identified
s sp ic, concrete steps the City shall take to overcome
d impediments, and the effects of the City's reduction of the
Program. The activities shall include efforts the City will
integrate affordable housing that is fully available without
and to race or ethnicity throughout all of the communities within
ubuque and to create equal housing opportunities. General statements
and/or 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;
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 substantial 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 speci ly
identify any projected increase or decrease in any of th s able
affordable housing in Dubuque. If a decrease is pro d, fo n
reason, in any of the available affordable housing, '" ,1 r ive
explaining the cause of the decrease, how it of cts th=a=a,I, the Con
Plan, and other City Planning, as well as how t ';; ai °" to mitigate
and address the decrease shall be provide both thi F he narrative
contained within this section, and thro b� • the irety of the Con
Plan, Annual Plan, PHA Annual Pl. ear Plan.
tea,
The 2015 Con Plan shall contai ,,•rov ;x.n entitled Strategy
Development pursuant to the June `' x;;, 20"3, Title VI Letter of
Findings. This section s p.r: .. it the rategies developed by the City
to address the first thr orrec. e Actions identified by the
g.
Department:
i. A strateg
which t
sing opportunities throughout Dubuque
nt the needs of minority populations;
ii. A to pr ide affordable housing that is fully available
wig. out r o race or ethnicity throughout all the communities
que to create equal housing opportunities; and
strategy to take affirmative steps to provide opportunities for
regation of areas of racial and ethnic concentration and
overty, which may include, but would not be limited to,
expanding HCDD program opportunities for applicants and
participants.
16
(2) HUD will review the 2015 Con Plan upon receipt. The plan will be deemed
approved 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 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 take to meet the criteria for approval.
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 approve or disappro e-`. i``a ;; thirty
(30) days of receiving the revisions or resubmissio
b.
E. Consolidated Annual Performance and Evaluation
(1) All CAPERs submitted yearly throughout
pursuant to 24 C.F.R. § 91.520 shall rep
the City to address the allegations an
(2) The portion detailing CDBG reporting
24 C.F.R. § 91.520(d) shall in
individuals assisted with C
funds were utilized to as
( ER)
is Agreement
fic actions taken by
ained in the LOF.
ents as required by
'nfor `' on on race and ethnicity of the
, as well as a report on how CDBG
n 8 program.
(3) HUD shall review tl "r nc s-termine if it is satisfactory.
F. Annual Action
(1) The""mitted for the Fiscal Year immediately following the
of this Agreement shall reflect the City's obligations under
t in light of the Department's Letter of Findings. The Action
include specific affordable housing objectives, to address the
ed availability of affordable housing in Dubuque, and shall further
e the following additions to the sections identified below:
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 findings 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 minorities, 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 a
information sharing of the programs availability and par4 eau . ation
benefits.
e. The Public Housing section shall include a descri `"°`;� . he nner in
which the City will provide financial or other . sistan o improve its
operations and address the allegations and finds };'� the ' OF. The
City is required, absent undue hardship,
f. The Barriers to Affordable Housing s " " 11 lude actions the
City plans to take to remove or a negative effects of the
Title VI Findings.
g. Additionally, the AAP ma i of gen reference the Fair Housing
Action Plan included in e s; ded on Plan, but must specifically
provide the details re i ' by t`kti foregoing provisions within the AAP
itself.
(2) The Department w
deemed approved
before that d
disapproved
a.
an upon receipt. The plan will be
) days after HUD receives the plan, unless
otified the jurisdiction that the plan is
t disapproves the plan, within fifteen (15) days after
otifies the City that it is disapproving the plan, it will inform the
'ting of the reasons for the disapproval and what actions the
an take to meet the criteria for approval.
City may revise and/or resubmit the plan within forty five (45)
ays after the first notification of disapproval.
The Department shall respond to approve or disapprove within thirty
(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 June 30, 2012, the City's SEMAP 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 '`° hat is free
from discrimination and available to all regardles <°`` e- ce, color,
religion, sex, familial status, national origin, or "•ilit
iv. Section 5.2 — Subsection 1, shall highlight the ``• increase or
at a minimum maintain the number of vo �Fers m within the
City, to ensure vital housing resources are o those who
need them, highlighting that the St eme t provides that
"The provision of shelter is a ba ." Subsection 2,
objective b, shall be amender • ` on inue to
develop/increase awarene e the �i e ''ts conferred by the
assisted housing program to p 'ci. ants and the community "
Subsection 6 shall b d to section 1, and shall include a
narrative explains :hat • t to recent Title VI Findings stemming
from HCDD t i itie 2I $ 9 and 2010, AFFH is the first and
foremost ob. . vF ` • , 1 of the HCDD. Under "Other PHA
Goals a • •je es ''' Subsection 7, amend to include (c)
Increase um, maintain vouchers utilized by
in• i•4 a t "community to insure individuals with
n eds can seek and find housing that meets those
ction 6.0 PHA Plan Update — The narrative shall include a
ine of the City's activities that led to a Finding of
oncompliance 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 Funds 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 were reduced when the
program was decreased by over 200 participants. It should also
provide an explanation of what services are covered under the
administrative fees, including the identification of specific
positions for which salaries are covered.
viii. Section 6.0 Operation and Management, Section 3, agraph 13,
and paragraph 14 must include information requ
mandatory tracking and reporting detailed in
IV.C.(1)(a)(iii)(a)(I); IV.C.(1)(a)(iii)(b)(I); and'
IV . C. (1) (a) (iv) (a) (I) .
ix. Section 6.0 Civil Rights Certificatio
explaining the events of 2009 th
and findings contained within
ameliorate the harm cause
by complying with Federal
AFFH, insuring equa ;,,:cess to
equal access to aff dab •usi
jurisdiction.
x. Section 7.0
as it pe
how ma
be
in
Sha'ncL de a narrative
the allegations
e City's intention to
ctions during that time,
is law and certifications to
ion 8 vouchers and pursuing
g throughout the HCDD's
ative explaining the Section 8 Program
nership, its importance in the community,
tly served by the program, the financial
ceives from the program, and how the City
amize the program.
— Housing Needs — Include within the narrative a
scription of affordable housing needs in Dubuque, and the need
intain the supply of vouchers to address this need.
ection 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 marketing
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 tions in
2009 and 2010. Include within the Reasons for Sel
Strategies the need to address and correct the alle U ' 'o nd
findings contained in the LOF.
xiv. Section 10.0 - Additional Information, su. sectio ) Progress in
Meeting Mission and Goals — Provide a n aining the
need to address the allegations and �ingsnt.b ed in the LOF,
the goals identified by the City t• ' • and egress made on
meeting those goals. For the .,,,+1 • g Equal Opportunity
in Housing for all America'11 be added to explain
that while minority participa`"ac in F;; e program and on the
waiting list has varies decre got• ollowing the implementation
of policy changes 200 ' d 21 0. The City will include a new
goal to allow or 4 •art ipation to naturally fluctuate
consistent w ae m Kket "and and the new outreach programs
and mark Al the elimination of the "local resident
preferen e" c Y �`to the negative impact on African American
e program and on the waiting list.
xv. Se's: ion 1►ti1 — Significant Amendment and Substantial Deviation
e narrative to provide that for the duration of this
reement that all changes to admissions policies, waiting list
ization, additional programs; changes to interim rent policies
n interim determinations affecting applicants and participants
ill be reported to the Department prior to implementation.
vi. Updated Certifications, submitted in conjunction with PHA 5 -
Year Plans, affirming the City's intention to comply with Federal
non-discrimination 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.
The 2015 5 -Year Plan shall 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. If a decrease is 1.,ojected,
for any reason, a narrative explaining the cause of the decrea « ow it
(5)
affects the AI, the Con Plan, and other City Planning, as w
City intends to mitigate and address the decrease by pr,. e: di
encouraging alternative affordable housing options shall
within the narrative contained within this section, a
entirety of the Con Plan, Annual Plan, PHA Annual
Plan.
as w the
or
rovided, both
t the
PHA 5 -Year
H. PHA Annual Plans
(1) The City, for the duration of th.
streamlined plans and will c
a yearly basis. These pla
24 C.F.R. § 903.7, as
a. A narrative e
back to
2010th
pur
s no longer eligible to submit
submitting full PHA Annual Plans on
n the information required by
wing:
istory of race relations in Dubuque going
s well as the activities of the City in 2009 and
uance of the LOF, and the City's commitment to
objectives proposed by the City and identified in the
meliorate the effects of the City's previous actions.
Admissions Policies section, required by 24 C.F.R. §
(b)(3), shall include a narrative explaining why the residency
rence has been removed as part of this Agreement, and how it will
of be reinstated throughout the duration of this Agreement.
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 and/or 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
disapproval and comments to the proposed Annual Plan within seventy-five
(75) days of receipt. HUD may disapprove the Annual Plan if i:;. ails to
include the foregoing or is not otherwise consistent with app fable Federal
laws and regulations, or remains inconsistent with the info ti• . nd data
available to HUD.
I. Employee Education and Training
(1) Within one hundred and eighty (180) days of the eff �• �, of this
Agreement, all City Council members, Hou 6 o ' ssi. n members,
Long Range Planning Commission memb y Development
Advisory Commission members, the a el as the current
administrators, managers and staff • >pse fol i departments: HCDD,
Human Rights Department, Planning & < . m = Department, Police
Department and City Manage �ro'ce nafter the core group) shall
receive the first of seven a .1 trai g sessions, consisting of a minimum
of three (3) hours of trai _ re' ed the City's duties under this
Agreement, as well a ba• _ : • 1 `` it rights statutes.
a. The training all cov ..cs including
i. ImS`="rotation f the VCA;
ii. b-ra1 n• discriminatory requirements under Title VI,
and AFFH obligations.
neral nondiscriminatory requirements under the Fair Housing
ity shall submit the name and qualifications of the person and/or
ganization providing the training to the Department within forty (40)
days of the effective date of the Agreement.
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 approved 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 IV.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 . te e
training sessions were conducted, the names and titles le in
attendance, and the agenda for the training. These recor 1 be included
in the Status Reports submitted to the Department t 4� ho r. e duration
of this Agreement.
J. Notice and Publication
(1) Within sixty (60) days of the effective Agreement, the
Agreement Administrator shall distr a 1 r escribing the terms of
this VCA to the Core Group.
(2) Within sixty (60) days of th fec datof this Agreement, the
Agreement Administrato �.;,s istri te a copy of the VCA to members of
the City's City Councising Commission members, Long
Range Planning Co 4 h m 'vers, the Mayor and City Manager, as
well as the Core a ou. tha � ,.- ``'' be responsible for the implementation of
the actions se
K. Outreach Plan
(1) Withi r y ys of the effective date of this Agreement, the City
sh . e p and submit to the Department an Outreach Plan to ensure that
_arding the City's Section 8 Program, including the opening
list and the corollary programs offered by the City, reaches
opulations within Dubuque and surrounding interstate areas.
the City does not operate public housing stock, and is therefore not
ligated to use the Public Housing Occupancy Guidebook (PHOG), for
urposes 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 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) 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.
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d. The Outreach Plan shall be considered approved if the City does not
receive a response from the Department within sixty (60) 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 pu •oses of this
Agreement, the City will perform outreach consistent with Se ; "` 1.3 of
the PHOG, to reach those identified as the populations less `'c <.;to apply.
a. The Department shall provide approval or disappr• 1 aid co 'r -nts,
if any, on the Outreach Plan within thirty (30) days o ceipt o the
plan.
b. If the Department disapproves the Outreach Pla R will have
forty-five (45) days to submit an updat : a treat , Plan.
c. Any further communications between t '°� •R garding the
Outreach Plan will occur within .: ; 3 C A daytime frame for
approval, or disapproval with c
d. The Outreach Plan shall be conside a•: proved if the City does not
receive a response from -' CY =+artme r }`'within sixty (60) days.
(3)
The City shall implemen
receiving the Depart
(4) As evidence of th
submit copies of t
Recipient' s
local papers
submi
(5)
is
Plans within thirty (30) days of
n of the Outreach Plans, the City shall
ovided to community agencies and in the
etters, copies of advertisements purchased in
f other advertising actions, in the Status Reports
tment throughout the duration of this Agreement.
add questions to the Section 8 Program application, as well
wnership Program application, that tracks how an individual
b e are of the program, and whether the applicant was aware of the
Tent's Outreach activities. This information, along with race data, will
be acked and monitored and submitted to HUD in the Bi -Annual Status
eports 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 and/or 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.
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L. Recordkeeping Requirements
(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, familial/elderly or
disability status; 2) date of application; 3) date applicant placed on
waiting list; 4) applicant preference(s); 5) date and time o ;" er; 6)
date of lease; and 7) date applicant removed from waiti c and
justification.
(2) The City shall continue to submit a BWLR every six mo '•r the
duration of this Agreement. Submissions of the B sha cur on the
first day of the month for each six month period, an ;, G de the wait
list information for the immediately precede mo th p riod. The bi-
annual reporting periods are as follows J hr•'sgh June 30, due on
July 15; July 1 through December 31,
(3) The Department shall provide approv and cE ents, if any, on the report
within thirty (30) days of recei • • f the r
(4) The City shall maintain r- o .,for r : iew by the Department for a
minimum of five (5) y ; s ter "F `ose of the Agreement. Records
subject to review in• u• •`r t . of limited to: participant lists, wait lists,
ineligible applica an• a • • t rejected lists, applications, and terminated
participants/a • u on lists. These lists and records shall be kept
electronical an• ;h opy. While Dubuque may select the format of
the list o d, it ust be uniform and consistent for review purposes.
The cr3 ` P1f.� copies of any and all records upon request from the
D
V. REPOR `' G A D COMPLIANCE REQUIREMENTS
1 Status Reports (BSR)
his 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.
BSRs shall be submitted for the duration of the Agreement. The first BSR
shall contain:
(3)
a. Confirmation that the City has appointed or hired an Agreement
Administrator and that such person has begun to fulfill th
out in Section IV of this Agreement.
b. Certification of or a report on the status of the ite a ,. ave been
completed pursuant to Sections IV.B (Analysi of Ims y'ments), C
(Amendments to the Admin Plan), G (2015 P ear'`an), H (PHA
Annual Plans), I (Employee Education a • Train), Notice and
Publication), K (Outreach Plan), and edie •r Recordkeeping
Violations).
c. A report on the results of the Out R h P1 referenced in Section IV.K
of this Agreement, includi u • opies • }� ; advertisements and
marketing required and Secs IV. .(4), and as outlined in 24
C.F.R. 903.2(d)(2) aHousing Occupancy Guidebook, and
the data tracked b { he ity �• :'red pursuant to Section IV.K.(5) of
this Agreemen
d. Evidence that
Agree
e. Evi
e training required under Section IV.I of this
mpleted.
notification requirements referenced in Section IV.Jof
ave been satisfied.
own of funds allocated and used in order to bring the HCDD
it ► VI, Section 109, and AFFH compliance during the phase
>::• e1n reported.
e data collected pursuant to sections IV.C.(1)(a)(iii)(a)(I);
.C.(1)(a)(iii)(b)(I); and IV.C.(1)(a)(iii)(b)(I) of this Agreement.
(4) he Second status report shall contain:
a. A report on the results of the Outreach Plan referenced in Section IV.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 IV.K.(5) of this Agreement.
b. Notice of the completion, submissions, or anticipated submissions of
the plans referenced in Section IV. G (2015 PHA 5 -Year Plan) and H
(PHA Annual Plans).
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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)(I);
IV.C.(1)(a)(iii)(b)(I); and IV.C.(1)(a)(iii)(b)(I) of this Agreement.
(5) The remaining status reports shall contain:
a. Notice of the completion, submissions, or anticipated sup=ssions of
the plans referenced in Section IV.F (Annual Action ' . a) a4 H (PHA
Annual Plans).
b. A report on the results of the Outreach Plan re ced - ction IV.K
of this Agreement, including copies of the adve�' ti e and
marketing required under Section IV d t" da a tracked by the
City required pursuant to Section IV V .' ;e; `"greement.
c. A breakdown of funds allocated
into Title VI, Section 109, and
being reported.
er to bring the HCDD
hance during the phase
d. The data collected p u ` to s.otions IV.C.(1)(a)(iii)(a)(I);
IV. C.(1)(a)(iii)(b) ; ark )(a)(iii)(b)(I) of this Agreement.
B. General Reporting
(1) For purpose
federal
week
ment, if the reporting day falls on a weekend or a
port will be due the first business day after the
(2) f this Agreement, all reporting and related material must be
(3)
Betty Bottiger, Director
Region VII
Office of Fair Housing and Equal Opportunity
U.S. Department of Housing and Urban Development
Gateway Tower II, 4th Floor
400 State Avenue
Kansas City, KS 66101-2406
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.
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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
manner 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 app a do � for
residency, rental agreements or leases, notices and Tette 'to eside ,, and
notices of termination, along with any and all material re'll R to the City's
implementation of the Title VI, Section109, and A ents of this
Agreement.
(3) The City shall maintain any and all maters ng t• . • e racial
composition of its HCDD operated Pro • s, R ;F + aiting lists, records
of the racial makeup of participants i rams, and copies of
denied applications.
(4) The City shall maintain copie race- ted complaints, claims,
grievances, investigative re ds, i uding grievance process materials.
(5) The City shall maintai ilei co $ ' g documentation of its efforts to meet
the obligations of th.
VII. IMPLEMENTATION
RING AND ENFORCEMENT
A. HUD will s implementation of this Agreement. During the
first year e date of this Agreement, HUD and the City will meet
quarte • ss the City's progress towards meeting the requirements of this
Agre ent hey after, at its discretion, HUD may convene meetings with the
nager, Mayor, Housing and Community Development Director
ent Administrator and/or other appropriate personnel, to discuss
ith implementing the terms of this Agreement, propose modifications,
uct other business with respect to this Agreement.
UD reserves the right to conduct periodic on-site record reviews to ensure
ompliance with this Agreement, Title VI, Section 109 and the City's AFFH
obligations.
C. Prior to the expiration of any timeframe in this Agreement, the City may submit
a request for an extension supported by documentation of good cause. The
Department shall 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 HUD.
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 shall not be construed as a waiver of any
obligation of the City under this Agreement.
VIII. EFFECT OF NON-COMPLIANCE WITH THIS AGREEME
A. The parties intend to resolve their disputes with respect to n. co .lian with
this Agreement in a timely and efficient manner. Upon a findi of non-
compliance, HUD will provide the City with a written s cifying the
facts of the alleged non-compliance and a reasona�e opp n to resolve or
cure the alleged non-compliance; or, in the alte , an •�� . ortunity to
negotiate in good faith HUD's findings of no -co r R., - However, if the
Department determines that the City has sa `6 c ¢.,.' y resolved the LOF, the
Department may take any of the followingtions o o non-compliance, in
addition to actions permitted under D's st t• `y or regulatory authority but
not identified below.
(1) Any act(s) or omission
serve as grounds for
contract (ACC) w
24 C.F.R. § 968.3
the terms of this Agreement may
g a breach of the annual contributions
me or all of the City's functions.
(2) Any act(s) o om` y . at violates the terms of this Agreement may
serve as � o ds for''', e United States to seek specific performance of any
or all •4. fi •t s of this Agreement in federal court.
omission(s) that violates the terms of this Agreement may
ds for the Department to conduct additional compliance
der Title VI, Section 109, AFFH or other appropriate statutory or
y authority.
ny act(s) or omission(s) that violates the terms of this Agreement may
erve as grounds for the United States to pursue an action in federal court
for failure to comply with civil rights authorities.
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
remedies available under law.
(3)
B.
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IX. SIGNATURES
Dubuque, Iowa:
Michael Van Milligen
City Manager
Dubuque, Iowa
Roy Buol
Mayor
Dubuque, Iowa
Alvin Nash
Housing and Community Developm irecto
Dubuque, Iowa
Date
For the U.S. Depart . ousi g and Urban Development:
er, Director
it Housing and Equal Opportunity
Frances Cleary, Director
Office of Public and Indian Housing
Region VII
Date
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