HRA Agenda Pkt 2017 9-19
HOPKINS HRA SPECIAL MEETING
September 19, 2017
7 p.m. I. CALL TO ORDER II. NEW BUSINESS
ITEM 2017-05 Joint Powers Agreement with State of
Minnesota, Bureau of Criminal Apprehension
and Hopkins HRA
Recommendation: adopt Resolution 520
Board Action: ___________________________________________
ITEM 2017-06 Updated VAWA Policies in the HRA Admissions
and Continued Occupancy Policy
Recommendation: adopt Resolution 521
Board Action: ___________________________________________
III. ADJOURNMENT
Board Action: ____________________________________________
CUMMINGS
CAMPBELL
GADD
HALVERSON
KUZNIA
MORNSON
ELVERUM
SEPTEMBER
S M T W T F S
1 2
3 4 5 6 7 8 9
10 11 12 13 14 15 16
17 18 19 20 21 22 23
24 25 26 27 28 29 30
OCTOBER
_S M T W T F S
1 2 3 4 5 6 7
8 9 10 11 12 13 14
15 16 17 18 19 20 21
22 23 24 25 26 27 28 29 30 31
September 12, 2017 HRA Report 2017-05
Joint Powers Agreement with the State of Minnesota, Bureau of Criminal
Apprehension and the Hopkins HRA
Proposed Action
Staff recommends approval of the following motion: Move to adopt Resolution 520,
approving the State of Minnesota, Department of Public Safety, Bureau of Criminal
Apprehension Joint Powers Agreement with the Hopkins HRA.
Overview
The Hopkins Police Department and the Hopkins HRA have enjoyed an ongoing
partnership with the State of Minnesota,Bureau of Criminal Apprehension (BCA).
Currently the Hopkins HRA has indirect access to many BCA databases through the
Hopkins Police Department. These include but are not limited to: access to
computerized criminal history records, Predatory Offender Registry, MRAP (Minnesota
Depository of Arrest Photos), NCIC/FBI records including Hot Files (stolen property and
missing persons) and network access.
The State of Minnesota is requesting approval of a Joint Powers Agreement to update
the current agreement. The new agreement is for five years.
Primary Issues to Consider
• How does this benefit the Hopkins HRA?
• Are there additional costs?
Supporting Information
• Analysis of the Issues
• State of Minnesota Joint Powers Agreement #119825
• HRA Resolution 520
___________________________
Signature
Executive Director
HRA Report 2017-05
Page 2
How does this benefit the Hopkins HRA?
• Reduces the number of individual agreements that need to get HRA Board
approval.
• Increases options for additional criminal background services and access to
databases without additional agreements.
• This thorough type of housing check provides excellent information regarding
prospective applicants and helps the HRA in approving or denying applicants in
relation to criminal history.
• Allows the Hopkins Police Department continued access on behalf of the HRA to
necessary databases and network services to perform their job.
Are there additional costs?
• There are no additional costs to the Hopkins Police Department or the HRA
unless additional services that require a fee are instituted by the BCA in the
future.
SWIFT Contract # 119825
MNJ00059Q
1
STATE OF MINNESOTA
JOINT POWERS AGREEMENT
AUTHORIZED AGENCY
This agreement is between the State of Minnesota, acting through its Department of Public Safety, Bureau of Criminal
Apprehension ("BCA") and the Hopkins Housing and Redevelopment Authority ("Agency").
Recitals
Under Minn. Stat. § 471.59, the BCA and the Agency are empowered to engage in those agreements that are necessary to
exercise their powers. Under Minn. Stat. § 299C.46 the BCA must provide a criminal justice data communications
network to benefit authorized agencies in Minnesota. The Agency is authorized by law to utilize the criminal justice data
communications network pursuant to the terms set out in this agreement. In addition, BCA either maintains repositories
of data or has access to repositories of data that benefit authorized agencies in performing their duties. Agency wants to
access these data in support of its official duties.
The purpose of this Agreement is to create a method by which the Agency has access to those systems and tools for which
it has eligibility, and to memorialize the requirements to obtain access and the limitations on the access.
Agreement
1 Term of Agreement
1.1 Effective date: This Agreement is effective on the date the BCA obtains all required signatures under Minn.
Stat. § 16C.05, subdivision 2.
1.2 Expiration date: This Agreement expires five years from the date it is effective.
2 Agreement between the Parties
2.1 General access. BCA agrees to provide Agency with access to the Minnesota Criminal Justice Data
Communications Network (CJDN) and those systems and tools which the Agency is authorized by law to access via
the CJDN for the purposes outlined in Minn. Stat. § 299C.46.
2.2 Methods of access.
The BCA offers three (3) methods of access to its systems and tools. The methods of access are:
A. Direct access occurs when individual users at the Agency use Agency’s equipment to access the BCA’s
systems and tools. This is generally accomplished by an individual user entering a query into one of BCA’s
systems or tools.
B. Indirect access occurs when individual users at the Agency go to another Agency to obtain data and
information from BCA’s systems and tools. This method of access generally results in the Agency with indirect
access obtaining the needed data and information in a physical format like a paper report.
C. Computer-to-computer system interface occurs when Agency’s computer exchanges data and information
with BCA’s computer systems and tools using an interface. Without limitation, interface types include: state
message switch, web services, enterprise service bus and message queuing.
For purposes of this Agreement, Agency employees or contractors may use any of these methods to use BCA’s
systems and tools as described in this Agreement. Agency will select a method of access and can change the
methodology following the process in Clause 2.10.
2.3 Federal systems access. In addition, pursuant to 28 CFR §20.30-38 and Minn. Stat. §299C.58, BCA may provide
Agency with access to the Federal Bureau of Investigation (FBI) National Crime Information Center.
SWIFT Contract # 119825
MNJ00059Q
2
2.4 Agency policies. Both the BCA and the FBI’s Criminal Justice Information Systems (FBI-CJIS) have policies,
regulations and laws on access, use, audit, dissemination, hit confirmation, logging, quality assurance, screening (pre-
employment), security, timeliness, training, use of the system, and validation. Agency has created its own policies to
ensure that Agency’s employees and contractors comply with all applicable requirements. Agency ensures this
compliance through appropriate enforcement. These BCA and FBI-CJIS policies and regulations, as amended and
updated from time to time, are incorporated into this Agreement by reference. The policies are available at
https://bcanextest.x.state.mn.us/launchpad/.
2.5 Agency resources. To assist Agency in complying with the federal and state requirements on access to and use of
the various systems and tools, information is available at https://sps.x.state.mn.us/sites/bcaservicecatalog/default.aspx.
Additional information on appropriate use is found in the Minnesota Bureau of Criminal Apprehension Policy on
Appropriate Use of Systems and Data available at https://dps.mn.gov/divisions/bca/bca-
divisions/mnjis/Documents/BCA-Policy-on-Appropriate-Use-of-Systems-and-Data.pdf.
2.6 Access granted.
A. Agency is granted permission to use all current and future BCA systems and tools for which Agency is
eligible. Eligibility is dependent on Agency (i) satisfying all applicable federal or state statutory requirements; (ii)
complying with the terms of this Agreement; and (iii) acceptance by BCA of Agency’s written request for use of a
specific system or tool.
B. To facilitate changes in systems and tools, Agency grants its Authorized Representative authority to make
written requests for those systems and tools provided by BCA that the Agency needs to meet its criminal justice
obligations and for which Agency is eligible.
2.7 Future access. On written request by Agency, BCA also may provide Agency with access to those systems or
tools which may become available after the signing of this Agreement, to the extent that the access is authorized by
applicable state and federal law. Agency agrees to be bound by the terms and conditions contained in this Agreement
that when utilizing new systems or tools provided under this Agreement.
2.8 Limitations on access. BCA agrees that it will comply with applicable state and federal laws when making
information accessible. Agency agrees that it will comply with applicable state and federal laws when accessing,
entering, using, disseminating, and storing data. Each party is responsible for its own compliance with the most
current applicable state and federal laws.
2.9 Supersedes prior agreements. This Agreement supersedes any and all prior agreements between the BCA and
the Agency regarding access to and use of systems and tools provided by BCA.
2.10 Requirement to update information. The parties agree that if there is a change to any of the information
whether required by law or this Agreement, the party will send the new information to the other party in writing
within 30 days of the change. This clause does not apply to changes in systems or tools provided under this
Agreement.
This requirement to give notice additionally applies to changes in the individual or organization serving a city as its
prosecutor. Any change in performance of the prosecutorial function must be provided to the BCA in writing by
giving notice to the Service Desk, BCA.ServiceDesk@state.mn.us.
2.11 Transaction record. The BCA creates and maintains a transaction record for each exchange of data utilizing its
systems and tools. In order to meet FBI-CJIS requirements and to perform the audits described in Clause 7, there
must be a method of identifying which individual users at the Agency conducted a particular transaction.
If Agency uses either direct access as described in Clause 2.2A or indirect access as described in Clause 2.2B, BCA’s
transaction record meets FBI-CJIS requirements.
When Agency’s method of access is a computer to computer interface as described in Clause 2.2C, the Agency must
SWIFT Contract # 119825
MNJ00059Q
3
keep a transaction record sufficient to satisfy FBI-CJIS requirements and permit the audits described in Clause 7 to
occur.
If an Agency accesses data from the Driver and Vehicle Services Division in the Minnesota Department of Public
Safety and keeps a copy of the data, Agency must have a transaction record of all subsequent access to the data that
are kept by the Agency. The transaction record must include the individual user who requested access, and the date,
time and content of the request. The transaction record must also include the date, time and content of the response
along with the destination to which the data were sent. The transaction record must be maintained for a minimum of
six (6) years from the date the transaction occurred and must be made available to the BCA within one (1) business
day of the BCA’s request.
2.12 Court information access. Certain BCA systems and tools that include access to and/or submission of Court
Records may only be utilized by the Agency if the Agency completes the Court Data Services Subscriber
Amendment, which upon execution will be incorporated into this Agreement by reference. These BCA systems and
tools are identified in the written request made by Agency under Clause 2.6 above. The Court Data Services
Subscriber Amendment provides important additional terms, including but not limited to privacy (see Clause 8.2,
below), fees (see Clause 3 below), and transaction records or logs, that govern Agency’s access to and/or submission
of the Court Records delivered through the BCA systems and tools.
2.13 Vendor personnel screening. The BCA will conduct all vendor personnel screening on behalf of Agency as is
required by the FBI CJIS Security Policy. The BCA will maintain records of the federal, fingerprint-based
background check on each vendor employee as well as records of the completion of the security awareness training
that may be relied on by the Agency.
3 Payment
The Agency currently accesses the criminal justice data communications network described in Minn. Stat. §299C.46.
No charges will be assessed to the agency as a condition of this agreement.
If Agency chooses to execute the Court Data Services Subscriber Amendment referred to in Clause 2.12 in order to
access and/or submit Court Records via BCA’s systems, additional fees, if any, are addressed in that amendment.
4 Authorized Representatives
The BCA's Authorized Representative is Dana Gotz, Department of Public Safety, Bureau of Criminal Apprehension,
Minnesota Justice Information Services, 1430 Maryland Avenue, St. Paul, MN 55106, 651-793-1007, or her
successor.
The Agency's Authorized Representative is Kersten Elverum, 1010 1st Street S, Hopkins, MN 55343-7558,
(952) 548-8474, or his/her successor.
5 Assignment, Amendments, Waiver, and Contract Complete
5.1 Assignment. Neither party may assign nor transfer any rights or obligations under this Agreement.
5.2 Amendments. Any amendment to this Agreement, except those described in Clauses 2.6 and 2.7 above must be in
writing and will not be effective until it has been signed and approved by the same parties who signed and
approved the original agreement, their successors in office, or another individual duly authorized.
5.3 Waiver. If either party fails to enforce any provision of this Agreement, that failure does not waive the provision
or the right to enforce it.
5.4 Contract Complete. This Agreement contains all negotiations and agreements between the BCA and the Agency.
No other understanding regarding this Agreement, whether written or oral, may be used to bind either party.
6 Liability
Each party will be responsible for its own acts and behavior and the results thereof and shall not be responsible or
liable for the other party’s actions and consequences of those actions. The Minnesota Torts Claims Act, Minn. Stat. §
3.736 and other applicable laws govern the BCA’s liability. The Minnesota Municipal Tort Claims Act, Minn. Stat.
SWIFT Contract # 119825
MNJ00059Q
4
Ch. 466, governs the Agency’s liability.
7 Audits
7.1 Under Minn. Stat. § 16C.05, subd. 5, the Agency’s books, records, documents, internal policies and accounting
procedures and practices relevant to this Agreement are subject to examination by the BCA, the State Auditor or
Legislative Auditor, as appropriate, for a minimum of six years from the end of this Agreement. Under Minn. Stat. §
6.551, the State Auditor may examine the books, records, documents, and accounting procedures and practices of
BCA. The examination shall be limited to the books, records, documents, and accounting procedures and practices
that are relevant to this Agreement.
7.2 Under applicable state and federal law, the Agency’s records are subject to examination by the BCA to ensure
compliance with laws, regulations and policies about access, use, and dissemination of data.
7.3 If Agency accesses federal databases, the Agency’s records are subject to examination by the FBI and Agency will
cooperate with FBI examiners and make any requested data available for review and audit.
7.4 To facilitate the audits required by state and federal law, Agency is required to have an inventory of the equipment
used to access the data covered by this Agreement and the physical location of each.
8 Government Data Practices
8.1 BCA and Agency. The Agency and BCA must comply with the Minnesota Government Data Practices Act,
Minn. Stat. Ch. 13, as it applies to all data accessible under this Agreement, and as it applies to all data created,
collected, received, stored, used, maintained, or disseminated by the Agency under this Agreement. The remedies of
Minn. Stat. §§ 13.08 and 13.09 apply to the release of the data referred to in this clause by either the Agency or the
BCA.
8.2 Court Records. If Agency chooses to execute the Court Data Services Subscriber Amendment referred to in
Clause 2.12 in order to access and/or submit Court Records via BCA’s systems, the following provisions regarding
data practices also apply. The Court is not subject to Minn. Stat. Ch. 13 (see section 13.90) but is subject to the Rules
of Public Access to Records of the Judicial Branch promulgated by the Minnesota Supreme Court. All parties
acknowledge and agree that Minn. Stat. § 13.03, subdivision 4(e) requires that the BCA and the Agency comply with
the Rules of Public Access for those data received from Court under the Court Data Services Subscriber Amendment.
All parties also acknowledge and agree that the use of, access to or submission of Court Records, as that term is
defined in the Court Data Services Subscriber Amendment, may be restricted by rules promulgated by the Minnesota
Supreme Court, applicable state statute or federal law. All parties acknowledge and agree that these applicable
restrictions must be followed in the appropriate circumstances.
9 Investigation of alleged violations; sanctions
For purposes of this clause, “Individual User” means an employee or contractor of Agency.
9.1 Investigation. Agency and BCA agree to cooperate in the investigation and possible prosecution of suspected
violations of federal and state law referenced in this Agreement. Agency and BCA agree to cooperate in the
investigation of suspected violations of the policies and procedures referenced in this Agreement. When BCA
becomes aware that a violation may have occurred, BCA will inform Agency of the suspected violation, subject to
any restrictions in applicable law. When Agency becomes aware that a violation has occurred, Agency will inform
BCA subject to any restrictions in applicable law.
9.2 Sanctions Involving Only BCA Systems and Tools.
The following provisions apply to BCA systems and tools not covered by the Court Data Services Subscriber
Amendment. None of these provisions alter the Agency’s internal discipline processes, including those governed by a
collective bargaining agreement.
9.2.1 For BCA systems and tools that are not covered by the Court Data Services Subscriber Amendment, Agency
SWIFT Contract # 119825
MNJ00059Q
5
must determine if and when an involved Individual User’s access to systems or tools is to be temporarily or
permanently eliminated. The decision to suspend or terminate access may be made as soon as alleged violation is
discovered, after notice of an alleged violation is received, or after an investigation has occurred. Agency must report
the status of the Individual User’s access to BCA without delay. BCA reserves the right to make a different
determination concerning an Individual User’s access to systems or tools than that made by Agency and BCA’s
determination controls.
9.2.2 If BCA determines that Agency has jeopardized the integrity of the systems or tools covered in this Clause 9.2,
BCA may temporarily stop providing some or all the systems or tools under this Agreement until the failure is
remedied to the BCA’s satisfaction. If Agency’s failure is continuing or repeated, Clause 11.1 does not apply and
BCA may terminate this Agreement immediately.
9.3 Sanctions Involving Only Court Data Services
The following provisions apply to those systems and tools covered by the Court Data Services Subscriber
Amendment, if it has been signed by Agency. As part of the agreement between the Court and the BCA for the
delivery of the systems and tools that are covered by the Court Data Services Subscriber Amendment, BCA is
required to suspend or terminate access to or use of the systems and tools either on its own initiative or when directed
by the Court. The decision to suspend or terminate access may be made as soon as an alleged violation is discovered,
after notice of an alleged violation is received, or after an investigation has occurred. The decision to suspend or
terminate may also be made based on a request from the Authorized Representative of Agency. The agreement
further provides that only the Court has the authority to reinstate access and use.
9.3.1 Agency understands that if it has signed the Court Data Services Subscriber Amendment and if Agency’s
Individual Users violate the provisions of that Amendment, access and use will be suspended by BCA or Court.
Agency also understands that reinstatement is only at the direction of the Court.
9.3.2 Agency further agrees that if Agency believes that one or more of its Individual Users have violated the terms of
the Amendment, it will notify BCA and Court so that an investigation as described in Clause 9.1 may occur.
10 Venue
Venue for all legal proceedings involving this Agreement, or its breach, must be in the appropriate state or federal
court with competent jurisdiction in Ramsey County, Minnesota.
11 Termination
11.1 Termination. The BCA or the Agency may terminate this Agreement at any time, with or without cause, upon 30
days’ written notice to the other party’s Authorized Representative.
11.2 Termination for Insufficient Funding. Either party may immediately terminate this Agreement if it does not
obtain funding from the Minnesota Legislature, or other funding source; or if funding cannot be continued at a level
sufficient to allow for the payment of the services covered here. Termination must be by written notice to the other
party’s authorized representative. The Agency is not obligated to pay for any services that are provided after notice
and effective date of termination. However, the BCA will be entitled to payment, determined on a pro rata basis, for
services satisfactorily performed to the extent that funds are available. Neither party will be assessed any penalty if
the agreement is terminated because of the decision of the Minnesota Legislature, or other funding source, not to
appropriate funds. Notice of the lack of funding must be provided within a reasonable time of the affected party
receiving that notice.
12 Continuing obligations
The following clauses survive the expiration or cancellation of this Agreement: 6. Liability; 7. Audits; 8. Government
Data Practices; 9. Investigation of alleged violations; sanctions; and 10.Venue.
SWIFT Contract # 119825
MNJ00059Q
6
The parties indicate their agreement and authority to execute this Agreement by signing below.
1. AGENCY
Name: _____________________________________________
(PRINTED)
Signed: ____________________________________________
Title: ______________________________________________
(with delegated authority)
Date: ______________________________________________
Name: _____________________________________________
(PRINTED)
Signed: ____________________________________________
Title: ______________________________________________
(with delegated authority)
Date: ______________________________________________
2. DEPARTMENT OF PUBLIC SAFETY, BUREAU OF
CRIMINAL APPREHENSION
Name: _____________________________________________
(PRINTED)
Signed: ____________________________________________
Title: ______________________________________________
(with delegated authority)
Date: ______________________________________________
3. COMMISSIONER OF ADMINISTRATION
delegated to Materials Management Division
By: ______________________________________________
Date: _____________________________________________
HOUSING AND REDEVELOPMENT AUTHORITY
IN AND FOR THE CITY OF HOPKINS
Hennepin County, Minnesota
RESOLUTION NO. 520
RESOLUTION APPROVING STATE OF MINNESOTA JOINT POWERS
AGREEMENT WITH THE HOPKINS HRA
WHEREAS, the Hopkins HRA desires to enter into Joint Powers Agreement with the
State of Minnesota, Department of Public Safety and Bureau of Criminal Apprehension to use
systems and tools available over the State’s criminal justice data communications network for
which the Hopkins HRA, in cooperation with the Hopkins Police Department, is eligible. The
Joint Powers Agreement further provides the HRA, in cooperation with the Hopkins Police
Department, with the ability to add, modify and delete connectivity, systems and tools over the
five-year life of the agreement.
NOW, THEREFORE, BE IT RESOLVED by the Authority Board of Commissioners of
Hopkins, Minnesota, as follows:
1. That the State of Minnesota Joint Powers Agreement by and between the State of Minnesota,
acting through its Department of Public Safety, Bureau of Criminal Apprehension and the
Hopkins HRA, is hereby approved. A copy of the Joint Powers Agreement is attached to this
Resolution and made a part of it.
2. That the Executive Director for the HRA public housing program, Stacy Unowsky, or her
successor, is designated the Authorized Representative for the HRA. The Authorized
Representative is also authorized to sign any subsequent amendment or agreement that may be
required by the State of Minnesota to maintain the City’s connection to the systems and tools
offered by the State.
Adopted this 19th day of September 2017.
________________________________
HRA Board Chair
ATTEST:
____________________________________
Executive Director
September 14, 2017 HRA Report 2017-06
APPROVAL OF HOPKINS HRA REVISION OF
ADMISSIONS AND CONTINUED OCCUPANCY POLICY
Proposed Action
Staff recommends approval of the following motion: Adopt Resolution 521, authorizing
approval of the revised Admissions and Continued Occupancy Policy.
Overview
Each year we review the policies for HRA in relation to the way we process applications and
conduct business with our current residents. Typically, this review and any proposed changes are
presented in January. The Admissions and Continued Occupancy Policy (ACOP) for the HRA is
divided into chapters by various topics and components of the public housing program.
A new final rule implementing VAWA (Violence against Women Act) required the HRA to
revise the existing policy to be in compliance with the new rule. VAWA is referenced numerous
places in our ACOP; however, Chapter 16 Program Administration includes the changes needed
at this time.
Supporting Documentation
• Hopkins HRA Admissions and Continued Occupancy Policy, Chapter 16
• HRA Resolution 521
Summary of Changes
• Updated Definition Section
• Updated Resources and Processes
• Included new HUD-5382 form
Alternatives
The HRA Board of Commissioners has the following alternatives available for addressing this
issue:
• Adopt Resolution 521 and approve the revised Admissions and Continued Occupancy
Policies.
• Continue for additional information.
_________________________________
Stacy Unowsky, Executive Director
Hopkins HRA 3/1/17 Page 16-1
Chapter 16
PROGRAM ADMINISTRATION
INTRODUCTION
This chapter discusses administrative policies and practices that are relevant to the activities
covered in this ACOP. The policies are discussed in seven parts as described below:
Part I: Setting Utility Allowances. This part describes how utility allowances are
established and revised. Also discussed are the requirements to establish surcharges for
excess consumption of PHA-furnished utilities.
Part II: Establishing Flat Rents. This part describes the requirements and policies related
to establishing and updating flat rent amounts.
Part III: Repayment of Family Debts. This part contains policies for recovery of monies
that have been underpaid by families, and describes the circumstances under which the
PHA will offer repayment agreements to families. Also discussed are the consequences
for failure to make payments in accordance with a repayment agreement.
Part IV: Public Housing Assessment System (PHAS). This part describes the PHAS
indicators, how PHAs are scored under PHAS, and how those scores affect a PHA.
Part V: Record Keeping. All aspects of the program involve certain types of record-
keeping. This part outlines the privacy rights of applicants and participants and record
retention policies the PHA will follow.
Part VI: Reporting and Record Keeping for Children with Environmental Intervention
Blood Lead Level. This part describes the PHA’s reporting responsibilities related to
children with environmental intervention blood lead levels that are living in public
housing.
Part VII: Violence against Women Act (VAWA): Notification, Documentation, and
Confidentiality. This part contains key terms used in VAWA and describes requirements
related to notifying families about their rights and responsibilities under VAWA;
requesting documentation from victims of domestic violence, dating violence, sexual
assault, and stalking; and maintaining the confidentiality of information obtained
from victims.
Hopkins HRA 3/1/17 Page 16-2
PART I: SETTING UTILITY ALLOWANCES [24 CFR 965 Subpart E]
16-I.A. OVERVIEW
PHAs must establish allowances for PHA-furnished utilities for all check metered utilities and
for resident-purchased utilities for all utilities purchased directly by residents from a utility
supplier [24 CFR 965.502(a)].
PHAs must also establish surcharges for excess consumption of PHA-furnished utilities [24 CFR
965.506].
The PHA must maintain a record that documents the basis on which utility allowances and
scheduled surcharges are established and revised, and the record must be made available for
inspection by residents [24 CFR 965.502(b)].
16-I.B UTILITY ALLOWANCES
The PHA must establish separate allowances for each utility and for each category of dwelling
units the PHA determines to be reasonably comparable as to factors affecting utility usage [24
CFR 965.503].
The objective of a PHA in establishing utility allowances for each dwelling unit category and
unit size is to approximate a reasonable consumption of utilities by an energy-conservative
household of modest circumstances consistent with the requirements of a safe, sanitary, and
healthful living environment [24 CFR 965.505].
Utilities include gas, electricity, fuel for heating, water, sewerage, and solid waste disposal for a
dwelling unit. In addition, if the PHA does not furnish a range and refrigerator, the family must
be granted a utility allowance for the range and refrigerator they provide [24 CFR 965.505].
Costs for telephone, cable/satellite TV, and internet services are not considered utilities [PH Occ
GB, p. 138].
Utility allowance amounts will vary by the rates in effect, size and type of unit, climatic location
and sitting of the unit, type of construction, energy efficiency of the dwelling unit, and other
factors related to the physical condition of the unit. Utility allowance amounts will also vary by
residential demographic characteristics affecting home energy usage [PH Occ GB, p. 138].
Chapter 14 of the PH Occupancy Guidebook provides detailed guidance to the PHA about
establishing utility allowances.
Air-Conditioning
“If a PHA installs air conditioning, it shall provide, to the maximum extent economically
feasible, systems that give residents the option of choosing to use air conditioning in their units.
The design of systems that offer each resident the option to choose air conditioning shall include
retail meters or check meters, and residents shall pay for the energy used in its operation. For
systems that offer residents the option to choose air conditioning but cannot be check metered,
residents are to be surcharged in accordance with 965.506. If an air conditioning system does not
provide for resident option, residents are not to be charged, and these systems should be avoided
whenever possible.” [24 CFR 965.505(e)]
Hopkins HRA 3/1/17 Page 16-3
PHA Policy
The PHA has not installed air-conditioning.
Utility Allowance Revisions [24 CFR 965.507]
The PHA must review at least annually the basis on which utility allowances have been
established and must revise the allowances if necessary in order to adhere to the standards for
establishing utility allowances that are contained in 24 CFR 965.505.
The PHA may revise its allowances for resident-purchased utilities between annual reviews if
there is a rate change, and is required to do so if such change, by itself or together with prior rate
changes not adjusted for, results in a change of 10 percent or more from the rate on which the
allowance was based.
Adjustments to resident payments as a result of such changes must be retroactive to the first day
of the month following the month in which the last rate change taken into account became
effective.
PHA Policy
The PHA currently pays for all of the utilities for Dow Towers. Residents pay a fee for
air conditioning if they install their own air conditioning unit into the sleeve.
If this policy were to change, we would perform annual reviews of utility allowances; the
PHA will only revise its utility allowances due to a rate change, when required to by the
regulation.
16-I.C. SURCHARGES FOR PHA-FURNISHED UTILITIES [24 CFR 965.506]
For dwelling units subject to allowances for PHA-furnished utilities where check meters have
been installed, the PHA must establish surcharges for utility consumption in excess of the
allowances. Surcharges may be computed on a straight per unit of purchase basis or for stated
blocks of excess consumption, and must be based on the PHA’s average utility rate. The basis for
calculating the surcharges must be described in the PHA’s schedule of allowances. Changes in
the amount of surcharges based directly on changes in the PHA’s average utility rate are not
subject to the advance notice requirements discussed under 16-I.D.
For dwelling units served by PHA-furnished utilities where check meters have not been installed,
the PHA must establish schedules of surcharges indicating additional dollar amounts residents
will be required to pay by reason of estimated utility consumption attributable to resident-owned
major appliances or to optional functions of PHA-furnished equipment. The surcharge schedule
must state the resident-owned equipment (or functions of PHA-furnished equipment) for which
surcharges will be made and the amounts of such charges. Surcharges must be based on the cost
to the PHA of the utility consumption estimated to be attributable to reasonable usage of such
equipment.
PHA Policy
The PHA does have PHA-furnished utilities. Currently, we do not have check meters
installed.
Hopkins HRA 3/1/17 Page 16-4
16-I.D. NOTICE REQUIREMENTS [965.502]
The PHA must give notice to all residents of proposed allowances and scheduled surcharges, and
revisions thereof. The notice must be given in the manner provided in the lease and must:
• Be provided at least 60 days before the proposed effective date of the allowances, scheduled
surcharges, or revisions.
• Describe the basis for determination of the allowances, scheduled surcharges, or revisions,
including a statement of the specific items of equipment and function whose utility
consumption requirements were included in determining the amounts of the allowances and
schedule of surcharges.
• Notify residents of the place where the PHA’s documentation on which allowances and
surcharges are based is available for inspection.
• Provide all residents an opportunity to submit written comments during a period expiring not
less than 30 days before the proposed effective date of the allowances, scheduled surcharges,
or revisions.
16-I.E. REASONABLE ACCOMMODATION [24 CFR 965.508]
On request from a family that includes a disabled or elderly person, the PHA must approve a
utility allowance that is higher than the applicable amount for the dwelling unit if a higher utility
allowance is needed as a reasonable accommodation to make the program accessible to and
usable by the family [PH Occ GB, p. 172].
Likewise, residents with disabilities may not be charged for the use of certain resident-supplied
appliances if there is a verified need for special equipment because of the disability [PH Occ GB,
p. 172].
See Chapter 2 for policies regarding the request and approval of reasonable accommodations.
Hopkins HRA 3/1/17 Page 16-5
PART II: ESTABLISHING FLAT RENTS AND
PUBLIC HOUSING MAXIMUM RENTS
16-II.A. OVERVIEW
Flat rents are designed to encourage self-sufficiency and to avoid creating disincentives for
continued residency by families who are attempting to become economically self-sufficient.
Flat rents are also used to prorate assistance for a mixed family. A mixed family is one whose
members include those with citizenship or eligible immigration status, and those without
citizenship or eligible immigration status [24 CFR 5.504].
This part discusses how the PHA established and updates flat rents. Polices related to the use of
flat rents, family choice of rent, flat rent hardships, and proration of rent for mixed family are
discussed in Chapter 6.
16-II.B. FLAT RENTS [24 CFR 960.253(b) and Notice PIH 2014-12]
Establishing Flat Rents
Flat rents for public housing units are based on the market rent charged for comparable units in
the private unassisted rental market. The flat rent should be equal to the estimated rent for which
the PHA could promptly lease the public housing unit after preparation for occupancy.
The PHA must use HUD's rent reasonableness methodology to determine flat rents. In
determining flat rents, PHAs must consider the following:
• Location
• Quality
• Unit size
• Unit type
• Age of property
• Amenities at the property and in immediate neighborhood
• Housing services provided
• Maintenance provided by the PHA
• Utilities provided by the PHA
PHAs must receive written HUD approval before implementing exception flat rent. PHAs that
use exception flat rents must conduct a new market analysis, and obtain HUD approval,
annually.
PHAs are now required to apply a utility allowance to flat rents. Flat rents set at 80 percent of the
FMR must be reduced by the amount of the unit's utility allowance, if any.
Hopkins HRA 3/1/17 Page 16-6
Review of Flat Rents
The PHA must ensure that flat rents continue to mirror market rent values [24 CFR 960.253(b)
and Notice PIH 2014-12]. No later than 90 days after HUD publishes new annual FMRs, PHAs
must revise flat rents as necessary based on the rent reasonableness analysis and changes to the
FMR. The PHA must offer changes to the flat rent to all new admissions and to existing families
at the next annual rent option.
If the FMR falls from year to year, the PHA may, but is not required to, lower the flat rent to 80
percent of the current FMR.
PHA Policy
If the FMR/SAFMR/unadjusted rent is lower than the previous year, the PHA will reduce
flat rents to 80 percent of the current FMR/SAFMR/unadjusted rent.
Posting of Flat Rents
PHA Policy
The PHA will publicly post the schedule of flat rents in a conspicuous manner in the
project office.
Documentation of Flat Rents [24 CFR 960.253(b)(5)]
The PHA must maintain records that document the method used to determine flat rents, and that
show how flat rents were determined by the PHA in accordance with this method.
PART III: FAMILY DEBTS TO THE PHA
16-III.A. OVERVIEW
This part describes the PHA’s policies for recovery of monies owed to the PHA by families.
PHA Policy
When an action or inaction of a resident family results in the underpayment of rent or
other amounts, the PHA holds the family liable to return any underpayments to the PHA.
The PHA will enter into repayment agreements in accordance with the policies contained
in this part as a means to recover overpayments.
When a family refuses to repay monies owed to the PHA, the PHA will utilize other
available collection alternatives including, but not limited to, the following:
Collection agencies
Small claims court
Civil law suit
State income tax set-off program
Hopkins HRA 3/1/17 Page 16-7
16-III.B. REPAYMENT POLICY
Family Debts to the PHA
PHA Policy
Any amount owed to the PHA by a public housing family must be repaid. If the family is
unable to repay the debt within 30 days, the PHA will offer to enter into a repayment
agreement in accordance with the policies below.
If the family refuses to repay the debt, does not enter into a repayment agreement, or
breaches a repayment agreement, the PHA will terminate the family’s tenancy in
accordance with the policies in Chapter 13. The PHA will also pursue other modes of
collection.
General Repayment Agreement Guidelines
Down Payment Requirement
PHA Policy
Before executing a repayment agreement with a family, the PHA will generally require a
down payment of 10 percent of the total amount owed. If the family can provide evidence
satisfactory to the PHA that a down payment of 10 percent would impose an undue
hardship, the PHA may, in its sole discretion, require a lesser percentage or waive the
requirement.
Payment Thresholds
Notice PIH 2010-19 recommends that the total amount that a family must pay each month—the
family’s monthly share of rent plus the monthly debt repayment amount—should not exceed 40
percent of the family’s monthly adjusted income, which is considered “affordable.” Moreover,
Notice PIH 2010-19 acknowledges that PHAs have the discretion to establish “thresholds and
policies” for repayment agreements with families [24 CFR 982.552(c)(1)(vii)].
Hopkins HRA 3/1/17 Page 16-8
PHA Policy
If a family is paying less than 40 percent of its monthly adjusted income (MAI) in rent,
the minimum monthly payment amount will be the greater of the following two amounts:
• The difference between 40 percent of the family’s MAI and the TTP at the
time the agreement is executed
• $25
If the family’s income increases or decreases during the term of a repayment agreement,
either the PHA or the family may request that the monthly payment amount be adjusted
accordingly.
The PHA has established the following examples for repayment of debts:
Amounts between $3,000 and the Federal or State threshold for criminal
prosecution must be repaid within 36 months.
Amounts between $2,000 and $2,999 must be repaid within 30 months.
Amounts between $1,000 and $1,999 must be repaid within 24 months.
Amounts under $1,000 must be repaid within 12 months
Execution of the Agreement
PHA Policy
Any repayment agreement between the PHA and a family must be signed and dated by
the PHA and by the head of household and spouse/cohead (if applicable).
Due Dates
PHA Policy
All payments are due by the close of business on the 15th day of the month. If the 15th
does not fall on a business day, the due date is the close of business on the first business
day after the 15th.
Late or Missed Payments
PHA Policy
If a payment is not received by the end of the business day on the date due, and prior
approval for the missed payment has not been given by the PHA, the PHA will send the
family a delinquency notice giving the family 10 business days to make the late payment.
If the payment is not received by the due date of the delinquency notice, it will be
considered a breach of the agreement and the PHA will terminate tenancy in accordance
with the policies in Chapter 13.
If a family receives three delinquency notices for unexcused late payments in a 12-month
period, the repayment agreement will be considered in default, and the PHA will
terminate tenancy in accordance with the policies in Chapter 13.
Hopkins HRA 3/1/17 Page 16-9
No Offer of Repayment Agreement
PHA Policy
The PHA generally will not enter into a repayment agreement with a family if there is
already a repayment agreement in place with the family, or if the amount owed by the
family exceeds the federal or state threshold for criminal prosecution.
Repayment Agreements Involving Improper Payments
Notice PIH 2010-19 requires certain provisions to be included in any repayment agreement
involving amounts owed by a family because it underreported or failed to report income:
• A reference to the items in the public housing lease that state the family’s obligation to
provide true and complete information at every reexamination and the grounds on which the
PHA may terminate assistance because of a family’s action or failure to act
• A statement clarifying that each month the family not only must pay to the PHA the monthly
payment amount specified in the agreement but must also pay to the owner the family’s
monthly share of the rent to owner
• A statement that the terms of the repayment agreement may be renegotiated if the family’s
income decreases or increases
• A statement that late or missed payments constitute default of the repayment agreement and
may result in termination of tenancy
PART IV: PUBLIC HOUSING ASSESSMENT SYSTEM (PHAS)
16-IV.A. OVERVIEW
The purpose of the Public Housing Assessment System (PHAS) is to improve the delivery of
services in public housing and enhance trust in the public housing system among PHAs, public
housing residents, HUD and the general public by providing a management tool for effectively
and fairly measuring the performance of a public housing agency in essential housing operations.
16-IV.B. PHAS INDICATORS [24 CFR 902 Subparts A, B, C, D, and E]
The table below lists each of the PHAS indicators, the points possible under each indicator, and a
brief description of each indicator. A PHA’s performance is based on a combination of all four
indicators.
Hopkins HRA 3/1/17 Page 16-10
Indicator 1: Physical condition of the PHA’s projects
Maximum Score: 40
• The objective of this indicator is to determine the level to which a PHA is maintaining its
public housing in accordance with the standard of decent, safe, sanitary, and in good
repair.
• To determine the physical condition of a PHA’s projects, inspections are performed of
the following five major areas of each public housing project: site, building exterior,
building systems, dwelling units, and common areas. The inspections are performed by
an independent inspector arranged by HUD, and include a statistically valid sample of the
units in each project in the PHA’s public housing portfolio.
Indicator 2: Financial condition of the PHA’s projects
Maximum Score: 25
• The objective of this indicator is to measure the financial condition of the PHA’s public
housing projects for the purpose of evaluating whether the PHA has sufficient financial
resources and is capable of managing those financial resources effectively to support the
provision of housing that is decent, safe, sanitary, and in good repair.
• A PHA’s financial condition is determined by measuring each public housing project’s
performance in each of the following subindicators: quick ratio, months expendable net
assets ratio, and debt service coverage ratio.
Indicator 3: Management operations of the PHA’s projects
Maximum Score: 25
• The objective of this indicator is to measure certain key management operations and
responsibilities of a PHA’s projects for the purpose of assessing the PHA’s management
operations capabilities.
• Each project’s management operations are assessed based on the following sub-
indicators: occupancy, tenant accounts receivable, and accounts payable.
• An on-site management review may be conducted as a diagnostic and feedback tool for
problem performance areas, and for compliance. Management reviews are not scored.
Indicator 4: Capital Fund
Maximum Score: 10
• The objective of this indicator is to measure how long it takes the PHA to obligate capital
funds and to occupy units.
• The PHA’s score for this indicator is measured at the PHA level and is based on the
following subindicators: timeliness of fund obligation and occupancy rate.
Hopkins HRA 3/1/17 Page 16-11
16-IV.C. PHAS SCORING [24 CFR 902 Subpart F]
HUD’s Real Estate Assessment Center (REAC) issues overall PHAS scores, which are based on
the scores of the four PHAS indicators, and the subindicators under each indicator. The PHA’s
indicator scores are based on a weighted average of the PHA’s public housing projects’ scores.
PHAS scores translate into a designation for each PHA as high performing, standard,
substandard, or troubled.
A high performer is a PHA that achieves an overall PHAS score of 90 or greater, and achieves a
score of at least 60 percent of the points available under the physical, financial, and management
indicators and at least 50 percent of the points available under the capital fund indicator.
A standard performer is a PHA that has an overall PHAS score between 60 and 89, and achieves
a score of at least 60 percent of the points available under the physical, financial, and
management indicators and at least 50 percent of the points available under the capital fund
indicator.
A substandard performer is a PHA that has an overall PHAS score of at least 60 percent and
achieves a score of less than 60 percent under one or more of the physical, financial, or
management indicators.
A troubled performer is a PHA that achieves an overall PHAS score of less than 60, or achieves
less than 50 percent of the total points available under the capital fund indicator.
These designations can affect a PHA in several ways:
• High-performing PHAs are eligible for incentives including relief from specific HUD
requirements and bonus points in funding competitions [24 CFR 902.71].
• PHAs that are standard performers may be required to submit and operate under a corrective
action plan to eliminate deficiencies in the PHA’s performance [24 CFR 902.73(a)(1)].
• PHAs that are substandard performers will be required to submit and operate under a
corrective action plan to eliminate deficiencies in the PHA’s performance [24 CFR
902.73(a)(2)].
• PHAs with an overall rating of “troubled” are subject to additional HUD oversight, and are
required to enter into a memorandum of agreement (MOA) with HUD to improve PHA
performance [24 CFR 902.75].
• PHAs that fail to execute or meet MOA requirements may be referred to the Assistant
Secretary to determine remedial actions, including, but not limited to, remedies available for
substantial default [24 CFR 902.75(g) and 24 CFR Part 907].
PHAs must post a notice of its final PHAS score and status in appropriate conspicuous and
accessible locations in its offices within two weeks of receipt of its final score and designation
[24 CFR 902.64(b)(2)].
Hopkins HRA 3/1/17 Page 16-12
PART V: RECORD KEEPING
16-V.A. OVERVIEW
The PHA must maintain complete and accurate accounts and other records for the program in
accordance with HUD requirements, in a manner that permits a speedy and effective audit. All
such records must be made available to HUD or the Comptroller General of the United States
upon request.
In addition, the PHA must ensure that all applicant and participant files are maintained in a way
that protects an individual’s privacy rights.
16-V.B. RECORD RETENTION
The PHA must keep the last three years of the Form HUD-50058 and supporting documentation
during the term of each assisted lease, and for a period of at least three years from the end of
participation (EOP) date [24 CFR 908.101].
PHA Policy
During the term of each public housing tenancy, and for at least four years thereafter, the
PHA will keep all documents related to a family’s eligibility, tenancy, and termination.
In addition, the PHA will keep the following records for at least four years:
An application from each ineligible family and notice that the applicant is not
eligible
Lead-based paint records as required by 24 CFR 35, Subpart B
Documentation supporting the establishment of flat rents and the public housing
maximum rent
Documentation supporting the establishment of utility allowances and surcharges
Documentation related to PHAS
Accounts and other records supporting PHA budget and financial statements for
the program
Complaints, investigations, notices, and corrective actions related to violations of
the Fair Housing Act or the equal access final rule
Other records as determined by the PHA or as required by HUD
If a hearing to establish a family’s citizenship status is held, longer retention requirements
apply for some types of documents. For specific requirements, see Section 14-II.A.
Hopkins HRA 3/1/17 Page 16-13
16-V.C. RECORDS MANAGEMENT
PHAs must maintain applicant and participant files and information in accordance with the
regulatory requirements described below.
PHA Policy
All applicant and participant information will be kept in a secure location and access will
be limited to authorized PHA staff.
PHA staff will not discuss personal family information unless there is a business reason
to do so. Inappropriate discussion of family information or improper disclosure of family
information by staff will result in disciplinary action.
Privacy Act Requirements [24 CFR 5.212 and Form-9886]
The collection, maintenance, use, and dissemination of social security numbers (SSN), employer
identification numbers (EIN), any information derived from these numbers, and income
information of applicants and participants must be conducted, to the extent applicable, in
compliance with the Privacy Act of 1974, and all other provisions of Federal, State, and local
law.
Applicants and participants, including all adults in the household, are required to sign a consent
form, HUD-9886, Authorization for Release of Information. This form incorporates the Federal
Privacy Act Statement and describes how the information collected using the form may be used,
and under what conditions HUD or the PHA may release the information collected.
Upfront Income Verification (UIV) Records
PHAs that access UIV data through HUD’s Enterprise Income Verification (EIV) system are
required to adopt and follow specific security procedures to ensure that all EIV data is protected
in accordance with federal laws, regardless of the media on which the data is recorded (e.g.
electronic, paper). These requirements are contained in the HUD-issued document, Enterprise
Income Verification (EIV) System, Security Procedures for Upfront Income Verification (UIV)
Data.
PHA Policy
Prior to utilizing HUD’s EIV system, the PHA will adopt and implement EIV security
procedures required by HUD.
Criminal Records
The PHA may only disclose the criminal conviction records which the PHA receives from a law
enforcement agency to officers or employees of the PHA, or to authorized representatives of the
PHA who have a job-related need to have access to the information [24 CFR 5.903(e)].
The PHA must establish and implement a system of records management that ensures that any
criminal record received by the PHA from a law enforcement agency is maintained
confidentially, not misused or improperly disseminated, and destroyed, once the purpose for
which the record was requested has been accomplished, including expiration of the period for
Hopkins HRA 3/1/17 Page 16-14
filing a challenge to the PHA action without institution of a challenge or final disposition of any
such litigation [24 CFR 5.903(g)].
The PHA must establish and implement a system of records management that ensures that any
sex offender registration information received by the PHA from a State or local agency is
maintained confidentially, not misused or improperly disseminated, and destroyed, once the
purpose for which the record was requested has been accomplished, including expiration of the
period for filing a challenge to the PHA action without institution of a challenge or final
disposition of any such litigation. However, a record of the screening, including the type of
screening and the date performed must be retained [Notice PIH 2012-28]. This requirement does
not apply to information that is public information, or is obtained by a PHA other than under 24
CFR 5.905.
Medical/Disability Records
PHAs are not permitted to inquire about the nature or extent of a person’s disability. The PHA
may not inquire about a person’s diagnosis or details of treatment for a disability or medical
condition. If the PHA receives a verification document that provides such information, the PHA
should not place this information in the tenant file. The PHA should destroy the document.
Domestic Violence, Dating Violence, Sexual Assault, or Stalking Records
This topic is addressed in section 16-VII.E.
PART VI: REPORTING REQUIREMENTS FOR CHILDREN WITH
ENVIRONMENTAL INTERVENTION BLOOD LEAD LEVEL
16-VI.A. REPORTING REQUIREMENTS [24 CFR 35.1130(e)]
The PHA has certain responsibilities relative to children with environmental intervention blood
lead levels that are living in public housing.
The PHA must report the name and address of a child identified as having an environmental
intervention blood lead level to the public health department within 5 business days of being so
notified by any other medical health care professional. The PHA must also report each known
case of a child with an environmental intervention blood lead level to the HUD field office.
PHA Policy
The PHA will provide the public health department written notice of the name and
address of any child identified as having an environmental intervention blood lead level.
The PHA will provide written notice of each known case of a child with an
environmental intervention blood level to the HUD field office within 5 business days of
receiving the information.
Hopkins HRA 3/1/17 Page 16-15
PART VII: VIOLENCE AGAINST WOMEN ACT (VAWA): NOTIFICATION,
DOCUMENTATION, AND CONFIDENTIALITY
16-VII.A. OVERVIEW
The Violence against Women Act of 2013 (VAWA) provides special protections for victims of
domestic violence, dating violence, sexual assault, and stalking who are applying for or receiving
assistance under the public housing program. If your state or local laws provide greater
protection for such victims, those laws apply in conjunction with VAWA.
In addition to definitions of key terms used in VAWA, this part contains general VAWA
requirements and PHA policies in three areas: notification, documentation, and confidentiality.
16-VII.B. DEFINITIONS [24 CFR 5.2003, FR Notice 8/6/13]
As used in VAWA:
• The term affiliated individual means, with respect to a person:
- A spouse, parent, brother or sister, or child of that individual, or an individual to whom
that individual stands in the position or place of a parent; or
- Any individual, tenant or lawful occupant living in the household of that individual.
• The term bifurcate means, with respect to a public housing or Section 8 lease, to divide a
lease as a matter of law such that certain tenants can be evicted or removed while the
remaining family members’ lease and occupancy rights are allowed to remain intact.
• The term dating violence means violence committed by a person who is or has been in a
social relationship of a romantic or intimate nature with the victim; and where the existence
of such a relationship shall be determined based on a consideration of the following factors:
- The length of the relationship
- The type of relationship
- The frequency of interaction between the persons involved in the relationship
• The term domestic violence includes felony or misdemeanor crimes of violence committed
by a current or former spouse of the victim, by a person with whom the victim shares a child
in common, by a person who is cohabitating with or has cohabitated with the victim as a
spouse, by a person similarly situated to a spouse of the victim under the domestic or family
violence laws of the jurisdiction receiving grant monies, or by any other person against an
adult or youth victim who is protected from that person’s acts under the domestic or family
violence laws of the jurisdiction.
Hopkins HRA 3/1/17 Page 16-16
• The term sexual assault means:
- Any nonconsensual sexual act proscribed by Federal, tribal, or State law, including when
the victim lacks the capacity to consent
• The term stalking means:
- To follow, pursue, or repeatedly commit acts with the intent to kill, injure, harass, or
intimidate; or
- To place under surveillance with the intent to kill, injure, harass, or intimidate another
person; and
- In the course of, or as a result of, such following, pursuit, surveillance, or repeatedly
committed acts, to place a person in reasonable fear of the death of, or serious bodily
injury to, or to cause substantial emotional harm to (1) that person, (2) a member of the
immediate family of that person, or (3) the spouse or intimate partner of that person.
16-VII.C. NOTIFICATION [24 CFR 5.2005(a)]
Notification to Public
The PHA adopts the following policy to help ensure that all actual and potential beneficiaries of
its public housing program are aware of their rights under VAWA.
PHA Policy
The PHA will make available the following information regarding VAWA in its offices
and to anyone who requests it.
A notice of occupancy rights under VAWA to housing choice voucher program
applicants and participants who are or have been victims of domestic violence,
dating violence, sexual assault, or stalking (Form HUD-5380, see Exhibit 16-1)
A copy of form HUD-5382, Certification of Domestic Violence, Dating Violence,
Sexual Assault, or Stalking and Alternate Documentation (see Exhibit 16-2)
A copy of the PHA’s emergency transfer plan (Exhibit 16-3)
A copy of HUD’s Emergency Transfer Request for Certain Victims of Domestic
Violence, Dating Violence, Sexual Assault, or Stalking, Form HUD-5383
(Exhibit 16-4)
The National Domestic Violence Hot Line: 1-800-799-SAFE (7233) or 1-800-
787-3224 (TTY) (included in Exhibit 16-1)
Sojourner is a local organization that works with individuals victimized by
domestic violence or abuse contact them at 952-933-7422
Hopkins HRA 3/1/17 Page 16-17
Notification to Applicants and Tenants [24 CFR 5.2005(a)(1)]
VAWA requires PHAs to notify public housing applicants and tenants of their rights under this
law, including their right to confidentiality and the limits thereof, when they are denied
assistance, when they are admitted to the program, and when they are notified of an eviction or
termination of housing benefits.
The PHA must distribute a notice of VAWA rights, along with the VAWA self-certification
form (HUD-5382) at each of these three junctures.
PHA Policy
The VAWA information provided to applicants and tenants will consist of the notices in
Exhibit 16-1 and 16-2.
The PHA will provide all applicants with information about VAWA at the time they
request an application for housing assistance. The PHA will also include such
information in all notices of denial of assistance (see section 3-III.F).
The PHA will provide all tenants with information about VAWA at the time of admission
(see section 8-I.B) and at annual reexamination. The PHA will also include such
information in all lease termination notices (see section 13-IV.D).
The PHA is not limited to providing VAWA information at the times specified in the above
policy. If the PHA decides to provide VAWA information to a tenant following an incident of
domestic violence, Notice PIH 2006-42 cautions against sending the information by mail, since
the abuser may be monitoring the mail. The notice recommends that in such cases the PHA make
alternative delivery arrangements that will not put the victim at risk.
PHA Policy
Whenever the PHA has reason to suspect that providing information about VAWA to a
public housing tenant might place a victim of domestic violence at risk, it will attempt to
deliver the information by hand directly to the victim.
16-VII.D. DOCUMENTATION [24 CFR 5.2007]
A PHA presented with a claim for initial or continued assistance based on status as a victim of
domestic violence, dating violence, sexual assault, or stalking, or criminal activity related to any
of these forms of abuse may—but is not required to—request that the individual making the
claim document the abuse. Any request for documentation must be in writing, and the individual
must be allowed at least 14 business days after receipt of the request to submit the
documentation. The PHA may extend this time period at its discretion. [24 CFR 5.2007(a)]
The individual may satisfy the PHA’s request by providing any one of the following three forms
of documentation [24 CFR 5.2007(b)]:
(1) A completed and signed HUD-approved certification form (HUD-5382, Certification of
Domestic Violence, Dating Violence, or Stalking), which must include the name of the
perpetrator only if the name of the perpetrator is safe to provide and is known to the victim
(2) A federal, state, tribal, territorial, or local police report or court record
Hopkins HRA 3/1/17 Page 16-18
(3) Documentation signed by a person who has assisted the victim in addressing domestic
violence, dating violence, sexual assault, or stalking, or the effects of such abuse. This person
may be an employee, agent, or volunteer of a victim service provider; an attorney; or a
medical professional. Acceptable documentation also includes a record of an administrative
agency, and documentation from a mental health professional. The person signing the
documentation must attest under penalty of perjury to the person’s belief that the incidents in
question are bona fide incidents of abuse. The victim must also sign the documentation.
The PHA may not require third-party documentation (forms 2 and 3) in addition to certification
(form 1), except as specified below under “Conflicting Documentation,” nor may it require
certification in addition to third-party documentation [VAWA 2005 final rule].
PHA Policy
Any request for documentation of domestic violence, dating violence, sexual assault, or
stalking will specify a deadline of 14 business days following receipt of the request, will
describe the three forms of acceptable documentation, will provide explicit instructions
on where and to whom the documentation must be submitted, and will state the
consequences for failure to submit the documentation or request an extension in writing
by the deadline.
The PHA may, in its discretion, extend the deadline for 10 business days. Any extension
granted by the PHA will be in writing.
Conflicting Documentation [24 CFR 5.2007(e)]
In cases where the PHA receives conflicting certification documents from two or more members
of a household, each claiming to be a victim and naming one or more of the other petitioning
household members as the perpetrator, the PHA may determine which is the true victim by
requiring each to provide acceptable third-party documentation, as described above (forms 2 and
3). The PHA must honor any court orders issued to protect the victim or to address the
distribution of property.
PHA Policy
If presented with conflicting certification documents (two or more forms HUD-50066)
from members of the same household, the PHA will attempt to determine which is the
true victim by requiring each of them to provide third-party documentation in accordance
with 24 CFR 5.2007(b)(2) or (3) and by following any HUD guidance on how such
determinations should be made.
Discretion to Require No Formal Documentation [24 CFR 5.2007(d)]
The PHA has the discretion to provide benefits to an individual based solely on the individual’s
statement or other corroborating evidence—i.e., without requiring formal documentation of
abuse in accordance with 24 CFR 5.2007(b).
PHA Policy
If the PHA accepts an individual’s statement or other corroborating evidence of domestic
violence, dating violence, sexual assault, or stalking, the PHA will document acceptance
of the statement or evidence in the individual’s file.
Hopkins HRA 3/1/17 Page 16-19
Failure to Provide Documentation [24 CFR 5.2007(c)]
In order to deny relief for protection under VAWA, a PHA must provide the individual
requesting relief with a written request for documentation of abuse. If the individual fails to
provide the documentation within 14 business days from the date of receipt, or such longer time
as the PHA may allow, the PHA may deny relief for protection under VAWA.
16-VII.E. CONFIDENTIALITY [24 CFR 5.2007(b)(4)]
All information provided to the PHA regarding domestic violence, dating violence, sexual
assault, or stalking, including the fact that an individual is a victim of such violence or stalking,
must be retained in confidence. This means that the PHA (1) may not enter the information into
any shared database, (2) may not allow employees or others to access the information unless they
are explicitly authorized to do so and have a need to know the information for purposes of their
work, and (3) may not provide the information to any other entity or individual, except to the
extent that the disclosure is (a) requested or consented to by the individual in writing, (b)
required for use in an eviction proceeding, or (c) otherwise required by applicable law.
PHA Policy
If disclosure is required for use in an eviction proceeding or is otherwise required by
applicable law, the PHA will inform the victim before disclosure occurs so that safety
risks can be identified and addressed.
Hopkins HRA 3/1/17 Page 16-20
EXHIBIT 16-1: SAMPLE NOTICE OF OCCUPANCY RIGHTS UNDER THE
VIOLENCE AGAINST WOMEN ACT, FORM HUD-5380
HOPKINS HRA
Notice of Occupancy Rights under the Violence Against Women Act 1
To all Tenants and Applicants
The Violence Against Women Act (VAWA) provides protections for victims of domestic
violence, dating violence, sexual assault, or stalking. VAWA protections are not only available
to women, but are available equally to all individuals regardless of sex, gender identity, or sexual
orientation.2 The U.S. Department of Housing and Urban Development (HUD) is the Federal
agency that oversees that the Hopkins HRA public housing program is in compliance with
VAWA. This notice explains your rights under VAWA. A HUD-approved certification form is
attached to this notice. You can fill out this form to show that you are or have been a victim of
domestic violence, dating violence, sexual assault, or stalking, and that you wish to use your
rights under VAWA.”
Protections for Applicants
If you otherwise qualify for assistance under the public housing program, you cannot be denied
admission or denied assistance because you are or have been a victim of domestic violence,
dating violence, sexual assault, or stalking.
1 Despite the name of this law, VAWA protection is available regardless of sex, gender identity, or sexual
orientation.
2 Housing providers cannot discriminate on the basis of any protected characteristic, including race, color, national
origin, religion, sex, familial status, disability, or age. HUD-assisted and HUD-insured housing must be made
available to all otherwise eligible individuals regardless of actual or perceived sexual orientation, gender identity, or
marital status.
Hopkins HRA 3/1/17 Page 16-21
Protections for Tenants
If you are receiving assistance under the public housing program, you may not be denied
assistance, terminated from participation, or be evicted from your rental housing because you are
or have been a victim of domestic violence, dating violence, sexual assault, or stalking.
Also, if you or an affiliated individual of yours is or has been the victim of domestic violence,
dating violence, sexual assault, or stalking by a member of your household or any guest, you
may not be denied rental assistance or occupancy rights under the public housing program solely
on the basis of criminal activity directly relating to that domestic violence, dating violence,
sexual assault, or stalking.
Affiliated individual means your spouse, parent, brother, sister, or child, or a person to whom
you stand in the place of a parent or guardian (for example, the affiliated individual is in your
care, custody, or control); or any individual, tenant, or lawful occupant living in your household.
Removing the Abuser or Perpetrator from the Household
HP may divide (bifurcate) your lease in order to evict the individual or terminate the assistance
of the individual who has engaged in criminal activity (the abuser or perpetrator) directly relating
to domestic violence, dating violence, sexual assault, or stalking.
If HP chooses to remove the abuser or perpetrator, HP may not take away the rights of eligible
tenants to the unit or otherwise punish the remaining tenants. If the evicted abuser or perpetrator
was the sole tenant to have established eligibility for assistance under the program, HP must
allow the tenant who is or has been a victim and other household members to remain in the unit
for a period of time, in order to establish eligibility under the program or under another HUD
housing program covered by VAWA, or, find alternative housing.
In removing the abuser or perpetrator from the household, HP must follow Federal, State, and
local eviction procedures. In order to divide a lease, HP may, but is not required to, ask you for
documentation or certification of the incidences of domestic violence, dating violence, sexual
assault, or stalking.
Hopkins HRA 3/1/17 Page 16-22
Moving to Another Unit
Upon your request, HP may permit you to move to another unit, subject to the availability of
other units, and still keep your assistance. In order to approve a request, HP may ask you to
provide documentation that you are requesting to move because of an incidence of domestic
violence, dating violence, sexual assault, or stalking. If the request is a request for emergency
transfer, the housing provider may ask you to submit a written request or fill out a form where
you certify that you meet the criteria for an emergency transfer under VAWA. The criteria are:
1. You are a victim of domestic violence, dating violence, sexual assault, or stalking.
If your housing provider does not already have documentation that you are a victim of
domestic violence, dating violence, sexual assault, or stalking, your housing provider
may ask you for such documentation, as described in the documentation section
below.
2. You expressly request the emergency transfer. Your housing provider may choose
to require that you submit a form, or may accept another written or oral request.
3. You reasonably believe you are threatened with imminent harm from further
violence if you remain in your current unit. This means you have a reason to fear
that if you do not receive a transfer you would suffer violence in the very near future.
OR
You are a victim of sexual assault and the assault occurred on the premises
during the 90-calendar-day period before you request a transfer. If you are a
victim of sexual assault, then in addition to qualifying for an emergency transfer
because you reasonably believe you are threatened with imminent harm from
further violence if you remain in your unit, you may qualify for an emergency
transfer if the sexual assault occurred on the premises of the property from which
you are seeking your transfer, and that assault happened within the 90-calendar-
day period before you expressly request the transfer.
HP will keep confidential requests for emergency transfers by victims of domestic violence,
dating violence, sexual assault, or stalking, and the location of any move by such victims and
their families.
Hopkins HRA 3/1/17 Page 16-23
HP’s emergency transfer plan provides further information on emergency transfers, and HP must
make a copy of its emergency transfer plan available to you if you ask to see it. One important
fact regarding the Hopkins HRA public housing program is that is has one 7 story building. We
do not have another property to transfer a VAWA victim to. We will work with other area
housing and service providers to try an locate an alternative unit.
Documenting You Are or Have Been a Victim of Domestic Violence, Dating Violence,
Sexual Assault or Stalking
HP can, but is not required to, ask you to provide documentation to “certify” that you are or have
been a victim of domestic violence, dating violence, sexual assault, or stalking. Such request
from HP must be in writing, and HP must give you at least 14 business days (Saturdays,
Sundays, and Federal holidays do not count) from the day you receive the request to provide the
documentation. HP may, but does not have to, extend the deadline for the submission of
documentation upon your request.
You can provide one of the following to HP as documentation. It is your choice which of the
following to submit if HP asks you to provide documentation that you are or have been a victim
of domestic violence, dating violence, sexual assault, or stalking.
• A complete HUD-approved certification form given to you by HP with this notice, that
documents an incident of domestic violence, dating violence, sexual assault, or stalking.
The form will ask for your name, the date, time, and location of the incident of domestic
violence, dating violence, sexual assault, or stalking, and a description of the incident.
The certification form provides for including the name of the abuser or perpetrator if the
name of the abuser or perpetrator is known and is safe to provide.
• A record of a Federal, State, tribal, territorial, or local law enforcement agency, court, or
administrative agency that documents the incident of domestic violence, dating violence,
sexual assault, or stalking. Examples of such records include police reports, protective
orders, and restraining orders, among others.
Hopkins HRA 3/1/17 Page 16-24
• A statement, which you must sign, along with the signature of an employee, agent, or
volunteer of a victim service provider, an attorney, a medical professional or a mental
health professional (collectively, “professional”) from whom you sought assistance in
addressing domestic violence, dating violence, sexual assault, or stalking, or the effects of
abuse, and with the professional selected by you attesting under penalty of perjury that he
or she believes that the incident or incidents of domestic violence, dating violence, sexual
assault, or stalking are grounds for protection.
• Any other statement or evidence that HP has agreed to accept.
If you fail or refuse to provide one of these documents within the 14 business days, HP does not
have to provide you with the protections contained in this notice.
If HP receives conflicting evidence that an incident of domestic violence, dating violence, sexual
assault, or stalking has been committed (such as certification forms from two or more members
of a household each claiming to be a victim and naming one or more of the other petitioning
household members as the abuser or perpetrator), HP has the right to request that you provide
third-party documentation within thirty 30 calendar days in order to resolve the conflict. If you
fail or refuse to provide third-party documentation where there is conflicting evidence, HP does
not have to provide you with the protections contained in this notice.
Confidentiality
HP must keep confidential any information you provide related to the exercise of your rights
under VAWA, including the fact that you are exercising your rights under VAWA.
HP must not allow any individual administering assistance or other services on behalf of HP (for
example, employees and contractors) to have access to confidential information unless for
reasons that specifically call for these individuals to have access to this information under
applicable Federal, State, or local law.
Hopkins HRA 3/1/17 Page 16-25
HP must not enter your information into any shared database or disclose your information to any
other entity or individual. HP, however, may disclose the information provided if:
• You give written permission to HP to release the information on a time limited basis.
• HP needs to use the information in an eviction or termination proceeding, such as to evict
your abuser or perpetrator or terminate your abuser or perpetrator from assistance under
this program.
• A law requires HP or your landlord to release the information.
VAWA does not limit HP’s duty to honor court orders about access to or control of the property.
This includes orders issued to protect a victim and orders dividing property among household
members in cases where a family breaks up.
Reasons a Tenant Eligible for Occupancy Rights under VAWA May Be Evicted or
Assistance May Be Terminated
You can be evicted and your assistance can be terminated for serious or repeated lease violations
that are not related to domestic violence, dating violence, sexual assault, or stalking committed
against you. However, HP cannot hold tenants who have been victims of domestic violence,
dating violence, sexual assault, or stalking to a more demanding set of rules than it applies to
tenants who have not been victims of domestic violence, dating violence, sexual assault, or
stalking.
The protections described in this notice might not apply, and you could be evicted and your
assistance terminated, if HP can demonstrate that not evicting you or terminating your assistance
would present a real physical danger that:
1. Would occur within an immediate time frame, and
2. Could result in death or serious bodily harm to other tenants or those who work on the
property.
If HP can demonstrate the above, HP should only terminate your assistance or evict you if there
are no other actions that could be taken to reduce or eliminate the threat.
Hopkins HRA 3/1/17 Page 16-26
Other Laws
VAWA does not replace any Federal, State, or local law that provides greater protection for
victims of domestic violence, dating violence, sexual assault, or stalking. You may be entitled to
additional housing protections for victims of domestic violence, dating violence, sexual assault,
or stalking under other Federal laws, as well as under State and local laws.
Non-Compliance with The Requirements of This Notice
You may report a covered housing provider’s violations of these rights and seek additional
assistance, if needed, by contacting or filing a complaint with the Minneapolis HUD field office.
For Additional Information
You may view a copy of HUD’s final VAWA rule at: https://www.gpo.gov/fdsys/pkg/FR-2016-
11-16/pdf/2016-25888.pdf.
Additionally, HP must make a copy of HUD’s VAWA regulations available to you if you ask to
see them.
For questions regarding VAWA, please contact the public housing management office staff at
Dow Towers at 952-548-6345.
For help regarding an abusive relationship, you may call the National Domestic Violence Hotline
at 1-800-799-7233 or, for persons with hearing impairments, 1-800-787-3224 (TTY). You may
also contact Sojourner at 952-933-7422.
For help regarding sexual assault, you may contact Rape, Abuse & Incest National Network’s
National Sexual Assault Hotline at 800-656-HOPE.
Victims of stalking seeking help may contact the National Center for Victims of Crime’s
Stalking Resource Center at https://www.victimsofcrim.org/our-programs/stalking-resource-
center.
Attachment: Certification form HUD-5382 [form approved for this program to be included]
Hopkins HRA 3/1/17 Page 16-27
EXHIBIT 16-2: CERTIFICATION OF DOMESTIC VIOLENCE, DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING AND ALTERNATE DOCUMENTATION,
FORM HUD-5382
CERTIFICATION OF U.S. Department of Housing OMB Approval No. 2577-0286
DOMESTIC VIOLENCE, and Urban Development Exp. 06/30/2017
DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING,
AND ALTERNATE DOCUMENTATION
Purpose of Form: The Violence Against Women Act (“VAWA”) protects applicants, tenants, and
program participants in certain HUD programs from being evicted, denied housing assistance, or
terminated from housing assistance based on acts of domestic violence, dating violence, sexual assault, or
stalking against them. Despite the name of this law, VAWA protection is available to victims of domestic
violence, dating violence, sexual assault, and stalking, regardless of sex, gender identity, or sexual
orientation.
Use of This Optional Form: If you are seeking VAWA protections from your housing provider, your
housing provider may give you a written request that asks you to submit documentation about the incident
or incidents of domestic violence, dating violence, sexual assault, or stalking.
In response to this request, you or someone on your behalf may complete this optional form and submit it
to your housing provider, or you may submit one of the following types of third-party documentation:
(1) A document signed by you and an employee, agent, or volunteer of a victim service provider, an
attorney, or medical professional, or a mental health professional (collectively, “professional”) from
whom you have sought assistance relating to domestic violence, dating violence, sexual assault, or
stalking, or the effects of abuse. The document must specify, under penalty of perjury, that the
professional believes the incident or incidents of domestic violence, dating violence, sexual assault, or
stalking occurred and meet the definition of “domestic violence,” “dating violence,” “sexual assault,” or
“stalking” in HUD’s regulations at 24 CFR 5.2003.
(2) A record of a Federal, State, tribal, territorial or local law enforcement agency, court, or
administrative agency; or
(3) At the discretion of the housing provider, a statement or other evidence provided by the applicant or
tenant.
Submission of Documentation: The time period to submit documentation is 14 business days from the
date that you receive a written request from your housing provider asking that you provide documentation
of the occurrence of domestic violence, dating violence, sexual assault, or stalking. Your housing
provider may, but is not required to, extend the time period to submit the documentation, if you request an
extension of the time period. If the requested information is not received within 14 business days of when
you received the request for the documentation, or any extension of the date provided by your housing
provider, your housing provider does not need to grant you any of the VAWA protections. Distribution or
issuance of this form does not serve as a written request for certification.
Confidentiality: All information provided to your housing provider concerning the incident(s) of
domestic violence, dating violence, sexual assault, or stalking shall be kept confidential and such details
shall not be entered into any shared database. Employees of your housing provider are not to have access
to these details unless to grant or deny VAWA protections to you, and such employees may not disclose
this information to any other entity or individual, except to the extent that disclosure is: (i) consented to
by you in writing in a time-limited release; (ii) required for use in an eviction proceeding or hearing
regarding termination of assistance; or (iii) otherwise required by applicable law.
Hopkins HRA 3/1/17 Page 16-28
TO BE COMPLETED BY OR ON BEHALF OF THE VICTIM OF DOMESTIC VIOLENCE,
DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING
1. Date the written request is received by victim: _________________________________________
2. Name of victim: ___________________________________________________________________
3. Your name (if different from victim’s):________________________________________________
4. Name(s) of other family member(s) listed on the lease:___________________________________
___________________________________________________________________________________
5. Residence of victim: ________________________________________________________________
6. Name of the accused perpetrator (if known and can be safely disclosed):____________________
__________________________________________________________________________________
7. Relationship of the accused perpetrator to the victim:___________________________________
8. Date(s) and times(s) of incident(s) (if known):___________________________________________
_________________________________________________________________
10. Location of incident(s):_____________________________________________________________
This is to certify that the information provided on this form is true and correct to the best of my
knowledge and recollection, and that the individual named above in Item 2 is or has been a victim of
domestic violence, dating violence, sexual assault, or stalking. I acknowledge that submission of false
information could jeopardize program eligibility and could be the basis for denial of admission,
termination of assistance, or eviction.
Signature __________________________________Signed on (Date) ___________________________
Public Reporting Burden: The public reporting burden for this collection of information is estimated to
average 1 hour per response. This includes the time for collecting, reviewing, and reporting the data. The
information provided is to be used by the housing provider to request certification that the applicant or
tenant is a victim of domestic violence, dating violence, sexual assault, or stalking. The information is
subject to the confidentiality requirements of VAWA. This agency may not collect this information, and
you are not required to complete this form, unless it displays a currently valid Office of Management and
Budget control number.
In your own words, briefly describe the incident(s):
_____________________________________________________________
_________________________
Hopkins HRA 3/1/17 Page 16-29
EXHIBIT 16-3: NMA EMERGENCY TRANSFER PLAN FOR VICTIMS OF
DOMESTIC VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING
Attachment: Certification form HUD-5382
Hopkins HRA Public Housing Program
Emergency Transfer Plan for Victims of Domestic Violence, Dating Violence, Sexual
Assault, or Stalking
Public Housing Program
Emergency Transfers
The PHA is concerned about the safety of its tenants, and such concern extends to tenants who
are victims of domestic violence, dating violence, sexual assault, or stalking. In accordance with
the Violence Against Women Act (VAWA),3 the PHA allows tenants who are victims of
domestic violence, dating violence, sexual assault, or stalking to request an emergenc y transfer
from the tenant’s current unit to another unit. The ability to request a transfer is available
regardless of sex, gender identity, or sexual orientation. 4 The ability of the PHA to honor such
request for tenants currentl y receiving assistance, however, may depend upon a preliminar y
determination that the tenant is or has been a victim of domestic violence, dating violence,
sexual assault, or stalking, and on whether the PHA has another dwelling unit that is available
and is safe to offer the tenant for temporary or more permanent occupancy.
3Despite the na me of this la w, VAWA protection is available to all victims of domestic violence, dating violence,
sexual assault, and stalking, regardless of sex, gender identity, or sexual orientation.
4Housing providers cannot discriminate on the basis of any protected characteristic, including race, color, national
origin, religion, sex, fa milial status, disability, or age. HUD -assisted and HUD-insured housing must be made
available to all otherwise eligible individuals regardless of actual or perceived sexual orientation, gender identity, or
marital status.
Hopkins HRA 3/1/17 Page 16-30
This plan identifies tenants who are eligible for an emergency transfer, the documentation
needed to request an emergenc y transfer, confidentiality protections, how an emergenc y transfer
may occur, and guidance to tenants on safet y and securit y. This plan is based on a model
emergenc y transfer plan published by the U.S. Department of Housing and Urban Development
(HUD), the federal agency that oversees that the public housing and housing choice voucher
(HCV) programs are in compliance with VAWA.
Eligibility for Emergency Transfers
A tenant who is a victim of domestic violence, dating violence, sexual assault, or stalking, as
provided in HUD’s regulations at 24 CFR part 5, subpart L, is eligible for an emergenc y
transfer, if the tenant reasonabl y believes that there is a threat of imminent harm from further
violence if the tenant remains within the same unit. If the tenant is a victim of sexual assault, the
tenant may also be eligible to transfer if the sexual assault occurred on the premises within the
90-calendar- day period preceding a request for an emergency transfer.
A tenant requesting an emergency transfer must expressly request the transfer in accordance
with the procedures described in this plan.
Tenants who are not in good standing ma y still request an emergenc y transfer if the y meet the
eligibilit y requirements in this section.
Emergency Transfer Request Documentation
To request an emergenc y transfer, the tenant shall notify the PHA’s management office and
submit a written request for a transfer to the Dow Towers office. The PHA will provide
reasonable accommodations to this policy for individuals with disabilities. The tenant’s written
request for an emergenc y transfer should include either:
1. A statement expressing that the tenant reasonabl y believes that there is a threat of
imminent harm from further violence if the tenant were to remain in the same
dwelling unit assisted under the PHA’s program; OR
2. A statement that the tenant was a sexual assault victim and that the sexual assault
occurred on the premises during the 90-calendar-day period preceding the tenant’s
request for an emergency transfer.
Hopkins HRA 3/1/17 Page 16-31
Confidentiality
The PHA will keep confidential an y information that the tenant submits in requesting an
emergenc y transfer, and information about the emergency transfer, unless the tenant gives the
PHA written permission to release the information on a time-limited basis, or disclosure of the
information is required by law or required for use in an eviction proceeding or hearing regarding
termination of assistance from the covered program. This includes keeping confidential the new
location of the dwelling unit of the tenant, if one is provided, from the person or persons that
committed an act of domestic violence, dating violence, sexual assault, or stalking against the
tenant. See the Notice of Occupancy Rights under the Violence against Women Act for All
Tenants for more information about the PHA’s responsibility to maintain the confidentiality of
information related to incidents of domestic violence, dating violence, sexual assault, or stalking.
Emergency Transfer Timing and Availability
The PHA cannot guarantee that a transfer request will be approved or how long it will take to
process a transfer request. The PHA will, however, act as quickl y as possible to move a tenant
who is a victim of domestic violence, dating violence, sexual assault, or stalking to another unit,
subject to availability and safety of a unit. If a tenant reasonably believes a proposed transfer
would not be safe, the tenant may request a transfer to a different unit. If a unit is available, the
transferred tenant must agree to abide b y the terms and conditions that govern occupancy in the
unit to which the tenant has been transferred. The PHA may be unable to transfer a tenant to a to
another unit in the Dow Towers inventory if the entire building is determined to unsafe by the
victim.
If the PHA has no safe and available units for which a tenant who needs an emergenc y transfer is
eligible, the PHA will assist the tenant in identifying other housing providers who may have safe
and available units to which the tenant could move. At the tenant’s request, the PHA will also
assist tenants in contacting the local organizations offering assistance to victims of domestic
violence, dating violence, sexual assault, or stalking that are included in this plan.
Hopkins HRA 3/1/17 Page 16-32
Emergency Transfers: Public Housing (PH) Program
If you are a public housing resident and request an emergency transfer as described in this plan,
the PHA will attempt to assist you in moving to a safe unit quickly. The PHA will make
exceptions as required to policies restricting moves.
Emergency transfers for which you are not required to apply for assistance include the following:
• Public housing unit in a different development (NOT APPLICABLE AT THIS TIME)
• Public housing unit in the same development, if you determine that the unit is safe
At your request, the PHA will refer you to organizations that may be able to further assist you.
Emergency transfers will not take priority over waiting list admissions for these types of
assistance. At your request, the PHA will refer you to organizations that may be able to further
assist you.
Hopkins HRA 3/1/17 Page 16-33
Safety and Security of Tenants
Pending processing of the transfer and the actual transfer, if it is approved and occurs, the tenant
is urged to take all reasonable precautions to be safe.
Tenants who are or have been victims of domestic violence are encouraged to contact the
National Domestic Violence Hotline at 1-800-799-7233, or a local domestic violence shelter, for
assistance in creating a safet y plan. For persons with hearing impairments, that hotline can be
accessed b y calling 1-800-787-3224 (TTY).
Tenants who have been victims of sexual assault may call the Rape, Abuse, and Incest National
Network’s National Sexual Assault Hotline at 1-800-656-HOPE, or visit the online hotline at
https://ohl.rainn.org/online/.
Tenants who are or have been victims of stalking seeking help may visit the National Center for
Victims of Crime’s Stalking Resource Center at https://www.victimsofcrime.org/our-
programs/stalking-resource-center.
Attachment: Local organizations offering assistance to victims of domestic violence, dating
violence, sexual assault, or stalking.
Hopkins HRA 3/1/17 Page 16-34
Hopkins HRA 3/1/17 Page 16-35
EXHIBIT 16-4: EMERGENCY TRANSFER REQUEST FOR CERTAIN VICTIMS OF
DOMESTIC VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING,
FORM HUD-5383
EMERGENCY TRANSFER U.S. Department of Housing OMB Approval No. 2577-0286
REQUEST FOR CERTAIN and Urban Development Exp. 06/30/2017
VICTIMS OF DOMESTIC
VIOLENCE, DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING
Purpose of Form: If you are a victim of domestic violence, dating violence, sexual assault, or stalking,
and you are seeking an emergency transfer, you may use this form to request an emergency transfer and
certify that you meet the requirements of eligibility for an emergency transfer under the Violence Against
Women Act (VAWA). Although the statutory name references women, VAWA rights and protections
apply to all victims of domestic violence, dating violence, sexual assault or stalking. Using this form does
not necessarily mean that you will receive an emergency transfer. See your housing provider’s
emergency transfer plan for more information about the availability of emergency transfers.
The requirements you must meet are:
(1) You are a victim of domestic violence, dating violence, sexual assault, or stalking.
If your housing provider does not already have documentation that you are a victim of
domestic violence, dating violence, sexual assault, or stalking, your housing provider
may ask you for such documentation. In response, you may submit Form HUD-5382, or
any one of the other types of documentation listed on that Form.
(2) You expressly request the emergency transfer. Submission of this form confirms
that you have expressly requested a transfer. Your housing provider may choose to
require that you submit this form, or may accept another written or oral request. Please
see your housing provider’s emergency transfer plan for more details.
(3) You reasonably believe you are threatened with imminent harm from further
violence if you remain in your current unit. This means you have a reason to fear that
if you do not receive a transfer you would suffer violence in the very near future.
OR
You are a victim of sexual assault and the assault occurred on the premises during
the 90-calendar-day period before you request a transfer. If you are a victim of
sexual assault, then in addition to qualifying for an emergency transfer because you
reasonably believe you are threatened with imminent harm from further violence if you
remain in your unit, you may qualify for an emergency transfer if the sexual assault
occurred on the premises of the property from which you are seeking your transfer, and
that assault happened within the 90-calendar-day period before you submit this form or
otherwise expressly request the transfer.
Submission of Documentation: If you have third-party documentation that demonstrates why you are
eligible for an emergency transfer, you should submit that documentation to your housing provider if it is
safe for you to do so. Examples of third party documentation include, but are not limited to: a letter or
other documentation from a victim service provider, social worker, legal assistance provider, pastoral
counselor, mental health provider, or other professional from whom you have sought assistance; a current
restraining order; a recent court order or other court records; a law enforcement report or records;
communication records from the perpetrator of the violence or family members or friends of the
perpetrator of the violence, including emails, voicemails, text messages, and social media posts.
Hopkins HRA 3/1/17 Page 16-36
Confidentiality: All information provided to your housing provider concerning the incident(s) of
domestic violence, dating violence, sexual assault, or stalking, and concerning your request for an
emergency transfer shall be kept confidential. Such details shall not be entered into any shared database.
Employees of your housing provider are not to have access to these details unless to grant or deny VAWA
protections or an emergency transfer to you. Such employees may not disclose this information to any
other entity or individual, except to the extent that disclosure is: (i) consented to by you in writing in a
time-limited release; (ii) required for use in an eviction proceeding or hearing regarding termination of
assistance; or (iii) otherwise required by applicable law.
TO BE COMPLETED BY OR ON BEHALF OF THE PERSON REQUESTING A TRANSFER
1. Name of victim requesting an emergency transfer: ______________________________________
2. Your name (if different from victim’s)_________________________________________________
3. Name(s) of other family member(s) listed on the lease:____________________________________
___________________________________________________________________________________
4. Name(s) of other family member(s) who would transfer with the victim:____________________
____________________________________________________________________________________
5. Address of location from which the victim seeks to transfer: _______________________________________
6. Address or phone number for contacting the victim:____________________________________
7. Name of the accused perpetrator (if known and can be safely disclosed):___________________
8. Relationship of the accused perpetrator to the victim:___________________________________
9. Date(s), Time(s) and location(s) of incident(s):___________________________________________
_____________________________________________________________________________________
10. Is the person requesting the transfer a victim of a sexual assault that occurred in the past 90
days on the premises of the property from which the victim is seeking a transfer? If yes, skip
question 11. If no, fill out question 11. ______________
11. Describe why the victim believes they are threatened with imminent harm from further
violence if they remain in their current unit.
___________________________________________________________________________________
_____________________________________________________________________________________
12. If voluntarily provided, list any third-party documentation you are providing along with this
notice: ___________________________________________________________________
Hopkins HRA 3/1/17 Page 16-37
This is to certify that the information provided on this form is true and correct to the best of my
knowledge, and that the individual named above in Item 1 meets the requirement laid out on this form for
an emergency transfer. I acknowledge that submission of false information could jeopardize program
eligibility and could be the basis for denial of admission, termination of assistance, or eviction.
Signature __________________________________Signed on (Date) ___________________________
HOUSING AND REDEVELOPMENT AUTHORITY
IN AND FOR THE CITY OF HOPKINS
Hennepin County, Minnesota
RESOLUTION NO. 521
RESOLUTION APPROVING THE HOPKINS HRA REVISION OF
THE ADMISSIONS AND CONTINUED OCCUPANCY POLICY
WHEREAS, the Housing and Redevelopment Authority In and For the City of
Hopkins, Minnesota, (the “Authority”) operates a Low Rent Public Housing Program;
WHEREAS, the Authority, as a requirement by HUD, must have an Admissions
and Continued Occupancy Policy Statement;
WHEREAS, the Authority has established and revised such policies previously;
and,
WHEREAS, Chapter 16 containing Program Administration on VAWA needed
revision to comply with recent final rule by HUD.
NOW, THEREFORE, BE IT RESOLVED, that the Authority Board of
Commissioners hereby approves the revision and updated form of the Admissions and
Continued Occupancy Policy.
Adopted this 19th day of September 2017.
_____________________________________
Chair
ATTEST:
_________________________________________
Executive Director