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Consolidated Annual Performance and Evaluation Report (CAFER) 2017-2018 Copyrighted October 1, 2018 City of Dubuque Consent Items # 6. ITEM TITLE: Consolidated Annual Performance and Evaluation Report (CAPER) July 1, 2017 to June 30, 2018 SUMMARY: City Manager recommending approval of a resolution authoring submission to HUD of the Consolidated Annual Performance and Evaluation Report(CAPER)for the period of July 1, 2017 through June 30, 2018. RESOLUTION Authorizing the submission of a Consolidated Annual Performance and Evaluation Report (CAPER)for the period commencing July 1 , 2017 and concluding June 30, 2018 SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Adopt Resolution(s) ATTACHMENTS: Description Type NNM Memo City Manager Memo Staff Memo Staff Memo FY 2018 CAPER Draft Supporting Documentation Resolution Resolutions Dubuque THE CITY OF � DT T� rF{, 11-AmericaCit' U L Masterpiece on the Mississippi � � � �� 2009•2012•2013•2019 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: FY2018 Consolidated Annual Performance and Evaluation Report (CAPER) July 1, 2017 to June 30, 2018 DATE: September 26, 2018 Budget Director Jennifer Larson recommends City Council approval of a resolution authoring submission to HUD of the Consolidated Annual Performance and Evaluation Report (CAPER) for the period of July 1, 2017 through June 30, 2018. As recommended, the City Manager has directed staff to prepare additional information related to the use, distribution, availability and impact of resources and that the information be presented and evaluated through an equity lens, as requested by the Community Development Advisory Commission, for review at the October 17, 2018 Community Development Advisory Commission meeting. This CDBG Advisory Commission held a public hearing on September 26, 2018. The Commission approved the 2018 CAPER and submittal of the 2018 CAPER to the City Council and to HUD on October 1, 2018. The most significant points of the report are: � The CAPER is a year-end report due to HUD on October 1, 2018. The 2017 and 2016 CAPERs were submitted to HUD past the date due. The City took corrective action to produce timely reports during Fiscal Year 2018 and submitted actions to HUD in response to a finding issued for untimely reporting. � CDBG funds were used to meet the priority housing and non-housing community development needs identified in the Consolidated Plan and Annual Action Plan for Fiscal Year 2018 as amended. � CDBG funds were expended on activities which benefit low/moderate income persons. A minimum of 70% is required for use of CDBG funds. � $1,477,336 of entitlement and $148,979 in lump-sum funds were expended during the reporting period, for a total of $1,626,314. � The City met the May 1 timeliness target for expenditure of CDBG funds as set by HUD and continues to address strategies to advance programs, capacity, and resources to ensure the timely expenditure of funds. � The City established a lump-sum agreement Fiscal Year 2017 to ensure timely use of funds. The lump-sum agreement requires the City expend $305,363 for rehabilitation activities within the two-year period of the agreement. The balance of$142,240 will be expended prior to April 2019. § Expenditures for public service activities were below the 15°k public service cap, as set by HUD. § Expenditures for administration activities were below the 20°k cap as set by HUD. I concur with the recommendation and respectfully request Mayor and City Council approval. :Li��'�t*'1 � t����lt�t�.. Mic ael C. Van Milligen'� � MCVM:jml Attachment cc: Crenna Brumwell, City Attorney Teri Goodmann, Assistant City Manager Cori Burbach, Assistant City Manager Jennifer Larson, Budget Director Erica Haugen, Community Development Specialist 2 THE CITY OF Dubuque � U� � 111-America Cit' Maste iece on the Mississi i � � pp zoo�.Zo�2.Zo�3.zo�� TO: Michael C. Van Milligen, City Manager FROM: Jennifer Larson, Budget Director SUBJECT: FY 2018 Consolidated Annual Performance and Evaluation Report (CAPER) July 1, 2017 to June 30, 2018 DATE: September 26, 2018 INTRODUCTION The purpose of this memorandum is to request City Council approval of a resolution authorizing submission to HUD of the Consolidated Annual Performance and Evaluation Report (CAPER) for the period of July 1, 2017 through June 30, 2018. The report includes activities for the Community Development Block Grant (CDBG) Program and is due October 1, 2018. DISCUSSION The U.S. Department of Housing and Urban Development (HUD) requires annual submittal of the Consolidated Annual Performance and Evaluation Report (CAPER). The CAPER includes a narrative and numerous reports detailing how the City used its federal funds during the most recently completed program year. It provides a description of each activity for which funds were budgeted as well as information on activity accomplishments. The CAPER is submitted to the Community Planning and Development program office of HUD through HUD's Integrated Disbursement and Information System (IDIS). IDIS is a nationwide database the City is required to use to provide HUD with current information regarding CDBG activities. HUD regulations require the report be made available to citizens in time to comment prior to submission to HUD. A public notice was published in the Telegraph Herald on August 30, 2018 announcing the start of the 15-day public review period for the CAPER. The CAPER was prepared from data supplied by various City departments, organizations, and agencies who utilized CDBG funds over the twelve-month period ending June 30, 2018. A copy is attached for your review. The report is submitted to HUD in draft form until HUD approval is received. The following are among the most significant points of the report: � The CAPER is a year end report due to HUD on October 1, 2018. The 2017 and 2016 CAPERs were submitted to HUD past the date due. The City took corrective action to produce timely reports during Fiscal Year 2018 and submitted actions to HUD in response to a finding issued for untimely reporting. § CDBG funds were used to meet the priority housing and non-housing community development needs identified in the Consolidated Plan and Annual Action Plan for Fiscal Year 2018 as amended. § CDBG funds were expended on activities which benefit low/moderate income persons. A minimum of 70°k is required for use of CDBG funds. § $1 ,477,336 of entitlement and $148,979 in lump-sum funds were expended during the reporting period, for a total of$1 ,626,314. § The City met the May 1 timeliness target for expenditure of CDBG funds as set by HUD and continues to address strategies to advance programs, capacity, and resources to ensure the timely expenditure of funds. § The City established a lump-sum agreement Fiscal Year 2017 to ensure timely use of funds. The lump-sum agreement requires the City expend $305,363 for rehabilitation activities within the two-year period of the agreement. The balance of$142,240 will be expended prior to April 2019. § Expenditures for public service activities were below the 15°k public service cap, as set by HUD. § Expenditures for administration activities were below the 20°k cap as set by HUD. COMMISSION ACTION The Community Development Advisory Commission was scheduled to hold a public hearing on Wednesday, September 12, 2018 to review the CAPER. The Commission did not have a quorum and the meeting was held on Wednesday, September 26�h at 530 p.m. No public comments were received at the meeting. The CAPER available for public comment meets minimum requirements as set by HUD. The Commission approved the 2018 CAPER and submittal of the 2018 CAPER to the City Council and to HUD on October 1 , 2018. The Community Development Advisory Commission has requested additional information be made available on the use, distribution, availability, and impact of resources and that the information be presented and evaluated through an equity lens. At the September 26, 2018 meeting, the commission scheduled a second public hearing on October 17, 2018 to review the equity data. This will allow the City to submit the CAPER to HUD by the October 15� deadline and then amend the 2018 CAPER to include the equity data on October 17, 2018. RECOMMENDATION It is recommended that the City Council approve the attached resolution, directing staff to complete and submit the Consolidated Annual Pertormance and Evaluation Report (CAPER) for July 1 , 2017 to June 30, 2018 to the U.S. Department of Housing & Urban Development Community Planning Division. It is further recommended the City Manager direct staff to prepare additional information, as requested by the Community Development Advisory Commission, for review at the October 17, 2018 Community Development Advisory Commission meeting. Prepared by Erica Haugen, Community Development Specialist RESOLUTION NO. 285-18 RESOLUTION AUTHORIZING THE SUBMISSION OF A CONSOLIDATED ANNUAL PERFORMANCE AND EVALUATION REPORT (CAPER) FOR THE PERIOD COMMENCING JULY 1, 2017 AND CONCLUDING JUNE 30, 2018. Whereas, the City of Dubuque, Iowa, is an entitlement grant recipient under the Community Development Block Grant (CDBG) Program of the U.S. Department of Housing and Urban Development (HUD); and Whereas, the CDBG regulations require each entitlement recipient must submit a performance and evaluation report, Consolidated Annual Performance and Evaluation Report (CAPER); and Whereas, the City has 1) prepared a CAPER for the program year commencing July 1, 2017 and concluding June 30, 2018; 2) published notice of availability of the CAPER in the Telegraph Herald and City of Dubuque website on August 28, 2018 and; 3) made copies of the CAPER available for public review; 4) held a public hearing pursuant to required 15 days published notice before the Community Development Advisory Commission on September 26, 2018; and Whereas, the Community Development Advisory Commission requests a subsequent public hearing to review additional data related to the CAPER; and Whereas, the Community Development Advisory Commission has voted to approve the CAPER and to recommend City Council approval for timely submission to HUD. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE, IOWA: Section 1. That the Consolidated Annual Performance and Evaluation Report (CAPER) for the period commencing July 1, 2017 and concluding June 30, 2018 is hereby approved for submission. Section 2. That the Mayor of the City of Dubuque is hereby authorized and directed to execute the Consolidated Annual Performance and Evaluation Report (CAPER) on behalf of the City of Dubuque, Iowa. Section 3. That the City Manager is hereby authorized to direct staff to complete and submit the Consolidated Annual Performance and Evaluation Report (CAPER) along with any public comment to the U.S. Department of Housing and Urban Development. Section 4. That the City Manager, at the request and recommendation of the Community Development Advisory Commission, is authorized to direct staff to provide additional data related to the CAPER for the October 17, 2018 Community Development Advisory Commission meeting. Passed, approved and adopted this 1st Day of October 2018 Attest: Luis Del Toro, I\layor Pro Tem Kevin S. Firnstahl, City Clerk F:\Users\CDBG\CDBG\CAPER\CAPER 2017\To Council\Caper Resolution FY17.docx , � ... ._., �- _.._ �__ -.,� -<:-�;:__ ,. �� � ' _._ �__ �- _ I ,� � ,� �� i � ��� � � a — .�:�,�� THE CITY OF Dubuque --r � �11' I1,w — . �� m J� DUBUQUE� �O�ll NI�'IYlle���� _-� : � UB E � ► � : �lasteNpiece � o�,tl,P �'�/liss-issi��i � ' � ' Masterpiece on the Mississippi �;,. �� zoo�•zoiz.zois �. .11lI�...!�'��'4"�"''���:, , �; - ��. , �s��'�: ��`'��,7��" 1 ° ���`` �``•"�`' '+�Y , �Y .= si'�e'i, �'��^ �ts <i°�5'�E���'���r; ���_ "'I � , 1� � h.� ���'�y�,.;�s'p.` s � � �,;-'e�i.tfi �`, ��i ��::. '� ��1[i�i�l�`�'�' .�'�i_ �i . a� „� COMMUNITY DEVELOPMENT BLOCK GRANT CONSOLIDATED ANNUAL FISCALYEAR2018CAPER The CAPER covers progress in carrying out the City's Fiscal PERFORMANCE & Year 2018 Annual Action Plan forthe use of Program Year 2017 Community Development Block Grant Funds. EVALUATION REPORT Erica Haugen (CAPER) Housing&Community Development Department CR-05 - Goals and Outcomes Progress the jurisdiction has made in carrying out its strategic plan and its action plan. 91.520(a) The Consolidated Annual Performance and Evaluation Report (CAPER) provides an end-of-year performance report of federally-funded activities and accomplishments to the U.S. Department of Housing and Urban Development (HUD) and the community. The City of Dubuque Consolidated Plan Year 3 CAPER covers the City's progress in carrying out the Fiscal Year(FY) 2018 Annual Action Plan for the use of HUD Program Year 2017 Community Development Block Grant (CDBG) funds. This CAPER covers the period of July 1, 2017 through June 30, 2018. The City of Dubuque is an entitlement City and is eligible to receive CDBG funds on an annual basis. The CAPER focuses on federally funded activities. When appropriate,this report provides information on activities supported by local and federal funds. The City of Dubuque expended $1,477,335.94 in entitlement and $148,978.54 in lump sum for a total expenditure of$1,626,314 CDBG in FY 2018. The City, the City of Dubuque Community Development Advisory Commission, local not-for profit organizations and neighborhood associations partner to implement programs delivered with the funds. In FY 18,CDBG funds were used to make investments in economic development, public infrastructure, housing rehabilitation,and neighborhood and public services for seniors,the homeless,children and youth,and recreation activities. All funds were used to meet the priority housing,economic development, neighborhood,and administration needs identified in the Consolidated Plan and Annual Action Plan for FY 2018 as amended. The City met the timeliness target for expenditure of CDBG funds as set by HUD for May 1, 2017. To ensure timely use of CDBG funds, the City of Dubuque established lump-sum agreement with American Bank and Trust in FY 2017. The lump-sum agreement allows the City to draw a single, large sum of funding to conduct housing rehabilitation activities. The lump-sum account was established on April 25, 2017 in the amount of $305,363. The FY 2018 expenses include$148,978.541ump sum expenses. The remaining lump sum balance will be expended prior to April 2019. Fiscal Year 2018 Expenditures Administration � PublicServices � Public Improvements i Housing Economic Development — 50 5100,000 5zoo,000 5300,000 5400,000 5soo,000 5eoo,000 5�00,000 5goo,000 Completed Activities ■Open Activities CAPER 1 OMB Control No:2506-0117(exp.06/30/2018) Obligations Under Voluntary Compliance Agreement(VCAJ The City of Dubuque, lowa and the U.S. Department of Housing& Urban Development (HUD) entered into a Voluntary Compliance Agreement (VCA) effective March 31, 2014 to resolve the findings detailed in a June 2013 Letter of Findings to the City of Dubuque. The Letter of Findings was issued after a 2011 civil rights related program review of the City's Housing&Community Development Department. HUD found the City was in noncompliance with Title VI of the Civil Rights Act in the administration of its Section 8 Program. HUD sought voluntary resolution to the findings and agreed to a Voluntary Compliance Agreement with the City of Dubuque. The agreement is effective for seven years and outlines corrective measures for the City's reporting, recordkeeping, and objectives during the term of the agreement. The CDBG Annual Action Plan for FY18 includes objectives to address the diminished availability of affordable housing, affirmatively further fair housing,and address the allegations and findings in the Letter of Findings (LOF) from HUD to reduce the negative effects of the findings. _ CAPER 2 OMB Control No:2506-0117(exp.06/30/2018) Comparison of the proposed versus actual outcomes for each outcome measure submitted with the consolidated plan and explain, if applicable, why progress was not made toward meeting goals and objectives. 91.520(g) Categories, priority levels, funding sources and amounts, outcomes/objectives,goal outcome indicators, units of ineasure, targets, actual outcomes/outputs,and percentage completed for each of the grantee's program year goals. Final accomplishments for FY 2018 are still being calculated. Accomplishment reporting will be adjusted to account for final quarter reports. Goal Outcome Indicator Outcome Outcome Outcome Percent Outcome Outcome Percent Unit of Expected Actual - Complete Expected Actual - Complete Measure - Strategic - Program Strategic Plan Program Year Plan Year Direct Homeownership Direct Financial Households 40 3 12 8 66.67% Assistance Assistance to Assisted 7.50% Homebuyers Maintain Affordable Homeowner Housing Household 55 9 11 8 72.73% Owner-occupied Rehabilitated Housing 1636% Housing Unit Preserve Existing Housing Code Household 2000 0 300 450 150.00% Housing through Code Enforcement/Foreclosed Housing 0.00% Enforcement Property Care Unit Preserve and Maintain Rental units Household 0 1 2 1 50.00% Existing Affordable rehabilitated Housing Housing Unit Homeowner Housing Household 1 16 8 16 200.00% CAPER 3 OMB Control No:2506-0117(exp.06/30/2018) Rehabilitated Housing 1,600.00% Unit Other Other 1 0 0.00% Maintain Affordable Rental units Household 40 0 10 0 0.00% Rental Housing through rehabilitated Housing 0.00% Rehab Unit Homeowner Housing Household 0 0 0 0 Rehabilitated Housing Unit Preserve Historical Homeowner Housing Household 2 0 2 1 50.00% Housing & Rehabilitated Housing 0.00% Neighborhoods Unit Preserve Character and Public service activities Persons 8000 0 2000 * Assets of other than Assisted 0.00% Neighborhoods Low/Moderate Income Housing Benefit Increase Economic Facade Business 0 0 0 0 Opportunities treatment/business building rehabilitation Jobs created/retained Jobs 14 0 0.00% CAPER 4 OMB Control No:2506-0117(exp.06/30/2018) Businesses assisted Businesses 0 2 5 2 40.00% Assisted Encourage Workforce Businesses assisted Businesses 10 0 Development Assisted 0.00% Improve Infrastructure Other Other 16 0 12 10 83.33% and Accessibility 0.00% Neighborhood Public Facility or Persons 0 12842 10 12842 128420.00% Infrastructure Infrastructure Activities Assisted Improvements other than Low/Moderate Income Housing Benefit Public Facility or Households 28 0 10 0 0.00% Infrastructure Activities Assisted 0.00% for Low/Moderate Income Housing Benefit Other Other 9 0 0.00% Provide Neighborhood Public service activities Persons 22920 123 5730 123* Recreation Activities other than Assisted 0.54% Low/Moderate Income Housing Benefit Support Youth Public service activities Persons 15 12 10 12 120.00% Education/Training other than CAPER 5 OMB Control No:2506-0117(exp.06/30/2018) Programs Low/Moderate Income Assisted 80.00% Housing Benefit Independent Lifestyles Public service activities Persons 2400 0 600 * for Special Populations other than Assisted 0.00% Low/Moderate Income Housing Benefit Provide Local Resources Public service activities Persons 1800 0 450 * for Neighborhood and other than Assisted 0.00% Home Low/Moderate Income Housing Benefit Provide Support for Public service activities Persons 0 0 400 0 0.00% Social and Human other than Assisted Service Needs Low/Moderate Income Housing Benefit Public service activities Households 185 0 for Low/Moderate Assisted 0.00% Income Housing Benefit Preserve Housing by Housing Code Household 225 103 45 103 228.89% Zoning Enforcement/Foreclosed Housing 45.78% Inspection/Enforcement Property Care Unit Administrative Other Other 1 0 1 1 100.00% Assistance for 0.00% Neighborhood Develop CAPER 6 OMB Control No:2506-0117(exp.06/30/2018) Housing Administration Other Other 1 0 1 1 100.00% 0.00% CDBG Administration CDBG: $ Other Other 1 0 1 0 0.00% Table 1-Accomplishments—Program Year&Strategic Plan to Date CAPER 7 OMB Control No:2506-0117(exp.06/30/2018) Assess how the jurisdiction's use of funds, particularly CDBG, addresses the priorities and specific objectives identified in the plan, giving special attention to the highest priority activities identified. CDBG funds were used to address the priorities, needs, and goals identified in the Consolidated Plan. The proposed budget for the FY 2018 Annual Action Plan was adopted into the City Budget by the Dubuque City Council. The City's 23 goals described in the Consolidated Plan are all high priority and were used as the basis for the budgetary priorities outlined in the FY18 Annual Action Plan. Each funded activity must demonstrate it helps achieve a goal identified in the Consolidated Plan and benefit low/moderate- income (LMI) persons and communities before it is recommended for approval. The City provides funding for some public service activities through a yearly grant process. When preparing the Consolidated Plan, estimates are used to project the level of funding and the number of persons or households to be served. Due to the varying nature and cost of administering different programs, estimating the cost and number to be served for public service activities can be very challenging. For example,job training activities have different costs,space, and time requirements than programs providing emergency shelter. The City distinguishes between four areas of program development: Housing Development, Economic Development, Neighborhood and Community Development, and Planning and Administration. Fiscal Year 2018 activities addressed 19 of the goals identified in the Consolidated Plan. CDBG FY 2018 Funding 4% �5% ■ Economic Develo ment � 25% p ■ Neighborhood Development ■ Housing Development ■ Administration 56% The goals for Housing Development were: Direct Homeownership assistance; Maintain affordable CAPER 8 OMB Control No:2506-0117(exp.06/30/2018) owner-occupied housing; Preserve existing housing through code enforcement; Preserve and maintain existing affordable housing; Maintain affordable rental housing through rehabilitation; and, Preserve historical housing and neighborhoods. Goal Activities Measurement Fiscal Year Accomplishment 2018 Goal Direct First Time Homebuyer Households 10 8 Homeownership Program Assistance Maintain Affordable Homeowner Rehab Households 11 8 Owner-occupied Program Housing Preserve Existing Code Enforcement Housing Units no longer 400 450 Housingthrough substandard Code Enforcement Maintain Affordable Rental Rehabilitation Households 10 0 Rental Housing through Rehabilitation Preserve Historical Historic Rehabilitation Households 2 1 Housing& Loan Program Neighborhoods Preserve& Maintain Rehab Services and Staff Direct Homeowner Ast. 8 15 Existing Affordable Housing Rehabilitation Ast 8 Lead Hazard Control Rental Households 2 1 Housing Development activities made progress towards 5 of the 6 Consolidated Plan strategic goals. Housing Code Enforcement exceeded inspection goals and Housing Rehab Services and Lead Hazard Control Staff exceeded goals to preserve and maintain existing affordable housing. The goals for economic development were to increase economic opportunities by providing loans to income-eligible small business owners. The microenterprise economic development activity provided loans for two small businesses. Goal Activities Measurement Fiscal Year 2018 Goal Accomplishment Increase Economic Microenterprise Businesses Assisted 5 2 Opportunities Assistance Goals for Neighborhood Development included: Preserve character and assets of neighborhoods; Improve infrastructure and accessibility; Neighborhood infrastructure improvements; Provide neighborhood recreation activities; Support youth education/training programs; Independent lifestyles for special populations; Provide local resources for neighborhood and home; Provide support for social CAPER 9 OMB Control No:2506-0117(exp.06/30/2018) and human service needs; Preserve housing by zoning inspection/enforcement. An * indicates final numbers are being calculated. Goal Activities Measurement Fiscal Year 2018 Accomplishment Goal Preserve Character and Neighborhood Persons Assisted 2000 8,905* Assetsof Grants Neighborhoods Improve Infrastructure Accessible Curb Other(ramps 12 0 and Accessibility Ramps installed) Neighborhood SidewalkAssistance People 7 10 Infrastructure Improvements Street Overlays Persons 10 12,842 Provide Neighborhood Neighborhood Rec People 5730 6,290* Recreation Activities Programs SupportYouth FourMounds People 10 12 Education/Training HEART Program Independent Lifestyles Hills&Dales Senior People 600 * for Special Populations Center Provide Local Resources Washington Tool People 450 * for Neighborhood and Library Home Provide Supportfor Purchase of People 400 0 Social and Human Services Service Needs Preserve Housing by Zoning Household 45 103 Zoning Enforcement I nspecti on/Enforcem ent *Preserve Character and Assets of Neighborhoods: 8,905 is the estimated number of low/mod persons and represents 63.77%of the population that benefit from this activity on an area basis. The population of the area served is 13,965. *Provide Neighborhood Recreation Activities: 6,290 is the estimated number of low/mod persons and represents 71.44%of the population that benefited from this activity on an area basis. The population of the area served is 8,805. All neighborhood Development programs subject to the Public Service Cap (15%of allocation plus previous year's program income) made progress towards goals. The service area and benefiting residents for neighborhood grants represents about 13,965 persons. Neighborhood recreation services were offered at a number of schools and parks located within low-and moderate-income residential CAPER 10 OMB Control No:2506-0117(exp.06/30/2018) areas.The service area includes an estimated 8,805 residents that benefit from or have access to these low/mod residential neighborhood-enhancing services. Neighborhood infrastructure projects included 10 households assisted with replacement of sub-standard privately-owned sidewalks in the public right- of-way. The City continues working with the local utility company to identify street lights suitable for upgrade to LED lighting in target neighborhood. Planning with the utility company and the street light inventory delayed implementation of this project until. The Curb Ramp project is on hold due to staff turnover in the department. Street overlays reached over 12,800 households with improved access to usable roads and infrastructure in low and moderate-income areas. Administrative programing continued to work towards the goals for: Housing administration; CDBG Administration; and, assistance for neighborhood development. Administration positions work towards timely and correct use of funds and that the City of Dubuque does not engage in any actions that would hinder the implementation of the consolidated Plan, nor engage in willful inaction which would result in failure to implement the current adopted Consolidated Plan. CAPER 11 OMB Control No:2506-0117(exp.06/30/2018) CR-10 - Racial and Ethnic composition of families assisted Describe the families assisted (including the racial and ethnic status of families assisted). 91.520(a) Persons Households White 2,181 68 Black or African American 236 39 Asian 17 2 American Indian or American Native 4 1 Native Hawaiian or Other Pacific Islander 6 American Indian or American Native &White 5 Black or African American and White 89 2 Asian &White 4 American Indian or American Native and Black 2 Other Multi Racial 58 1 � Total 1788 Hispanic 36 0 Table 2—Table of assistance to racial and ethnic populations by source of funds Narrative A small number of programs final quarter reports are being gathered. The total persons and households will be adjusted when the reports become available. The City of Dubuque is a member of the Government Alliance on Race and Equity (GARE), a national network working to achieve racial equality and advance opportunities for all. Through this work,the City is working to address opportunities for inclusion and sustainable systemic institutional change. Beginning in FY 18,the City is taking intentional steps to ensure partners have Table 2 in section CR-10 is generated by the HUD CAPER template and reflects demographic information provided by persons and households upon intake into a CDBG funded program. CDBG beneficiaries by race are generally representative of the population of a whole in Dubuque.The City has identified non-majority populations and the very-low income as disproportionately impacted by housing problems and poverty. The use of CDBG funded programs by these groups is slightly higher for public service activities. The City's Analysis of impediments identified a small number of minority homeowners in Dubuque. To better serve these populations,the City will introduce a rental rehabilitation program in FY 2019 and adopt a tiered housing inspection schedule that will allocate resources to improve the condition of the affordable housing in the community. CAPER 12 OMB Control No:2506-0117(exp.06/30/2018) Hispanic ethnicity represents 1.38%of those assisted compared to about 2.66%of the population of Dubuque. This is consistent with participation from the previous year; however,there is increasing diversity in the race of those with Hispanic ethnicity. Eighty-nine participants receiving CDBG funded services were also receiving rental assistance through the City's Housing Choice Voucher,or Section 8 program. This represents about 5.05%of those who directly benefitted from CDBG funded services. Race by housing program from participation records is included in the appendix. CDBG Beneficiaries by Race, Ethnicity, and Housing Total Hispanic HCV Choice Voucher (HCV) Household White 83.81% 69% * Black or African American 10.27% 0% * American Indian or Alaska Native 0.11% 0% * Asian 0.45% 0% * Native Hawaiian or Other Pacific Islander 0.28% 0% * Other Multi Racial 2.62% 14% * American Indian or Alaskan Native &White 0.17% 0% * Black or African American &White 2.18% 17% * American Indian or Alaskan Native & Black 0.11% 0% * 2012-2016 American Community Survey 5-Year Estimates Estimate Margin of % Error Total: 58,535 +/-67 Population of one race: 56,981 +/-390 97.35% White 53,089 +/-365 90.70% Black or African American 2,380 +/-266 4.07% American Indian and Alaska Native 45 +/-32 0.08% Asian alone 877 +/-156 1.50% Native Hawaiian and Other Pacific Islander 338 +/-20 0.58% Some other race 252 +/-175 0.43% Population of two or more races: 1,554 +/-375 2.65% Two races including Some other race 43 +/-36 0.07% Two races excluding Some other race, and three or more 1,511 +/-384 2.58% races Population of two races: 1,374 +/-293 2.35% White; Black or African American 717 +/-248 1.22% White; American Indian and Alaska Native 372 +/-109 0.64% White; Asian 152 +/-84 0.26% Black or African American; American Indian and Alaska Native 56 +/-61 0.10% All other two race combinations 77 +/-43 0.13% Population of three races 180 +/-181 0.31% Population of four or more races 0 +/-22 0.00% CAPER 13 OMB Control No:2506-0117(exp.06/30/2018) CR-15 - Resources and Investments 91.520(a) Identify the resources made available Source of Funds Source Resources Made Amount Expended Available During Program Year CD BG C D BG 2,831,082 1,112,257 HOME HOME HOPWA HOPWA ESG ESG G D Tif G D Tif 50,000 I FA I FA 14,450 LHAP LHAP 0 City Water & Other Engineering 32,371 Table 3-Resources Made Available Narrative The CDBG resources available in FY 2018 include program income received and carryover funds. During FY 2018, the City expended $382,773 in program income,$148,979 in lump sum,and $1,477,336 in entitlement funds for a total of$1,626,314. Funding was used to support housing, neighborhood and community development,and administrative programs. Housing Rehabilitation Services and Staff expended $110,888 in non-CDBG funds to support homeownership and housing rehabilitation activities. Identify the geographic distribution and location of investments Target Area Planned Actual Narrative Description Percentage of Percentage of Allocation Allocation 79.9%of funds were used for activities City Wide 81 79.9% available on a city-wide basis 20.1%of expenditures were dedicated Low/Moderate exclusively to low-and moderate-income Area Benefit 19 10.87% areas. Table 4—Identify the geographic distribution and location of investments Narrative The annual action plan did not identify target areas for the geographic distribution of funds; however, activities targeting LMI populations were conducted in residential areas with greater than or equal to 51% low/mod income residents. Census Tracts 1,3,4,5,6,7.01, 7.02,9,11.01, 11.02, 12.01, 101.01 and 101.03. A listing of activities and their locations is found in the attached PR-03 CDBG Activity Summary Report. A map of the low and moderate residential areas is attached. CAPER 14 OMB Control No:2506-0117(exp.06/30/2018) CR-20 - Affordable Housing 91.520(b) Evaluation of the jurisdiction's progress in providing affordable housing, including the number and types of families served, the number of extremely low-income, low-income, moderate- income, and middle-income persons served. One-Year Goal Actual Number of Homeless households to be provided affordable housing units 1,075 0 Number of Non-Homeless households to be provided affordable housing units 12 19 Number of Special-Needs households to be provided affordable housing units 0 0 Total 1087 17 Table 5—Number of Households One-Year Goal Actual Number of households supported through Rental Assistance 0 0 Number of households supported through The Production of New Units 0 0 Number of households supported through Rehab of Existing Units 26 40 Number of households supported through Acquisition of Existing Units 1 0 Total 27 40 Table 6—Number of Households Supported Discuss the difference between goals and outcomes and problems encountered in meeting these goals. Discuss how these outcomes will impact future annual action plans. Affordable housing options continue to be limited within the City, and often restricted to certain geographic areas. The CDBG down payment assistance is often not enough to reduce the price of the home enough to be affordable to low and moderate-income buyers. The City is exploring ways to partner with developers to create new, affordable homeownership opportunities outside of areas of high poverty concentration. The City's goals to increase income diversity in neighborhoods has a need for additional funding and programming designed to support these efforts. Include the number of extremely low-income, low-income, and moderate-income persons CAPER 15 OMB Control No:2506-0117(exp.06/30/2018) served by each activity where information on income by family size is required to determine the eligibility of the housing activity. CDBG provided direct and indirect assistance for 19 income eligible households through the homebuyer program and 30 households through home repair or rehabilitation activities, and 10 households through lead activities. Number of Households Served CDBG Actual HOME Actual Extremely Low-income 11 0 Low-income 23 0 Moderate-income 25 0 Total 59 0 Table 7—Number of Households Served for housing activities Narrative Information Income of Households CDBG funds were used for eligible housing activities, such as homeowner repair and rehabilitation, lead hazard reduction, rental rehabilitation, rehabilitation services and staff costs,and 11,19i direct financial assistance for homebuyers. The chart, Income �� zs,azi of Households Receiving Housing Activities, represents households living in complete housing activities: Lead Hazard Reduction (10); Small & Large Homeowner Rehab(30). Income 23,39% eligible households have access to additional financial assistance through the HousingTrust Fund, funded by IFA, and other local sources. The First-time Homeowner program extremeiy�ow . �ow nnoderate partners with the City's Section 8 Homeownership Program to provide housing counseling and financial assistance for voucher holders. The City encourages income diversity in % Dollars Spent neighborhoods by incentivizing purchase in low-mod areas for higher income households and providing additional financial 25� resources for extremely-low, low,and moderate-income 37� � populations to increase affordability outside areas of high- poverty concentration. The addition of 19 households assisted � with direct financial assistance to purchase a home brings the total number of households assisted to 59. 37%of resources expended for housing activities devoted to moderate income 38� households, 38%to low income households, and 25%to low income households. By leveraging multiple sources of funding . Extremely Low - Low nnoderate to increase resources for lower-income households, more equitable outcomes are achieved. Program income generated from CDBG funded housing activities represents nearly 98%of the City's CDBG loan portfolio. CAPER 16 OMB Control No:2506-0117(exp.06/30/2018) 56,000,000.00 55,000,000.00 S�2s,o _ CDBG Loan Portfolio $4,000,000.00 � $3,000,000.00 $2,740,108.55 � �� 52,626,290.92 $2,264,941.95 $2�002,113.26 S2,000,000.00 � 51,990,542.40 S1,000,000.00 5813,732.48 $649,756.47I � I $567,916.44 $533,545.90 $467,261.03 S336,804.88 $309,787.97 $302,405.18 $293,626.94 $238,509.65 $427,902.88 $445,840.76 5433,650.84 $440,580.80 $407,236.77 S- FY14 FY15 FY16 FY17 FY18 ■FirstTime Homebuyer ■Historic Preservation Rehab Grants ■In-Fill Housing Multi-Unit Housing Rehab Program ■Single-Unit Housing Rehab Program ■Economic Development Activities to Revolving Loan Funds CAPER 17 OMB Control No:2506-0117(exp.06/30/2018) CR-25 - Homeless and Other Special Needs 91.220(d, e); 91.320(d, e); 91.520(c) Evaluate the jurisdiction's progress in meeting its specific objectives for reducing and ending homelessness through: Reaching out to homeless persons (especially unsheltered persons) and assessing their individual needs Dubuque is in the Balance of State for lowa's Continuum of Care (CoC). Not-for-Profit service providers lead the coordination of services and housing for the homeless. The Community Development Specialist assists local Continuum of Care applicants with the environmental review process and determining consistency with the Consolidated Plan. Staff from Housing &Community development attend Continuum of Care meetings to assist in identifying and responding to the needs of homeless persons. Addressing the emergency shelter and transitional housing needs of homeless persons The City of Dubuque supports organizations providing human service activities through Purchase of Services Grants. Not-for-profit organizations meeting a human service need in the community can apply for CDBG and General Funds on an annual basis. In FY 2018, shelter services were not funded with CDBG resources. The City partners with local non-profits to deliver the Phoenix Housing program. Phoenix Housing provides permanent, supportive housing for homeless living with disabilities. Homeless outreach,emergency, transitional, permanent, and support services are coordinated with local providers. This is the City's only program serving the homeless using the housing first model for permanent supportive housing. City staff help verifying income and with inspections to ensure local, state,and federal housing quality standards are met. The City partners with local non-profit organizations to provide the support Helping low-income individuals and families avoid becoming homeless, especially extremely low-income individuals and families and those who are: likely to become homeless after being discharged from publicly funded institutions and systems of care (such as health care facilities, mental health facilities, foster care and other youth facilities, and corrections programs and institutions); and, receiving assistance from public or private agencies that address housing, health, social services, employment, education, or youth needs Helping homeless persons (especially chronically homeless individuals and families, families with children, veterans and their families, and unaccompanied youth) make the transition to permanent housing and independent living, including shortening the period of time that individuals and families experience homelessness, facilitating access for homeless individuals and families to affordable housing units, and preventing individuals and families who were recently homeless from becoming homeless again A network of non-profit organizations provides a range of services from outreach to permanent CAPER 18 OMB Control No:2506-0117(exp.06/30/2018) supportive housing. These organizations collaborated during the program year to define and align resources for coordinated entry. Headed by the lowa Continuum of Care, a network of local providers is working to streamline services for homeless to allow better access to shelter, mental health, health, dental, and substance abuse resources. The primary focus is to find people shelter or housing immediately, in their community of choice. The City participates as the permanent supportive housing provider and partners with a local non-profit to coordinate outreach and manage the waiting list. The City continues to support requests to develop and rehabilitate accessible and affordable housing, with emphasis on programs willing to accept vouchers or provide subsidies for households under 30%AMI. _ CAPER 19 OMB Control No:2506-0117(exp.06/30/2018) CR-30 - Public Housing 91.220(h); 91.320(j) Actions taken to address the needs of public housing The City of Dubuque does not have public housing. The City monitors the number of affordable tax credit units and Section 8 units within the City. The affordable housing stock is not high enough to meet needs of renters and homeowners at or below 80%of the area median income. This is supported by data in the Consolidated Plan showing more renters earning under 80%Area Median Income are cost burdened, meaning they pay more than 30%of their income for housing-related costs. The American Community Survey estimates verify nearly half of all renter's experience cost burden. Actions taken to encourage public housing residents to become more involved in management and participate in homeownership The City uses the Section 8 Housing Choice Voucher program to provide affordable housing options. The Housing &Community Development Department is the PHA for the City. The City has 1,072 vouchers but is unable to issue to capacity due to budgetary constraints. The City works with the PHA to ensure leasing to 95%of the budget capacity. The Rehabilitation Supervisor at Housing&Community Development works with Family Self-Sufficiency and Circles participants to increase awareness about homeownership options. All Housing Choice Voucher participants are invited to join the City's Family Self-Sufficiency (FSS) and Circles programs. These programs offer unique, person-centered coaching to support the individual's needs. Goal planning, resource coordination,job readiness, and family supports are all provided. The Rehabilitation Supervisor regularly visits with Family Self-Sufficiency caseworkers and Circles and FSS participating families. The programs coordinate resources to help buyers establish bank accounts, Individual Development Accounts (IDA's), homeownership counseling,and resources to purchase a home. The chart below shows activities that also reported serving participants from HCV households. Source of Funding Total Total Amount HCV Amount or approximate Households of Assistance Households amount of Assistance provided Assisted Assisted to HCV Households CDBG First Time 8 $40,000 0 0 Homebuyer HousingTrustFund 13 $232,643 1 $20,000 Fi rst Ti me Homebuyers Senior Center * (elderly $13,650 48 $* individuals) Neighborhood 123* $73,298 *6,290 $* Recreation Programs (LMC) CAPER 20 OMB Control No:2506-0117(exp.06/30/2018) Actions taken to provide assistance to troubled PHAs The PHA is not troubled. CAPER 21 OMB Control No:2506-0117(exp.06/30/2018) CR-35 - Other Actions 91.220(j)-(k); 91.320(i)-(j) Actions taken to remove or ameliorate the negative effects of public policies that serve as barriers to affordable housing such as land use controls, tax policies affecting land, zoning ordinances, building codes, fees and charges, growth limitations, and policies affecting the return on residential investment. 91.220 (j); 91320 (i) Actions taken to address obstacles to meeting underserved needs. 91.220(k); 91320(j) The City's Planning&Zoning, Economic Development,and Housing Departments coordinate to receive and process requests for development of affordable housing. The Housing&Community Development Department works closely with the City's Legal and Human Rights Departments to inform City staff, housing providers, developers, and the community at large about the barriers to fair housing and the strategic steps the City is taking to eliminate barriers as identified in the Analysis of Impediments. To encourage public support for affordable housing development, the City partners with organizations wishing to develop affordable housing to engage neighborhood residents about the proposed projects. Through a series of informational meetings, housing developers and residents can discuss the community needs,obtain facts about the need for affordable housing, and identify target populations and needs unique to the proposed location within the Dubuque community. These meetings have proven successful for developers proposing Low Income Housing Tax Credit projects. To help with the financial feasibility of these projects,the City offers developers the opportunity to request support from the City for the project. If the project aligns with the City's goals, Consolidated Plan,and Comprehensive Plan, the City facilitates a public engagement process where incentives for the project are presented to City Council. Projects seeking support must apply to the City for a review and the City Council makes final recommendations. Actions taken to reduce lead-based paint hazards. 91.220(k); 91320(j) The City applied for the Lead Hazard Control Grant and in November 2015 was awarded $325,000 in Healthy Home funds and $2,905,815 in lead hazard control funds for a total of$3,230,815. The program has a local match of$200,466 and proposes to do 129 units in the three-year grant period. The Lead and Healthy Homes Program effectively delivers successful lead remediation activities for income eligible households. The grant provides additional funds to address health and safety hazards in the home, and coordinates with a Home Advocate to build social capacity for participating families. All CDBG funded activities use the required level of lead assessment when performing rehab on homes. Homeowners and renters are provided information and resources about lead and lead poisoning, as well as information on where and when children should be tested. Code enforcement activities identify visible hazards from peeling paint and housing code to ensure the health and wellbeing of children living in these units. CDBG funding provided financial assistance for 10 units assisted by the Lead & Healthy Homes program during the program year. CAPER 22 OMB Control No:2506-0117(exp.06/30/2018) Actions taken to reduce the number of poverty-level families. 91.220(k); 91.320(j) The City of Dubuque funds, supports, and participates in a variety of projects that support the Consolidated Plan goals to increase economic opportunities through business retention,expansion,job creation, and financial resources for low-and moderate-income small business owners. The City continues to participate in Project HOPE (Helping Our People Excel) to coordinate service providers, employers,and job seekers to fill the employment needs of the community. The City of Dubuque has a low employment rate and many of the local manufactures have a demand for skilled workers. Project HOPE coordinates with Dubuque Works, Opportunity Dubuque, and the local community college, NICC, to identify under-skilled workers, train them up, and match them with employment opportunities. The City has also taken significant strides in the areas of equity and inclusion. Working with Inclusive Dubuque, the City completed an Equity Profile focused on identifying needs of various populations. The equity profile for housing demonstrated many of the lowest income households experience the most severe housing problems, and those problems disproportionately impact renters. Much of the City's historic housing stock is in the downtown. Several units are in mixed-use structures, with vacant store fronts on the first floor and deteriorated housing on the upper floors. The City is working to develop a rental rehabilitation program to address the poor housing conditions in this area, in conjunction with efforts to revitalize owner occupied, local business,and infrastructure in the Central Avenue Corridor. Actions taken to develop institutional structure. 91.220(k); 91320(j) Within the institution, steps are being taken to encourage and promote high-performing, fiscally responsible government. This outcome-driven process is focused on data analysis,community engagement, and strategic initiatives designed to support and retain Dubuque's population. Employers in Dubuque are looking for a skilled workforce,and the Housing&Community Development Department has strategically partnered with the private sector to connect unemployed and underemployed populations to training and skills necessary to meet local employer's needs. During the program year,the City began compiling a data library and developing uniform data collection and tracking systems across departments to more effectively address neighborhood, housing,and economic development concerns identified by citizens and staff. The work being done focuses on equity and identifying how the institution can provide more equitable services. Actions taken to enhance coordination between public and private housing and social service agencies. 91.220(k); 91320(j) The City has developed strategies to ensure housing developers relate to the community in which they plan to provide housing,as well as local service providers. Programs seeking City support must demonstrate active public engagement in the planning of the project and what support services will be available to residents. Locations of projects are carefully considered to ensure occupants will have access to areas of opportunity relevant to the target population being served. The City actively seeks CAPER 23 OMB Control No:2506-0117(exp.06/30/2018) out federal,state, local,and private sector partners that can meet the range of housing needs across the community. The City launched the C.H.A.N.G.E. program (Comprehensive Housing Activities for Neighborhood Growth and Enrichment) to identify and rehabilitate downtown housing units. The program is designed to acquire, rehab, and sell vacant and abandoned properties to income eligible households, coordinate local, state,and federal resources to have the greatest impact for occupied properties,and support neighborhood and community development to ensure rich partnerships, programs,and economic and social resiliency. Through a partnership with Community Housing Initiatives, multiple single-family homes in the Washington Neighborhood have been rehabilitated into affordable homeownership opportunities. Identify actions taken to overcome the effects of any impediments identified in the jurisdictions analysis of impediments to fair housing choice. 91.520(a) The City's 2016-2020 Analysis of Impediments to Fair Housing Choice (AI) was updated as a requirement of the Voluntary Compliance Agreement with HUD. The AI identifies several actions the City has taken to reduce discrimination based on: race,color, national origin, religion,sex,familial status, disability, sexual orientation,age, and other arbitrary factors. The AI identified "source of income" as an arbitrary factor unrelated to a person's ability to be a good tenant and recommended the Human Rights commission consider include source of income as a protected class. The Housing&Community Development, Human Rights, and Planning Services Departments partnered with local stakeholders to better understand how source of income impacts tenants, particularly Housing Choice Voucher holders. The AI identified a limited number of housing providers participating in the voucher program. To address this,the, "Source of Income" committee was formed. The Committee was made up of key city staff, board and commission members, housing providers,and housing advocacy groups. The group analyzed data, information, and organized a series of community dialogues to gain insight into the issues surrounding the impact of such an ordinance and other options to increase housing choice for voucher holders. To address housing discrimination, the City took steps to increase staff understanding of fair housing, discrimination, and the history of racism in the community. Fair housing training was completed in September, in accordance with the VCA. Staff from multiple City Departments, including Police Department Staff, attended the training Fair housing training was also provided to specific departments and organizations serving the public with housing needs. New employees, board and commission members receive fair housing training and education within 30 days of beginning service. CAPER 24 OMB Control No:2506-0117(exp.06/30/2018) The City of Dubuque made progress in the following actions in FY 2018: • July 2017 0 7/28/17 Police Chief inemo describing success of community resource officer (CRO) pipeline program as it relates to diversifying the police force. Between 2011 and 2016 a total of 14 CROs have been hired into full time positions—11 white, 2 Black, 1 Hispanic Latino. Three of the hires are female. • September 2017 o Fair Housing Training Session, September 6, 2017 o Fair Housing Training Sessions (2), September 11, 2017 o Fair Housing Training Sessions (2), September 12, 2017 o Fair Housing Training Sessions (2), September 20, 2017 � o Fair Housing Training Sessions (2), September 21, 2017 o Fair Housing Training Session, September 23, 2017 o Revisions to Administrative Plan on Applications,Waiting List and Tenant Selection (Chapter 4) and Program Administration (Chapter 16) submitted to HUD for approval, September 25, 2017 • October2017 o Intercultural & Equity Workshop#1 with City Staff(2), October 18, 2017 • November 2017 o Intercultural and Equity Workshop#2 with City Staff(2), November 1, 2017 o Intercultural and Equity Workshop#3 with City Staff(2), November 15, 2017 o lowa Civil Rights Commission filed complaint #1 on fair housing disability test results from Dubuque, November 16, 2017 • December2017 o lowa Civil Rights Commission filed complaints#2, #3,and #4 on fair housing disability test results from Dubuque, December 7, 2017News Release Issued for Notification of Housing Choice Voucher Waiting List Opening, December 8, 2017 • January 2018 CAPER 25 OMB Control No:2506-0117(exp.06/30/2018) o Notification of Housing Choice Voucher Waiting List Opening sent to Outreach Organizations,January 3, 2018 o Public Notification of Housing Choice Voucher Waiting List Opening Published,January 9, 2018 • February 2018 o Housing Choice Voucher Waiting List opened at 8:00 am on February 14, 2018 and closed at 5:00 pm on February 20, 2018. City of Dubuque received 1545 applications during that time. • March 2018 o City staff presented 2018 S01 Progress Report to the City Council on March 5, 2018. o Resident Advisory Board reviewed proposed revision to Administrative Plan on Applications,Waiting List and Tenant Selection (Chapter 4) and Program Administration (Chapter 16) on March 21, 2018. No input was received. o Housing Commission approves revisions to Administrative Plan on Applications, Waiting List and Tenant Selection (Chapter 4) and Program Administration (Chapter 16), March 27, 2018. 0 May 2018 o City Council approves revisions to Administrative Plan on Applications, Waiting List and Tenant Selection (Chapter 4) and Program Administration (Chapter 16). o Public Hearing on FY2018 PHA Annual Plan held on May 22, 2018. No public input was received. PHA Annual Plan was approved by Housing Commission. o Delivered Workshop Developing an Equity Framework via lntercultural Methods • June 2018 o City staff began planning for fall 2018 staff Fair Housing training Describe the standards and procedures used to monitor activities carried out in furtherance of the plan and used to ensure long-term compliance with requirements of the programs involved, including minority business outreach and the comprehensive planning requirements In March 2018, the responsibility for monitoring the CDBG programs was transferred from the Housing &Community Development Department to the Budget Department. Department Managers administering CDBG funded activities are still responsible for monitoring and oversight in their representative areas. The Community Development Specialist provides technical assistance and CAPER 26 OMB Control No:2506-0117(exp.06/30/2018) coordinates with department directors to ensure compliance with CDBG regulations. Pre-funding Preparedness: The Department shifted from offering semi-annual trainings to offering one- on-one preparatory and program development meetings for new or expanded programs offered through the City of Dubuque. Technical assistance is provided to develop programs that deliver eligible activities in a timely manner. Most city departments have limited staff familiar with CDBG program delivery and this has led to a delay in spending as departments work to train employees. New sub- recipients outside of the City are provided one-on-one technical support prior to project implementation ensure contracting, eligibility, reporting, and national objective requirements are met. 1. Contract Management: Most CDBG contracts are overseen by the Housing&Community Development Department and the Budget Department, but some are assigned to a City project manager responsible for the execution and reporting related to the contract. Contracts include HUD,state,and local requirements, including related requirements such as environmental reviews, URA, 2 CFR 200,and Lead Based Paint requirements. Ongoing technical assistance is provided to sub recipients and project managers throughout the contract period. Most sub recipients do monthly draws where supporting documentation is verified. 2. Monitoring Compliance: The City completes monthly"desk audits" of reports and supporting documentation, onsite monitoring reviews, phone contacts,written communications (letters and email) and meetings. Each sub recipient has individualized reporting forms unique to their program, budgeted expenses,and activities. These individualized reporting forms allows for convenient management and monitoring for fraud, waste, mismanagement and other opportunities for potential abuse. Contract provisions allow for suspension of payment or termination of contract and reimbursement at any time during the program year based on performance deficiencies. Staff always works with sub recipients to correct identified deficiencies through discussion,technical assistance prior to imposing any sanctions. Sub recipients report on successes, challenges, and needs quarterly. City Departments using CDBG funds are monitored by their respective Department Managers. 3. Audit Review: Sub recipients are required to submit an audit prior to funding(if available) and as part of the year-end requirements in the contract. Programs requiring a Single Audit are subject to a financial desk review to the CDBG program if there is a finding noted in the audit, regardless if the finding is related to CDBG funds. The City's Finance Office began tracking minority and women owned businesses in FY 16. The Housing and Community Development department maintains and updates the Section 3 plan for applicable contracts. Citizen Participation Plan 91.105(d); 91.115(d) Describe the efforts to provide citizens with reasonable notice and an opportunity to comment on performance reports. CAPER 27 OMB Control No:2506-0117(exp.06/30/2018) The Community Development Advisory Commission meets monthly and is open to the public. Meetings are at 5:30 pm in the Housing Conference Room, located in Dubuque's downtown on a bus route. The meetings last about an hour. The Community Development Advisory Commission reviews the Citizen Participation Plan annually at the July meeting. Agendas are posted in the Housing Department, City Hall,and distributed to a list serve anyone can register Agendas and reports are posted online. The commission provides citizens an opportunity to comment on proposed plans, performance, and reports. Comments can also be submitted in writing, by phone,or electronically through the City's website. The Citizen Participation Plan describes the roles, responsibilities,and contact information of entities involved in administering, reviewing, and approving activities included in this report. Public comments on the CAPER will be provided as an attachment when they become available. CR-45 - CDBG 91.520(c) Specify the nature of, and reasons for, any changes in the jurisdiction's program objectives and indications of how the jurisdiction would change its programs as a result of its experiences. The City amends the Annual Action Plan as necessary to adjust for financial resources and fluctuations in program income. The Citizen Participation Plan defines substantial and non-substantial amendments. Substantial amendments require a 30-day comment period, review by the Community Development Advisory Commission,and adoption by City Council. The first amendment to the plan was a substantial amendment allocating unspent funds from prior years to new and existing programming. It was approved by City Council after the required comment period and Community Development Advisory Commission recommendation. The Community Development Specialist met with Department Managers for low-spending activities to review timely use of funds. Programs will be provided spending and performance benchmarks,as recommended in the HUD monitoring for the CDBG program administration. Additional funds would be allocated to high-performing programs with projects ready for completion. CAPER 28 OMB Control No:2506-0117(exp.06/30/2018) CR-45 - CDBG 91.520(c) Specify the nature of, and reasons for, any changes in the jurisdiction's program objectives and indications of how the jurisdiction would change its programs as a result of its experiences. The City amends the Annual Action Plan as necessary to adjust for financial resources and fluctuations in program income. The FY18 Action Plan amendments were designed to allocate resources to programs and activities that could effectively and efficiently deliver the funding. The Plan was amended to carryover funds from the previous program year into the current program year. An additional need for funding for lead hazards was identified to help address the lead paint hazards in the larger, historic homes in Dubuque. Due to the historic nature of these homes, lead remediation activities can become costly. Lead poisoning often disproportionately impacts lower income households and the City is working to increase lead safe housing options for households with children present.. Technical assistance was provided to the Economic Development Department to develop and begin delivering the microeconomic loan program which successfully approved two applications. Coordination between the CDBG Specialist, located at the Housing Department, and the Economic Development Assistant was necessary to ensure an equitable application, loan evaluation, underwriting, and award process. To ensure timely use of funds, program allocations will be monitored for effective, timely use of funds moving forward. Programs will be provided spending and performance benchmarks. Additional funds would be allocated to high-performing programs with projects ready for completion. Does this Jurisdiction have any open Brownfields Economic Development Initiative (BEDI) grants? No [BEDI grantees] Describe accomplishments and program outcomes during the last year. CAPER 29 OMB Control No:2506-0117(exp.06/30/2018)