Agenda packet — Needles City Council, October 8, 2024 (part 3 of 4)

OVER-INCOME FAMILY
12 MONTH NOTIFICATION
_______________________
[name of PHA]
Resident name:

Address:

Date:

Purpose
The purpose of this notice is to inform you that ________ [name of PHA] has determined that your family’s income is above the income limit (over-income) according to federal rules for public housing.

This is your 12-month (second) notice.

What happens next?
For now, your rent will continue to be calculated as usual, you will continue to be offered a choice between income-based and flat rent, and you do not have to move. If your family remains over-income for the following 12 consecutive months, you will no longer be eligible for assistance under the public housing program but may remain in a public housing unit paying an alternative non-public housing rent calculated under federal rules for non-public housing tenants.

If you think that we have made a mistake and your family should not be considered over-income, you may request a hearing by calling: XXX-XXX-XXXX or emailing [address] or requesting more information from PHA staff at: [location]. If you wish to request a hearing, please do so as soon as possible. If you do not wish to request a hearing, you do not need to do anything at this time.

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What about changes to my income?
We will need to re-examine your income in 12 months. After the reexamination, you will receive a notification like this one if your family is still over-income.

If your family’s income drops below the over-income limit before the end of the 24 consecutive-month grace period, you will no longer be considered over-income. If your family’s income increases again to an amount that is over-income, you will receive another 24 consecutive month grace period.

If your income changes, contact us using the information provided below to learn the policy for requesting an interim reexamination.

What if my family remains over-income in consecutive 12 months? According to the Continued Occupancy Policy, your family may continue your tenancy even if you remain over-income for another 12 months (24 consecutive months total). However, your unit will no longer receive assistance from the federal public housing program so your rent will be calculated differently.

If you choose to remain in a public housing unit after the 24 month grace period, you will:
• No longer be a public housing program participant and will therefore not be eligible to participate in the resident council or programs specifically for public housing residents. • Pay an “alternative non-public housing rent” (currently estimated at $_____) • Need to sign a new lease
[INSERT PHA CONTACT INFORMATION]
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EXHIBIT 13-4: SAMPLE NOTICE FOR OVER-INCOME FAMILIES –
12-MONTH NOTIFICATION FOR TERMINATE ONLY OPTION4
This material is based upon work supported, in whole or in part, by Federal award number NAL-C-17-094-05 awarded to NALCAB by the U.S.

Department of Housing and Urban Development. The substance and findings of the work are dedicated to the public. Neither the United States Government, nor any of its employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privatelyowned rights. Reference herein to any individuals, agencies, companies, products, process, services, service by trade name, trademark, manufacturer, or otherwise does not constitute or imply an endorsement, recommendation, or favoring by the author(s), contributor(s), the U.S.

Government or any agency thereof. Opinions contained herein are those of the author(s) and do not necessarily reflect the official position of, or a position that is endorsed by, HUD or any Federal agency.

These Sample Notices include provisions required per 24 CFR 960.507(c). Anything included in brackets and italic is meant as instruction to the PHA in creating its own notices. Example:
[This text is meant as instruction to the PHA.]
4 This sample notice is presented verbatim from HUD’s sample forms used in the HOTMA Income and Assets Training Series, available at https://www.hudexchange.info/resource/6849/hotma-sample-notices-for-overincomefamilies/. Only the formatting has been changed to be consistent with the formatting used throughout this ACOP.

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City of Needles

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OVER-INCOME FAMILY
12 MONTH NOTIFICATION
_______________________
[name of PHA]
Resident name:

Address:

Date:

This is your 12-month (second) notice.

Item 2.

Housing Authority
of the ACOP 10/01/2024
City of Needles

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What about changes to my income?
We will need to re-examine your income in 12 months. After the reexamination, you will receive a notification like this one if your family is still over-income.

If your income changes, contact us using the information provided below to learn the policy for requesting an interim reexamination.

What if my family remains over-income in consecutive 12 months? Within 30 days of the recertification, you will receive a notice like this one informing you that your family has remained over-income for 24 consecutive months. According to the Continued Occupancy Policy, families that remain over-income for 24 consecutive months must leave their units and find other housing in no more than___ [up to 6 depending on PHA policy] months after receiving notification.

If your family continues to reside in the unit after ____ [restate date], ___ [name of PHA] will begin eviction proceedings by issuing a notice to vacate.

Until the time of lease termination, you will continue to be a public housing program participant and will continue to be charged your choice of income-based or flat rent. [INSERT PHA CONTACT INFORMATION]
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Housing Authority
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EXHIBIT 13-5: SAMPLE NOTICE FOR OVER-INCOME FAMILIES –
24-MONTH NOTIFICATION FOR NPHOI FAMILY OPTION5
This material is based upon work supported, in whole or in part, by Federal award number NAL-C-17-094-05 awarded to NALCAB by the U.S.

These Sample Notices include provisions required per 24 CFR 960.507(c). Anything included in brackets and italic is meant as instruction to the PHA in creating its own notices. Example:
[This text is meant as instruction to the PHA.]
5 This sample notice is presented verbatim from HUD’s sample forms used in the HOTMA Income and Assets Training Series, available at https://www.hudexchange.info/resource/6849/hotma-sample-notices-for-overincomefamilies/. Only the formatting has been changed to be consistent with the formatting used throughout this ACOP.

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Housing Authority
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City of Needles

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OVER-INCOME FAMILY
24 MONTH NOTIFICATION
_______________________
[name of PHA]
Resident name:

Address:

Date:

This is your 24-month (third) notice.

You are no longer eligible for assistance under the public housing program. However, you do not have to move – see below for details.

What if I disagree that my family is over-income?
If you think that we have made a mistake and your family should not be considered over-income, you may request a hearing by calling: XXX-XXX-XXXX or emailing [address] or requesting more information from PHA staff at: [location]. If you wish to request a hearing, please do so as soon as possible.

What about changes to my income?
Changes to your income after you receive this notice will not change our determination. Because your family has been over-income for 24 months, you are no longer eligible for assistance under the public housing program.

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Housing Authority
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City of Needles

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What do I need to do now?
According to the Continued Occupancy Policy, your family may continue your tenancy. However, because you will not receive assistance from the federal public housing program, your rent will be calculated differently.

If you choose to remain in a public housing unit, you will:
• Pay an “alternative non-public housing rent” (currently $_____) • Need to sign a new lease within 60 days or at your next lease renewal (whichever is sooner) If the lease is not signed within this time period, the PHA must terminate your tenancy by ____ [no more than 6 months after this notification]. However, per policy, ___ [name of PHA] may permit an overincome family to execute the lease after this period (up to 60 days), but before termination of the tenancy.

In this case, the family must pay the total difference between the alternative non-public housing rent and your public housing rent dating back to the date when you were required to execute the lease.

If you choose to leave your unit, please inform us as soon as possible according to your existing lease.

To inform the PHA if you do not plan to remain in a public housing unit: [Use this space to detail when and how and family can inform the PHA if they decline to stay in the unit.] [INSERT PHA CONTACT INFORMATION]
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Housing Authority
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City of Needles

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EXHIBIT 13-6: SAMPLE NOTICE FOR OVER-INCOME FAMILIES –
24-MONTH NOTIFICATION FOR TERMINATION ONLY OPTION6
This material is based upon work supported, in whole or in part, by Federal award number NAL-C-17-094-05 awarded to NALCAB by the U.S.

These Sample Notices include provisions required per 24 CFR 960.507(c). Anything included in brackets and italic is meant as instruction to the PHA in creating its own notices. Example:
[This text is meant as instruction to the PHA.]
6 This sample notice is presented verbatim from HUD’s sample forms used in the HOTMA Income and Assets Training Series, available at https://www.hudexchange.info/resource/6849/hotma-sample-notices-for-overincomefamilies/. Only the formatting has been changed to be consistent with the formatting used throughout this ACOP.

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Housing Authority
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City of Needles

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OVER-INCOME FAMILY
24 MONTH NOTIFICATION
_______________________
[name of PHA]
Resident name:

Address:

Date:

This is your 24-month (third) notice.

You are no longer eligible for assistance under the public housing program.

What about changes to my income?
Changes to your income after you receive this notice will not change our determination. If necessary, you may request an interim reexamination, but a decrease in income or rent will not make you eligible to remain. Because your family has been over-income for 24 consecutive months, you are no longer eligible for assistance under the public housing program.

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Housing Authority
of the ACOP 10/01/2024
City of Needles

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What do I need to do now?
According to the Continued Occupancy Policy, your family cannot continue your tenancy. You must find other housing as soon as possible. Our policy is to allow families up to ____ [up to 6 depending on PHA policy] months to find other housing.

If your family continues to reside in the unit after ____ [restate date], the PHA will begin eviction proceedings by issuing a notice to vacate.

Until the time of lease termination, you will continue to be a public housing program participant and will continue to be charged your choice of income-based or flat rent. [The following is an optional section where the PHA may include referral services to support a family in finding new housing.]
The following services are available to assist you:
[INSERT PHA CONTACT INFORMATION]
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City of Needles

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Chapter 14

GRIEVANCES AND APPEALS

INTRODUCTION
This chapter discusses grievances and appeals pertaining to PHA actions or failures to act that adversely affect public housing applicants or residents. The policies are discussed in the following three parts:

Part I: Informal Hearings for Public Housing Applicants. This part outlines the requirements and procedures for informal hearings for public housing applicants.

Part II: Informal Hearings with Regard to Noncitizens. This part discusses informal hearings regarding citizenship status and where they differ from the requirements for general applicant and tenant grievances.

Part III: Grievance Procedures for Public Housing Residents. This part outlines the requirements and procedures for handling grievances for public housing residents.

Note that this chapter is not the PHA’s grievance procedure. The grievance procedure is a document separate from the ACOP. This chapter of the ACOP provides the policies that drive the grievance procedure. A sample grievance procedure is provided as Exhibit 14-1. However, please note that the procedure provided is only a sample and is designed to match up with the default policies in the model ACOP. As such, the PHA would need to modify accordingly should any alternative policy decisions be adopted.

PART I: INFORMAL HEARINGS FOR PUBLIC HOUSING APPLICANTS 14-I.A. OVERVIEW
When the PHA makes a decision that has a negative impact on an applicant family, the family is often entitled to appeal the decision. For applicants, the appeal takes the form of an informal hearing. HUD regulations do not provide a structure for or requirements regarding informal hearings for applicants (except with regard to citizenship status, to be covered in Part II). This part discusses the PHA policies necessary to respond to applicant appeals through the informal hearing process.

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14-I.B. INFORMAL HEARING PROCESS [24 CFR 960.208(a) and PH Occ GB, p. 58] Informal hearings are provided for public housing applicants. An applicant is someone who has applied for admission to the public housing program but is not yet a tenant in the program.

Informal hearings are intended to provide a means for an applicant to dispute a determination of ineligibility for admission to a project [24 CFR 960.208(a)]. Applicants to public housing are not entitled to the same hearing process afforded tenants under the PHA grievance procedures [24 CFR 966.53(a) and PH Occ GB, p. 58].

Informal hearings provide applicants the opportunity to review the reasons for denial of admission and to present evidence to refute the grounds for denial.

Use of Informal Hearing Process
While the PHA must offer the opportunity of an informal hearing to applicants who have been determined as ineligible for admission, the PHA could make the informal hearing process available to applicants who wish to dispute other PHA actions that adversely affect them.

HACN Policy
The PHA will only offer informal hearings to applicants for the purpose of disputing denials of admission.

Notice of Denial [24 CFR 960.208(a)]
The PHA must give an applicant prompt notice of a decision denying eligibility for admission.

The notice must contain a brief statement of the reasons for the PHA decision and must also state that the applicant may request an informal hearing to dispute the decision. The notice must describe how to obtain the informal hearing.

HACN Policy
As applicable, the PHA’s notice of denial will include information about required or requested remote informal hearings.

When denying eligibility for admission, the PHA must provide the family a notice of VAWA rights (form HUD-5380) as well as the HUD VAWA self-certification form (form HUD-5382) in accordance with the Violence against Women Act, and as outlined in 16-VII.C. The notice and self-certification form must accompany the written notification of the denial of eligibility determination.

Prior to notification of denial based on information obtained from criminal or sex offender registration records, the family, in some cases, must be given the opportunity to dispute the information in those records which would be the basis of the denial. See Section 3-III.G for details concerning this requirement.

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Scheduling an Informal Hearing
HACN Policy
A request for an informal hearing must be made in writing and delivered to the PHA either in person or by first class mail, by the close of the business day, no later than 10 business days from the date of the PHA’s notification of denial of admission.

The PHA will schedule and send written notice of the informal hearing within 10 business days of the family’s request.

If the PHA informal hearing will be conducted remotely, at the time the notice is sent to the family, the family will be informed:

Regarding the processes involved in a remote informal hearing; Remote hearings will be conducted via telephone.

Conducting an Informal Hearing [PH Occ GB, p. 58]
HACN Policy
The informal hearing will be conducted by a person other than the one who made or approved the decision under review, or a subordinate of this person.

The applicant will be provided an opportunity to present written or oral objections to the decision of the PHA.

The person conducting the informal hearing will make a recommendation to the PHA, but the PHA is responsible for making the final decision as to whether admission should be granted or denied.

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Remote Informal Hearings [Notice PIH 2020-32]
There is no requirement that informal hearings be conducted in-person, and as such, HUD allows PHAs to conduct all or a portion of their informal hearings remotely either over the phone, via video conferencing, or through other virtual platforms. If the PHA chooses to conduct remote informal hearings, applicants may still request an in-person informal hearing, as applicable.

HACN Policy
The PHA has the sole discretion to require that informal hearings be conducted remotely in case of local, state, or national physical distancing orders, and in cases of inclement weather or natural disaster.

In addition, the PHA will conduct an informal hearing remotely upon request of the applicant as a reasonable accommodation for a person with a disability, if an applicant does not have child care or transportation that would enable them to attend the informal hearing, or if the applicant believes an in-person informal hearing would create an undue health risk. The PHA will consider other reasonable requests for a remote informal hearing on a case-by-case basis.

Ensuring Accessibility for Persons with Disabilities and LEP Individuals As with in-person informal hearings, the platform for conducting remote informal hearings must be accessible to persons with disabilities and the informal hearing must be conducted in accordance with Section 504 and accessibility requirements. This includes ensuring any information, websites, emails, digital notifications, and other virtual platforms are accessible for persons with vision, hearing, and other disabilities. Further, providing effective communication in a digital context may require the use of individualized auxiliary aids or services, such as audio description, captioning, sign language and other types of interpreters, keyboard accessibility, accessible documents, screen reader support, and transcripts. Auxiliary aids or services must be provided in accessible formats, in a timely manner, and in such a way to protect the privacy and independence of the individual. PHAs may never request or require that individuals with disabilities provide their own auxiliary aids or services, including for remote informal hearings.

If no method of conducting a remote informal hearing is available that appropriately accommodates an individual’s disability, the PHA may not hold against the individual their inability to participate in the remote informal review, and the PHA should consider whether postponing the remote informal hearing to a later date is appropriate or whether there is a suitable alternative.

Due to the individualized nature of disability, the appropriate auxiliary aid or service necessary, or reasonable accommodation, will depend on the specific circumstances and requirements.

As with in-person hearings, Limited English Proficiency (LEP) requirements also apply to remote informal hearings, including the use of interpretation services and document translation.

See Chapter 2 for a more thorough discussion of accessibility and LEP requirements, all of which apply in the context of remote informal hearings.

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Conducting Remote Informal Hearings [Notice PIH 2020-32] The PHA must ensure that the lack of technology or inability to use technology for remote informal hearings does not pose a disadvantage to families that may not be apparent to the PHA.

The PHA should determine through a survey or other means if these barriers exist prior to conducting the remote informal hearing and, if the family does not have the proper technology to fully participate, either postpone the informal hearing or provide an alternative means of access.

As with in-person informal hearings, the PHA must provide all materials presented, whether paper or electronic, to the family prior to the remote informal hearing. The family must also be provided with an accessible means by which to transmit their own evidence.

The PHA must ensure that the applicant has the right to hear and be heard. All PHA policies and processes for remote informal hearings will be conducted in accordance with due process requirements and will be in compliance with HUD regulations at 24 CFR 966.56 and the guidance for conducting remote hearings specified in Notice PIH 2020-32.

HACN Policy
The PHA will conduct remote informal hearings via telephone.

If the informal hearing is to be conducted remotely, the PHA will require the family to provide any documents directly relevant to the informal hearing at least 24 hours before the scheduled hearing through the mail or via email. The PHA will scan and email copies of these documents to the PHA representative and to the person conducting the informal hearing the same day.

Documents will be shared electronically whenever possible.

The PHA will follow up the email with a phone call and/or email to the applicant at least one business day prior to the remote informal hearing to ensure that the applicant received all information.

The PHA will ensure that all electronic information stored or transmitted with respect to the informal hearing is secure, including protecting personally identifiable information (PII), and meets the requirements for accessibility for persons with disabilities and persons with LEP.

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Informal Hearing Decision [PH Occ GB, p. 58]
HACN Policy
The PHA will notify the applicant of the PHA’s final decision, including a brief statement of the reasons for the final decision.

In rendering a decision, the PHA will evaluate the following matters:

Whether or not the grounds for denial were stated factually in the notice The validity of grounds for denial of admission. If the grounds for denial are not specified in the regulations or in PHA policy, then the decision to deny assistance will be overturned. See Chapter 3 for a detailed discussion of the grounds for applicant denial.

The validity of the evidence. The PHA will evaluate whether the facts presented prove the grounds for denial of admission. If the facts prove that there are grounds for denial, and the denial is required by HUD, the PHA will uphold the decision to deny admission.

If the facts prove the grounds for denial, and the denial is discretionary, the PHA will consider the recommendation of the person conducting the informal hearing in making the final decision whether to deny admission.

The PHA will notify the applicant of the final decision, including a statement explaining the reason(s) for the decision. The notice will be mailed, with return receipt requested, within 10 business days of the informal hearing, to the applicant and their representative, if any.

If the informal hearing decision overturns the denial, processing for admission will resume.

If the family fails to appear for their informal hearing, the denial of admission will stand and the family will be so notified.

Reasonable Accommodation for Persons with Disabilities [24 CFR 966.7] Persons with disabilities may request reasonable accommodations to participate in the informal hearing process and the PHA must consider such accommodations. The PHA must also consider reasonable accommodation requests pertaining to the reasons for denial if related to the person’s disability. See Chapter 2 for more detail pertaining to reasonable accommodation requests.

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PART II: INFORMAL HEARINGS WITH REGARD TO NONCITIZENS
14-II.A. HEARING AND APPEAL PROVISIONS FOR NONCITIZENS [24 CFR 5.514] Denial or termination of assistance based on immigration status is subject to special hearing and notice rules. These special hearings are referred to in the regulations as informal hearings, but the requirements for such hearings are different from the informal hearings used to deny applicants for reasons other than immigration status.

Assistance to a family may not be delayed, denied, or terminated on the basis of immigration status at any time prior to a decision under the United States Citizenship and Immigration Services (USCIS) appeal process. Assistance to a family may not be terminated or denied while the PHA hearing is pending, but assistance to an applicant may be delayed pending the completion of the informal hearing.

A decision against a family member, issued in accordance with the USCIS appeal process or the PHA informal hearing process, does not preclude the family from exercising the right, that may otherwise be available, to seek redress directly through judicial procedures.

Notice of Denial or Termination of Assistance [24 CFR 5.514(d)] As discussed in Chapters 3 and 13, the notice of denial or termination of assistance for noncitizens must advise the family of any of the following that apply:
• That financial assistance will be denied or terminated and provide a brief explanation of the reasons for the proposed denial or termination of assistance. • The family may be eligible for proration of assistance. • In the case of a tenant, the criteria and procedures for obtaining relief under the provisions for preservation of families [24 CFR 5.514 and 5.518].
• That the family has a right to request an appeal to the USCIS of the results of secondary verification of immigration status and to submit additional documentation or explanation in support of the appeal.
• That the family has a right to request an informal hearing with the PHA either upon completion of the USCIS appeal or in lieu of the USCIS appeal. • For applicants, assistance may not be delayed until the conclusion of the USCIS appeal process, but assistance may be delayed during the period of the informal hearing process.

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United States Citizenship and Immigration Services Appeal Process [24 CFR 5.514(e)] When the PHA receives notification that the USCIS secondary verification failed to confirm eligible immigration status, the PHA must notify the family of the results of the USCIS verification. The family will have 30 days from the date of the notification to request an appeal of the USCIS results. The request for appeal must be made by the family in writing directly to the USCIS. The family must provide the PHA with a copy of the written request for appeal and proof of mailing.

HACN Policy
The PHA will notify the family in writing of the results of the USCIS secondary verification within 10 business days of receiving the results.

The family must provide the PHA with a copy of the written request for appeal and proof of mailing within 10 business days of sending the request to the USCIS.

The family must forward to the designated USCIS office any additional documentation or written explanation in support of the appeal. This material must include a copy of the USCIS document verification request (used to process the secondary request) or such other form specified by the USCIS, and a letter indicating that the family is requesting an appeal of the USCIS immigration status verification results.

The USCIS will notify the family, with a copy to the PHA, of its decision. When the USCIS notifies the PHA of the decision, the PHA must notify the family of its right to request an informal hearing.

HACN Policy
The PHA will send written notice to the family of its right to request an informal hearing within 10 business days of receiving notice of the USCIS decision regarding the family’s immigration status.

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Informal Hearing Procedures for Applicants [24 CFR 5.514(f)] After notification of the USCIS decision on appeal, or in lieu of an appeal to the USCIS, an applicant family may request that the PHA provide a hearing. The request for a hearing must be made either within 30 days of receipt of the PHA notice of denial, or within 30 days of receipt of the USCIS appeal decision.

The informal hearing procedures for applicant families are described below.

Informal Hearing Officer
The PHA must provide an informal hearing before an impartial individual, other than a person who made or approved the decision under review, and other than a person who is a subordinate of the person who made or approved the decision.

Evidence
The family must be provided the opportunity to examine and copy at the family’s expense, at a reasonable time in advance of the hearing, any documents in the possession of the PHA pertaining to the family’s eligibility status, or in the possession of the USCIS (as permitted by USCIS requirements), including any records and regulations that may be relevant to the hearing.

HACN Policy
The family will be allowed to copy any documents related to the hearing at no cost to the family. The family must request discovery of PHA documents no later than 12:00 p.m. on the business day prior to the hearing.

The family must be provided the opportunity to present evidence and arguments in support of eligible status. Evidence may be considered without regard to admissibility under the rules of evidence applicable to judicial proceedings.

The family must also be provided the opportunity to refute evidence relied upon by the PHA, and to confront and cross-examine all witnesses on whose testimony or information the PHA relies.

Representation and Interpretive Services
The family is entitled to be represented by an attorney or other designee, at the family’s expense, and to have such person make statements on the family’s behalf.

The family is entitled to request an interpreter. The PHA is obligated to provide a competent interpreter, free of charge, upon request. The family may also or instead provide its own interpreter, at the expense of the family.

Recording of the Hearing
The family is entitled to have the hearing recorded by audiotape. The PHA may, but is not required to, provide a transcript of the hearing.

HACN Policy
The PHA will not provide a transcript of an audio taped informal hearing.

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Hearing Decision
The PHA must provide the family with a written notice of the final decision, based solely on the facts presented at the hearing, within 14 calendar days of the date of the informal hearing. The notice must state the basis for the decision.

Retention of Documents [24 CFR 5.514(h)]
The PHA must retain for a minimum of 5 years the following documents that may have been submitted to the PHA by the family, or provided to the PHA as part of the USCIS appeal or the PHA informal hearing process:
• The application for assistance
• The form completed by the family for income reexamination • Photocopies of any original documents, including original USCIS documents • The signed verification consent form
• The USCIS verification results
• The request for a USCIS appeal
• The final USCIS determination
• The request for an informal hearing
• The final informal hearing decision
Informal Hearing Procedures for Residents [24 CFR 5.514(f)] After notification of the USCIS decision on appeal, or in lieu of an appeal to the USCIS, a resident family may request that the PHA provide a hearing. The request for a hearing must be made either within 30 days of receipt of the PHA notice of termination, or within 30 days of receipt of the USCIS appeal decision.

The informal hearing procedures for resident families whose tenancy is being terminated based on immigration status is the same as for any grievance under the grievance procedures for resident families found in Part III below.

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PART III: GRIEVANCE PROCEDURES FOR PUBLIC HOUSING RESIDENTS 14-III.A. REQUIREMENTS [24 CFR 966.52]
PHAs must have a grievance procedure in place through which residents of public housing are provided an opportunity to grieve any PHA action or failure to act involving the lease or PHA policies which adversely affect their rights, duties, welfare, or status. The PHA must not only meet the minimal procedural due process requirements provided under the regulations but must also meet any additional requirements imposed by local, state or federal law.

The PHA grievance procedure must be included in, or incorporated by reference in, the lease.

HACN Policy
The PHA grievance procedure will be incorporated by reference in the tenant lease.

The PHA must provide at least 30 days’ notice to tenants and resident organizations setting forth proposed changes in the PHA grievance procedure and provide an opportunity to present written comments. Comments submitted must be considered by the PHA before adoption of any changes to the grievance procedure by the PHA.

HACN Policy
Residents and resident organizations will have 30 calendar days from the date they are notified by the PHA of any proposed changes in the PHA grievance procedure, to submit written comments to the PHA.

The PHA must furnish a copy of the grievance procedure to each tenant and to resident organizations.

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14-III.B. DEFINITIONS [24 CFR 966.53; 24 CFR 966.51(a)(2)(i)] There are several terms used by HUD with regard to public housing grievance procedures, which take on specific meanings different from their common usage. These terms are as follows:
• Grievance – any dispute which a tenant may have with respect to PHA action or failure to act in accordance with the individual tenant’s lease or PHA regulations which adversely affect the individual tenant’s rights, duties, welfare or status • Complainant – any tenant whose grievance is presented to the PHA or at the project management office
• Due Process Determination – a determination by HUD that law of the jurisdiction requires that the tenant must be given the opportunity for a hearing in court which provides the basic elements of due process before eviction from the dwelling unit • Expedited Grievance – a procedure established by the PHA for any grievance or termination that involves:
− Any criminal activity that threatens the health, safety, or right to peaceful enjoyment or the PHA’s public housing premises by other residents or employees of the PHA; or − Any drug-related criminal activity on or off the premises • Elements of Due Process – an eviction action or a termination of tenancy in a state or local court in which the following procedural safeguards are required:
− Adequate notice to the tenant of the grounds for terminating the tenancy and for eviction − Right of the tenant to be represented by counsel
− Opportunity for the tenant to refute the evidence presented by the PHA including the right to confront and cross-examine witnesses and to present any affirmative legal or equitable defense which the tenant may have
− A decision on the merits
• Hearing Officer – an impartial person or selected by the PHA, other than the person who made or approved the decision under review, or a subordinate of that person. The individual or individuals do not need legal training.
• Tenant – the adult person (or persons) (other than a live-in aide) − Who resides in the unit, and who executed the lease with the PHA as lessee of the dwelling unit, or, if no such person now resides in the unit, − Who resides in the unit, and who is the remaining head of household of the tenant family residing in the dwelling unit
• Resident Organization – includes a resident management corporation Item 2.

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14-III.C. APPLICABILITY [24 CFR 966.51]
Grievances could potentially address most aspects of a PHA’s operation. However, there are some situations for which the grievance procedure is not applicable.

The grievance procedure is applicable only to individual tenant issues relating to the PHA. It is not applicable to disputes between tenants not involving the PHA. Class grievances are not subject to the grievance procedure and the grievance procedure is not to be used as a forum for initiating or negotiating policy changes of the PHA.

If HUD has issued a due process determination, a PHA may exclude from the PHA grievance procedure any grievance concerning a termination of tenancy or eviction that involves:
• Any criminal activity that threatens the health, safety or right to peaceful enjoyment of the premises of other residents or employees of the PHA;
• Any violent or drug-related criminal activity on or off such premises; or • Any criminal activity that resulted in felony conviction of a household member In states without due process determinations, PHAs must grant opportunity for grievance hearings for all lease terminations, regardless of cause, with the following exception: PHAs may use expedited grievance procedures for the excluded categories listed above. These expedited grievance procedures are described in Section 14-III.E. below.

If HUD has issued a due process determination, the PHA may evict through the state/local judicial eviction procedures. In this case, the PHA is not required to provide the opportunity for a hearing under the PHA’s grievance procedure as described above.

HACN Policy
The PHA is located in a HUD-declared due process state. Therefore, the PHA will not offer grievance hearings for lease terminations involving criminal activity that threatens the health, safety, or right to peaceful enjoyment of the premises of other residents or employees of the PHA, for violent or drug-related criminal activity on or off the premises, or for any criminal activity that resulted in felony conviction of a household member.

See Chapter 13 for related policies on the content of termination notices.

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14-III.D. INFORMAL SETTLEMENT OF GRIEVANCE [24 CFR 966.54] HUD regulations state that any grievance must be personally presented, either orally or in writing, to the PHA office or to the office of the housing development in which the complainant resides so that the grievance may be discussed informally and settled without a hearing.

HACN Policy
The PHA will accept requests for an informal settlement of a grievance either orally or in writing (including emailed requests), to the PHA office within 10 business days of the grievable event. Within 10 business days of receipt of the request the PHA will arrange a meeting with the tenant at a mutually agreeable time and confirm such meeting in writing to the tenant. The informal settlement may be conducted remotely as required by the PHA or may be conducted remotely upon consideration of the request of the tenant. See 14-III.G for information on how and under what circumstances remote informal settlements may be conducted.

If a tenant fails to attend the scheduled meeting without prior notice, the PHA will reschedule the appointment only if the tenant can show good cause for failing to appear, or if it is needed as a reasonable accommodation for a person with disabilities.

Good cause is defined as an unavoidable conflict which seriously affects the health, safety or welfare of the family.

HUD regulations require that a summary of such discussion will be prepared within a reasonable time and one copy will be given to the tenant and one retained in the PHA’s tenant file.

The summary must specify the names of the participants, dates of meeting, the nature of the proposed disposition of the complaint and the specific reasons therefore, and will specify the procedures by which a hearing may be obtained if the complainant is not satisfied.

HACN Policy
The PHA will prepare a summary of the informal settlement within five business days; one copy to be given to the tenant and one copy to be retained in the PHA’s tenant file.

For PHAs who have the option to establish an expedited grievance procedure, and who exercise this option, the informal settlement of grievances is not applicable to those grievances for which the expedited grievance procedure applies.

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14-III.E. PROCEDURES TO OBTAIN A HEARING
Requests for Hearing and Failure to Request
HACN Policy
The resident must submit a written request (including emailed requests) for a grievance hearing to the PHA within five business days of the tenant’s receipt of the summary of the informal settlement.

If the complainant does not request a hearing, the PHA’s disposition of the grievance under the informal settlement process will become final. However, failure to request a hearing does not constitute a waiver by the complainant of the right to contest the PHA’s action in disposing of the complaint in an appropriate judicial proceeding.

Scheduling of Hearings [24 CFR 966.56(a)]
If the complainant has complied with all requirements for requesting a hearing as described above, a hearing must be scheduled by the hearing officer promptly for a time and place reasonably convenient to both the complainant and the PHA. A written notification specifying the time, place and the procedures governing the hearing must be delivered to the complainant and the appropriate PHA official.

HACN Policy
Within 10 business days of receiving a written request for a hearing, the hearing officer will schedule and send written notice of the hearing to both the complainant and the PHA.

If the PHA hearing will be conducted remotely, at the time the notice is sent to the family, the family will be notified:

Regarding the processes involved in a remote grievance hearing; Remote hearings will be held via telephone.

The PHA may wish to permit the tenant to request to reschedule a hearing for good cause.

HACN Policy
The tenant may request to reschedule a hearing for good cause, or if it is needed as a reasonable accommodation for a person with disabilities. Good cause is defined as an unavoidable conflict which seriously affects the health, safety, or welfare of the family.

Requests to reschedule a hearing must be made orally or in writing prior to the hearing date. At its discretion, the PHA may request documentation of the “good cause” prior to rescheduling the hearing.

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Expedited Grievance Procedure [24 CFR 966.52(a)]
The PHA may establish an expedited grievance procedure for any grievance concerning a termination of tenancy or eviction that involves:
• Any criminal activity that threatens the health, safety, or right to peaceful enjoyment of the premises by other residents or employees of the PHA;
• Any drug-related criminal activity on or near such premises; or • Any criminal activity that resulted in felony conviction of a household member.

In such expedited grievances, the informal settlement of grievances as discussed in 14-III.D is not applicable.

The PHA may adopt special procedures concerning expedited hearings, including provisions for expedited notice or scheduling, or provisions for expedited decision on the grievance.

HACN Policy
The PHA will not offer expedited grievance procedures.

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14-III.F. SELECTION OF HEARING OFFICER [24 CFR 966.53(e)] The grievance hearing must be conducted by an impartial person or persons appointed by the PHA, other than the person who made or approved the PHA action under review, or a subordinate of such person. The PHA must describe their policies for selection of a hearing officer in their lease.

HACN Policy
PHA grievance hearings will be conducted by a single hearing officer and not a panel.

The PHA will appoint a staff member who was not involved in the decision under appeal.

If a designated staff member (such as the program manager) was involved in the decision, or is a subordinate of such person, an alternate hearing officer will be selected.

The PHA may select designated staff members who were not involved in the decision under appeal in certain circumstances, such as appeals involving discrimination claims or denials of requests for reasonable accommodations.

PHAs must describe their policies for selection of a hearing officer in their lease forms. Changes to the public housing lease are subject to a 30-day comment period [24 CFR 966.4].

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14-III.G. REMOTE HEARINGS [Notice PIH 2020-32]
There is no requirement that grievance hearings be conducted in-person, and as such, HUD allows PHAs to conduct all or a portion of their grievance hearings remotely either over the phone, via video conferencing, or through other virtual platforms. If the PHA chooses to conduct remote grievance hearings, applicants may still request an in-person hearing, as applicable.

HACN Policy
The PHA has the sole discretion to require that hearings be conducted remotely in case of local, state, or national physical distancing orders, and in cases of inclement weather or natural disaster.

In addition, the PHA will conduct a hearing remotely upon request as a reasonable accommodation for a person with a disability, if a tenant does not have child care or transportation that would enable them to attend the hearing, or if the tenant believes an in-person hearing would create an undue health risk. The PHA will consider other reasonable requests for a remote hearing on a case-by-case basis.

Discovery of Documents Before the Remote Hearing
HACN Policy
If the hearing will be conducted remotely, the PHA will compile a hearing packet, consisting of all documents the PHA intends to produce at the hearing. The PHA will mail copies of the hearing packet to the tenant, the tenant’s representatives, if any, and the hearing officer at least three days before the scheduled remote hearing. The original hearing packet will be in the possession of the PHA representative and retained by the PHA.

If the hearing is to be conducted remotely, the PHA will require the resident to provide any documents directly relevant to the hearing at least 24 hours before the scheduled hearing through the mail, via email, or text. The PHA will scan and email copies of these documents to the hearing officer and the PHA representative the same day they are received.

Documents will be shared electronically whenever possible.

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Ensuring Accessibility for Persons with Disabilities ad LEP Individuals As with in-person grievance hearings, the platform for conducting remote grievance hearings must be accessible to persons with disabilities and the grievance hearings must be conducted in accordance with Section 504 and accessibility requirements. This includes ensuring any information, websites, emails, digital notifications, and other virtual platforms are accessible for persons with vision, hearing, and other disabilities. Further, providing effective communication in a digital context may require the use of individualized auxiliary aids or services, such as audio description, captioning, sign language and other types of interpreters, keyboard accessibility, accessible documents, screen reader support, and transcripts. Auxiliary aids or services must be provided in accessible formats, in a timely manner, and in such a way to protect the privacy and independence of the individual. PHAs may never request or require that individuals with disabilities provide their own auxiliary aids or services, including for remote grievance hearings.

If no method of conducting a remote grievance hearing is available that appropriately accommodates an individual’s disability, the PHA may not hold against the individual their inability to participate in the remote grievance hearing, and the PHA should consider whether postponing the remote hearing to a later date is appropriate or whether there is a suitable alternative.

Due to the individualized nature of disability, the appropriate auxiliary aid or service necessary, or reasonable accommodation will depend on the specific circumstances and requirements.

As with in-person reviews, Limited English Proficiency (LEP) requirements also apply to remote grievance hearings, including the use of interpretation services and document translation. See Chapter 2 for a more thorough discussion of accessibility and LEP requirements, all of which apply in the context of remote grievance hearings.

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Conducting Hearings Remotely
The PHA must ensure that the lack of technology or inability to use technology for remote grievance hearings does not pose a disadvantage to families that may not be apparent to the PHA. The PHA should determine through a survey or other means if these barriers exist prior to conducting the remote grievance hearing and, if the family does not have the proper technology to fully participate, either postpone the hearing or provide an alternative means of access.

As with in-person grievance hearings, the PHA must provide all materials presented, whether paper or electronic, to the family prior to the remote grievance hearing. The family must also be provided with an accessible means by which to transmit their own evidence.

The PHA’s essential responsibility is to ensure grievance hearings meet the requirements of due process and comply with HUD regulations. Therefore, all PHA policies and processes for remote grievance hearings will be conducted in accordance with due process requirements and will be in compliance with HUD regulations at 24 CFR 966.56 and the guidance for conducting remote hearings specified in Notice PIH 2020-32.

HACN Policy
The PHA will conduct remote grievance hearings via telephone.

At least five business days prior to scheduling the remote hearing, the PHA will provide the family an electronic copy of all materials being presented via first class mail and/or email. The notice will advise the family of technological requirements for the hearing and request the family notify the PHA of any known barriers. The PHA will resolve any barriers using the guidance in Section 6 of Notice PIH 2020-32, including offering the family the opportunity to attend an in-person hearing.

The PHA will follow up with a phone call and/or email to the family at least one business day prior to the remote grievance hearing to ensure that the family received all information.

The PHA will ensure that all electronic information stored or transmitted with respect to the grievance hearing is secure, including protecting personally identifiable information (PII), and meets the requirements for accessibility for persons with disabilities and persons with LEP.

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14-III.H. PROCEDURES GOVERNING THE HEARING [24 CFR 966.56] Rights of Complainant [24 CFR 966.56(b)]
The complainant will be afforded a fair hearing. This includes:
• The opportunity to examine before the grievance hearing any PHA documents, including records and regulations that are directly relevant to the hearing. The tenant must be allowed to copy any such document at the tenant’s expense. If the PHA does not make the document available for examination upon request by the complainant, the PHA may not rely on such document at the grievance hearing.

HACN Policy
The tenant will be allowed to copy any documents related to the hearing at no cost to the family. There will be no charge for documents emailed by the PHA. The family must request discovery of PHA documents no later than 12:00 p.m. on the business day prior to the hearing.
• The right to be represented by counsel or other person chosen to represent the tenant, and to have such person make statements on the tenant’s behalf.

HACN Policy
Hearings may be attended by the following applicable persons:

The PHA representatives and any witnesses for the PHA
The tenant and any witnesses for the tenant
The tenant’s counsel or other representative
Any other person approved by the PHA as a reasonable accommodation for a person with a disability
• The right to a private hearing unless the complainant requests a public hearing. • The right to present evidence and arguments in support of the tenant’s complaint, to controvert evidence relied on by the PHA or project management, and to confront and cross-examine all witnesses upon whose testimony or information the PHA or project management relies.
• A decision based solely and exclusively upon the facts presented at the hearing.

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Failure to Appear [24 CFR 966.56(c)]
If the complainant or the PHA fails to appear at a scheduled hearing, the hearing officer may make a determination to postpone the hearing for no more than five business days or may make a determination that the party has waived their right to a hearing. Both the complainant and the PHA must be notified of the determination by the hearing officer: Provided, That a determination that the complainant has waived their right to a hearing will not constitute a waiver of any right the complainant may have to contest the PHA’s disposition of the grievance in an appropriate judicial proceeding.

There may be times when a complainant does not appear due to unforeseen circumstances which are out of their control and are no fault of their own.

HACN Policy
If the tenant does not appear at the scheduled time of the hearing, the hearing officer will wait up to 30 minutes. If the tenant appears within 30 minutes of the scheduled time, the hearing will be held. If the tenant does not arrive within 30 minutes of the scheduled time, they will be considered to have failed to appear.

If the tenant fails to appear and was unable to reschedule the hearing in advance, the tenant must contact the PHA within 24 hours of the scheduled hearing date, excluding weekends and holidays. The hearing officer will reschedule the hearing only if the tenant can show good cause for the failure to appear, or it is needed as a reasonable accommodation for a person with disabilities.
“Good cause” is defined as an unavoidable conflict which seriously affects the health, safety, or welfare of the family.

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General Procedures [24 CFR 966.56(d), (e)]
At the hearing, the complainant must first make a showing of an entitlement to the relief sought and thereafter the PHA must sustain the burden of justifying the PHA action or failure to act against which the complaint is directed [24 CFR 966.56(d)].

The hearing is conducted informally by the hearing officer. The PHA and the tenant must be given the opportunity to present oral or documentary evidence pertinent to the facts and issues raised by the complaint, and to question any witnesses.

HACN Policy
Any evidence to be considered by the hearing officer must be presented at the time of the hearing. There are four categories of evidence.

Oral evidence: the testimony of witnesses
Documentary evidence: a writing which is relevant to the case, for example, a letter written to the PHA. Writings include all forms of recorded communication or representation, including letters, emails, words, pictures, sounds, videotapes or symbols or combinations thereof.

Demonstrative evidence: Evidence created specifically for the hearing and presented as an illustrative aid to assist the hearing officer, such as a model, a chart or other diagram.

Real evidence: A tangible item relating directly to the case.

Hearsay Evidence is evidence based not on a witness’ personal knowledge. In and of itself, hearsay evidence carries no weight when making a finding of fact. The hearing officer may include hearsay evidence when considering their decision if it is corroborated by other evidence. Even though hearsay evidence is generally admissible in a hearing, the hearing officer will not base a hearing decision on hearsay alone unless there is clear probative value and credibility of the evidence, and the party seeking the change has met the burden of proof.

If the PHA fails to comply with the discovery requirements (providing the tenant with the opportunity to examine PHA documents prior to the grievance hearing), the hearing officer will refuse to admit such evidence.

Other than the failure of the PHA to comply with discovery requirements, the hearing officer has the authority to overrule any objections to evidence.

The complainant or the PHA may arrange, in advance and at the expense of the party making the arrangement, for a transcript of the hearing. Any interested party may purchase a copy of such transcript [24 CFR 966.56(e)].

HACN Policy
If the complainant would like the PHA to record the proceedings by audiotape, the request must be made to the PHA by 12:00 p.m. on the business day prior to the hearing.

The PHA will consider that an audio tape recording of the proceedings is a transcript.

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Accommodations of Persons with Disabilities [24 CFR 966.56(f)] The PHA must provide reasonable accommodation for persons with disabilities to participate in the hearing. Reasonable accommodation may include qualified sign language interpreters, readers, accessible locations, or attendants.

If the tenant is visually impaired, any notice to the tenant which is required in the grievance process must be in an accessible format.

See Chapter 2 for a thorough discussion of the PHA’s responsibilities pertaining to reasonable accommodation.

Limited English Proficiency (24 CFR 966.56(g)
The PHA must comply with HUD’s LEP Final Rule in providing language services throughout the grievance process.

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14-III.I. DECISION OF THE HEARING OFFICER [24 CFR 966.57] The hearing officer must issue a written decision, stating the reasons for the decision, within a reasonable time after the hearing. Factual determinations relating to the individual circumstances of the family must be based on a preponderance of evidence presented at the hearing. A copy of the decision must be sent to the complainant and the PHA. The PHA must retain a copy of the decision in the tenant’s folder. A log of all hearing officer decisions must also be maintained by the PHA and made available for inspection by a prospective complainant, their representative, or the hearing officer [24 CFR 966.57(a)].

HACN Policy
In rendering a decision, the hearing officer will consider the following matters:

PHA Notice to the Family: The hearing officer will determine if the reasons for the PHA’s decision are factually stated in the notice.

Discovery: The hearing officer will determine if the family was given the opportunity to examine any relevant documents in accordance with PHA policy.

PHA Evidence to Support the PHA Decision: The evidence consists of the facts presented. Evidence is not conclusion and it is not argument. The hearing officer will evaluate the facts to determine if they support the PHA’s conclusion.

Validity of Grounds for Termination of Tenancy (when applicable): The hearing officer will determine if the termination of tenancy is for one of the grounds specified in the HUD regulations and PHA policies. If the grounds for termination are not specified in the regulations or in compliance with PHA policies, then the decision of the PHA will be overturned.

The hearing officer will issue a written decision to the family and the PHA no later than 10 business days after the hearing. The report will contain the following information:

Hearing information:

Name of the complainant
Date, time and place of the hearing
Name of the hearing officer
Name of the PHA representatives
Name of family representative (if any)
Names of witnesses (if any)
Background: A brief, impartial statement of the reason for the hearing and the date(s) on which the informal settlement was held, who held it, and a summary of the results of the informal settlement. Also includes the date the complainant requested the grievance hearing.

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Summary of the Evidence: The hearing officer will summarize the testimony of each witness and identify any documents that a witness produced in support of their testimony and that are admitted into evidence.

Findings of Fact: The hearing officer will include all findings of fact, based on a preponderance of the evidence. Preponderance of the evidence is defined as evidence which is of greater weight or more convincing than the evidence which is offered in opposition to it; that is, evidence which as a whole shows that the fact sought to be proved is more probable than not. Preponderance of the evidence may not be determined by the number of witnesses, but by the greater weight of all evidence.

Conclusions: The hearing officer will render a conclusion derived from the facts that were found to be true by a preponderance of the evidence. The conclusion will result in a determination of whether these facts uphold the PHA’s decision.

Order: The hearing report will include a statement of whether the PHA’s decision is upheld or overturned. If it is overturned, the hearing officer will instruct the PHA to change the decision in accordance with the hearing officer’s determination. In the case of termination of tenancy, the hearing officer will instruct the PHA to restore the family’s status.

Procedures for Further Hearing
HACN Policy
The hearing officer may ask the family for additional information and/or might adjourn the hearing in order to reconvene at a later date, before reaching a decision. If the family misses an appointment or deadline ordered by the hearing officer, the action of the PHA will take effect and another hearing will not be granted.

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Final Decision [24 CFR 966.57(b)]
The decision of the hearing officer is binding on the PHA which must take the action, or refrain from taking the action cited in the decision unless the PHA Board of Commissioners determines within a reasonable time, and notifies the complainant that:
• The grievance does not concern PHA action or failure to act in accordance with or involving the complainant’s lease on PHA policies which adversely affect the complainant’s rights, duties, welfare, or status; or
• The decision of the hearing officer is contrary to federal, state, or local law, HUD regulations or requirements of the annual contributions contract between HUD and the PHA HACN Policy
When the PHA considers the decision of the hearing officer to be invalid due to the reasons stated above, it will present the matter to the PHA Board of Commissioners within 10 business days of the date of the hearing officer’s decision. The Board has 30 calendar days to consider the decision. If the Board decides to reverse the hearing officer’s decision, it must notify the complainant within 10 business days of this decision.

A decision by the hearing officer or Board of Commissioners in favor of the PHA or which denies the relief requested by the complainant in whole or in part must not constitute a waiver of any rights, nor effect in any manner whatever, any rights the complainant may have to a subsequent trial or judicial review in court [24 CFR 966.57(c)].

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EXHIBIT 14-1: GRIEVANCE PROCEDURE
The sample procedure provided below is a sample only and is designed to match up with the default policies in the model ACOP. If your PHA has made further policy decisions after NMA has provided you with this chapter, you would need Definitions applicable to the grievance procedure [24 CFR 966.53].

I. Introduction
Public housing tenants have the right to request a grievance hearing for any PHA action or failure to act in accordance with the tenant’s lease.

Grievance procedures do not apply in the following circumstances:

A. Disputes between tenants not involving the PHA or class grievances [24 CFR 966.51(b)].

B. The grievance procedure is not intended as a forum for initiating or negotiating policy changes between a group or groups of tenants and the PHA’s Board of Commissioners [24 CFR 966.51(b)].

C. When the PHA is in a HUD-declared due process state, HUD allows the PHA to exclude from the PHA grievance procedure any grievance concerning a termination of tenancy or eviction that involves:
i. Any criminal activity that threatens the health, safety or right to peaceful enjoyment of the premises of other residents or employees of the PHA; ii. Any violent or drug-related criminal activity on or off such premises; or iii. Any criminal activity that resulted in felony conviction of a household member [24 CFR 966.51(a)(2)].

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II. Definitions [24 CFR 966.53]
A. Grievance: Any dispute a tenant may have with respect to PHA action or failure to act in accordance with the individual tenant’s lease or PHA regulations that adversely affects the individual tenant’s rights, duties, welfare, or status.

B. Complainant: Any tenant (as defined below) whose grievance is presented to the PHA or at the project management office in accordance with the requirements presented in this procedure.

C. Elements of due process: An eviction action or a termination of tenancy in a state or local court in which the following procedural safeguards are required:
i. Adequate notice to the tenant of the grounds for terminating the tenancy and for eviction
ii. Right of the tenant to be represented by counsel
iii. Opportunity for the tenant to refute the evidence presented by the PHA, including the right to confront and cross-examine witnesses and to present any affirmative legal or equitable defense that the tenant may have
iv. A decision on the merits of the case
D. Hearing officer: An impartial person or persons selected by the PHA other than the person who made or approved the decision under review, or a subordinate of that person. Such individuals do not need legal training.

E. Tenant: The adult person (or persons other than a live-in aide) who resides in the unit and who executed the lease with the PHA as lessee of the dwelling unit, or if no such person now resides in the unit, the person who resides in the unit and is the remaining head of the household of the tenant family residing in the dwelling unit.

F. Resident organization: An organization of residents, which also may include a resident management corporation.

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III. This grievance procedure [24 CFR 966.51]
This grievance procedure is included by reference in all tenant dwelling leases and will be furnished to each tenant and all resident organizations [24 CFR 966.52 (b) and (d)].

Any changes proposed in this grievance procedure must provide for at least 30 days’ notice to tenants and resident organizations, explaining the proposed changes and providing an opportunity to present written comments. Comments will be considered by the PHA before any revisions are made to the grievance procedure [24 CFR 966.52(c)].

IV. Informal settlement of a grievance [24 CFR 966.54]
Any grievance request must be personally presented, either orally or in writing (including email), to the PHA’s central office or the management office of the development in which the tenant resides within 10 days after the violation.

As soon as the grievance request is received, it will be reviewed by the PHA to ensure it meets the requirements for a grievance hearing. If the tenant is not entitled to a grievance, the PHA will notify the tenant that they may instead seek judicial review and the procedures for requesting such a review [24 CFR 966.4(l)(3)(i)(C)(v)(B)].

Otherwise, within 10 business days, the tenant will be contacted to arrange a mutually convenient time to meet so the grievance may be discussed and settled without a hearing.

At the informal settlement, the tenant will present their grievance.

Within five business days following the informal settlement, the PHA will prepare and either hand deliver, mail, or email to the tenant a summary of the discussion. The summary will specify the names of the participants; the date of the meeting; the nature of the proposed resolution of the complaint, with specific reason(s); and will specify the procedures by which a formal hearing under this procedure may be obtained if the tenant is not satisfied [24 CFR 966.54]. A copy of this summary will also be placed in the tenant’s file.

V. Requesting a formal grievance hearing
If the tenant is not satisfied with the outcome of the informal settlement, the tenant must submit a written request for a hearing to the management office of the development where the tenant lives no later than five business days after receiving the summary of the informal settlement.

The written request must specify the reasons for the request and the action or relief sought from the PHA.

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VI. Selecting the hearing officer
A grievance hearing will be conducted by an impartial person appointed by the PHA as described below:

A. The hearing officer will be appointed directly by the executive director.

B. The hearing officer will be someone who did not make or approve the decision under review and who is not a subordinate of such persons [24 CFR 066.54(e)].

C. The PHA’s method for selecting a hearing officer will be included in the lease [24 CFR 966.54(e)].

VII. Scheduling hearings [24 CFR 966.56(a)]
When a tenant submits a timely request for a grievance hearing, the PHA will immediately appoint an impartial hearing officer.

Once the hearing has been scheduled, the tenant will receive written notice of the hearing, sent by mail or email, return receipt requested.

Within 10 days of receiving the written request, the hearing will be scheduled. The tenant, PHA, and hearing officer will be notified in writing of the date, time and location of the hearing. If the hearing will be held remotely, the PHA will also include information on the remote hearing process.

The tenant may request to reschedule a hearing once. Should the tenant need to reschedule a second time, they may only do so for good cause, or if needed as a reasonable accommodation for a person with disabilities. Good cause is defined as an unavoidable conflict which seriously affects the health, safety, or welfare of the family.

Requests to reschedule a hearing must be made orally or in writing at least one day prior to the hearing date.

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VIII. Procedures governing the hearing [24 CFR 966.56]
The hearing will be held before a hearing officer as described above in Section VI. The tenant will be afforded a fair hearing, which will include:

A. The opportunity to examine any PHA documents before the hearing, including records and regulations, that are directly relevant to the hearing.

The tenant must request to view and copy PHA documents relevant to the hearing by noon of the day before the hearing. The tenant is allowed to copy any such document at no cost to the tenant.

If the PHA does not make the document available for examination upon request by the tenant, the PHA may not rely on such document at the grievance hearing.

B. The right to be represented by counsel or any other person chosen as the tenant’s representative, at the tenant’s expense, and to have such person make statements on the tenant’s behalf.

C. The right to a private hearing unless the tenant requests a public hearing.

D. The right to present evidence and arguments in support of the tenant’s complaint, to refute evidence relied on by the PHA or project management, and to confront and cross-examine all witnesses upon whose testimony or information the PHA or project management relies.

E. A decision based solely and exclusively upon the facts presented at the hearing [24 CFR 966.56(b)].

The hearing is conducted informally by the hearing officer. The PHA and the tenant must be given the opportunity to present oral or documentary evidence that is relevant to the facts and issues raised, and to question any witnesses.

The hearing decision will be based on the preponderance of the evidence, defined as evidence which is of greater weight or more convincing than the evidence which is offered in opposition to it; that is, evidence which as a whole shows that the fact sought to be proved is more probable than not. Preponderance of the evidence may not be determined by the number of witnesses, but by the greater weight of all evidence.

The tenant or the PHA may arrange in advance for a transcript or recording of the hearing at the expense of the party making the arrangement.

The PHA must provide reasonable accommodation for persons with disabilities to participate in the hearing. Reasonable accommodation may include qualified sign language interpreters, readers, accessible locations, or attendants. If the tenant is visually impaired, any notice to the tenant that is required under this procedure must be in an accessible format [24 CFR 966.56(f)].

The PHA must comply with HUD’s requirements regarding limited English proficiency (LEP). The tenant has the right to request competent oral interpretation, free of charge.

LEP requirements can be found at:
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IX. Remote Hearings
The PHA has the authority to require that hearings be conducted remotely in certain situations.

X. Failure to appear at the hearing
If the tenant does not arrive within 15 minutes of the scheduled time, it will be considered a failure to appear, which means they have given up their right to a hearing.

Both the tenant and the PHA must be notified of the determination by the hearing officer.

A determination that the tenant has waived their right to a hearing will not constitute a waiver of any right the tenant may have to contest the PHA’s disposition of the grievance in an appropriate judicial setting [24 CFR 966.56(c)].

XI. Decision of the hearing officer [24 CFR 966.57]
The hearing officer will prepare a written decision together with the reasons for the decision within 10 business days after the hearing. A copy of the decision will be sent to the tenant and the PHA.

The PHA will retain a copy of the decision in the tenant’s file.

The hearing officer may ask the family for additional information and/or might adjourn the hearing in order to reconvene at a later date before reaching a decision. If the family misses a deadline ordered by the hearing officer, the hearing officer will make a decision based on the evidence presented.

The decision of the hearing officer will be binding on the PHA unless the PHA’s Board of Commissioners determines within a reasonable time and notifies the tenant of its determination that:

A. The grievance does not concern PHA action or failure to act in accordance with or involving the tenant’s lease or PHA regulations, which adversely affect the tenant’s rights, duties, welfare, or status; or
B. The decision of the hearing officer is contrary to applicable federal, state, or local law, HUD regulations, or requirements of the annual contributions contract (ACC) between HUD and the PHA.

When the PHA considers the decision of the hearing officer to be invalid for either of the reasons stated above, it will present the matter to the PHA Board of Commissioners within 10 business days of the date of the hearing officer’s decision. The Board will have 30 calendar days to consider the decision. If the Board decides to reverse the hearing officer’s decision, it must notify the tenant within 10 business days of this decision.

A decision by the hearing officer or Board of Commissioners in favor of the PHA or which denies the relief requested by the tenant, in whole or in part, will not constitute a waiver of nor affect in any way the tenant’s right to a trial or judicial review in any court proceedings, which may be brought in the matter later [24 CFR 966.57].

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Chapter 15

PROGRAM INTEGRITY

INTRODUCTION
The PHA is committed to ensuring that funds made available to the PHA are spent in accordance with HUD requirements.

This chapter covers HUD and PHA policies designed to prevent, detect, investigate and resolve instances of program abuse or fraud. It also describes the actions that will be taken in the case of unintentional errors and omissions.

Part I: Preventing, Detecting, and Investigating Errors and Program Abuse. This part presents PHA policies related to preventing, detecting, and investigating errors and program abuse.

Part II: Corrective Measures and Penalties. This part describes the corrective measures the PHA must and may take when errors or program abuses are found.

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PART I: PREVENTING, DETECTING, AND

INVESTIGATING ERRORS AND PROGRAM ABUSE
15-I.A. PREVENTING ERRORS AND PROGRAM ABUSE
HUD created the Enterprise Income Verification (EIV) system to provide PHAs with a powerful tool for preventing errors and program abuse. PHAs are required to use the EIV system at annual reexamination in accordance with HUD administrative guidance [24 CFR 5.233]. PHAs are further required to:
• Provide applicants and residents with form HUD-52675, “Debts Owed to PHAs and Terminations”
• Require all adult members of an applicant or participant family to acknowledge receipt of form HUD-52675 by signing a copy of the form for retention in the family file HACN Policy
The PHA anticipates that the vast majority of families and PHA employees intend to and will comply with program requirements and make reasonable efforts to avoid errors.

To ensure that the PHA’s program is administered effectively and according to the highest ethical and legal standards, the PHA will employ a variety of techniques to ensure that both errors and intentional program abuse are rare.

The PHA will provide each applicant and resident with a copy of “Is Fraud Worth It?” (form HUD-1141-OIG), which explains the types of actions a family must avoid and the penalties for program abuse.

The PHA will provide each applicant and resident with a copy of “What You Should Know about EIV,” a guide to the Enterprise Income Verification (EIV) system published by HUD as an attachment to Notice PIH 2017-12. In addition, the PHA will require the head of each household to acknowledge receipt of the guide by signing a copy for retention in the family file.

The PHA will require mandatory orientation sessions for all prospective residents either prior to or upon execution of the lease. The PHA will discuss program compliance and integrity issues. At the conclusion of all program orientation sessions, the family representative will be required to sign a program briefing certificate to confirm that all rules and pertinent regulations were explained to them.

The PHA will routinely provide resident counseling as part of every reexamination interview in order to clarify any confusion pertaining to program rules and requirements.

PHA staff will be required to review and explain the contents of all HUD- and PHA-required forms prior to requesting family member signatures.

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The PHA will place a warning statement about the penalties for fraud (as described in 18 U.S.C. 1001 and 1010) on key PHA forms and form letters that request information from a family member.

The PHA will provide each PHA employee with the necessary training on program rules and the organization’s standards of conduct and ethics.

At every regular reexamination the PHA staff will explain any changes in HUD regulations or PHA policy that affect residents.

For purposes of this chapter the term error refers to an unintentional error or omission.

Program abuse or fraud refers to a single act or pattern of actions that constitute a false statement, omission, or concealment of a substantial fact, made with the intent to deceive or mislead.
15-I.B. DETECTING ERRORS AND PROGRAM ABUSE
In addition to taking steps to prevent errors and program abuse, the PHA will use a variety of activities to detect errors and program abuse.

Quality Control and Analysis of Data
HACN Policy
The PHA will employ a variety of methods to detect errors and program abuse, including:

The PHA routinely will use EIV.

At each annual reexamination, current information provided by the family will be compared to information provided at the last annual reexamination to identify inconsistencies and incomplete information.

The PHA will compare family-reported income and expenditures to detect possible unreported income.

Independent Audits and HUD Monitoring
Notice PIH 2015-16 requires all PHAs that expend $750,000 or more in federal awards annually to have an independent audit (IPA). In addition, HUD conducts periodic on-site and automated monitoring of PHA activities and notifies the PHA of errors and potential cases of program abuse.

HACN Policy
The PHA will use the results reported in any HUD monitoring reports to identify potential program abuses as well as to assess the effectiveness of the PHA’s error detection and abuse prevention efforts.

Individual Reporting of Possible Errors and Program Abuse HACN Policy
The PHA will encourage staff, residents, and the public to report possible program abuse.

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15-I.C. INVESTIGATING ERRORS AND PROGRAM ABUSE
When the PHA Will Investigate
HACN Policy
The PHA will review all referrals, specific allegations, complaints, and tips from any source including other agencies, companies, and individuals, to determine if they warrant investigation. In order for the PHA to investigate, the allegation must contain at least one independently-verifiable item of information, such as the name of an employer or the name of an unauthorized household member.

The PHA will investigate when inconsistent or contradictory information is detected through file reviews and the verification process.

Consent to Release of Information [24 CFR 960.259]
The PHA may investigate possible instances of error or abuse using all available PHA and public records. If necessary, the PHA will require families to sign consent forms for the release of additional information.

Analysis and Findings
HACN Policy
The PHA will base its evaluation on a preponderance of the evidence collected during its investigation.

Preponderance of the evidence is defined as evidence which is of greater weight or more convincing than the evidence which is offered in opposition to it; that is, evidence that as a whole shows that the fact sought to be proved is more probable than not. Preponderance of evidence may not be determined by the number of witnesses, but by the greater weight of all evidence.

For each investigation the PHA will determine (1) whether an error or program abuse has occurred, (2) whether any amount of money is owed the PHA, and (3) what corrective measures or penalties will be assessed.

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Consideration of Remedies
All errors and instances of program abuse must be corrected prospectively. Whether the PHA will enforce other corrective actions and penalties depends upon the nature of the error or program abuse.

HACN Policy
In the case of family-caused errors or program abuse, the PHA will take into consideration (1) the seriousness of the offense and the extent of participation or culpability of individual family members, (2) any special circumstances surrounding the case, (3) any mitigating circumstances related to the disability of a family member, (4) the effects of a particular remedy on family members who were not involved in the offense.

Notice and Appeals
HACN Policy
The PHA will inform the relevant party in writing of its findings and remedies within 10 business days of the conclusion of the investigation. The notice will include (1) a description of the error or program abuse, (2) the basis on which the PHA determined the error or program abuses, (3) the remedies to be employed, and (4) the family’s right to appeal the results through an informal hearing or grievance hearing (see Chapter 14).

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PART II: CORRECTIVE MEASURES AND PENALTIES
15-II.A. UNDER- OR OVERPAYMENT
An under- or overpayment includes an incorrect tenant rent payment by the family, or an incorrect utility reimbursement to a family.

Corrections
Whether the incorrect rental determination is an overpayment or underpayment, the PHA must promptly correct the tenant rent and any utility reimbursement prospectively.

HACN Policy
Increases in the tenant rent will be implemented retroactively Any decreases in tenant rent will become effective the first of the month following the discovery of the error.

Reimbursement
Whether the family is required to reimburse the PHA or the PHA is required to reimburse the family depends upon which party is responsible for the incorrect payment and whether the action taken was an error or program abuse. Policies regarding reimbursement are discussed in the three sections that follow.

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15-II.B. FAMILY-CAUSED ERRORS AND PROGRAM ABUSE
General administrative requirements for participating in the program are discussed throughout the ACOP. This section deals specifically with errors and program abuse by family members.

An incorrect rent determination caused by a family generally would be the result of incorrect reporting of family composition, income, assets, or expenses, but also would include instances in which the family knowingly allows the PHA to use incorrect information provided by a third party.

Family Reimbursement to PHA
HACN Policy
In the case of family-caused errors or program abuse, the family will be required to repay any amounts of rent underpaid. The PHA may, but is not required to, offer the family a repayment agreement in accordance with Chapter 16. If the family fails to repay the amount owed, the PHA will terminate the family’s lease in accordance with the policies in Chapter 13.

PHA Reimbursement to Family
HACN Policy
The PHA will not reimburse the family for any overpayment of rent when the overpayment clearly is caused by the family.

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Prohibited Actions
An applicant or resident in the public housing program must not knowingly:
• Make a false statement to the PHA [Title 18 U.S.C. Section 1001]. • Provide incomplete or false information to the PHA [24 CFR 960.259(a)(4)]. • Commit fraud, or make false statements in connection with an application for assistance or with reexamination of income [24 CFR 966.4(l)(2)(iii)(C)].

HACN Policy
Any of the following will be considered evidence of family program abuse:

Offering bribes or illegal gratuities to the PHA Board of Commissioners, employees, contractors, or other PHA representatives
Offering payments or other incentives to a third party as an inducement for the third party to make false or misleading statements to the PHA on the family’s behalf
Use of a false name or the use of falsified, forged, or altered documents Intentional misreporting of family information or circumstances (e.g., misreporting of income or family composition)
Omitted facts that were obviously known by a family member (e.g., not reporting employment income)
Admission of program abuse by an adult family member
The PHA may determine other actions to be program abuse based upon a preponderance of the evidence, as defined earlier in this chapter.

Penalties for Program Abuse
In the case of program abuse caused by a family the PHA may, at its discretion, impose any of the following remedies.
• The PHA may require the family to repay any amounts owed to the program (see 15-II.B., Family Reimbursement to PHA).
• The PHA may require, as a condition of receiving or continuing assistance, that a culpable family member not reside in the unit. See policies in Chapter 3 (for applicants) and Chapter 13 (for residents).
• The PHA may deny admission or terminate the family’s lease following the policies set forth in Chapter 3 and Chapter 13 respectively.
• The PHA may refer the family for state or federal criminal prosecution as described in section 15-II.D.

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15-II.C. PHA-CAUSED ERRORS OR PROGRAM ABUSE
The responsibilities and expectations of PHA staff with respect to normal program administration are discussed throughout the ACOP. This section specifically addresses actions of a PHA staff member that are considered errors or program abuse related to the public housing program. Additional standards of conduct may be provided in the PHA personnel policy.

PHA-caused incorrect rental determinations include (1) failing to correctly apply public housing rules regarding family composition, income, assets, and expenses, and (2) errors in calculation.

De Minimis Errors [24 CFR 5.609(c)(4); Notice PIH 2023-27] The PHA will not be considered out of compliance when making annual income determinations solely due to de minimis errors in calculating family income. A de minimis error is an error where the PHA determination of family income deviates from the correct income determination by no more than $30 per month in monthly adjusted income ($360 in annual adjusted income) per family.

PHAs must take corrective action to credit or repay a family if the family was overcharged rent, including when PHAs make de minimis errors in the income determination. Families will not be required to repay the PHA in instances where the PHA miscalculated income resulting in a family being undercharged for rent. PHAs state in their policies how they will repay or credit a family the amount they were overcharged as a result of the PHA’s de minimis error in income determination.

HACN Policy
The PHA will reimburse a family for any family overpayment of rent, regardless of whether the overpayment was the result of staff-caused error, staff program abuse, or a de minimis error.

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Prohibited Activities
HACN Policy
Any of the following will be considered evidence of program abuse by PHA staff:

Failing to comply with any public housing program requirements for personal gain
Failing to comply with any public housing program requirements as a result of a conflict of interest relationship with any applicant or resident Seeking or accepting anything of material value from applicants, residents, vendors, contractors, or other persons who provide services or materials to the PHA
Disclosing confidential or proprietary information to outside parties Gaining profit as a result of insider knowledge of PHA activities, policies, or practices
Misappropriating or misusing public housing funds
Destroying, concealing, removing, or inappropriately using any records related to the public housing program
Committing any other corrupt or criminal act in connection with any federal housing program
Committing sexual harassment or other harassment based on race, color, religion, national origin, familial status, disability, sexual orientation, or gender identity, either quid pro quo (supervisory harassment) or hostile environment Allowing sexual harassment or other harassment based on race, color, religion, national origin, familial status, disability, sexual orientation, or gender identity, either quid pro quo (supervisory harassment) or hostile environment, where the PHA knew or should have known such harassment was occurring Retaliating against any applicant, resident, or staff reporting sexual harassment or other harassment based on race, color, religion, national origin, familial status, disability, sexual orientation, or gender identity, either quid pro quo (supervisory harassment) or hostile environment
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15-II.D. CRIMINAL PROSECUTION
HACN Policy
When the PHA determines that program abuse by a family or PHA staff member has occurred and the amount of underpaid rent meets or exceeds the threshold for prosecution under local or state law, the PHA will refer the matter to the appropriate entity for prosecution. When the amount of underpaid rent meets or exceeds the federal threshold, the case will also be referred to the HUD Office of Inspector General (OIG).

Other criminal violations related to the public housing program will be referred to the appropriate local, state, or federal entity.
15-II.E. FRAUD AND PROGRAM ABUSE RECOVERIES
PHAs who enter into a repayment agreement with a family to collect rent owed, initiate litigation against the family to recover rent owed, or begin eviction proceedings against a family may retain 100 percent of program funds that the PHA recovers [Notice PIH 2007-27 (HA)].

If the PHA does none of the above, all amounts that constitute an underpayment of rent must be returned to HUD.

The family must be afforded the opportunity for a hearing through the PHA’s grievance process.

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Chapter 16

PROGRAM ADMINISTRATION

INTRODUCTION
This chapter discusses administrative policies and practices that are relevant to the activities covered in this 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 recordkeeping. 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 Elevated Blood Lead Level.

This part describes the PHA’s reporting responsibilities related to children with elevated 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, stalking, and human trafficking; and maintaining the confidentiality of information obtained from victims.

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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.

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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)]
HACN Policy
The PHA [has 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 review must include all changes in circumstances (including completion of modernization and/or other energy conservation measures implemented by the PHA) indicating probability of a significant change in reasonable requirements and changes in utility rates [24 CFR 965.507(a)].

The PHA must revise its allowances for resident-purchased utilities 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. Such rate changes are not subject to the 60-day notice [24 CFR 965.507(b)].

HACN Policy
Between annual reviews of utility allowances, the PHA will only revise its utility allowances due to a rate change, when required to by the regulation.

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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.

HACN Policy
The PHA will furnish sewer and trash services. The PHA will provide for the basic service charge of water and will bill tenants for water usage. 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.

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16-I.E. REASONABLE ACCOMMODATION AND INDIVIDUAL RELIEF
[24 CFR 965.508]
On request from a family, PHAs 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 with a disability [24 CFR 8 and 100, 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 [24 CFR 8 and 100, PH Occ GB, p. 172].

See Chapter 2 for policies regarding the request and approval of reasonable accommodations.

Further, the PHA may grant requests for relief from charges in excess of the utility allowance on reasonable grounds, such as special needs of the elderly, ill, or residents with disabilities, or special factors not within control of the resident, as the PHA deems appropriate. The family must request the higher allowance and provide the PHA with information about the additional allowance required.

PHAs should develop criteria for granting individual relief and to notify residents about the availability of individual relief, and also to notify participants about the availability of individual relief programs (sometimes referred to as “Medical Baseline discounts”) offered by the local utility company [Utility Allowance GB, p. 19, 24 CFR 965.508].

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PART II: ESTABLISHING FLAT 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 immigrations status [24 CFR 5.504].

This part discusses how the PHA establishes and updates flat rents. Policies related to the use of flat rents, family choice of rent, flat rent hardships, and proration of rent for a mixed family are discussed in Chapter 6.
16-II.B. FLAT RENTS [24 CFR 960.253(b) and Notice PIH 2022-33] Establishing Flat Rents
The 2015 Appropriations Act requires that flat rents must be set at no less than 80 percent of the applicable fair market rent (FMR). Alternatively, the PHA may set flat rents at no less than 80 percent of the applicable small area FMR(SAFMR) for metropolitan areas, or 80 percent of the applicable unadjusted rents for nonmetropolitan areas.

For areas where HUD has not determined a SAFMR or an unadjusted rent, PHAs must set flat rents at no less than 80 percent of the FMR or apply for an exception flat rent.

The 2015 Appropriations Act permits PHAs to apply for an exception flat rent that is lower than either 80 percent of the FMR or SAFMR/unadjusted rent if the PHA can demonstrate, through the submission of a market analysis, that these FMRs do not reflect the market value of a particular property or unit and HUD agrees with the PHA’s analysis. The market analysis must be submitted using form HUD-5880, “Flat Rent Market Analysis Summary.” PHAs must receive written HUD approval before implementing exception flat rents. PHAs with a previously approved flat rent exception request may submit a written request to extend the approved flat rents for up to two additional years, provided local market conditions remain unchanged. Detailed information on how to request exception flat rents can be found in Notice PIH 2022-33.

PHAs are now required to apply a utility allowance to flat rents as necessary. Flat rents set at 80 percent of the FMR must be reduced by the amount of the unit’s utility allowance, if any.

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Review of Flat Rents
No later than 90 days after the effective date of the new annual FMRs/SAFMRs/unadjusted rent, PHAs must implement new flat rents as necessary based changes to the FMR/SAFMR/unadjusted rent or request an exception.

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/SAFMR/unadjusted rent.

HACN Policy
If the FMR/SAFMR is lower than the previous year, flat rents will not be affected.

Applying Flat Rents
HACN Policy
The PHA will apply updated flat rents at each family’s next annual reexamination or flat rent update after implementation of the new flat rents.

Posting of Flat Rents
HACN Policy
The PHA will publicly post the schedule of flat rents in a conspicuous manner in the applicable PHA or 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.

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PART III: FAMILY DEBTS TO THE PHA
16-III.A. OVERVIEW
Families are required to reimburse the PHA if they were charged less rent than required because the family either underreported or failed to report income. PHAs are required to determine retroactive rent amounts as far back as the PHA has documentation of family unreported income [Notice PIH 2018-18].

This part describes the PHA’s policies for recovery of monies owed to the PHA by families.

HACN 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 underpayments.

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16-III.B. REPAYMENT POLICY
Family Debts to the PHA
HACN 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.

Refusal to Enter into An Agreement
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.

HACN Policy
When a family refuses to repay monies owed to the PHA, in addition to termination of program assistance, the PHA will utilize other available collection alternatives including, but not limited to, the following:

Collection agencies
Small claims court
Civil lawsuit
State income tax set-off program
Repayment Agreement [24 CFR 792.103]
The term repayment agreement refers to a formal written document signed by a tenant or owner and provided to the PHA in which a tenant or owner acknowledges a debt in a specific amount and agrees to repay the amount due at specific time periods.

General Repayment Agreement Guidelines
Down Payment Requirement
HACN 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.

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Payment Thresholds
Notice PIH 2018-18 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 2018-18 acknowledges that PHAs have the discretion to establish “thresholds and policies” for repayment agreements with families [24 CFR 982.552(c)(1)(vii)].

HACN 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 a family can provide evidence satisfactory to the PHA that a monthly payment amount of $25 would impose an undue hardship, the PHA may, in its sole discretion, require a lower monthly payment amount.

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.

Execution of the Agreement
All repayment agreements must be in writing, dated, and signed by both the family and the PHA [Notice PIH 2018-18].

HACN Policy
Any repayment agreement between the PHA and a family must be signed and dated by the PHA and by all adults.

Due Dates
HACN 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.

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Late or Missed Payments
HACN 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 14 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.

No Offer of Repayment Agreement
PHA Policy
The PHA generally will not enter into a repayment agreement with a family under any of the following conditions:

The family is already under an existing repayment agreement with the PHA.

The PHA determines that the family’s debt is a result of program abuse or fraud (as defined in Chapter 15 of the ACOP).

The amount owed by the family exceeds the federal or state threshold for criminal prosecution.

Repayment Agreement Terms
All repayment agreements must be in writing, dated, signed by both the family and the PHA, include the total retroactive rent amount owed, amount of lump sum payment made at time of execution, if applicable, and the monthly repayment amount. Notice PIH 2018-18 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 PHA the monthly tenant rent
• 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
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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.

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 safe, habitable dwelling units. • To determine the physical condition of a PHA’s projects, inspections are performed using the National Standards for the Inspection of Real Estate (NSPIRE). 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.

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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 subindicators: 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.

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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)].

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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, and that comply with VAWA confidentiality requirements.
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].

The PHA must maintain Enterprise Income Verification (EIV) system Income Reports in the tenant file for the duration of the tenancy but for a period not to exceed three years from the EOP date [Notice PIH 2018-18].

Notice PIH 2014-20 requires the PHA to keep records of all complaints, investigations, notices, and corrective actions related to violations of the Fair Housing Act or the equal access final rule.

The PHA must keep confidential records of all emergency transfer requested under the PHA’s Emergency Transfer Plan, and the outcomes of such requests, and retain the records for a period of three years, or for a period of time as specific in program regulations [24 CFR 5.2002(e)(12)].

HACN Policy
The PHA will keep the last three years of the Form HUD-50058 and supporting documentation, and for at least three years after end of participation all documents related to a family’s eligibility, tenancy, and termination.

The PHA will keep Enterprise Income Verification (EIV) system Income Reports in the tenant file for the duration of the tenancy and for three years from the end of participation date.

In addition, the PHA will keep the following records for at least three 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 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
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Complaints, investigations, notices, and corrective actions related to violations of the Fair Housing Act, the equal access final rule, or VAWA Confidential records of all emergency transfers related to VAWA requested under the PHA’s Emergency Transfer Plan and the outcomes of such requests 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. 16-V.C. RECORDS MANAGEMENT
PHAs must maintain applicant and participant files and information in accordance with the regulatory requirements described below.

HACN 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.

HACN Policy
Prior to utilizing HUD’s EIV system, the PHA will adopt and implement EIV security procedures required by HUD.

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Criminal Records
The PHA may only disclose the criminal conviction records which the PHA receives from a law enforcement agency to officers or employees of the PHA, or to authorized representatives of the PHA who have a job-related need to have access to the information [24 CFR 5.903(e)].

The PHA must establish and implement a system of records management that ensures that any criminal record received by the PHA from a law enforcement agency is maintained confidentially, not misused or improperly disseminated, and destroyed, once the purpose for which the record was requested has been accomplished, including expiration of the period for filing a challenge to the PHA action without institution of a challenge or final disposition of any such litigation [24 CFR 5.903(g)].

The PHA must establish and implement a system of records management that ensures that any sex offender registration information received by the PHA from a State or local agency is maintained confidentially, not misused or improperly disseminated, and destroyed, once the purpose for which the record was requested has been accomplished, including expiration of the period for filing a challenge to the PHA action without institution of a challenge or final disposition of any such litigation. However, a record of the screening, including the type of screening and the date performed must be retained [Notice PIH 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, Stalking, or Human Trafficking Records
For requirements and PHA policies related to management of documentation obtained from victims of domestic violence, dating violence, sexual assault, stalking, or human trafficking, see section 16-VII.E.

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PART VI: REPORTING REQUIREMENTS FOR CHILDREN WITH

ELEVATED BLOOD LEAD LEVEL
16-VI.A. REPORTING REQUIREMENTS [24 CFR 35.1130(e); Notice PIH 2017-13] The PHA has certain responsibilities relative to children with elevated blood lead levels that are living in public housing.

The PHA must report the name and address of a child identified as having an elevated blood lead level (EBLL) to the public health department within five 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 EBLL to the HUD field office.

HACN Policy
The PHA will provide the public health department written notice of the name and address of any child identified as having an elevated blood lead level.

The PHA will provide written notice of each known case of a child with an EBLL to the HUD field office, and to HUD’s Office of Lead Hazard Control (OLHCHH), within five business days of receiving the information.

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PART VII: VIOLENCE AGAINST WOMEN ACT (VAWA): NOTIFICATION,

DOCUMENTATION, AND CONFIDENTIALITY
16-VII.A. OVERVIEW
The Violence against Women Act (VAWA) provides special protections for victims of domestic violence, dating violence, sexual assault, stalking, and human trafficking 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 apply in conjunction with VAWA. • Although the VAWA 2022 statute does not specifically include human trafficking in the list of victims protected under VAWA, in 2022 HUD began including human trafficking as part of the list of victims protected under VAWA (as seen in Notices PIH 2022-06, PIH 2022-22, and PIH 2022-24). In the absence of a final rule implementing VAWA 2022 and to mirror HUD’s recent usage, this policy includes human trafficking in addition to domestic violence, dating violence, sexual assault, and stalking anywhere such a list appears.

In addition to definitions of key terms used in VAWA, this part contains general VAWA requirements and PHA policies in three areas: notification, documentation, and confidentiality.

Specific VAWA requirements and PHA policies are located in Chapter 3, “Eligibility” (sections 3-I.C and 3-III.F); Chapter 5, “Occupancy Standards and Unit Offers” (section 5-II.D); Chapter 8, “Leasing and Inspections” (section 8-I.B); Chapter 12, “Transfer Policy” (sections 12-III.C, 12-III.F, and 12-IV.D); and Chapter 13, “Lease Terminations” (sections 13-III.F and 13-IV.D). 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 person stands in the position or place of a parent; or - Any individual, tenant or lawful occupant living in the household of the victim of domestic violence, dating violence, sexual assault, or stalking. • 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
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• The term domestic violence includes felony or misdemeanor crimes committed by a current or former spouse or intimate partner of the victim under the family or domestic violence laws of the jurisdiction receiving grant funding, and in the case of victim services, includes the user or attempted use of physical abuse or sexual abuse, or a pattern of any other coercive behavior committed, enabled, or solicited to gain or maintain power and control over a victim, including verbal, psychological, economic, or technological abuse that may or may not constitute criminal behavior, by a person who is:
- The current or former spouse or intimate partner of the victim, or person similarly situated to a spouse or intimate partner of the victim
- A person who is cohabitating or has cohabitated with the victim as a spouse or intimate partner
- A person with whom the victim shares a child in common - A person who commits acts against an youth or adult victim who is protected from those acts under the domestic or family violence laws of the jurisdiction • The term economic abuse means behavior that is coercive, deceptive, or unreasonably controls or restrains a person’s ability to acquire, use, or maintain economic resources to which they are entitled, including using coercion, fraud, and manipulation to:
- Restrict a person’s access to money, assets, credit, or financial information - Unfairly use a person’s personal economic resources, including money, assets, and credit, for one’s own advantage
- Exert undue influence over a person’s financial and economic behavior or decisions, including forcing default on joint or other financial obligations, exploiting powers of attorney, guardianship, or conservatorship, or to whom one has a fiduciary duty • 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 engage in a course of conduct directed at a specific person that would cause a reasonable person to fear for their safety or the safety of others, or suffer substantial emotional distress.

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• The term technological abuse means an act or pattern of behavior that occurs within domestic violence, dating violence, sexual assault, or stalking and is intended to harm, threaten, intimidate, control, stalk, harass, impersonate, exploit, extort, or monitor another person, except as otherwise permitted by law, that occurs using any form of technology, including but not limited to:
- Internet enabled devices
- Online spaces and platforms
- Computers
- Mobile devices
- Cameras and imaging programs
- Apps
- Location tracking devices
- Communication technologies
- Any other emergency technologies
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.

HACN Policy
The PHA will post the following information regarding VAWA in its offices and on its website. It will also make the information readily available to anyone who requests it.

A notice of occupancy rights under VAWA to public housing 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)
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Notification to Applicants and Tenants [24 CFR 5.2005(a)(1)] PHAs are required to inform public housing applicants and tenants of their rights under VAWA, 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.

HACN Policy
The VAWA information provided to applicants and participants 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 2017-08 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.

HACN 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 or by having the victim come to an office or other space that may be safer for the individual, making reasonable accommodations as necessary. For example, the PHA may decide not to send mail regarding VAWA protections to the victim’s unit if the PHA believes the perpetrator may have access to the victim’s mail, unless requested by the victim.

When discussing VAWA with the victim, the PHA will take reasonable precautions to ensure that no one can overhear the conversation such as having conversations in a private room.

The victim may, but is not required to, designate an attorney, advocate, or other secure contact for communications regarding VAWA protections.

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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, stalking, human trafficking, 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, Sexual Assault, 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. The form may be filled out and submitted on behalf of the victim. (2) A federal, state, tribal, territorial, or local police report or court record, or an administrative record
(3) Documentation signed by a person who has assisted the victim in addressing domestic violence, dating violence, sexual assault, stalking, or human trafficking, or the effects of such abuse. This person may be an employee, agent, or volunteer of a victim service provider; an attorney; a mental health professional; or a medical professional. 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 [FR Notice 11/16/16].

HACN Policy
Any request for documentation of domestic violence, dating violence, sexual assault, stalking, or human trafficking will be in writing, will specify a deadline of 14 business days following receipt of the request, will describe the three forms of acceptable documentation, will provide explicit instructions on where and to whom the documentation must be submitted, and will state the consequences for failure to submit the documentation or request an extension in writing by the deadline.

The PHA may, in its discretion, extend the deadline for 10 business days. In determining whether to extend the deadline, the PHA will consider factors that may contribute to the victim’s inability to provide documentation in a timely manner, including cognitive limitations, disabilities, limited English proficiency, absence from the unit, administrative delays, the danger of further violence, and the victim’s need to address health or safety issues. Any extension granted by the PHA will be in writing.

Once the victim provides documentation, the PHA will acknowledge receipt of the documentation within 10 business days.

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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 may also request third-party documentation when submitted documentation contains information that conflicts with existing information already available to the PHA. The PHA must honor any court orders issued to protect the victim or to address the distribution of property. Individuals have 30 calendar days to return third-party verification to the PHA. If the PHA does not receive third-party documentation, and the PHA will deny or terminate assistance as a result, the PHA must hold separate hearings for the tenants [Notice PIH 2017-08].

HACN Policy
If presented with conflicting certification documents 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(e) and by following any HUD guidance on how such determinations should be made. When requesting third-party documents, the PHA will provide contact information for local domestic violence and legal aid offices. In such cases, applicants or tenants will be given 30 calendar days from the date of the request to provide such documentation.

If the PHA does not receive third-party documentation within the required timeframe (and any extensions) the PHA will deny VAWA protections and will notify the applicant or tenant in writing of the denial. If, as a result, the applicant or tenant is denied or terminated from the program, the PHA will hold separate hearings for the applicants or tenants.

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). HUD recommends documentation in a confidential manner when a verbal statement or other evidence is accepted.

HACN Policy
If the PHA accepts an individual’s statement or other corroborating evidence (as determined by the victim) of domestic violence, dating violence, sexual assault, stalking, or human trafficking, the PHA will document acceptance of the statement or evidence in the individual’s file.

Failure to Provide Documentation [24 CFR 5.2007(c)]
In order to deny relief for protection under VAWA, a PHA must provide the individual requesting relief with a written request for documentation of abuse. If the individual fails to provide the documentation within 14 business days from the date of receipt, or such longer time as the PHA may allow, the PHA may deny relief for protection under VAWA.

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16-VII.E. CONFIDENTIALITY [24 CFR 5.2007(b)(4)]
All information provided to the PHA regarding domestic violence, dating violence, sexual assault, stalking, or human trafficking, including the fact that an individual is a victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking, 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.

HACN 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.

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EXHIBIT 16-1: SAMPLE NOTICE OF OCCUPANCY RIGHTS UNDER THE VIOLENCE AGAINST WOMEN ACT, FORM HUD-5380
Housing Authority of the City of Needles
Notice of Occupancy Rights under the Violence Against Women Act1 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 public housing 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 public housing, you cannot be denied admission or denied assistance because you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking.

Protections for Tenants
If you are receiving assistance under public housing, 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 public housing 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. 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.

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Removing the Abuser or Perpetrator from the Household
The PHA 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 the PHA chooses to remove the abuser or perpetrator, the PHA 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, the PHA must allow the tenant who is or has been a victim and other household members to remain in the unit for 30 days, 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, the PHA must follow Federal, State, and local eviction procedures. In order to divide a lease, the PHA may, but is not required to, ask you for documentation or certification of the incidences of domestic violence, dating violence, sexual assault, or stalking.

Moving to Another Unit
Upon your request, the PHA 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, the PHA 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 PHA 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 PHA 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 PHA 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-calendarday period before you expressly request the transfer.

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The PHA 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.

The PHA’s emergency transfer plan provides further information on emergency transfers, and the PHA must make a copy of its emergency transfer plan available to you if you ask to see it.

Documenting You Are or Have Been a Victim of Domestic Violence, Dating Violence, Sexual Assault or Stalking
The PHA 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 the PHA must be in writing, and the PHA 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. The PHA 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 the PHA 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 the PHA 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.
• 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 they believe that the incident or incidents of domestic violence, dating violence, sexual assault, or stalking are grounds for protection.
• Any other statement or evidence that the PHA has agreed to accept.

If you fail or refuse to provide one of these documents within the 14 business days, the PHA does not have to provide you with the protections contained in this notice.

If the PHA 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), the PHA 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, the PHA does not have to provide you with the protections contained in this notice.

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Confidentiality
The PHA 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.

The PHA must not allow any individual administering assistance or other services on behalf of the PHA (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.

The PHA must not enter your information into any shared database or disclose your information to any other entity or individual. The PHA, however, may disclose the information provided if:
• You give written permission to the PHA to release the information on a time limited basis.
• The PHA 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 the PHA to release the information.

VAWA does not limit the PHA’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, the PHA 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 the PHA 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 the PHA can demonstrate the above, the PHA should only terminate your assistance or evict you if there are no other actions that could be taken to reduce or eliminate the threat.

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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 your PHA for violations of these rights and seek additional assistance, if needed, by contacting or filing a complaint with [insert contact information for any intermediary, if applicable] or [insert 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, the PHA must make a copy of HUD’s VAWA regulations available to you if you ask to see them.

For questions regarding VAWA, please contact [insert name of program or rental assistance contact information able to answer questions on VAWA].

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 [Insert contact information for relevant local organizations].

For 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/ourprograms/stalking-resource-center.

For help regarding sexual assault, you may contact [Insert contact information for relevant organizations]
Victims of stalking seeking help may contact [Insert contact information for relevant organizations].

Attachment: Certification form HUD-5382 [form approved for this program to be included] Item 2.

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EXHIBIT 16-2: CERTIFICATION OF DOMESTIC VIOLENCE, DATING VIOLENCE,

SEXUAL ASSAULT, OR STALKING AND ALTERNATE DOCUMENTATION, FORM HUD-5382
CERTIFICATION OF U.S. Department of Housing OMB Approval No. 2577-0286 DOMESTIC VIOLENCE, and Urban Development 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.

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TO BE COMPLETED BY OR ON BEHALF OF THE VICTIM OF DOMESTIC VIOLENCE,

DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING

1. Date the written request is received by victim: _________________________________________

2. Name of victim: ___________________________________________________________________

3. Your name (if different from victim’s):________________________________________________

4. Name(s) of other family member(s) listed on the lease:___________________________________ ___________________________________________________________________________________

5. Residence of victim: ________________________________________________________________

6. Name of the 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):
______________________________________________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________ Item 2.

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EXHIBIT 16-3: EMERGENCY TRANSFER PLAN FOR VICTIMS OF DOMESTIC

VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING
Attachment: Certification form HUD-5382
[Insert name of covered housing provider]
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 emergency transfer from the tenant’s current unit to another unit. The ability to request a transfer is available regardless of sex, gender identity, or sexual orientation. 4 The ability of the PHA to honor such request for tenants currently receiving assistance, however, may depend upon a preliminary determination that the tenant is or has been a victim of domestic violence, dating violence, sexual assault, or stalking, and on whether the PHA has another dwelling unit that is available and is safe to offer the tenant for temporary or more permanent occupancy.

This plan identifies tenants who are eligible for an emergency transfer, the documentation needed to request an emergency transfer, confidentiality protections, how an emergency transfer may occur, and guidance to tenants on safety and security. This plan is based on a model emergency transfer plan published by the U.S. Department of Housing and Urban Development (HUD), the federal agency that oversees that 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 emergency transfer, if the tenant reasonably believes that there is a threat of imminent harm from further violence if the tenant remains within the same unit. If the tenant is a victim of sexual assault, the tenant may also be eligible to transfer if the sexual assault occurred on the premises within the 90-calendar- day period preceding a request for an emergency transfer. 3 Despite the name of this law, VAWA protection is available to all victims of domestic violence, dating violence, sexual assault, and stalking, regardless of sex, gender identity, or sexual orientation. 4 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.

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A tenant requesting an emergency transfer must expressly request the transfer in accordance with the procedures described in this plan.

Tenants who are not in good standing may still request an emergency transfer if they meet the eligibility requirements in this section.

Emergency Transfer Request Documentation
To request an emergency transfer, the tenant shall notify the PHA’s management office and submit a written request for a transfer to any PHA office. The PHA will provide reasonable accommodations to this policy for individuals with disabilities. The tenant’s written request for an emergency transfer should include either:

1. A statement expressing that the tenant reasonably believes that there is a threat of imminent harm from further violence if the tenant were to remain in the same dwelling unit assisted under 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.

Confidentiality
The PHA will keep confidential any information that the tenant submits in requesting an emergency 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 quickly as possible to move a tenant who is a victim of domestic violence, dating violence, sexual assault, or stalking to another unit, subject to availability and safety of a unit. If a tenant reasonably believes a proposed transfer would not be safe, the tenant may request a transfer to a different unit. If a unit is available, the transferred tenant must agree to abide by the terms and conditions that govern occupancy in the unit to which the tenant has been transferred. The PHA may be unable to transfer a tenant to a particular unit if the tenant has not or cannot establish eligibility for that unit.

If the PHA has no safe and available units for which a tenant who needs an emergency 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 attached to this plan.

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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
• 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.

You may also request an emergency transfer to the following programs for which you are required to apply for assistance:
• HCV tenant-based program
• HCV project-based assistance
• Other programs administered by the PHA (such as state housing programs) 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.

Safety and Security of Tenants
Pending processing of the transfer and the actual transfer, if it is approved and occurs, the tenant is urged to take all reasonable precautions to be safe.

Tenants who are or have been victims of domestic violence are encouraged to contact the National Domestic Violence Hotline at 1-800-799-7233, or a local domestic violence shelter, for assistance in creating a safety plan. For persons with hearing impairments, that hotline can be accessed by calling 1-800-787-3224 (TTY).

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/ourprograms/stalking-resource-center.

Attachment: Local organizations offering assistance to victims of domestic violence, dating violence, sexual assault, or stalking.

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EXHIBIT 16-4: EMERGENCY TRANSFER REQUEST FOR CERTAIN VICTIMS OF

DOMESTIC VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING, FORM HUD-5383
EMERGENCY TRANSFER U.S. Department 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.

Item 2.

Housing Authority
of the ACOP 10/01/2024
City of Needles

Page 16 ends

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: ___________________________________________________________________ Item 2.

Housing Authority
of the ACOP 10/01/2024
City of Needles

Page 16 ends

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) ___________________________ Item 2.

Housing Authority
of the ACOP 10/01/2024
City of Needles

Page 16 ends

Item 2.

This agreement is attached and hereby incorporated with the Lease dated_________, between the Housing authority of the City of Needles and ______.

Lease addendum effective on ________.

Tenant desires to keep the following described pet in the dwelling unit:

Type:

Breed:

Approximate Current
Height and Weight
Approximate expected (adult)
Height and Weight
Name:

Tenant must provide the Housing Authority with proof of Spay or Neuter as well providing current Inoculation (vaccination) records, City of Needles licensing records, and color photograph of pet on an annual basis, in conjunction with Tenant’s Reexamination.

Inoculation records received on:

City of Needles Licensing record received on:

Date of Spay or Neuter:

Photo received on:

The pet owner will be required to designate an alternate responsible party for the care of the pet if the health or safety of the pet is threatened by the death or incapacity of the pet owner, or by other factors that render the pet owner unable to care for the pet
Name of Alternate Responsible Party:

Alternate Party Contact Information:

Housing Authority
Of the
City of Needles
Attach Photo Here
Item 2.
1) All pets must be pre-approved and registered by HACN. Pet owners must renew Pet agreement/Lease addendum on annual basis in conjunction with Tenant’s reexamination. 2) Pet owner must pay a nonrefundable pet deposit of $50.00 per pet 3) Limit 2 pets per household
4) Damage to the dwelling unit or project property by the pet or violation of any terms and conditions of the pet lease and/or pet rules may be grounds for revocation of the pet permit and/or termination Tenant shall be responsible for the cost of repairs for any damages caused by pet. 5) Pets must be maintained within the resident's unit. When outside of the unit (within the building or on the grounds) dogs must be kept on a leash or carried. They must be under the control of the resident or other responsible individual at all times.
6) Pets other than dogs or cats must be attended when outside of the unit. 7) Pet owners must observe animal sanitation laws and properly dispose of any pet waste promptly.

A pet waste removal charge of $10.00 per occurrence will be assessed against pet owners who fail to remove pet waste in accordance with this policy in addition to lease violations. 8) The pet owner shall take adequate precautions to eliminate any pet odors within or around the unit and to maintain the unit in a sanitary condition at all times 9) Vicious animals as defined by City ordinance are not permitted on premises. 10) Pet owners must comply with all provisions of City, County, and State codes concerning pet controls including, but not limited to:
10)a. Sanitation Laws
10)b. Leash Laws
10)c. Barking Dog Laws
10)d. Licensing Laws
10)e. Vaccination Laws
11) Each pet owner shall be responsible for adequate care, nutrition, exercise and medical attention for their pet.
12) Each pet owner shall be responsible for appropriately training and caring for their pet 13) Teant agrees to provide their pet with an Identification tag that the Pet will wear all times while on premises
14) Tenant agrees not to breed or allow the pet to reproduce. In the event this should occur, Tenant agrees offspring will be placed within 8 weeks of birth. 15) No pets shall be left unattended for a period in excess of its required needs. 16) Tenant agrees that HACN reserves the right to revoke permission and approval to keep the pet should the tenant break this agreement. In such cases, Tenants will be given 3 days to remove the pet from the premises
Tenant understands and agrees that the rules/regulations incorporated in this agreement are not limited to those listed above. Tenant has received and agrees to read the ACOP Pet Policy and acknowledges this agreement shall be regulated by these policies. Any breach of the policies may be grounds for revocation of pet approval and/or termination of tenancy.

I/We, the undersigned, certify under penalty of perjury that the information provided to Housing Authority of the City of Needles is true and correct, to the best of my knowledge and recollection.

WARNING: Anyone who knowingly submits a false claim or knowingly makes a false statement is subject to criminal and/or civil penalties, including confinement for up to five years, fines, and civil and administrative penalties (18 U.S.C. 287, 1001, 1010, 1012; 31 U.S.C. 3279, 3802).”
___________________________________ ___________________________________ Tenant Signature Date Tenant Signature Date
___________________________________ ___________________________________ Tenant Signature Date Tenant Signature Date
___________________________________
H.A Representative Date
Signature
Item 2.

Page 1 of 14 ends

SECTION I: DESCRIPTION OF THE PARTIES AND UNIT
This agreement is executed between the Housing Authority of the City of Needle (herein referred to as “HACN” or “HA” and _______________ herein referred to as the “tenant” and becomes effective as of __________________ This agreement is executed in accordance with HACN’s approved Admissions and Continued Occupancy Policy (herein referred to as “ACOP”.
(A) Unit: HACN, relying on the representations of Tenant as to Tenant’s income, household composition, and need, leases to Tenant (upon Terms and Conditions set forth in Section I of this lease agreement) the dwelling located at ____________ Needles, CA 92363 (hereinafter referred to as “Unit” or Residence”) to be occupied exclusively as a private residence by tenant and household. The HACN unit number is 0 (B) Household composition: The tenant’s household is composed of the individuals listed below. All members of the Household over age 18 shall execute the lease.

Name Relationship Name Relationship Name Relationship
Any additional occupants to the Unit must be pre-approved by HACN and set forth by Amendment to this Lease, signed and dated by both parties. All non- approved persons are considered unauthorized occupants and may be subject to Lease termination. HACN approval of additional occupants shall be based upon such factors as appropriate dwelling size and suitability including without limitation criminal background information and/or any other applicable standards.

Tenant Initials [________] [________] [________] [________] HACN Representative Initials [________] (C) Term: The term of this lease shall be from _____________ to ____________. Unless otherwise modified or terminated in accordance with Section XII, this lease shall automatically be renewed for successive terms of one calendar year, upon completion each annual reexamination.

Housing Authority
Of the
City of Needles
Item 2.

Page 2 of 14 ends

SECTION II: PAYMENT OF RENT DUE UNDER THE LEASE
(A) Rent Monthly rent is payable on or before the first day of each calendar month and must be paid by Check or Money Order. For security reasons, no cash will be accepted at any time. Payment of rent may be made to Housing Authority of the City or Needles, or HACN, at 908 Sycamore Drive Needles, CA 92363. Rent payments can be made in person at the above address during regular business hours Monday-Thursday between the hours of 9:00am4:00pm, excluding holidays. After hours payments may be deposited to the rent slot in the office door or mail slot located to the right of the office door
(A)1 If rent is not paid in full by the end of business on the 5th day of each calendar month, Tenant shall incur a late fee charge of $25.00. Tenants who fail to pay monthly rent by the 5th of each calendar month are delinquent. Being delinquent in rent payment more than 3 times during a 12-month period shall be a material breach of this lease.
(A)2 HACN shall collect a fee in the amount charged to the HA by the bank anytime a check is not honored for payment. In such cases HACN will no longer accept checks from Tenant for rent payment and tenant will be required by money order each month thereafter.

The initial rent (prorated for partial month), if applicable, shall be $_______, for the period of ____________ to _____________ and is due at the time of execution of this lease.

Thereafter rent shall be $________ beginning __________.

In cases of hardship, a plan to temporarily pay monthly rent in two installments, or to temporarily extend the payment due date may be made with prior written approval of HACN. (B) Security Deposit: At the time that Tenant signs this lease is executed, he/she will also pay to the H.A. a Security Deposit of $200.00. After this dwelling lease is "terminated", the H.A. has the right to apply such amounts from the Security Deposit as are reasonably necessary to remedy any damages suffered or incurred by the H.A. due to any of the following: Tenant's nonpayment of rent, or any Other Charges or Excess or Additional Utilities Charges hereunder; damage to the Unit or the Complex caused by Tenant, Tenant's household members or guests or visitors, and which exceeds normal wear and tear; and the H.A.'s expenses in cleaning the Unit which exceeds normal wear and tear after Tenant vacates the Unit. The Security Deposit may not be used to pay rent or other charges while Tenant occupies the dwelling unit. After Tenant vacates the Unit, the refundable amount (if any) of the Security Deposit will be returned and (unless the entire Security Deposit is returned) a written itemization of costs, charges or expenses or damages incurred, and the disposition of the Security Deposit will be mailed to Tenant's forwarding address upon completion of any repairs or renovations required. If such costs, charges or expenses or damages exceed the amount of the Security Deposit, Tenant will immediately pay the difference and shall remain obligated for such excess charges, expenses or damages after any termination of the Rental Agreement. If tenant vacates the unit and owes a balance for any of the above reasons, he/she will not be eligible for re-admission to this, or any other housing program administered by HACN until all outstanding charges have been paid in full. Tenants must return all keys to HA by close of business on the date they vacate the unit.

Tenant Initials [________] [________] [________] [________] HACN Representative Initials [________] Item 2.

Page 3 of 14 ends

SECTION III: UTILITIES AND APPLIANCES
(A) The following utility service(s), when applicable, and appliances will be furnished by HACN without additional costs to tenant:

Water
(Basic service charge only)
Sewer Trash Stove Refrigerator
(B) Tenant will pay for the water usage charges, billed to the tenant on a monthly basis. It is the responsibility of the Tenant to obtain services for all other utilities in his/her own name with local utility suppliers within 10 business days of execution of lease. Failure to obtain and maintain utility service is a material breach of this Lease. (C) An allowance for utilities shall be established, appropriate for the size and type of dwelling unit, for utilities Tenant pays directly to the utility supplier. This allowance is revised annually and will be posted at the HA site office and incorporated into this lease by reference.
(C)1 If the Utility Allowance exceeds the Total Tenant Portion, HACN will pay the Tenant a Utility Reimbursement, which will be applied as a credit to the Tenant account monthly.

SECTION IIII: OTHER CHARGES
(A) Tenant shall pay the reasonable charges ("Other Charges") for maintenance related repairs beyond normal wear and tear for repair or damage to the Unit or for unauthorized alteration to the Unit or common areas caused by Tenant, other household members or guests. Tenant shall also reimburse HACN for any utility related services incurred while the Tenant is in possession of the Unit (“Utility Charges”). Other Charges shall be billed to Tenant and will specify damaged items, corrective action taken and cost of labor and/or materials to correct damages. The cost of repairs will be based upon the Schedule of Other Charges provided to each Unit and which is posted in the H.A. Site Office and incorporated into this Lease by reference. Other Charges and Utility Charges will be due within 14 business days of receiving an invoice. The failure of Tenant to pay Other Charges and Utility Charges when due will constitute a material breach of the Lease.
(B) The H.A. will accept payment of Other Charges separately or included in payments of rent owed by Tenant. All Other Charges will be considered additional rent and the failure of Tenant to pay Other Charges when due will constitute a breach of the rental agreement.

SECTION V: REDETERMINATION OF RENT
(A) Once a year, or more frequently from time to time as requested by the H.A., Tenant must provide the H.A. with a true and complete written certification of all family income, including anticipated income from all sources, family composition, and any other information deemed pertinent by the H.A., which will be reviewed by the H.A., and used to make determination whether the rent being paid should be changed and/or if Tenant is still eligible for continued occupancy. If family composition changes require a change in unit size, Tenant agrees to transfer to an appropriate size dwelling unit based on family composition. If Tenant refuses or fails to transfer to an appropriate size dwelling unit based on family composition (except for good cause refusal as set forth in the ACOP), such refusal shall be a material breach and H.A. may terminate the Lease.

Each review and redetermination of rent and occupancy (reexamination) will be made in accordance with the ACOP.

The failure of Tenant to provide the aforementioned information and not complete a reexamination when due will constitute a material breach of the Lease.

Item 2.

Page 4 of 14 ends

(A)1 Reexamination will occur Annually on or about the same date of program admission during Tenant's occupancy. If Tenant or Tenant’s household does not provide HACN the written verification as to all items requested as described above, or execute authorization to release such items, within ten (10) business days of H.A's request, or if Tenant or Tenant's household misrepresents any material fact or omits or fails to state any material fact therein, then Tenant will have materially breached this Lease. (A)2 H.A may begin processing the Annual Reexamination prior to making a determination of whether or not to renew Tenant’s Lease. H.A’s action to begin the Reexamination shall not be deemed a waiver by HACN of its right to either terminate or refuse renewal of a Tenant’s Lease in accordance with Section XII herein.
(A)3 Any rent adjustment required as a result of the Reexamination will be effective thirty (30) days after service of a Notice of Lease Amendment. The Tenant may ask for an explanation stating the specific grounds of H.A.’s determination. The tenant shall have the right to request a hearing under HACN’s grievance procedure if the Tenant does not agree with the determination. (B) INTERIM REEXAMINATIONS
(B)1 The monthly rent described Section II of this Lease as adjusted pursuant to the latest Reexamination described in subparagraph (A) above, will remain constant for the period between Reexaminations, unless during such a period any of the following "Changes in Circumstance" occur:
(B)1.a There is a loss of head of household (Tenant) due to death, abandonment, separation, divorce or other continuing circumstances. In such event the Lease shall terminate, and a new Lease shall be executed by a responsible, residual adult family member deemed legally eligible by the ACOP.
(B)2.b There is a loss of any person(s) other than head of household, whose name is listed in whose name is listed in Section II (B) as a household member. (B)1.c There is an addition of a member of the household who is 18 years of age or older, by marriage, remarriage, cohabitation or otherwise, and the additional member is added to the Lease in accordance with H.A. policy.
(B).1.d Tenant can show a change in his/her family circumstances (such as change in income) or other similar circumstances

A TRUE AND COMPLETE STATEMENT OF ALL CHANGES MUST BE REPORTED TO MANAGEMENT WITHIN 10 BUSINESS DAYS OF THEIR OCCURRENCE.

ANY FAILURE BY TENANT TO DO SO OR ANY MISREPRESENTATION OF ANY SUCH CHANGES WILL BE A MATERIAL BREACH OF THE LEASE.
(B)2 If, upon verification of a Change in Circumstances, HACN determines that Tenant's monthly rent does not conform to regulatory requirements, an adjustment in the monthly rent will be made. Interim adjustments in the monthly rent will be effective as follows:
(B)2.a Any decrease in rent will be effective on the first day of the calendar month following the month in which a Change in Circumstances was reported.

Item 2.

Page 5 of 14 ends

(B)2.b Any increase in rent will be effective on the first day of the second calendar month following the month in which the Change in Circumstance occurred. (B)2.c No interim increase or decrease in rent will be made until all the information for making the determination has been verified by H.A.
(C) Retroactive Rent and Failure to Disclose Income
The Tenant has an obligation to report if there is an additional source of income for any eligible family member, and/or income or the addition of a family member to the household within 10 business days. Failure to disclose the aforementioned information is a material breach of the Lease. If the Tenant or a member of his/her household misrepresents facts, omits any pertinent information, or fails to inform the H.A. of information it required for an annual reexamination or interim rent adjustment and these failures result in a lower rent than should have been charged, HACN, in its sole discretion, may terminate the Lease for a material breach and/or may make the rent increase retroactive to the date it would have been effective. Any resulting retroactive rent must be paid by the Tenant according to the terms of the Repayment Agreement. In addition to collecting the retroactive rent and/or terminating Lease Agreement, HACN may pursue any additional actions allowable under Federal, State or local law. (D) Notice
The H.A. will mail or deliver a "Lease Amendment Notice" to Tenant at the Unit in accordance with Section XI of this Lease in the event the monthly rent payment is increased or decreased pursuant to this Section V.

Section VI: TENANT’S OBLIGATIONS
Violation of this section may result in termination of this Lease Agreement. Tenant agrees:
(A) To refrain from, and to assure that household members and guests refrain from the following behavior and criminal activity:
(A)1 creating or maintaining a threat to the health and safety of other residents and their guests, HACN’s employees and affiliates, or the public, or engaging in illegal or offensive behavior. (A)2 To refrain from and to assure household members and guests refrain from engaging in drug-related criminal activity on or off the Housing Development premises. (A)3. To refrain from and to assure household members and guests refrain from illegal or other activity which impairs the physical or social environment of the Housing Development Tenant understands and acknowledges that committing any of the acts described in this subparagraph (A) is a material breach of this Lease and that HACN may proceed with termination of the Lease for any such violation on three (3) days’ notice.

Tenant Initials [________] [________] [________] [________] HACN Representative Initials [________] (B) To immediately notify the H.A. of any changes to household circumstances, including but not limited to change of household composition, income, assets, criminal history, and any other changes that may affect eligibility. Tenant must report such changes in writing, within 10 business days of their occurrence. In the event a household member is no longer residing in the unit, Tenant shall continue to be responsible for the actions of said household member until the H.A. has been notified in writing of the change and the household member is removed from the Lease. (C) To promptly report to the H.A., and obtain H.A.'s approval for, the presence of any guest or visitor, not identified in Section I as a member of Tenant's household, when overnight guests will be staying for more than 3 Item 2.

Page 6 of 14 ends

days. Guest approval is subject to a ‘soft’ background check to ensure the safety of HACN residents. This ‘soft’ check will include search of all available Sex Offender data bases. Approval will be at the sole discretion of the HA.

A guest can remain in the unit no longer than 14 consecutive days or a total of 30 cumulative calendar days during any 12-month period. Former Tenants who have been evicted are not permitted as overnight guests. (C)1 The use of the unit address for any purpose by a non-household member is not permitted (D) To refrain from and to assure household members or guests refrain from interfering with the job responsibilities of authorized vendors, service personnel, HACN personnel or other representatives or affiliates of HACN. (E) To use the Unit solely as a private dwelling for Tenant and Tenant's household members and not to use, or permit use, for any other purpose, except for a home occupation if authorized in writing by the H.A. Authorization for a home occupation shall be in the sole discretion of the H.A. pursuant to the standards set forth in the ACOP.

Tenant may provide reasonable accommodations for Tenant's guests, foster children or live-in caretaker for a member of Tenant's household, except that Tenant must obtain written permission of the H.A. prior to giving accommodations to foster children or live-in caretaker. Tenant is responsible for foster children and/live-in caretakers who shall refrain from drug-related criminal activity and/or violent criminal activity or other activity which impairs the physical or social environment of the Housing Development, or which disturbs other Residents' peaceful enjoyment of their Residence or the Housing Development. (F) To physically occupy the dwelling unit as the Tenant's primary place of Residence. Although a Tenant continues to pay rent and utilities, a Tenant may not be absent from the Unit for longer than 30 consecutive days, or 180 days if the absence is due to verified medical reasons without losing his/her rights to tenancy to the Unit. A Tenant who plans to be or is absent from his/her unit for longer than 30 days must inform the H.A. to avoid lease termination.

Tenant may request in writing to have a longer absence approved. (G) Not to assign any interest in this Lease or to sublet or transfer possession of all or any portion of the Unit. (H) Not to provide accommodations to paid boarders or lodgers. (I) To refrain from and to assure household members and guests refrain from harassing other residents, authorized vendors, service personnel or representatives of the H.A (J) To conduct himself/herself and to assure household members and guests conduct themselves in a manner that will not disturb his/her neighbor’s peaceful enjoyment of their residences and the common areas of the Housing Development, and will be conducive to maintaining the Housing Development in a decent, safe and sanitary condition
(J)1 That upon receiving written notice of a banned individual from the H.A., Tenant and/or household members shall not permit a banned individual on Housing Development premises and/or the Tenant’s Unit.

Tenant Initials [________] [________] [________] [________] HACN Representative Initials [________] (K) To abide by all necessary and reasonable rules and regulations established the benefit and well-being of the Housing Complex in which the Unit is located, and the other tenants, which rules, and regulations will be posted in the H.A.'s site office and are incorporated into this Lease by this reference. Such rules and regulations may be modified from time to time.
(L) To comply with all obligations imposed upon Tenants by applicable provisions of local, state, and federal building and housing codes which materially affect health and safety (L)1 Any Tenant owned Fire Extinguisher are the personal property of the Tenant and is the responsibility of the Tenant. HACN shall not be responsible if it is damaged or if the certification has expired. (M) To observe and to cause Tenant's household and guests to observe the speed limit on the project streets (N) To refrain from and to assure household members and guests refrain from defacing, painting, damaging, destroying or removing any part of the Unit or Housing Development and pay reasonable charges (other than normal wear and tear) for the repair of damages to the unit, Housing Project buildings, facilities, or common areas, which Item 2.

Page 7 of 14 ends

are caused by Tenant, his/her household members or guests, according to the Schedule of Other Charges referred to in Section IIII(A).
(N)1 Tenant acknowledges, and HACN certifies that the unit is equipped with one or more smoke alarms and one carbon monoxide alarm and that the smoke alarm, and carbon monoxide alarm if applicable, has been tested and are operable at this time. It is the Tenant’s responsibility to test the smoke alarm(s), and carbon monoxide alarm if applicable, at least every six (6) months, contact the Housing Authority immediately upon discovery of dead or weak batteries, and notify the Housing Authority in writing of operating deficiencies. Because a disabled smoke or carbon monoxide alarm represents a very serious threat to the lives of the household and neighbors, Tenant, occupants, and guests may not remove or tamper with functioning smoke and/or carbon monoxide alarm(s), including but not limited to, disabling it by removing working batteries and housing authority may charge a fee of $150.00 upon discovery of such conduct and terminate this Agreement.
(O) To refrain from permitting his/her children, children of household members and guests from playing on fences, roofs, trees and shrubbery in the public housing project (P) To make no major repairs, alterations, or additions without the prior written consent of the H.A. which consent the H.A. may withhold in its sole discretion and to make no repairs at the cost of the H.A., as permitted by California Civil Code Section 1942, without first giving the H.A. notice and a reasonable time to commence repairs as provided by California Civil Code Section 1942. Any repairs made by Tenant will be in accordance with California Civil Code Section 1942.
(Q) To keep the Unit, yards, patios, and such other areas as may be assigned to the Tenant for his/her exclusive use, in clean and safe condition, and to promptly notify the H.A. whenever repairs to his/her Unit are required (Q)1To use only in a reasonable manner all electrical, plumbing, sanitary, heating, ventilating, airconditioning and other facilities and appurtenances. (Q)2 To dispose of all garbage, rubbish, ashes, and other waste from the dwelling unit in a sanitary and safe manner.
(Q)3 To maintain the Unit in a clean and sanitary manner and immediately notify the HA of the presence of bed bugs, roaches, or similar pest and abide by HACN pest control policies as specified in the Pest Control Lease Addendum.
(R)Not to keep any pets inside or outside the Unit without the prior written authorization of the H.A., in which case the H.A. and Tenant shall sign a Pet Agreement as an Addendum to this Lease. (R)1 Pets not owned by a tenant are not allowed on the premises. (R)2 Any animals on the premises not approved by HACN will be presumed to be stray and will be treated as such. Should an unapproved animal be found to reside in Tenant’s unit, HACN will require immediate removal of the animal and may be considered a material breach of this Lease. (R)3 Tenants are prohibited from feeding or harboring stray animals/birds.

Tenant Initials [________] [________] [________] [________] HACN Representative Initials [________] (S) To park only in areas designated for Tenant's parking and to ensure that guests and visitors do not park in parking areas of other Tenants of the housing complex.
(S)1 To refrain from keeping trailers and non-operating vehicles and/or parts on the premises (S)2 To refrain from and to cause household members and guests to refrain from using project lawns, sidewalks, and parking areas for the washing, servicing or repair of vehicles. (T) Not to display on or about the Unit or Housing Complex any advertisement for goods or services without the prior written consent of the H.A., which approval may be withheld at the H.A.'s sole discretion Item 2.

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(U) To pay promptly any utility bills for utilities supplied to Tenant by a direct connection to the utility company, and to avoid disconnection of such utilities.
(V) Abide by the following lease addendums and policies hereby incorporated this lease:

Pest Control [___] Mold and Mildew [____ ]Non-Smoking [____] Community Service [____] Occupancy Rules and Regulations [____] Pet agreement (if applicable) [____] Live-in aid (if applicable) [____] SECTION VII: Housing Authority Obligations
Subject to the obligations of Tenant hereunder, including, without limitation, the obligation to pay rent and to maintain the Unit in clean and sanitary manner, the H.A. agrees:
(A) To maintain the Unit and the complex in a decent, safe, and sanitary condition. (B) To comply with requirements of applicable building and housing codes and U.S. Department of Housing and Urban Development regulations materially affecting health and safety. (C) To make necessary repairs to the Unit.
(D) To keep Housing Development buildings, facilities and common areas not reserved for the exclusive use of the Tenant in a clean and safe condition.
(E) To maintain in good and safe working order and condition electrical, plumbing, sanitary, heating, ventilating and other facilities and appliances supplied or required to be supplied by the H.A. (F) To provide and maintain appropriate receptacles and facilities (except containers for the exclusive use of Tenant and his/her household) for the deposit of garbage, rubbish and other waste which must be removed from the Residence by Tenant as provided in subsection 6(I).
(G) To supply running water and reasonable amounts of hot water as required. (H) To publicly post in a conspicuous manner in the H.A. site office, all rules and regulations and schedules incorporated by reference in this Lease, and to furnish copies thereof to Tenant on request, at a reasonable charge per each page.
(I) To offer Tenant a choice to select an income-based rent or a flat rent.

IT IS EXPRESSLY UNDERSTOOD THAT NEITHER THE H.A. NOR ANY OF ITS REPRESENTATIVES

SHALL BE LIABLE FOR DAMAGE OR LOSS FROM THEFT OR FROM ANY OTHER CAUSE WHATSOEVER.

Item 2.

Page 9 of 14 ends

SECTION VIII: HAZARDESS DEFECTS
Tenant agrees to take every precaution to prevent fires, to not store gasoline, solvent, paper, cardboard or other flammable or combustible materials or substances in the Unit and to supervise his/her children to ensure that they do not play with incendiary devices, and agrees to promptly notify the H.A. of the existence of any of the foregoing conditions in the Unit, and upon Tenant's knowledge thereof, in the surrounding Units and common areas of the housing complex. In the event the Unit is damaged such that conditions are created which are hazardous to the life, health, or safety of the occupants of the Unit.

Tenant Initials [________] [________] [________] [________] HACN Representative Initials [________] (A) Tenant shall immediately notify the H.A. of the damage (B) The H.A. shall be responsible for repair of the Unit within a reasonable time, provided that if the damage was caused by Tenant, a member(s) of his/her household or Tenant's guest(s), the reasonable cost of the repairs will be charged to Tenant and the H.A. may terminate the rental agreement as provided in Paragraph 11(E). (C) The H.A. will offer standard alternative living accommodations, if available, when necessary repairs cannot be made within a reasonable time; provided, however, that if it is determined that the damage was caused by Tenant, a member(s) of his/her household or Tenant's guest(s) and the H.A. elects to terminate the rental agreement, the H.A. shall not be required to offer alternative accommodations; and (D) Rent will be reduced in proportion to the seriousness of the damage and loss in value of the Unit as a dwelling in the event repairs are not made by the H.A. within a reasonable time or alternative accommodations are not provided when required (except that rent will not be reduced if Tenant rejects the alternative living accommodations or if the damage was caused by Tenant, a member of Tenant's household or a guest). (E) Any insurance or self-insurance maintained by landlord is solely for the benefit of landlord and not for the benefit of tenant.

SECTION VIIII: INSPECTIONS
(A) Prior to the time the Tenant begins to live in the Unit, and prior to the time Tenant vacates the Unit, a representative of the H.A. and Tenant (or his/her representative) will inspect the Unit, unless Tenant has vacated the Unit without notice to the H.A., in which case the H.A. may perform an inspection without prior notice to Tenant.

Tenant has the right to request an amendment to the inspection statement within seven (7) days after taking possession of the Unit if defects are discovered which existed prior to occupancy and were not noted during the original inspection and which did not occur as a result of any fault of Tenant, a member of his/her household or guest. With respect to the Pre-Termination Inspection: Tenant will be given a statement of the condition of the Unit and the appliances and/or furniture and any other charges to be paid by Tenant pursuant to Section 4. (B) The HACN shall give the Tenant at least 48 hours written notice of inspection SECTION X: ENTRY OF PREMISES DURING TENANCY
Tenant agrees the H.A. is entitled to enter the Unit as follows:
(A) At any time without advance notification to Tenant when there is reasonable cause to believe that an emergency exists.

Item 2.

Page 10 of 14 ends

(B) Tenant agrees that the duly authorized agent, employee, or contractor of the HACN shall be permitted to enter the Unit during reasonable hours for the purpose of performing routine maintenance, making improvements or repairs, inspecting the unit, or showing the unit for re-leasing. Tenant also agrees that the HACN, or its duly authorized agent, employee, or contractor may take photographs inside the Unit while conducting official HACN business.
(C) Pets must be accompanied by Tenant or responsible person designated by Tenant for performance of repairs or inspections, unless alternative arrangements have been made with HACN. (D) The HA will enter the unit to change the HVAC filter on the 3rd Tuesday of each month, known as ‘Filter Day’. The HA will enter the unit in the event the Tenant is not present. HACN will bill to recoup the price of filters to each tenant monthly.

Tenant Initials [________] [________] [________] [________] HACN Representative Initials [________] (B) HACN Obligations:
(B)1 HACN shall enter only at a reasonable time.
(B)2 HACN may enter the Unit at any time without advance notification when there is reasonable cause to believe that an emergency exists
(B)3 In the event the Tenant and all adult (i.e., over age 18) members of his/her household are absent from the Unit at the time of entry, the H.A. will leave at the Residence a written statement specifying the date, time and purpose of the entry into the Unit prior to leaving the Residence.

SECTION XI: LEGAL NOTICES
(A) Any notice required or desired to be given by the H.A. to Tenant will be sufficient if:
(A)1 Delivered in writing to Tenant personally; or
(A)2 Delivered in writing personally to an adult member of his/her family living in the Unite; or (A)3 Sent by first-class mail, postage prepaid, properly addressed to Tenant at the Unit; or (A)4 In the case of notice of proposed changes in rules, regulations, procedures or schedules referred to in Section 14, the H.A. may, as an alternative to any of the notice provided in (1), (2) or (3) above, post such notice in at least three (3) conspicuous places within the structure or building in which the Residence is located, as well as in a conspicuous place in the H.A. office. (B) Any notice to the H.A. from Tenant must be in writing and must either be delivered or sent by first class, postage prepaid mail which is properly addressed to the H.A.'s on-site office at 908 Sycamore Drive, Needles, CA 92363.
(C) Notices given as provided above shall be deemed effective on the date personally delivered or posted or mailed. (D) Notices to perform covenant or quit shall be given a 3 day time frame to remedy violations SECTION XII: TERINATION OF LEASE/NONRENEWAL OF LEASE
(A) This lease may be terminated by Tenant at any time by giving thirty (30) days written notice to the H.A. in the manner specified in Section 11. Tenant agrees to leave Unit in clean and good condition, reasonable wear and tear excepted, and to return the keys to HACN when Tenant vacates the Unit. If Tenant fails to give Item 2.

Page 11 of 14 ends

proper notice, Tenant will be responsible for payment of thirty (30) days rent from the date notice is given, or keys are returned, or the date the vacant unit is discovered by the H.A. If Tenant transfers to another HACN operated dwelling unit, unpaid rent balance and/or other charges under this Lease must be paid prior to effective date of new Lease. Exceptions may be made at the sole discretion of the H.A. (B) This Lease shall terminate upon the death of the Tenant. (C) This Lease shall terminate upon abandonment of the Unit by Tenant. (D) Tenant understands that failure to comply with the terms of this lease may result in the termination of this Agreement. This lease may be terminated by the Landlord at any time for serious or repeated violations of material terms of the lease, or for other good cause.

Examples of serious or repeated violations of terms shall include but not be limited to:
(D)1 Payment failures such as:
(D)1.a Failure to pay rent or other payments due under the Lease. (D)1.b Repeated late payment, which shall be defined as failure to pay the amount of rent or other charges due by the fifth of the month. Three (3) such late payments within a 12-month period shall constitute repeated late payments. (D)1.c Failure to pay utility bills when Tenant is responsible for paying such bills directly to the supplier of utilities
(D)2 Violation of Tenant’s obligations as described in Section V and VI of the Lease (D)3 Other good cause (such as repeated violation of any terms, material, or non-material, of this Lease). (E) If the H.A. desires to terminate the Lease, the H.A. shall give Tenant written notice of termination, which will require that Tenant vacate the premises in the time shown as follows:
(E)1 Fourteen (14) days in the case of failure to pay rent:
(E)2 Three (3) days or less, if necessary, if Tenant, a member of his/her household or a visitor or guest creates or maintains a clear and immediate threat to the health or safety of other tenants, H.A. employees or the public, or if Tenant, a member of his/her household or a visitor or guest engages in any illegal criminal activity, drug activity in or near the public housing project; and (E)3 Thirty (30) days in all other cases.
(F) HACN may terminate this Lease prior to its expiration or at any time only for good cause which includes, but not limited to
(F)1 Failure to comply with the Community Service Requirement, (F)2 Tenant's violation of any material term of the Lease, (F)3 Violation of Tenant's obligations as described in Section 6 of this Lease, Item 2.

Page 12 of 14 ends

(F)4 Repeated or and/ or continuous violation of any terms, material or non- material, of this Lease. (F)5 Termination due to the creation or maintenance of a threat to the health or safety of other tenant's, H.A.'s employees or the public
(F)6 Illegal drug activity, or criminal activity
(G) A Tenant shall not be entitled to utilize the grievance procedure in case of termination of this Lease or eviction of Tenant under the Unlawful Detailed laws of the State of California due to the creation or maintenance of a threat to the health or safety of other tenants, H.A.'s employees or the public, or involvement in any illegal criminal or drug activity, by Tenant, a member of his/her household, visitors or guests under the tenant's control.
(H) This Lease shall terminate if no remaining family member in the household is a U.S. Citizen or an eligible immigrant.
(I) This Lease shall terminate if a household has an income that is over 120 percent of the Area Median Income (AMI) for the most recent two (2) consecutive years; the LACDA shall terminate the family’s tenancy within 6 months after the two (2) consecutive years.

Tenant Initials [________] [________] [________] [________] H.A. Representative Initials [________] SECTION III: TENANT RIGHTS UNDER VIOENCE AGAINST WOMEN’S ACT (VAWA) (A) Being a victim of domestic violence, dating violence, sexual assault or stalking, engaged in by a member of the Tenant’s household or any guest or other person under the Tenant’s control is not by itself a cause for termination under Paragraph 6 of this Lease Agreement.
(B) Criminal activity directly relating to domestic violence, dating violence, sexual assault or stalking that is engaged in by a member of the Tenant’s household or any guest or other person under the tenant’s control, shall not be cause for termination of the tenancy, if the Tenant, or affiliated individual of the Tenant is a victim of that domestic violence, dating violence, sexual assault or stalking. (C) HACN may remove a member of the household from the lease, without regard to whether the member is a signatory to the lease, in order to evict, remove, terminate occupancy rights, or terminate assistance to any individual who is a tenant or authorized member and who engages in criminal acts of physical violence against the Tenant or other authorized members or against others, without evicting, removing, terminating assistance to or otherwise penalizing the victim of such violence who is also a tenant or authorized member. (D) HACN maintains the right to evict Tenant or authorized member of the Tenant’s household, including a victim of domestic violence, for any violation of this Lease not premised on the act or acts of domestic violence in question.
(E)HACN maintains the authority to terminate if it can demonstrate that the Tenant, authorized members of the Tenant’s household, any guest or other person under the Tenant’s control, are causing an actual and imminent threat to other Residents, HACN employees and affiliates, or persons residing in the immediate vicinity of the Premises.
(F) Once HACN is notified, H.A. retains authority to honor court orders relating to the rights of access to or control of the property, including civil protection orders (i) issued to protect the victim and (ii) issued to address the distribution or possession of property among the family members in cases where a family breaks up.

Item 2.

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SECTION XIIII: ATTORNEY FEES
Tenant agrees to pay Attorney's fees in the event court action is required to enforce any terms and condition of the Rental Agreement by the H.A., provided Tenant does not prevail in said court action.

SECTION XV: GRIEVANCE
Except as provided in Section 11 (F) and (G), all grievances or appeals arising under this Lease, shall be processed and attempted to be resolved pursuant to the grievance procedure which is in effect at the time of such grievance or appeal, prior to the H.A. commencing any eviction action. This grievance procedure shall be posted in the H.A. Office, and a copy provided to each Tenant, and is incorporated herein by this reference.

SECTION XVI: MODIFICATIONS OR CHANGES
Modification of this Lease shall be by written rider executed by both parties, except for changes in rent made pursuant to Section V or changes or amendments set forth below. HACN may, from time to time, make changes or amendments in the Utility Allowance, Schedule of Other Charges, and any and all other rules, regulations, schedules or procedures (including grievance procedures) herein or affecting the Lease and any and all such changes and amendments (subject to compliance with the notice procedure specified below) shall become part of this Lease. Prior to any change or amendment becoming effective HACN shall provide at least thirty (30) days written notice to Tenant setting forth the proposed change or amendment, the reasons therefore, and providing Tenant an opportunity to make written comments. This notice shall be served on Tenant as set forth in Section 11
SECTION XVII: NO WAIVER
Notwithstanding any conduct or custom on the part of the H.A., the failure of the H.A. to enforce any of the H.A.'s rights under this Lease shall not be construed as having created a custom in any way contrary to the specified terms of this Rental Agreement or as having in any way modified this Rental Agreement or as having constituted a waiver of any of the H.A.'s rights or obligations under this Rental Agreement.

SECTION XVIII: REGISTERED SEX OFFENDER NOTICE
Pursuant to Section 290.46 of the Penal Code, information about specified registered sex offenders is made available to the public via an Internet Web site maintained by the Department of Justice at www.meganslaw.ca.gov. Depending on an offender’s criminal history, this information will include either the address at which the offender resides or the community of residence and ZIP Code in which he or she resides
Item 2.

Page 14 of 14 ends

___________________________________ ___________________________________ Tenant Signature Date Tenant Signature Date
___________________________________ ___________________________________ Tenant Signature Date Tenant Signature Date
___________________________________
H.A Representative Date
Signature
I/We, the undersigned, certify under penalty of perjury that the information provided to Housing Authority of the City of Needles is true and correct, to the best of my knowledge and recollection.

City of Needles, California
Request for City Council Action
CITY COUNCIL NPUA Regular Special
Meeting Date: October 8, 2024
Title: Authorize the City Manager to execute the California Colorado River Contractors Forbearance Agreement for 2024-2026 with Coachella Valley Water District, Imperial Irrigation District, Palo Verde Irrigation District and the Metropolitan Water District of Southern California to allow water to be conserved under the U.S. Bureau of Reclamation’s conservation program to be added to Lake Mead
Background: Staff seeks authorization for the City Manager to enter into an agreement to allow water to be added to Lake Mead according to funding provided by the U.S.

Bureau of Reclamation’s (Reclamation) Lower Colorado Conservation Program (LC Conservation Program).

This agreement demonstrates how multi-agency partnerships can benefit the Colorado River. Staff specifically seek authorization to enter the following agreements: A forbearance agreement among Metropolitan, Palo Verde Irrigation District (PVID), Imperial Irrigation District (IID), Coachella Valley Water District (CVWD), and the Metropolitan Water District of Southern California that will cover conservation actions taken by CVWD and IID under the LC Conservation Program in 2024, 2025, and 2026.

The LC Conservation Program
The 2021 Bipartisan Infrastructure Law and the 2022 Inflation Reduction Act both seek to fund water management and conservation efforts to relieve drought conditions in the Western United States, with a focus on the Colorado River. The Department of the Interior, through Reclamation, created the LC Conservation Program to increase system conservation and efficiency opportunities to address the drought in the Lower Colorado River Basin. Similar conservation programs are being developed in the Upper Colorado River Basin. The LC Conservation Program provides funding opportunities for voluntary participation to increase system conservation.

A total of six conservation agreements have been or are being developed in California under Bucket 1 of the LC Conservation Program to help California conserve 400,000 AF of water annually from 2023–2026.

A forbearance agreement among Metropolitan, PVID, IID, CVWD, and the City of Needles is needed to cover conservation from all six conservation agreements from 2024-2026. Forbearance is necessary for these actions because, under the California priority system, Colorado River water conserved by a higher-priority user is available to the next lower-priority user. Thus, as part of a program to fund the conservation of Colorado River water, contractors need to agree to forbear exercising their rights to ensure that the conserved water remains in the Colorado River system rather than becoming available to the next lower-priority user. Before entering into any forbearance agreement, City and Legal staff will review the underlying agreements between Reclamation and the contractors to ensure that City of Needles's rights as the senior priority in California are protected.

Item 4.

First, forbearance is needed for an agreement between Reclamation and CVWD to fund a reduction in groundwater replenishment by up to 35,000 acre-feet per year in 2024 and 2025 at $400 per acrefoot.

Second, forbearance is needed for an agreement between Reclamation and CVWD to fund agricultural conservation from 2024–2026 at $400 per acre-foot. Under the agreement with CVWD, up to 10,000 acre-feet of conserved water from a new agricultural conservation program will be left in Lake Mead as system water each year. The new conservation program currently covers full-season fallowing and retirement of permanent crops.

Third, forbearance is needed for an agreement being developed between Reclamation and IID to fund agricultural conservation from 2024-2026 at a rate that is based on the rate paid by SDCWA to IID for SDCWA’s transfer supplies. Under the proposed agreement, IID would conserve and leave in Lake Mead as system water, up to 300,000 acre-feet per year with a three-year cumulative maximum of 700,000 acre-feet. This conserved water could come from IID’s existing on-farm conservation program, a new deficit irrigation program, or an updated farm-unit fallowing program. IID’s board approved a supplemental payment to their existing On-Farm Efficiency Conservation Program to incentivize increased conservation savings from the existing on-farm program. IID’s board also approved the implementation of a new deficit irrigation program where farmers would cease irrigation on alfalfa, bermuda, or klein grass for a period of 45–60 days. The Board of Public Utilities approved the recommended action on October 1, 2024.

Fiscal Impact: The proposed forbearance agreement has no impact on the City of Needles
Environmental Impact: With the forbearance of these three additional conservation programs, over 800,000 AF of water will be added to Lake Mead over three years, increasing elevation by approximately 10 feet. All parties benefit from increased Lake Mead elevation, power generation, and reliability of Colorado River water supplies.

Recommended Action: Authorize the City Manager to execute the California Colorado River Contractors Forbearance Agreement for 2024-2026 with Coachella Valley Water District, Imperial Irrigation District, Palo Verde Irrigation District and the Metropolitan Water District of Southern California to allow water to be conserved under the U.S. Bureau of Reclamation’s conservation program to be added to Lake Mead
Submitted By: Rainie Torrance, Utility Manager
City Manager Approval: Date:

Other Department Approval (when required): Date:

Approved: Not Approved: Tabled: Other:

Agenda Item: ____________
10/2/2024
Item 4.
1 California Colorado River Contractors Forbearance Agreement for 2024-2026 Conservation Agreements Under the Lower Colorado Conservation and Efficiency Program
Coachella Valley Water District, Imperial Irrigation District, The Metropolitan Water District of Southern California, Palo Verde Irrigation District, and the City of Needles, each of which is a “Party” and together are the “Parties,” enter into this Agreement as follows:

Recitals
A. Each of the Parties to this Agreement is a California Colorado River contractor pursuant to a contract with the Secretary of the Interior for delivery of Colorado River water under Section 5 of the Boulder Canyon Project, which contracts, together with subsequent agreements among some or all the Parties or among some or all of the parties and the United States Department of Interior Bureau of Reclamation, and along with applicable State and Federal laws, define the rights of each Party to request and receive delivery of Colorado River water for diversion for beneficial uses within the State of California.

B. Several of the Parties are individually or collectively engaging in programs to conserve Colorado River water to assist in maintaining storage in the Colorado River reservoirs to help prevent the reservoirs from declining below critical elevations as a result of recent hydrologic conditions in the Colorado River system.

C. In 2023, the Parties entered into the California Colorado River Contractors Forbearance Agreement for 2023 Conservation Agreements Under the Lower Colorado Conservation and Efficiency Program to provide assurance that no Party would claim a right to the benefit of, the delivery of, or to the diversion of certain water conserved during 2023 in order to enable that water to increase storage in the Colorado River reservoirs.

D. The purpose of this Agreement is to provide assurance that no Party will claim a right to the benefit of, the delivery of, or to the diversion of the water conserved beginning in 2024 and through 2026 under the Conservation Programs listed below in order to enable the water conserved to increase storage in the Colorado River reservoirs.

Now THEREFORE, in consideration of the agreements and covenants herein, the Parties agree as follows:

Forbearance

1. Each of the Parties hereby forbears any claim to the benefit of, to divert, or to seek the delivery of Colorado River water conserved by any of the following programs (“Conservation Programs”):
a. The System Conservation Implementation Agreement (SCIA) between the United States Bureau of Reclamation and the Coachella Valley Water District to Implement the Lower Colorado Conservation and Efficiency Program (LC Conservation Program) based upon temporary and Item 4.
2 compensated conservation of Colorado River water historically used to recharge groundwater aquifers, SCIA No. 23-XX-30-W0764 dated July 24, 2023 (up to 35,000 acre-feet/year in 2024 and 2025).
b. The System Conservation Implementation Agreement between the United States Bureau of Reclamation and the Coachella Valley Water District to Implement the Lower Colorado Conservation and Efficiency Program (LC Conservation Program) based upon temporary and compensated conservation of Colorado River water historically used for irrigation of lands within Coachella Valley Water District, SCIA No. 23-XX-30-W0821 dated March 28, 2024 (up to 10,000 acre-feet/year from 2024-2026).
c. The System Conservation Implementation Agreement between the United States Bureau of Reclamation and The Metropolitan Water District of Southern California to implement a Lower Colorado Conservation and Efficiency Program (LC Conservation Program) based upon temporary and compensated conservation of Colorado River water historically used for irrigation of lands within the Palo Verde Irrigation District, SCIA No. 23-XX-30-W0772 dated December 13, 2023 (up to 117,021 acre-feet/year from 2024-2026). d. The System Conservation Implementation Agreement between the United States Bureau of Reclamation and the Imperial Irrigation District to implement a Lower Colorado Conservation and Efficiency Program (LC Conservation Program) based upon temporary and compensated conservation of Colorado River water historically used for irrigation of lands within Imperial Irrigation District’s service area, SCIA No. 24-XX-30-W0825 dated August 26, 2024 (up to 300,000 acre-feet/year with a cumulative total not to exceed 700,000 acre-feet from 2024-2026). e. The System Conservation Implementation Agreement among the United States Bureau of Reclamation, The Metropolitan Water District of Southern California, and the Bard Water District to implement a Lower Colorado Conservation and Efficiency Program (LC Conservation Program) based upon temporary and compensated conservation of Colorado River water historically used for irrigation of lands within Bard Water District, SCIA No. 23-XX-30-W0773 dated September 23, 2024 (up to 5,700 acre-feet/year from 2024-2026).

2. Imperial Irrigation District, The Metropolitan Water District of Southern California, Palo Verde Irrigation District, and the City of Needles, each hereby forbears any claim to the benefit of, to divert, or to seek the delivery of Colorado River water conserved during 2024 and 2025 by the following Conservation Program:
a. The System Conservation Implementation Agreement between the United States Bureau of Reclamation and The Metropolitan Water District of Southern California to implement a Lower Colorado Conservation and Efficiency Program (LC Conservation Program) based upon temporary and compensated conservation of Colorado River water historically used for irrigation of lands within the Quechan Indian Reservation in California, SCIA No. 23-XX-30-W0783 dated December 13, 2023, and as amended on September __, 2024 (up to 13,000 acre-feet per year in 2024-2026).

Item 4.
3 3. The forbearance given by this Agreement as to the Conservation Programs identified in Sections 1 and 2 above shall be for the benefit of each of the Parties and shall also be for the benefit of the United States Department of Interior, Bureau of Reclamation. This Agreement does not create any third-party beneficiary rights in any person other than the Parties and the United States Department of the Interior, Bureau of Reclamation.

4. The Parties’ forbearance under this Agreement is conditioned upon the annual verification of the conserved water after a workgroup consultation between the United States Department of Interior, Bureau of Reclamation, The Metropolitan Water District of Southern California, Imperial Irrigation District, and Coachella Valley Water District. Any objection must be conveyed in writing within twenty-one (21) days following the consultation.

CVWD Limitation

5. Coachella Valley Water District hereby reaffirms its commitment made in paragraph 6 of the Drought Contingency Plan Implementation Agreement Between The Metropolitan Water District of Southern California and Coachella Valley Water District dated May 20, 2019.

Agreement Is Non-Precedential, Contains No Admissions, and Modifies No Other Agreements

6. The Parties agree that this Agreement shall not in any matter constitute a precedent as to the following:
(a) any right, obligation, or authority of any Party to engage in a conservation program; (b) any methodology used to establish a baseline of consumptive use by which conservation for a program is measured or established in any future year; and (c) the quantity of water or the proportion of reduction of contractual entitlement that an agency may be required to conserve or not divert, during any declared shortage.

7. The Parties agree that the reference to “forbearance” in this Agreement does not constitute an admission by any Party that any Party actually has a legal right to claim the conserved water created by any other Party in the absence of a forbearance agreement.

8. Some of the Parties are parties to other agreements among themselves and others relating to drought or shortages on the Colorado River. Nothing in this Agreement expressly or implicitly amends, modifies, or conflicts with the provisions of any of those other such agreements.

Term

9. This Agreement shall be effective when signed by two or more Parties as between the initial signatory Parties and shall be binding upon a subsequent signatory Party as of the date of signature of that Party.

Item 4.
4 10. The obligations related to the forbearance of conserved water conserved relating to the Conservation Programs under this Agreement shall terminate on May 31, 2027. Otherwise, the provisions of this Agreement shall remain enforceable.

Miscellaneous

11. The rights and obligations under this Agreement do not commit any Party to engage in the creation of conserved water under the Conservation Programs identified in Section 1 above.

12. Each Party represents and warrants that each person or persons executing this Agreement on its behalf is duly authorized to do so by the respective Party and that this Agreement binds that Party.

13. This Agreement may be executed in counterparts, each which is an original, but all of which together will constitute one and the same instrument.
[Signatures on following page]
Item 4.
5 The Parties are signing this Agreement as of the dates indicated below:

Approved as to form:
_______________________________
General Counsel
Approved as to form:
_______________________________
Legal Counsel
Approved as to form:
_______________________________
General Counsel
Approved as to form:
_______________________________
Legal Counsel
Approved as to form:
_______________________________
City Attorney

THE METROPOLITAN WATER DISTRICT

OF SOUTHERN CALIFORNIA
_______________________________
General Manager

COACHELLA VALLEY WATER DISTRICT
_______________________________
General Manager

IMPERIAL IRRIGATION DISTRICT
_______________________________
General Manager

PALO VERDE IRRIGATION DISTRICT
_______________________________
General Manager

CITY OF NEEDLES
_______________________________
City Manager
Item 4.

City of Needles, California
Request for City Council Action
CITY COUNCIL NPUA Regular Special
Meeting Date: October 8, 2024
Title: Authorize the purchase from Brax for two pumps for Bazoobuth Lift Station not to exceed $35,000 from Wastewater Asset Replacement Background: The current pumps at the Bazoobuth Lift Station were purchased used around 1994 and consist of two 600 GPM Gorman Rupp pumps. Due to their age, replacement parts have become obsolete and extremely difficult to source, making repairs nearly impossible. The proposed new pumps are identical to the existing models, ensuring that replacement parts will be readily available. These new pumps will operate more efficiently and significantly reduce the risk of a major failure that cannot be repaired. Since they are direct replacements, Wastewater Department employees can easily install them as they bolt directly into place. With proper maintenance, the new pumps are expected to have a 20 to 30-year or even longer lifespan.

The Board of Public Utilities approved this recommended action on October 1, 2024.

Fiscal Impact: Wastewater asset replacement has a fund balance of $164,025 as of June 2024.

Environmental Impact: N/A
Recommended Action: Authorize the purchase from Brax for two pumps for Bazoobuth Lift Station not to exceed $35,000 from Wastewater Asset Replacement Submitted By: Sy Foley, Wastewater Operator I
City Manager Approval: Date:

Other Department Approval (when required): Date:

Approved: Not Approved: Tabled: Other:

Agenda Item: ____________
10/2/2024
10/03/2024
Item 5.

Quote
Date 9/17/2024
Quote # 56567
Bill To:

CITY OF NEEDLES

WASTEWATER DEPT
817 THIRD STREET
NEEDLES, CA 92363
Ship To:

SAME AS BILL TO
Terms CWO
Sales Person MG
Freight PREPAID & ADD
Project
Written By TRACY BENNETT
ALL SALES SUBJECT TO TERMS AND CONDITIONS AT WWW.BRAXCOMPANY.COM CLSB 487325 CAGE 6U1W7 DIR 1000441272
31248 Valley Center Rd | Valley Center CA 92082 | 760 749-2209 2115 S. Hellman Suite H | Ontario CA 91761 | 909 923- 9809 4630 Easton Dr. #4 | Bakersfield CA 93309 | 661 432 -2729 (A 3.5% SURCHARGE WILL BE ADDED TO ALL CREDIT CARD PAYMENTS) Part Number Qty Description Unit Total
BRAX CO. GORMAN RUPP PUMP T6A3S-B/F 6" SUPER T SERIES

CI W/FLANGE
2 10,932.00 21,864.00T
BRAX CO. GORMAN RUPP CHECK VALVE ( LH )
PART# 46421-416
2 1,675.00 3,350.00T
BRAX CO. GORMAN RUPP CHECK VALVE ( RH )
PART# 46421-417
2 1,675.00 3,350.00T

FREIGHT FREIGHT PPD & ADD ( ESTIMATED )
FOB: SHIPPING POINT 4-6 WEEKS
1 2,000.00 2,000.00
CONVENIENCE FEE 3.50% CONVENIENCE FEE ( ESTIMATED ) 1 1,069.74 1,069.74 Total $31,633.74
Sales Tax (0.0%) $0.00
Item 5.

City of Needles, California
Request for City Council Action
CITY COUNCIL NPUA Regular Special
Meeting Date: October 8, 2024
Title: Adopt the Needles Solar Energy Sites Evaluation dated August 12, 2024 Background: The Board of Public Utilities established an Alternative Energy Ad Hoc Committee in 2022. The Committee's purpose and mission is to review different potential energy generation sources and meet the State of California's committee energy goals.

The Committee has reviewed solar PPA proposals/developments and wind and pump hydro alternatives. It has requested a solar feasibility study be issued to seek professional consulting services to evaluate and determine the suitability of facility rooftops and site developments of City-owned sites.

On April 2, 2024, Unisol was selected and awarded the contract to develop a solar feasibility plan.

This solar engineering feasibility study aims to analyze possible solar energy sites that could supply power to the city's utility via a power purchase agreement or a city-owned design-build solar field. The primary focus is photovoltaic (PV) system installations as a ground-mount array on one or more of ten (10) possible sites on or near the 69KV transmission service line for the Needles Public Utility Authority utility provider.

The audit field team focused on these 10 Sites, with the audit concentrating on deriving feasibility ratings for potential solar projects that can be employed to reduce costs, improve reliability, and achieve CARB standards most economically. The Board of Public Utilities approved the recommended action on October 1, 2024.

Fiscal Impact: $37,513 was funded by the adopted FY23/24 electric budget.

Environmental Impact: Reduction of Renewable Energy Credits and Greenhouse Gas Allowances required by the NPUA.

Recommended Action: Adopt the Needles Solar Energy Sites Evaluation dated August 12, 2024, and Authorize Staff to Look for Grants and Evaluate Alternatives to supply power to the City’s Utility via a power purchase agreement or a city-owned design-build solar field
Submitted By: Alternative Energy Ad Hoc Committee
City Manager Approval: Date:

Other Department Approval (when required): Date:

Approved: Not Approved: Tabled: Other:

Agenda Item: ____________
10/3/2024
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Engineering Evaluation & Feasibility Study
Needles Solar Energy Sites Evaluation

Prepared for
City of Needles, CA
For the benefit of the
Needles Public Utility Authority
by
Arlen Barksdale, PhD
Chief Technology Officer
UniSol Solar
August 12, 2024
Control Copy
___ of ___
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August 12, 2024
Rainie Torrance
Utilities PUA Manager
City of Needles
817 Third Street
Needles, CA 92363
Re: City of Needles Solar Engineering Evaluation &Feasibility Study Dear Ms. Torrance:

Thank you for the opportunity to perform an Engineering Evaluation and Feasibility Study (EEFS) on the City of Needles’s solar infrastructure development opportunities and multiple site surveys pursuant to your RFP award of April 12 last. Attached please find our report for your review.

In furtherance of implementing the ultimate needs of solar development, we feel strongly that our industry experience, engineering and energy conservation expertise, and superior value will make us the clear choice for your future utility scale solar energy and RECs requirements, whether via a PPA or turn-key utility design-build projects.

We hope to continue to serve you as you move forward to address your energy purchase and/or facility needs.

Sincerely,
Arlen Barksdale, PhD
Physicist and Engineer
UniSol Solar, a division of Arborvitae Enterprises, LLC in cooperation with
UCSD Jacobs School of Engineering
___________________________________________________________________ 1968 Circle Park Lane • Encinitas, CA 92024 • [email protected] • 760.533.8714 Item 6.

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Engineering Solar Feasibility Study – City of Needles

EXECUTIVE SUMMARY ABSTRACT
The goal of this solar engineering feasibility study is to analyze possible solar energy sites to supply power to the City’s utility via a Power Purchase agreement or a city-owned design-build solar field. The primary focus is photovoltaic (PV) system installations as a ground-mount array on one or more of ten (10) possible sites on or near the 69KV transmission service line for the Needles Public Utility Authority utility provider.

The annual projected alternative energy requirement per the California Air Resources Board (CARB) is used to establish the minimum size project of 3 MW for efficient solar placement. Electrical services extensions required to interconnect the potential array location the existing grid were evaluated to determine the estimated interconnection cost. Other financial impacts such as the current design-build cost per MW dc as well as anticipated extraordinary civil engineering costs and land-related studies (e.g, CEQA, biological, archeological, seismic, SWPP, etc.) were considered to estimate the overall cost of the facility and its effective power purchase agreement (PPA) rate.

This analysis can be used to determine if investing in its own solar electric energy generating plant (financed via grant or bond) will meet the City’s long-term goals. Additionally, a PPA with a contract-end ownership flip to the City option is explored to tailor an optimum project to the City’s utility generation goals. The output of this Feasibility Study includes a detailed spreadsheet of each site analysis report on installation costs and expected PPA rates with array sizing and a conceptual one-line electrical design.

The conclusion of this study demonstrates that meaningful immediate short-term electrical power purchase savings (avoided costs) under current WAPA wholesale pricing, plus renewable energy certificates (RECs) and greenhouse gas emissions offsets (GHGs) avoided costs, is obtainable within the current municipal budget with an additional advantage of a 30 year long-term savings (avoided costs) over WAPA power purchase costs and the benefit of CARB compliance for renewable energy generation 30% goal. Additionally, an ownership flip at a significantly reduced price (e.g. scrap cost) can be obtained at contract endpoint for a PPA approach.

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Engineering Solar Feasibility Study – City of Needles
Table of Contents
Cover 1
Cover Letter to Needles Utility Department 2
Executive Summary Abstract 3
Table of Contents 4
Introduction 5
Project Descriptions and Analysis of 10 Needles Locations:

1. Old treatment plant10.1 ac 7

2. Landfill near airport 120.8 ac 9

3. PPA offer by airport Hwy 95 77.54 ac 10

4. West side 38.01 ac 11

5. West side 23.79 ac 12

6. SW corner off residential 24.91 ac 13

7. Switch station Needles utility 2 ac 14

8. Near new treatment plant 3.859 ac 15

9. old ice plant by RR 50 ac 16

10. land reclamation bureau 13.75 ac 17
Summary & Conclusion 18
Appendices: 20
A. Award Letter 21
B. Solar Meteo and Production Analysis 22
C. Calculation of Avoided Cost 26
D. Site Data Analysis Chart 28
E. Base line Assumptions 29
F. Arborvitae Company Info 30
G. Resume of Key Staff 31
H. Certification 32
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Engineering Solar Feasibility Study – City of Needles
Introduction
Needles is a city in eastern San Bernardino County, California, in the Mojave Desert region of Southern California. Situated on the western banks of the Colorado River, Needles is located near the California border with Arizona and Nevada. The city is accessible via Interstate 40 and U.S. Route 95. The population was 4,959 at the 2020 census, up from 4,844 at the 2010census.

Needles was founded in May 1883 during the construction of the Atchison, Topeka and Santa Fe Railway, which originally crossed the Colorado River at Eastbridge, Arizona three miles southeast of modern Needles. Needles was named after "The Needles", a group of pinnacles in the Mohave Mountains on the Arizona side of the river.

Needles was a major stop on the historic U.S. Route 66 highway from the 1920s through the 1960s. For migrants from the Midwest Dust Bowl in the 1930s, it was the town that marked their arrival in California. The city is lined with motels and other shops from that era. Needles is now a tourism and recreation center. The city is the eastern gateway to the Mojave National Preserve, a scenic desert area.

The City of Needles has currently engaged Arborvitae Enterprises LLC through a public awarded consultation to achieve the following:
• Evaluate feasibility of ten (10) potential solar sites • Rate these sites as to least-to-most feasible
• Estimate design build costs and PPA rates
The audit field team focused on these 10 Sites with the audit concentrating on deriving feasibility ratings for potential solar projects that can be employed to reduce costs, improve reliability and achieve CARB standards in the most economical way. Below is a map of those ten potential solar sites which are under consideration and were investigated (the corresponding information gathered and evaluated is listed in Appendix D).

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Needles Community with 10 potential solar Sites under consideration:

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Project Description and Analysis
Site #1 – Old treatment Plant 10 ac
Option A and B compare 3rd party PPA w/ ownership flip with Municipal bond financing with outright ownership as to PPA rates and desirability ratings:

Option A (Site 1)- This 10 ac tract is fenced and can easily be repurposed as a solar field, • Proposed ownership: 3rd party PPA structure with ownership flip to Needles at 30 yr • Site Capacity: 3MW dc furnishing 2.499 MWac plate
• Production: outputting 6,894 MWhr in year 1
• Permitting: CEQA and study reports would be negligible cost • Interconnect cost: minimal with 69kv line connection only .04 mi away • Civil: flat already used land with negligible site prep cost • Project estimated cost: $5,025,000
• Project effective PPA rate: $0.0518/kwhr
• Site desirability rating (scale 1 to 10): 7.02
Engineering site review and analysis report sheet for Site #1-A Item 6.

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Option B (Site 1) - This 10 ac tract is fenced and can easily be repurposed as a solar field, • Proposed ownership: direct Needles ownership at outset • Site Capacity: 3MW dc furnishing 2.499 MWac plate
• Production: outputting 6,894 MWhr in year 1
• Permitting: CEQA and study reports would be negligible cost • Interconnect cost: minimal with 69kv line connection only .04 mi away • Civil: flat already used land with negligible site prep cost • Project estimated cost: $5,025,000
• Project effective PPA rate: $0.0364/kwhr
• Site desirability rating (scale 1 to 10): 10.0 (highest) Engineering site review and analysis report sheet for Site #1-B Item 6.

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Project Description and Analysis
Site #2 – Landfill near airport 120 ac
This 120 ac tract is former landfill and can easily be repurposed as a solar field, • Proposed ownership: direct Needles ownership at outset • Site Capacity: CARB guidelines 30%: 3MW dc furnishing 2.499 MWac plate • Production: outputting 6,894 MWhr in year 1
• Permitting: CEQA and study reports would be negligible cost • Interconnect cost: approx. $2M with 69kv line connection 2 mi away • Civil: flat already used land with negligible site prep cost. Question of depth of piling penetration.
• Project estimated cost: $7,125,000
• Project effective PPA rate: $0.04877/kwhr
• Site desirability rating (scale 1 to 10): 7.46 (moderately high) Engineering site review and analysis report sheet for Site #2 Item 6.

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Project Description and Analysis
Site #3 – PPA offer near airport 120 ac
This 120 ac tract is reasonably level and can be repurposed as a solar field, • Proposed ownership: 3rd party PPA structure with no indication yet of any ownership flip terms • Site Capacity: CARB guidelines 30%: 3MW dc furnishing 2.499 MWac plate • Production: outputting 6,894 MWhr in year 1
• Permitting: CEQA and study reports would be modest cost • Interconnect cost: approx. $4M with 69kv line connection 4 mi away • Civil: reasonably flat land with low site prep cost
• Project estimated cost: $9,050,000
• Project effective PPA rate: $0.0882/kwhr
• Site desirability rating (scale 1 to 10): 4.12 (moderately low) Engineering site review and analysis report sheet for Site #3 Item 6.

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Project Description and Analysis
Site #4 – West side 38 ac
This 38 ac tract is raw land with rolling flood wash and cannot be easily developed as a solar field, • Proposed ownership: direct Needles ownership at outset • Site Capacity: CARB guidelines 30%: 3MW dc furnishing 2.499 MWac plate • Production: outputting 6,894 MWhr in year 1
• Permitting: CEQA and study reports would be moderate cost • Interconnect cost: approx. $1M with 69kv line connection 1 mi away • Civil: raw land with rolling flood wash est $2M cost to remediate • Project estimated cost: $8,050,000
• Project effective PPA rate: $0.05423/kwhr
• Site desirability rating (scale 1 to 10): 6.71 (moderate) Engineering site review and analysis report sheet for Site #4 Item 6.

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Project Description and Analysis
Site #5 – West side 23 ac
This 23.79 ac tract is raw land with rolling flood wash and cannot be easily developed as a solar field, • Proposed ownership: direct Needles ownership at outset • Site Capacity: CARB guidelines 30%: 3MW dc furnishing 2.499 MWac plate • Production: outputting 6,894 MWhr in year 1
• Permitting: CEQA and study reports would be moderate cost • Interconnect cost: approx. $1M with 69kv line connection 1 mi away • Civil: raw land with rolling flood wash est $2M cost to remediate • Project estimated cost: $8,050,000
• Project effective PPA rate: $0.05422/kwhr
• Site desirability rating (scale 1 to 10): 6.71 (moderate) Engineering site review and analysis report sheet for Site #5 Item 6.

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Project Description and Analysis
Site #6 – SW corner off residential 25 ac
This 24.91 ac tract is raw land with rolling flood wash with small acreage usable as a solar field, • Proposed ownership: direct Needles ownership at outset • Site Capacity: CARB guidelines 30%: 3MW dc furnishing 2.499 MWac plate • Production: outputting 6,894 MWhr in year 1
• Permitting: CEQA and study reports would be moderate cost appr $35K • Interconnect cost: approx. $1M with 69kv line connection 1 mi away • Civil: raw land with rolling flood wash but some flat est $100K cost to remediate • Project estimated cost: $6,160,000
• Project effective PPA rate: $0.0431/kwhr
• Site desirability rating (scale 1 to 10): 8.44 (high) Engineering site review and analysis report sheet for Site #6 Item 6.

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Project Description and Analysis
Site #7 – Switch Station 2 ac
This 2 ac tract is clean flat land within switch yard premises- small acreage usable as a small solar field, • Proposed ownership: direct Needles ownership at outset (some BLM overlap to resolve) • Site Capacity: 500kw dc furnishing 417 KWac plate
• Production: outputting 1149 MWhr in year 1 (small operation may not be worth the effort) • Permitting: CEQA and study reports would be minimal to no cost • Interconnect cost: approx. negligible with 69kv line connection on site apprx $50k • Civil: flat developed commercial utility company switch yard land – minimal to no cost • Project estimated cost: $887,500
• Project effective PPA rate: $0.06575/kwhr
• Site desirability rating (scale 1 to 10): 5.53 (moderate) Engineering site review and analysis report sheet for Site #7 Item 6.

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Project Description and Analysis
Site #8 – Near new treatment plant 4 ac
This 3.589 ac tract is raw land with small acreage usable as a solar field, • Proposed ownership: direct Needles ownership at outset • Site Capacity: 2MW dc furnishing 1.667 MWac plate
• Production: outputting 4,596 MWhr in year 1
• Permitting: CEQA and study reports would be moderate cost • Interconnect cost: approx. $150K with 69kv line connection nearby • Civil: raw land est $117K cost to remediate
• Project estimated cost: $3,617,000
• Project effective PPA rate: $0.1015/kwhr
• Site desirability rating (scale 1 to 10): 3.58 (low)
Engineering site review and analysis report sheet for Site #8 Item 6.

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Project Description and Analysis
Site #9 – Old ice plant near RR 50 ac
This 50 ac tract is rough land, some heavily treed, some steep slopes, with only small acreage usable as a solar field,
• Proposed ownership: direct Needles ownership at outset • Site Capacity: 1MW dc furnishing 833 KWac plate
• Production: outputting 2298 MWhr in year 1
• Permitting: CEQA and study reports would be moderate cost as repurposed commercial • Interconnect cost: approx. $375K with 69kv line connection nearby up the hill • Civil: rough land est $117K cost to remediate
• Project estimated cost: $2,167,000
• Project effective PPA rate: $0.0561/kwhr
• Site desirability rating (scale 1 to 10): 6.48 (moderate) Engineering site review and analysis report sheet for Site #9 Item 6.

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Project Description and Analysis
Site #10 – Bureau reclamation land 14 ac
This 13.75 ac tract is commercial BOR land flat acreage all usable as a solar field, • Proposed ownership: direct Needles ownership at outset (requires arrangement with BOR) • Site Capacity: CARB guidelines 30%: 3MW dc furnishing 2.499 MWac plate • Production: outputting 6,894 MWhr in year 1
• Permitting: CEQA and study reports should be negligible as repurposing commercially used cleared land approx. $17K
• Interconnect cost: approx. $150K with 69kv line connection across rail road • Civil: raw land all flat and usable est $100K cost to clean up stored gravel and rock piles • Project estimated cost: $5,292,000
• Project effective PPA rate: $0.0379/kwhr
• Site desirability rating (scale 1 to 10): 9.58 (very high) Engineering site review and analysis report sheet for Site #10 Item 6.

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Engineering Solar Feasibility Study – City of Needles
Summary & Conclusions
The goal of this feasibility study was to analyze ten (10) site locations for potential photovoltaic (PV) electrical generation systems for direct consumption by City of Needles Public Utility Authority and compute avoided costs.

Location Summary: The designated potential locations on various sites in and about Needles, San Bernardino County, California were evaluated for cost of installation including costs of design-build, interconnection, site preparation, studies for permitting and the expected effective power purchase costs per kwhr. The results were tabulated and rated as to desirability on a scale of 1 to 10, with 10 being the best. See individual project descriptions above and detail of the data compilation on the relevant sites in Appendix D. A summary of the key data is tabulated below in Table 1. Of note is that approximately five of the ten Sites rated 7 or above which are potentially desirable locations for a utility-owned solar electric generation plant that would satisfy the coming CARB requirements for 30% renewable mix in the utility’s community power needs.

Table 1 Site Summary
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Avoided Costs (savings) summary:
a) From reduced PPA costs: Note that a preponderance of the Sites could produce power for the municipal utility below the current WAPA wholesale price creating a near-term savings, and with the savings amortized over a 30 year lifespan of the alternative energy plant, a further avoided cost advantage of some $15,891,866 is obtainable. An additional advantage is an emergency reliability backup of at least 30% of the demand load in the event of outages from WAPA deliveries of electricity due to natural or man-made disasters.
b) From reduced REC purchases: The utility is currently purchasing 50,000 RECs (renewable energy certificates 1 REC = 1 mwhr retail power usage) annually to satisfy statutory Renewable Portfolio Standards (RPS) requirements (AB2514 Public Owned Utility responsibility and CA Pub Util Code Sec 399.11 et seq.) from a 3rd party (3Degrees Group, Inc.) to compensate for non-renewable generation at $412,500 cost per year ($8.25/REC currently in a 10 year contract). With the installation of 3 MW solar power generation (producing some 6894 RECs per year or 192,494 over 30 yr), the utility will benefit an additional minimum avoided costs of $2,476,556 over the initial 30 year operation cycle of the generating facility.
c) From reduced GHG purchases: Additionally, the Needles Public Utility Authority currently has mandatory GHG (greenhouse gas emissions – carbon dioxide) reporting requirements as an Electric Power Entity (EPE) under AB-32 (GHG reporting). The current annual CO2e source includes power imports e-tagged from WAPA (Western Area Power Administration) delivery point of 23,130.26 metric tons as verified by WZI Inc. (independent 3rd party consultant in conformance with AB-104462). Accounting for a 30% free allowance, the net 70% responsibility for the utility computes to 15,491.18 metric tons. Currently the annual bill payment requirement to purchase offsetting DEBs (Direct Environmental Benefits) stands at $1.138M, paid in triannual installments.

With the installation of 3 MW solar power generation (producing some 30% of power purchases, the conservative estimate of annual GHG savings is $ 341,400 in year1). In sum the additional avoided costs for GHG reduced emissions over the 30 year life cycle of the solar generating plant at a 2.5% CPI is approximately $14,970.922.
d) Total avoided costs: Appendix C summarizes all of the avoided costs totaling some $ 33,339,243 with the development and operation of its own renewable energy generating plant. Note that with a proposed 3MW solar plant costing about $5,025,000 that the avoided costs alone pay back this capital expense in 7 years.

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APPENDICES
Attached as:

A. Award Letter
B. Solar Meteo and Production Analysis
C. Calculation of Avoided Cost
D. Needles Solar Site Data Analysis Chart
E. Base Line Assumptions
F. Arborvitae Company Info
G. Resume of Key Staff
H. Certification
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Appendix A
Award Letter
City of Needles 817 Third Street, Needles, California 92363 (760) 326-2113 • FAX (760) 326-6765
www.cityofneedles.com
Mayor Janet Jernigan
Vice Mayor Kirsten Merritt
Councilmember Tona Belt
Councilmember Ellen Campbell
Councilmember Jamie McCorkle
Councilmember JoAnne Pogue
Councilmember Henry Longbrake
City Manager Patrick Martinez
April 12, 2024
Arborvitae Enterprises, LLC
1968 Circle Park
Encinitas, CA 92024
Attn: Arlen Barksdale
RE: AWARD of the SOLAR PHOTOVOLTAIC FEASIBILITY STUDY
Congratulations !!!, Arborvitae Enterprises. you have been awarded as the low bidder for the above-mentioned RFP and approved at the 04/09/2024 City Council Meeting.

I have attached the Professional Services Agreement for the project. Please print out and sign page 12 attached. If you could please scan and/or return only the signature page 12 identified in the document that would be great. Once the City signs all documents, I will send you a complete original copy. A Meeting will be scheduled, please send availability dates in order to set up a goals meeting.

Other documents to submit:
• Insurance required.
• Business License application
Should you have any questions, please give me a call at (760) 326-5740 Ext. 130 all documents can be forwarded to Tammy Ellmore at [email protected] Thank you again for your participation in our RFP.

Rainie Torrance
Utilities Manager
(760) 326-5740 x 140
[email protected]
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Appendix B
Data Analysis Detail
TECHNICAL: Meteorological and Production data
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Givens: single axis tracker, bifacial solar modules, and azimuth 180 deg (south).

Calculation for Yield: = 6,642,891 kwhr/yr / 3MWdc solar array = 2297.9 kwhr/kwdcp installed.

Calculations include compensating for random shadowing, slight variations in tilt and direction, and electrical line losses. This yield number is used in the financial modeling for each site to obtain builddesign cost and effective 30 year PPA rate for comparisons with standardized variables.

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Project Schedule (TIMELINE GUIDANCE): The Engineering, Procurement and Construction (EPC) timeline for design-build approximately covers 10 months following Notice to Proceed with an anticipated schedule below:

COST guidance:

Due to the government administration effecting tariffs against imports of silicon solar panels, aluminum and steel, there is a current cost driver of commodities to the upside:

CHART OF COMMODITIES AFFECTED:

Ø Aluminum
Ø Copper
Ø Steel
Ø Silicon
Comment on incentives:
• Federal tax credit (ITC) is currently 30%, decreasing thereafter. • Although depreciation may be taken all in year 1, we utilize a 6 year MACRS model. • The depreciation is diminished by ½ of the ITC (15%), so the effective depreciation is 85% of the EPC (engineering, procurement, construction) costs. • The new tax law commercial federal tax rate of 20% is applied. • The ITC will also apply to the battery charging systems powered by solar. • Certain Municipal financial repayment structures can be taken as tax exempt but at the sacrifice of the ITC and depreciation.

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Appendix C
Calculations of Avoided Costs
Needles PUA Stack-Up
AVOIDED LIFETIME COSTS and VALUE ADDED:

Avoided PPA WAPA purchases $15,891,866
Avoided future RECs purchases $ 2,476,576
Avoided GHG DEBs purchases $14,970,822
$33,339,243
If PPA approach is preferable over bond financing, using the EPC guidance costs from Appendix E, it appears for Site 1-A a 30 year PPA rate of $0.0518/kwhr (initially) would result in a favorable investor IRR (internal rate of return) of 8.29% from a current project cost of $5,025,000 which should provide a financially viable opportunity for typical investor/lender. The PPA model reduces Needles risk and indebtedness and still provides a significant avoided costs over WAPA/REC/GHG expenses. See model below for assumptions rollout for PPA calculation and estimated project costs (Site 1-A exemplar):

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Appendix D
Needles Solar Site Data Analysis Chart
The following 10 projects have been evaluated and assigned a feasibility rating (from 1 to 10) based on optimal cost, infrastructure development and effective resultant PPA rate:

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Appendix E
Base-line Assumptions

1. O&M scope elements required
For the solar installations, these ongoing elements are required for Operations & Maintenance (O&M) and have been budgeted in the various Sites analysis as initially $11,667 per MW dc:
a. SCADA Monitoring
b. Reporting annual performance
c. Ongoing Maintenance as needed
d. Repair service calls
e. Cleaning
f. Replacement inverters as needed
g. Replacement solar panels as needed

2. EPC current benchmark (design-build turnkey array)
a. $1.45+/- per watt dc installed

3. Investor Owned Considerations
a. Internal Rate of Return at 8.3%,
b. ITC and depreciation applicable,
c. no debt, 100% equity contribution
d. tax base fed 20%, state 8.85%,
e. favorable lease rate on municipal property at $1/ac/yr

4. Municipal Owned considerations
a. -0- % return (breakeven)
b. 3.5% municipal bond financing, 100% debt from bond
c. no ITC and no depreciation applicable,
d. no tax consequences,
e. site control no cost

5. PPA considerations
a. 30 year, 1.5% escalation. PPA calculated for each site b. 1.75% labor increase annually
c. CapEx calculated for each site

6. Solar Insurance
a. decreasing term, $0.17/$100 on capex depreciable amount b. 1.75% insurance rate increase annually

7. Project Development costs
a. Industry standard average at $0.225/watt
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Appendix F
Arborvitae Enterprises LLC
In the 50+ years since the Barksdale family engaged in the solar silicon cell business, we’ve seen unimaginable changes and major breakthroughs in technologies and roll-outs – both in our company and in the renewable energy sector. We are excited to share more of the great projects we have completed in recent years.

These projects will continue to prove our dedication to high quality and customer service.

From computerized electronic monitoring and power management systems to complex charge controllers, battery storage and conventional generation integration, we are doing more interesting and challenging projects every day.

We continue to add to our highly skilled workforce to handle the growing demand for our solar solutions and we continue to train and educate our team which is improving our ability to deliver ever larger and more complex projects on-time and on-budget. We remain committed to excellence in customer service --whether it’s helping you process a CUP or rebate or going the extra mile to find that perfect solution for your unique site and energy complement of design-build storage, substation, transmission, distribution, interconnection, O&M, SCADA or operations management requirements.

Our team members are each and every one committed to social and environmental responsibility in everything we do from working with educational organizations, ecological foundations, deserving charities and to promoting volunteerism among our employees, we will leave our planet earth a better place than we found it.

Further we endeavor to support our commitment to serve our customers in the ways we always have, with honesty and integrity. We look forward to addressing your needs and exceeding your expectations.

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Appendix G
Resume of Key Staff

CHIEF EXECUTIVE OFFICER
UniSol Solar & Storage
Arlen Barksdale, Ph.D.

CSLB C-46 Solar license #1119501
Dr. Barksdale, of Cherokee extraction, from 1975 to the present he is the President and CEO of Hytec Engineering & Design, a firm specializing in solar engineering design, telecommunications data transmission, technical publications and printing, and customer computer application development.

Additionally he is CEO/CTO of UniSol Solar, LLC (a unified solarstorage systems development company). Dr. Barksdale is solidly experienced in the silicon industry since 1973 with his debut with Texas Instruments. He has been instrumental in the rollout of 2GW+ siliconbased solar/storage projects and counting. He has held numerous executive level positions in high technology companies. Chairman-emeritus of the Green Government Commission of Lake City/Hinsdale County, Colorado, he is also the primary strategist and project developer for commercial as well as utility scale solar projects since 2004. Dr. Barksdale is a senior Computer Science and Engineering mentor at the Jacobs School of Engineering of UCSD in California. In 2002-03 Dr. Barksdale as Chief Technology Officer headed up the Technology Divisions of two start-up high tech companies – All Optical Networks and Interphotonics, Inc. – both in the optical telecommunications field.

An avid inventor, he is the owner of the Solar Collector Core Technology (patent pending), the Programmable Photonic Integrated Circuit (patent pending), an Adjustable Single Axis Solar Tracker (patent pending), Thermoelectrically Cooled 65GHz LNA (patent pending), and the Business-card-size CD (patent issued). He has over 50 years experience in electronic and silicon semiconductor technology development-to-manufacturing. Prior to 1991, Dr. Barksdale held positions within the academic community, including National University’s Computer Science and Engineering department, where he variously held the positions of Dean, Department Chair and Professor, and at Rice University where he was a research fellow working with X-Band microwave studies of II-VI and III-V semiconductors at cryogenic temperatures. From 1973 to1977, he served as Director of Operations for Texas Instruments’ Calculator and computer products, PCB assembly, CMOS, and silicon material divisions. At TI, Dr.

Barksdale received significant recognition for his groundbreaking work in advanced silicon growth manufacturing technology pioneered for the RAM products which launched the present day personal computer industry.

A veteran of the United States Air Force during the Vietnam era, he was a member of the Intelligence Corps (Russian language translator, cryptographic and electronics). Dr. Barksdale is a National Science Foundation fellow, Welch Foundation fellow, and Atomic Energy Commission special fellow in Nuclear Science & Engineering. Dr. Barksdale holds a Ph.D. and M.A. in Solid State Physics from Rice University, a B.S. Physics/Math/Chemistry from the University of Texas, and A.A. Biology/Math from Weatherford College. He also has conducted Postdoctoral research at the M.D. Anderson Cancer Research Institute in Houston.

Item 6.

Strictly Confidential
32 of 32 Needles Solar Evaluation Report
A division of Arborvitae
Enterprises, LLC
Appendix G
Certification
Pursuant to your request, I hereby submit this solar electric generation feasibility study report in its entirety as to form and content and attest to the best efforts to provide a true and comprehensive technical analysis of the subject matter herein. Results accuracy is expected to be +/-5%. Calculations based on premises of current financial and commodities markets and are subject to as-built drawings and City plan review of permits.

Dated this the 12th day of August, 2024.

Attest,
Arlen Barksdale, PhD
Chief technology Officer
Physicist and Engineer
UniSol Solar & Storage
CSLB C-46 Solar license #1119501
a division of Arborvitae Enterprises LLC
in cooperation with
UCSD Jacobs School of Engineering
Arborvitae Enterprises LLC
1968 Circle Park Lane
Encinitas, CA 92024
Arlen Barksdale, Ph.D.

CSLB C-46 Solar #1119501
760.533.8714
[email protected]
Item 6.

City of Needles, California
Request for City Council Action
CITY COUNCIL NPUA Regular Special
Meeting Date: October 8, 2024
Title: Authorize the City Manager to execute the Physical Security Exemption Letter dated October 1, 2024, and submit it to the California Public Utility Commission (CPUC)
Background: On April 16, 2013, one or more individuals attacked equipment within Pacific Gas and Electric Company’s (PG&E) Metcalf Transmission Substation, ultimately damaging 17 transformers. These individuals also cut nearby fiber-optic telecommunication cables owned by AT&T. In response to the attack, the Federal Energy Regulatory Commission (FERC) directed the North American Electric Reliability Corporation (NERC) to develop new physical security requirements, creating CIP-014.

In 2014, California State Senator Jerry Hill authored SB 699, directing the CPUC to “consider adopting rules to address the physical security risks to the distribution systems of electrical corporations.” In response to SB 699, the CPUC’s Safety and Enforcement Division, Risk Assessment and Safety Advisory Section (RASA) prepared a white paper proposing a new requirement for investor-owned utilities (IOUs) and publicly owned utilities (POUs) to develop security plans that would identify security risks to their distribution and transmission systems, and propose methods to mitigate those risks. The CPUC hosted a series of workshops to understand the state of utility physical better security protections and to seek input on refining their proposal.

In order to support a statewide improvement of how utilities address distribution-level physical security risks, the California Municipal Utilities Association (CMUA), which is the statewide trade association for POUs, coordinated with the state’s IOUs to develop a comprehensive Straw Proposal1 (Joint IOU/POU Straw Proposal) for a process to identify at-risk facilities and, if necessary, develop physical security mitigation plans. As a member of CMUA, Island Energy staff participated in the development of the Joint IOU/POU Straw Proposal through a CMUA working group as well as through direct meetings with the IOUs. The Joint POU/IOU Straw Proposal set out a process for the following:
1) Identifying if the utility has any high-priority distribution facilities. 2) Evaluating the potential risks to those high-priority distribution facilities. 3) Develop a mitigation plan for the distribution facilities where the identified risks are not effectively mitigated through existing resilience/security measures. 4) Obtaining third-party reviews of the mitigation plans. 5) Adopting a document retention policy.
6) Ensuring a review process established by the POU governing board and 7) Implementing information sharing protocols.

Publicly Owned Utilities shall conduct a program review of their Security Plan and associated physical security program every five years after initial approval of the Security Plan by their Board of Directors or City Council. Notice of such approval action shall be provided to the Commission’s Safety and Item 7.

Enforcement Division within 30 days of Plan adoption by copy of signed resolution or letter by a responsible elected- or appointed official or utility director.

City Staff have completed a six-step physical security assessment and have deemed the NPUA does not have any critical infrastructure that meets the requirements set by the CPUC guidelines. Thus, submission of the exemption designation is required.

The Board of Public Utilities approved the recommended action on October 1, 2024.

Fiscal Impact: None
Environmental Impact: None
Recommended Action: Authorize the City Manager to execute the Physical Security Exemption Letter dated October 1, 2024 and submit it to the California Public Utility Commission (CPUC)
Submitted By: Rainie Torrance, Utility Manager
City Manager Approval: Date:

Other Department Approval (when required): Date:

Approved: Not Approved: Tabled: Other:

Agenda Item: ____________
10/3/2024
Item 7.

City of Needles
817 Third Street, Needles, California 92363
(760) 326-2113  FAX (760) 326-6765
www.cityofneedles.com
Mayor, Jeff Williams
Vice Mayor Edward T. Paget, M.D
Councilmember Tona Belt
Councilmember Tim Terral
Councilmember Zachery Longacre
Councilmember Kirsten Merritt
Councilmember Ellen Campbell
City Manager Rick Daniels
August 24, 2021

VIA ELECTRONIC MAIL
Lee Palmer
Director for Safety and Enforcement Division
California Public Utilities Commission
505 Van Ness Avenues
San Francisco, CA 94102
Danjel Bout,
Director for Safety Policy Division
California Public Utilities Commission
505 Van Ness Avenues
San Francisco, CA 94102
Edward Randolph,
Deputy Executive Director for Energy and Climate Policy California Public Utilities Commission
505 Van Ness Avenues
San Francisco, CA 94102
Re: Notice of Adoption of [POU] Utility Security Plan
Dear Mr. Palmer, Mr. Bout, and Mr. Randolph:

In accordance with Ordering Paragraphs 3 and 4 of California Public Utilities Commission (“Commission”) Decision (“D.”) 19-01-018, Needles Public Utility Authority (“NPUA”) hereby provides notice that NPUA’s Utility Security Plan was adopted by the City Council of the City of Needles on July 13, 2021. The City Council’s signed resolution adopting NPUA’s Utility Security Plan is included as Attachment A to this letter.

Sincerely,
Rainie Torrance
Assistant Utility Manager
[email protected]
cc: Richard Kyo, Senior Utilities Engineer, Safety Policy Division James Cho, Program Manager, Safety Policy Division
Junaid Rahman, Senior Regulatory Analyst, Safety Policy Division Rainie Torrance Digitally signed by Rainie Torrance
Date: 2021.08.24 13:27:46 -07'00'
Item 7.

Attachment A
Item 7.

Item 7.

VIA ELECTRONIC MAIL
Danjel Bout,
Director for Safety Policy Division
California Public Utilities Commission
505 Van Ness Avenues
San Francisco, CA 94102
Re: Utility Security Plan Exemption Designation for [POU] Dear Mr. Bout:

In accordance with Ordering Paragraph 28 of California Public Utilities Commission (“Commission”) Decision (“D.”) 19-01-018, [POU] (“[POU]”) hereby provides this letter in support of [POU]’s designation as exempt from the utility security plan requirements of D.19-01- 018. The utility security plan requirements of D.19-01-018 are clearly inapplicable to [POU] and continued participation would result in an undue burden and hardship to [POU] for the following reasons: (1) [POU] has no distribution assets that meet any of the seven identification factors for a “Covered Distribution Facility” that are subject to the risk assessment requirements; (2) there are no reasonably foreseeable changes that could occur within [POU]’s service territory that could cause one of [POU]’s distribution assets to meet any of the seven identification factors for a “Covered Distribution Facility”; and (3) [POU] has a comprehensive physical security program that is appropriately tailored to [POU]’s assets. In the sections below, [POU] provides information to demonstrate each of these conclusions.
[Optional paragraph providing a statement regarding how your POU takes safety seriously and has implemented the necessary security protections for your system and assets.] A. [POU] has No Assets that Meet Any of the Seven Identification Factors for a “Covered Distribution Facility.”
D.19-01-018 adopted a six-step process for developing utility security plans for distribution assets. This six-step process was based on a joint utility proposal1as modified by recommendations from the Commission’s Safety Policy Division (“SPD”).2 The initial step

1 See Joint IOU/POU Straw Proposal, available at:
https://docs.cpuc.ca.gov/PublishedDocs/Efile/G000/M196/K148/196148336.PDF. 2 See Safety & Enforcement Division’s Risk Assessment & Safety Advisory (RASA) Section Evaluation of Joint Utility Proposal and Recommendations for Consideration, available at:
https://docs.cpuc.ca.gov/PublishedDocs/Efile/G000/M204/K457/204457381.PDF.

Item 7.

1. Distribution Facility necessary for crank path, black start or capability essential to the restoration of regional electricity service that are not subject to the California Independent System Operator’s (CAISO) operational control and/or subject to North American Electric Reliability Corporation (NERC) Reliability Standard CIP-014-2 or its successors;

2. Distribution Facility that is the primary source of electrical service to a military installation essential to national security and/or emergency response services (may include certain airfields, command centers, weapons stations, emergency supply depots);

3. Distribution Facility that serves installations necessary for the provision of regional drinking water supplies and wastewater services (may include certain aqueducts, well fields, groundwater pumps, and treatment plants);

4. Distribution Facility that serves a regional public safety establishment (may include County Emergency Operations Centers; county sheriff’s department and major city police department headquarters; major state and county fire service headquarters; county jails and state and federal prisons; and 911 dispatch centers);

5. Distribution Facility that serves a major transportation facility (may include International Airport, Mega Seaport, other air traffic control center, and international border crossing);

6. Distribution Facility that serves as a Level 1 Trauma Center as designated by the Office of Statewide Health Planning and Development; and

7. Distribution Facility that serves over 60,000 meters.

If a utility does not control any Covered Distribution Facilities, then the utility has no further obligation to perform a risk assessment or to identify physical security mitigation measures as part of D.19-01-018 utility security plan.
[POU] previously prepared a Utility Security Plan, which was adopted by [POU governing board] on [Date of Adoption]. As part of the process of developing this Utility Security Plan, [POU] evaluated if any of its distribution assets met any of the factors listed above. Because some factors required additional definitions and/or clarifications in order to be applied to [POU]’s facilities, [POU] adopted additional clarifications as part of its Utility Security Plan.

Item 7.

City of Needles
817 Third Street, Needles, California 92363
(760) 326-2113  FAX (760) 326-6765
www.cityofneedles.com
Mayor Janet Jernigan
Vice Mayor Kirsten Merritt
Councilmember Tona Belt
Councilmember Ellen Campbell
Councilmember Jamie McCorkle
Councilmember JoAnne Pogue
Councilmember Henry Longbrake
City Manager Patrick Martinez
In [POU]’s Utility Security Plan, [POU] determined that it does not have any Covered Distribution Facilities, as demonstrated in the following table which provides the relevant factor, the clarification (if any), and [POU]’s determination:

ID
Factor
Joint IOU/POU Straw Proposal
Description
Additional Clarification Demonstration
1 Distribution Facility necessary for
crank path, black start or capability
essential to the restoration of
regional electricity service that are
not subject to the California
Independent System Operator’s
(CAISO) operational control and/or
subject to North American Electric
Reliability Corporation (NERC)
Reliability Standard CIP-014-2 or its
successors
No additional clarification. No [POU] distribution
facility is necessary for
the services identified in
Factor 1.
2 Distribution Facility that is the
primary source of electrical service
to a military installation essential to
national security and/or emergency
response services (may include
certain airfields, command centers,
weapons stations, emergency supply
depots)
No additional clarification. [POU] does not provide
electric services to any
military installations.
3 Distribution Facility that serves
installations necessary for the
provision of regional drinking water
supplies and wastewater services
(may include certain aqueducts, well
fields, groundwater pumps, and
treatment plants)
An installation provides “regional
drinking water supplies and
wastewater services” if it is the
primary source of drinking water
supply or wastewater services for
over 40,000 customer accounts for
an area with a population of over
100,000.

No single drinking water
or wastewater facility
located within the [POU
Service Territory] serves
more than 40,000
customer accounts or a
population of over
100,000 residents.
4 Distribution Facility that serves a
regional public safety establishment
(may include County Emergency
Operations Centers; county sheriff’s
department and major city police
department headquarters; major state
and county fire service headquarters;
county jails and state and federal
prisons; and 911 dispatch centers)
[POU] defines “regional public
safety establishment” as any of the
following: (1) Headquarters of a
major police or fire department
serving 1.5 million population
with at least 1,000 sworn officers;
(2) County Sheriff’s Department
Headquarters; (3) County
Emergency Operations Center; (4)
County/State Fire headquarters;
(5) a California State Prison; (5) a
United States Penitentiary; or (6) a
Federal Correctional Institute.
[POU] does not provide
electric service to any
regional public safety
establishments. The
[XXXXXX] Police
Department only has
[XXXX] officers and
professional staff. No
other facility listed in
Factor 4 is located in
[POU Service Territory]
or served by [POU].

Item 7.

City of Needles
817 Third Street, Needles, California 92363
(760) 326-2113  FAX (760) 326-6765
www.cityofneedles.com
Mayor Janet Jernigan
Vice Mayor Kirsten Merritt
Councilmember Tona Belt
Councilmember Ellen Campbell
Councilmember Jamie McCorkle
Councilmember JoAnne Pogue
Councilmember Henry Longbrake
City Manager Patrick Martinez
5 Distribution Facility that serves a
major transportation facility (may
include International Airport, Mega
Seaport, other air traffic control
center, and international border
crossing)
In addition to the facilities listed in
the Joint IOU/POU Straw
Proposal, [POU] defines a “major
transportation facility” as any
transportation facility that has (1)
an average of 600 or more flights
per day; or (2) over 50,000
passengers arriving or departing
per day.

No major transportation
facility is located in
[POU Service Territory].
6 Distribution Facility that serves as a
Level 1 Trauma Center as designated
by the Office of Statewide Health
Planning and Development
No additional clarification. No Level 1 Trauma
Centers are located
within [POU Service
Territory].
7 Distribution Facility that serves over
60,000 meters
No additional clarification. [POU] only has XXXX
customer meters in its
entire service territory.

B. There are No Reasonably Foreseeable Changes That Could Occur Within [POU]’s Service Territory That could Cause a [POU] Distribution Asset to Meet Any of the Seven Identification Factors for a “Covered Distribution Facility.” For each of the factors listed in the table above, there is no reasonably foreseeable scenario where a [POU] distribution asset could become a “Covered Distribution Facility.” Factor 1: [POU] has no plans to reconfigure or upgrade its system such that any distribution assets could be necessary for any of the services listed in Factor 1.

Further, [POU] is unaware of any system changes by [IOU] or any other entity that could cause one of [POU]’s distribution assets to become necessary for any of the services listed in factor 1.

Factor 2: [POU] is not aware of any plans to consider constructing a military installation essential to national security and/or emergency response services within [POU]’s service territory and [POU] is not aware of any sites in [POU]’s service territory that could reasonably be used for such purposes.

Factor 3: [POU] is not aware of any plans to consider constructing a regional drinking water or wastewater facility in [POU]’s service territory and, further, the population within [POU]’s service territory is not large enough to support a regional drinking water/wastewater facility.

Factor 4: [POU] is not aware of any plans to consider constructing a regional public safety establishment in [POU]’s service territory and, further, the Item 7.

Factor 5: [POU] is not aware of any plans to consider constructing a major transportation facility within [POU]’s service territory and [POU] is not aware of any sites in [POU]’s service territory that could reasonably be used for such purposes.

Factor 6: [POU] is not aware of any plans to consider constructing a Level 1 Trauma Center within [POU]’s service territory and, further, the population within [POU]’s service territory is not large enough to support such a facility.

Factor 7: [POU] has far less than 60,000 customer meters in its entire service territory and no current forecast of customer growth predicts such a number to be located in [POU]’s service territory in the foreseeable future.

C. [POU] has a Comprehensive Physical Security Program that is Appropriately Suited for [POU]’s Distribution Assets.
[Describe existing security measures]
For the reasons stated above, the utility security plan requirements of D.19-01-018 are clearly inapplicable to [POU] and thus continuing to apply these requirements to [POU] would result in an undue burden and hardship. Therefore, [POU] should be designated as exempt from the ongoing requirements of D.19-01-018.

Sincerely,
[Signature]
cc: Richard Kyo, Senior Utilities Engineer, Safety Policy Division James Cho, Program Manager, Safety Policy Division
Junaid Rahman, Senior Regulatory Analyst, Safety Policy Division Item 7.

City of Needles, California
Request for City Council Action
CITY COUNCIL NPUA Regular Special
Meeting Date: October 8, 2024
Title: Adopt the 2024 Needles Public Utility Authority Wildfire Mitigation Plan Version 5.0
Background: In 2008, the California Public Utilities Commission (“CPUC”) initiated a proceeding to address fires related to utility infrastructure, following a series of wildfires that occurred in 2007 and 2008. The goal of this proceeding was to establish new industry standards that would reduce the risk of electric line-ignited wildfires, with a focus on areas of the state were wildfire risks are elevated. In 2012, the CPUC adopted three interim fire maps that designated areas of the state where stricter inspection and vegetation clearance requirements would apply to overhead utility poles and equipment.1 These interim maps were based on generalized wildfire threat, rather than the areas that were at a unique risk of electric line-ignited fires. The CPUC acknowledged the need for a better map and, in the same 2012 Decision, the CPUC directed parties to develop a more precise statewide fire map that identified areas of the state at an elevated risk of electric line-ignited wildfires.2 In 2016, Governor Brown signed Senate Bill (“SB”) 1028 (stats. 2016), which required publicly owned utilities (“POUs”) to identify additional wildfire mitigation measures that the POU could take if the POU governing board first found that its overhead electric lines and equipment posed a significant risk of causing a catastrophic wildfire. SB 1028 required that the POU governing board must base this determination on “historical fires and local conditions,” and must consult with local fire departments and other entities with responsibilities for the control of wildfires within the relevant area3 These requirements were specified in the newly added Public Utilities Code Section 8387.

In 2018, the CPUC completed the development of the statewide Fire Threat Map that designates areas of the state at an elevated risk of electric line-ignited wildfires.4 This updated map incorporated historical fire data, fire-behavior modeling, assessments of fuel, weather modeling, and host of other factors. The map development and approval process involved detailed review by the relevant utility staff and local fire officials, a peer review process, and ultimate approval by a team of technical experts led by the California Department of Forestry and Fire Protection (“CAL FIRE”). The CPUC’s Fire Threat Map includes three Tiers/Levels of fire threat risk. Tier 1 consists of areas that have the lowest hazards and risks. Tier 2 consists of areas where there is an elevated risk for destructive electric line-ignited wildfires. Finally, Tier 3 consists of areas where there is an extreme risk for destructive electric lineignited wildfires.

NPUA Staff reviewed the CPUC’s Fire Threat Map and determined that no NPUA overhead electric lines or equipment are located in an area designated as either Tier 2 (elevated risk) or Tier 3 (extreme risk).

Staff also reviewed historical fire data and local conditions. Based on this review, staff concluded NPUA’s overhead electric lines and equipment did not pose a significant wildfire risk. 1 D.12-01-032. 2 D.12-01-032 at 146-147.
3 Cal. Pub. Util. Code § 8387(b).
4 PG&E Advice Letter 5211-E/3172-E, “Joint Filing – Adoption of Final California Public Utilities Commission FireThreat Map,” Jan. 5, 2018, available at https://www.pge.com/tariffs/assets/pdf/adviceletter/ELEC_5211-E.pdf; SED Disposition Letter Approving Advice Letter 5211-E/3172-E, January 19, 2018, available at https://www.pge.com/tariffs/assets/pdf/adviceletter/ELEC_5211-E.pdf.

Item 8.

In 2018, Governor Brown signed SB 901 (stats. 2018), which addressed a wide range of issues relating to wildfire prevention, response, and recovery. SB 901 substantially revised the Public Utilities Code Section 8387, eliminating the prior process established by SB 1028 and instead making it mandatory for all POUs (regardless of size or wildfire risk) to develop a wildfire mitigation plan. Pursuant to the amended Section 8387, all POUs must present a wildfire mitigation plan to its governing board prior to January 1, 2020, and annually thereafter. Section 8387(b)(2) specifies the topics that must be addressed in the POU wildfire mitigation plans, which includes: (a) the responsibilities of the persons tasked with executing the plan; (b) a description of the POU’s wildfire mitigation preventative strategies and programs; (c) a description of the metrics the POU will use to evaluate the wildfire mitigation plan’s performance and discussion of how those metrics informed the current wildfire mitigation plan; (d) protocols for disabling reclosers and deenergizing portions of the electrical system; and (e) identification, description, and prioritization of all wildfire risks within the POU’s service territory.

SB 901 requires that POUs must present their wildfire mitigation plan at an appropriately noticed public meeting and receive public comment. The POU must also verify that the wildfire mitigation plan complies with all applicable rules, regulations, and standards. POUs must also have their plan reviewed by a qualified independent evaluator to assess the comprehensiveness of the plan. The independent evaluator must then issue a report that the POU must make available on the POU’s website, and the POU must present the report at a public meeting of the POU’s governing board.

In 2019, two new bills (SB 1054 and SB 111) made additional major reforms relating to wildfires. As part of these reforms, SB 111 created a new state agency called the California Wildfire Safety Advisory Board (“Board”). The Board will be made up of seven members, five appointed by the Governor, one appointed by the Speaker of the Assembly, and one appointed by the Senate Rules Committee. The members of the board must be selected from industry experts, academics, and people with labor and workforce safety experience. At least three members must be experienced in the safe operation, design, and engineering of electrical infrastructure. SB 1054 requires that all POUs must submit their wildfire mitigation plans to the Board by July 1 of each year, staring in 2020. The Board will then review the POU plans and will provide comments and advisory opinions on the content and sufficiency the plans.

Pursuant to Public Utilities Code, Section 8387, NPUA has prepared the required wildfire mitigation plan.

Staff has reviewed the NPUA’s wildfire mitigation plan and concluded that the plan meets all the required criteria as provided in Section 8387.

Following the adoption of the NPUA’s Wildfire Mitigation Plan an audit of the plan is expected to be review with the San Bernardino County Fire Department. The plan and audit findings will be published at a public meeting and received public comment. The report and audit must be available on the NPUA’s electric department website.

WSAB’s specific guidance for the City of Needles (found in Appendix 3) is as follows:

The WSAB appreciates Needles including the context-setting template and statutory cross-reference table at the beginning of their 2022 WMP, as requested. The WSAB encourages Needles to continue this practice and to consider using appropriate parts of the proposed new 2023 comprehensive revision template in Appendix 1 as they prepare and file their next WMP. The WSAB notes that Needles has not included any additional information about the adoption and public comment processes for WMPs in their 2022 document. The WSAB encourages Needles to include adoption information in future WMPs describing briefly the adoption and public comment processes Needles followed for the WMP being submitted, along with information about budget processes for any potential or expected mitigation expenses, per the proposed new 2023 comprehensive revision template.

Item 8.

The WSAB notes that Needles has not included updated information about their wildfire mitigation plans on their website. The WSAB can find a link to the initial WMP from 2019 and what appears to be a duplicate link pointing to the same WMP but suggesting that it is a “review” of the WMP, perhaps an independent evaluation report. The WSAB encourages Needles to provide a clear and prominent WMP page that includes older as well as current information to allow perusal of WMP history, that Is – public access to former WMPs and IE Reports. The WSAB also requests that Needles include information in their 2023 comprehensive revision WMP about where on their website such information can be found.

The WSAB notes that there were few if any substantive changes between Needles’ 2021 and 2022 WMPs, other than adding the context setting template and statutory cross-reference table as noted above. While the WSAB believes that minimal changes in an update year are reasonable given Needles’ low likelihood of catastrophic wildfire, the WSAB encourages Needles to look more substantively at changes for the 2023 comprehensive revision WMP. The WSAB notes that Needles may have intended to add 2021 metrics but left yellow highlighted number signs in the table instead, and that in the final section of the WMP Needles uses the word “part” when they appear to mean “party”. The WSAB suggests that these minor errors are an indication of lack of sufficient attention, and believes that Needles will clear them up when they file their 2023 comprehensive revision WMP. No additional changes were made in 2024.

The Board of Public Utilities approved the recommended action on October 1, 2024.

Fiscal Impact: None
Environmental
Impact: None
Recommended
Action: Adopt the 2024 Needles Public Utility Authority Wildfire Mitigation Plan Version 5.0 Submitted By: Rainie Torrance, Utility Manager
City Manager Approval: Date:

Other Department Approval (when required): Date:

Approved: Not Approved: Tabled: Other:

Agenda Item: ____________
10/3/2024
Item 8.

NEEDLES PUBLIC

UTILITY AUTHORITY

WILDFIRE

MITIGATION
PLAN
Item 8.

VERSION 5.0 SEPTEMBER 2024
Item 8.

TABLE OF CONTENTS
I. Overview…………………………………………………………………………..………………………………1
A. Policy Statement……………………………………………………………..…………………………………1 B. Utility Overview and Context-Setting Table…………………………..…………………………...……….1 C. Purpose of the Wildfire Mitigation Plan……………………………..……….……………………………..4 D. Wildfire Mitigation Plan Adoption and Submittal of Annual Plan and Opportunities for Public Comment……………………………………………………………………..……….……………………….……5
E. Wildfire Mitigation Plan Website Location…………………………………………………….……………5 II. Objectives of the Wildfire Mitigation Plan……………………………………………..……………………5 A. Minimizing Sources of Ignition………………………………………………………………………..……….5 B. Resiliency of the Electric Grid…………………………………………………………………………………5 C. Identifying Unnecessary or Ineffective Actions…………………………………………………...………6 III. Roles and Responsibilities……………………………………………………………………………...………6 A. Utility Governance Structure…………………………………………………………………………….……6 B. Wildfire Prevention……………………………………………………………………………..…………..……7 C. Wildfire Response and Recovery………………………………………………………………….…………8 D. Coordination with Water Utilities/Department……………………………………………………………8 E. Coordination with Communication Infrastructure Providers……………………………………………8 F. Standardized Emergency Management System……………………………………………….…………9 IV. Wildfire Risks and Drivers Associated with Topographic and Climatological Risk Factors...……10 A. Particular Risks and Risk Drivers Associated with Topographic and Climatological Risk Factors………………………………………………………………………………………………………………10
B. Enterprisewide Safety Risks…………………………………………………………………………...………10 C. CPUC Fire Threat Map…………………………………………………………………………………..……11 D. High Fire Threat District…………………………………………………………………………………..……11 E. Weather Monitoring………………………………………………………………………………………...…12 F. Design and Construction Standards……………………………………………………………….………12 Item 8.

G. Vegetation Management……………………………………………………………………..……………12 H. Inspections………………………………………………………………………………………………………14 I. Workforce Training………………………………………………………………………………………...……14 J. Reclosing Policy………………………………………………………………………………………...………14 K. Deenergization…………………………………………………………………………………………………14

1. Impacts to Public Safety………………………………………………………………………………...……15

2. Customer Notification Protocols……………………………………………………………………….……15 V. Community Outreach and Public Awareness………………………………………………………...…15 VI. Restoration of Service……………………………………………………………………………………..…16 VII. Evaluating the Plan…………………………………………………………………………………..………16 A. Metrics and Assumptions for Measuring Plan Performance…………………………..………………16 B. Metric for 2023 Plan……………………………………………………………………………………………17 C. Impact of Metrics on Plan…………………………………………………………………...………………18 D. Monitoring and Auditing the Plan………………………………………………………………….………18 E. Identifying and Correcting Deficiencies in the Plan…………………………………….………………18 F. Monitoring the Effectiveness of Inspections………………………………………………………………18 Appendix 1…………………………………………………………………………………………………………19
Item 8.
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NPUA Wildfire Mitigation Plan
Version 4.0
June 6, 2023
I. OVERVIEW
A. POLICY STATEMENT
The Needles Public Utility Authority (NPUA) overarching goal is to provide safe, reliable, and economic electric service to its local community. In order to meet this goal, NPUA constructs, maintains, and operates its electrical lines and equipment in a manner that minimizes the risk of catastrophic wildfire posed by its electrical lines and equipment.

B. UTILITY OVERVIEW AND CONTEXT SETTING TABLE
The City, through the Needles Public Utility Authority (a Joint Powers Authority) owns and operates the electric utility. The electric system expands from the Nevada state line, south of Laughlin, Nevada, to the vicinity of Topock, Arizona.

Context Setting Table
Needles Public Utility Authority
Service Territory Size [110] square miles
Owned Assets X Transmission X Distribution ☐ Generation Number of Customers Served [ 3,000 ] customer accounts
Population Within Service Territory [5,200] people
Customer Class Makeup:

Number of Accounts
[55]% Residential; [5]% Government; [0]% Agricultural; [10]% Small/Medium Business; [30]% Commercial/Industrial
Share of Total Load (MWh)
[30]% Residential; [5]% Government; [0]% Agricultural; [20]% Small/Medium Business; [45]% Commercial/Industrial
Percent of Service Territory in CPUC High Fire Threat Districts (based on total area):

Tier 2: [0]% Tier 3: [0]%
See section IV. CPUC Fire Threat Map for the NPUA
Miles of Owned Lines Underground and/or Overhead
Overhead Dist.: [65] miles Overhead Trans.: [34] miles Underground Dist.: [12] miles Underground Trans.: [0] miles
Item 8.
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NPUA Wildfire Mitigation Plan
Version 4.0
June 6, 2023
Percent of Owned Lines in CPUC High Fire Threat Districts Overhead Distribution Lines as % of Total Distribution System (Inside and Outside Service Territory) Tier 2: [0]% Tier 3: [0]%
Overhead Transmission Lines as % of Total Transmission System (Inside and Outside Service Territory)
Tier 2: [0]% Tier 3: [0]%
Table 2: Cross References to Statutory Requirements
Requirement Statutory Language Location in
WMP
Persons
Responsible
PUC § 8387(b)(2)(A): An accounting of the responsibilities of persons responsible for executing the plan.

Section III

Page 4 ends

Needles City CouncilOctober 8, 2024

Needles City Council
October 8, 2024