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Consolidated Annual Performance and Evaluation Report (CAPER) 2018-2019 Copyrighted September 3, 2019 City of Dubuque Consent Items # 8. ITEM TITLE: ConsolidatedAnnual Performance and Evaluation Report (CAPER) July 1, 2018 to June 30, 2019 SUMMARY: City Manager recommending approval of a resolution directing staff to submit the Consolidated Annual Performance and Evaluation Report (CAPE R)for the period of July 1, 2018 through June 30, 2019, to the U.S. Department of Housing & Urban Development Community Planning Division. RESOLUTION Authorizing the submission of a Consolidated Annual Performance and Evaluation Report (CAPER)for the period commencing July 1, 2018 and Concluding June 30, 2019 SUGGESTED DISPOSITION: Suggested Disposition: Receiveand File;Adopt Resolution(s) ATTACHMENTS: Description Type FY19 CAPER-MVM Memo City Manager Memo Staff Memo Staff Memo Resolution Resolutions CAPER draft Supporting Documentation Dubuque THE CITY OF � uI�AaMca cih DuB E � � I � � I Maste iece on the Mississi i Zoo�•zoiz•zois YP pp zoi�*zoi9 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: FY 2019 Consolidated Annual Performance and Evaluation Report (CAPER) July 1, 2018 to June 30, 2019 DATE: August 29, 2019 Housing and Community Development Director Alexis Steger recommends City Council approval of a resolution directing staff to submit the Consolidated Annual Performance and Evaluation Report (CAPER) for the period of July 1, 2018 through June 30, 2019, to the U.S. Department of Housing & Urban Development Community Planning Division. The most significant points of the report are: ■ $1,335,350 of entitlement and $139,592 in lump-sum funds were expended during the reporting period, for a total of $1,474,942. ■ The City met the May 1 timeliness target for expenditure of CDBG funds as set by HUD. ■ Expenditures for public service activities were below the 15% public service cap, as set by H U D. ■ Expenditures for administration activities were below the 20% cap as set by HUD. I concur with the recommendation and respectfully request Mayor and City Council approval. v Mic ael C. Van Milligen MCVM:jh Attachment cc: Crenna Brumwell, City Attorney Teri Goodmann, Assistant City Manager Cori Burbach, Assistant City Manager Alexis M. Steger, Housing and Community Development Director 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: Alexis M. Steger, Housing & Community Development Director SUBJECT: FY 2019 Consolidated Annual Performance and Evaluation Report (CAPER) July 1, 2018 to June 30, 2019 DATE: August 28, 2019 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, 2018 through June 30, 2019. The report includes activities for the Community Development Block Grant (CDBG) Program and is due September 30, 2019. 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 July 20t", 2019 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, 2019. 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: ■ $1,335,350 of entitlement and $139,592 in lump-sum funds were expended during the reporting period, for a total of $1,474,942. ■ The City met the May 1 timeliness target for expenditure of CDBG funds as set by HUD. • 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 held a public hearing on Wednesday, August 28, 2019 to review the CAPER. Public comments received at the meeting are included as an attachment to the CAPER. The CAPER available for public comment meets minimum requirements as set by HUD. RECOMMENDATION It is recommended that the City Council approve the attached resolution, directing staff to submit the Consolidated Annual Performance and Evaluation Report (CAPER) for July 1 , 2018 to June 30, 2019 to the U.S. Department of Housing & Urban Development Community Planning Division. RESOLUTION NO. 309-19 RESOLUTION AUTHORIZING THE SUBMISSION OF A CONSOLIDATED ANNUAL PERFORMANCE AND EVALUATION REPORT (CAPER) FOR THE PERIOD COMMENCING JULY 1, 2018 AND CONCLUDING JUNE 30, 2019. 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, 2018 and concluding June 30, 2019; 2) published notice of availability of the CAPER in the Telegraph Herald and City of Dubuque website on July 20, 2019 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 August 28, 2019; 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, 2018 and concluding June 30, 2019 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 submit the Consolidated Annual Performance and Evaluation Report (CAPER) along with any public comment to the U.S. Department of Housing and Urban Development. Attest: Passed, approved and adopted this 3rd day of September 201 Ke 'i'n S. Firnstahl, City Clerk oy D. Buol, ayor CR-05 - Goals and Outcomes Progress the jurisdiction has made in carrying out its strategic plan and its action plan. 91.520(a) This could be an overview that includes major initiatives and highlights that were proposed and executed throughout the program year. 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 4 CAPER covers the City's progress in carrying out the Fiscal Year (FY) 2019 Annual Action Plan for the use of HUD Program Year 2018 Community Development Block Grant (CDBG) funds.This CAPER covers the period of July 1, 2018 through June 30, 2019.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 $1,335,350.15 in entitlement and $139,592.02 in lump sum for a total expenditure of$1,474,942.17 CDBG in FY 2019.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 19,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 2019 as amended.The City met the timeliness target for expenditure of CDBG funds as set by HUD for May 1, 2018.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 included $148,978.54 lump sum expenses and in FY 2019 the remaining$156,384.46 was expended.The lump sum balance was expended by April 25th, 2019 as required, and the account was closed. Obligations Under Voluntary Compliance Agreement (VCA) 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 CAPER 1 OMB Control No:2506-0117(exp.06/30/2018) 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 FY19 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. On April lOth, 2019 the Office of Fair Housing and Equal Opportunity recognized the City of Dubuque's compliance with the Agreement thus far and modified the Agreement to reduce the administrative burden on the City by reducing the reporting requirements for the last two years of the Agreement. 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. Goal Category Indicator Unit of Expected Actual— Percent Expected Actual— Percent Measure — Stretegic Complete — Progrem Complete Stretegic Plan Progrem Year Plan Year Administrative Non-Housing Assistance for Community Other Other 1 1 1 1 100.00% 100.00% Neighborhood Develop Development Non-Housing CDBG Administration Community Other Other 1 1 1 1 Development 100.00% 100.00% Direct Financial Direct Homeownership Affordable Households Assistance to 40 36 12 10 Assistance Housing Assisted 90.00% 83.33% Homebuyers Non-Housing Encourage Workforce Businesses Community Businesses assisted 10 2 Development Assisted 20.00% Development CAPER 2 OMB Control No:2506-0117(exp.06/30/2018) Affordable Housing Administration Other Other 1 1 1 1 Housing 100.00% 100.00% Non-Housing Improve Infrastructure Community Other Other 16 0 and Accessibility 0.00% Development Non-Housing Facade Increase Econoimc Community treatment/business Business 0 0 Opportunities Development building rehabilitation Non-Housing Increase Econoimc Community Jobscreated/retained Jobs 14 0 Opportunities 0.00% Development Non-Housing Increase Econoimc Businesses Community Businesses assisted 0 2 5 0 Opportunities Assisted 0.00% Development Non- Public service activities Independent Lifestyles Homeless other than Persons 2400 645 600 257 for Special Populations Special Low/Moderate Income Assisted 26.88% 42.83% Needs Housing Benefit Maintain Affordable Household Affordable Homeowner Housing Owneroccupied Housing 55 28 11 11 Housing Rehabilitated 50.91% 100.00% Housing Unit Maintain Affordable Household Affordable Rental units Rental Housing through Housing 40 0 3 0 Housing rehabilitated 0.00% 0.00% Rehab Unit Maintain Affordable Household Affordable Homeowner Housing Rental Housing through Housing 0 0 Housing Rehabilitated Rehab Unit CAPER 3 OMB Control No:2506-0117(exp.06/30/2018) Public Facility or Neighborhood Non-Housing Infrastructure Activities Persons Infrastructure Community otherthan 0 12842 250 0 Assisted 0.00% Improvements Development Low/Moderate Income Housing Benefit Public Facility or Neighborhood Non-Housing Infrastructure Activities Households Infrastructure Community 28 12 8 12 for Low/Moderate Assisted 42.86% 150.00% Improvements Development Income Housing Benefit Neighborhood Non-Housing Infrastructure Community Other Other 9 0 Improvements Development 0.00% Preserve and Maintain Household Affordable Rental units Existing Affordable Housing 0 1 Housing rehabilitated Housing Unit Preserve and Maintain Household Affordable Homeowner Housing Existing Affordable Housing 1 22 15 6 Housing Rehabilitated 2,200.00% 40.00% Housing Unit Preserve and Maintain Household Affordable Housing for Homeless Existing Affordable Housing 0 0 Housing added Housing Unit Preserve and Maintain Household Affordable Housing for People with Existing Affordable Housing 0 0 Housing HIV/AIDS added Housing Unit Preserve and Maintain Affordable Existing Affordable Other Other 1 1 1 1 Housing 100.00% 100.00% Housing CAPER 4 OMB Control No:2506-0117(exp.06/30/2018) Public Facility or Preserve Character and Non-Housing Infrastructure Activities Persons Assets of Community other than Assisted 0 0 635 0 0.00% Neighborhoods Development Low/Moderate Income Housing Benefit Public service activities Preserve Characterand Non-Housing otherthan Persons Assets of Community 8000 0 2000 0 Low/Moderate Income Assisted 0.00% 0.00% Neighborhoods Development Housing Benefit Preserve Existing Housing Code Household Affordable Housing through Code Enforcement/Foreclosed Housing 2000 1552 350 513 Housing 77.60% 146.57% Enforcement Property Care Unit Preserve Historical Household Affordable Homeowner Housing Housing& Housing 2 0 Housing Rehabilitated 0.00% Neighborhoods Unit Preserve Housing by Non-Housing Housing Code Household Zoning Community Enforcement/Foreclosed Housing 225 263 225 160 116.89% 71.11% Inspection/Enforcement Development Property Care Unit Public service activities Provide Local Resources Non-Housing otherthan Persons for Neighborhood and Community 1800 230 1484 230 Low/Moderate Income Assisted 12.78% 15.50% Home Development Housing Benefit Public service activities Non-Housing Provide Neighborhood other than Persons Community 22920 29128 5730 5558 Recreation Activities Low/Moderate Income Assisted 127.09% 97.00% Development Housing Benefit Public service activities Provide Support for Non-Housing otherthan Persons Social and Human Community 0 0 185 0 Low/Moderate Income Assisted 0.00% Service Needs Development Housing Benefit CAPER 5 OMB Control No:2506-0117(exp.06/30/2018) Provide Support for Non-Housing Public service activities Households Social and Human Community for Low/Moderate 185 0 Assisted 0.00% Service Needs Development Income Housing Benefit Public service activities Support Youth Non-Housing otherthan Persons Education/Training Community 15 31 10 0 Low/Moderate Income Assisted 206.67% 0.00% Programs Development Housing Benefit Table 1-Accomplishments—Progrem Year&Stretegic Plan to Date 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 2019 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 FY19 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 2019 activities addressed all 23 of the goals identified in the Consolidated Plan. CAPER 6 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) CDBG White 562 Black or African American 84 Asian 0 American Indian or American Native 3 Native Hawaiian or Other Pacific Islander 12 Total 661 Hispanic 7 Not Hispanic 654 Table 2—Table of assistance to recial and ethnic populations by source of funds Narrative Additional outreach for programs started in FY 2019 to residents that are underserved or under- represented in the families assisted above.This included specific outreach to the Pacific Islanders, NAACP Friends of Fair Housing, Dubuque Renters Union and the Transgender community, as well as outreach to non-profits serving minorities such as the Dream Center and the Fountain of Youth.This outreach has increased the number of participants that are non-white in the community,and further efforts are being explored for implementation in FY 2020 based on the positive results of outreach in FY 2019. CAPER 7 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 CDBG public- federal 2,648,076 1,474,942 Table 3-Resources Made Available Narrative The CDBG resources available in FY 2019 include program income received and carryover funds. During FY 2019, the City expended $250,791 in program income,$139,592.02 in lump sum, and$1,079,559.58 in entitlement funds for a total of$1,474,942.17. Funding was used to support housing, neighborhood and community development, and administrative programs. Identify the geographic distribution and location of investments Target Area Planned Actual Percentage Narrative Description Percentageof ofAllocation AI location City Wide 77 89.76 Activities available city-wide Low/Moderate Area Activities to serve only low& Benefit 23 10.24 moderate income areas Table 4—Identifythe geogrephic 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. 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.The area outlined was used from July lst, 2018 through April 1, 2019 from 2006-2010 Census data and the shaded areas are the 2011-2015 Census data map that was utilized starting April 1, 2019 per CPD Notice 19-02. CAPER 8 OMB Control No:2506-0117(exp.06/30/2018) Leveraging Explain how federal funds leveraged additional resources (private, state and local funds), including a description of how matching requirements were satisfied, as well as how any publicly owned land or property located within the jurisdiction that were used to address the needs identified in the plan. The City of Dubuque actively seeks out and leverages resources to meet goals identified in the consolidated plan. Partnerships with local organizations working to provide additional affordable housing, economic development, socioeconomic, and self-sufficiency resources ensure investments have lasting impact. Leveraged funds are detailed below. Total FY 2019 Expenditures CDBG Entitlement Expenditures $ 1,474,942.17 OtherFunds Section 8 rental Assistance $ 5,637,576 Gaining Opportunities (Self-sufficiency programing) $ 134,518 Healthy Homes Home Advocate $ 142,761 IFA Housing Trust $ 104,267 General Funds$ 486,683 True North Partnership $150,000 Operation New View Partnership $25,000 Community Housing Initiatives Partnership $ 175,000 Shelter Plus Care $ 111,803 Neighborhood Revitalization $ 46,145 Total other funds expended in FY 2019 $ 7,013,753 Leveraging rate of non-formula funds for every$1 in formula funds: $ 4.75 CAPER 9 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 0 0 Number of Non-Homeless households to be provided affordable housing units 0 0 Number of Special-Needs households to be provided affordable housing units 0 0 Total 0 0 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 37 12 Number of households supported through Acquisition of Existing Units 1 5 Total 38 17 Table 6—Number of Households Supported Discuss the difference between goals and outcomes and problems encountered in meeting these goals. A new partnership was formed with True North to acquire and rehabilitate existing housing uints and make them available to low/mod income households was formed in 2018.The City of Dubuque assisted True North in acquiring 3 properties in FY 2019 under this new initiative. A second partnership was formed with Affordable Housing Network Inc to rehabilitate affordable units after acquisition.The City of Dubuque assisted AHNI with acquiring one home and was also successful in the transfer of a petitioned property from the City to AHNI for rehabilitation.These partnerships have started to help the CAPER 10 OMB Control No:2506-0117(exp.06/30/2018) City of Dubuque meet the goals to serve the households listed above, but they are new initiaitves. Start- up logistics stopped the completion of rehabilitation of existing units, but should be accomplished in FY 2020 now that the start-up is completed. 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 sometimes is not enough to reduce the price of the home 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. The production of HousingTlF to serve this purpose was created by the City of Dubuque, and it currently being used to rehabilitate homes that are affordable and sell them to low/mod income residents.This is being done through a partnership with True North, Affordable Housing Network Inc,and Community Housing Initiatives. Include the number of extremely low-income, low-income, and moderate-income persons served by each activity where information on income by family size is required to determine the eligibility of the activity. Number of Households Served CDBG Actual HOME Actual Extremely Low-income 1 0 Low-income 5 0 Moderate-income 8 0 Total 14 0 Table 7—Number of Households Served Narrative Information 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 direct financial assistance for homebuyers.The chart, Income of Households Receiving Housing Activities, represents households living in complete housing activities: Lead Hazard Reduction (3); Small & Large Homeowner Rehab (11). Income eligible households have access to additional financial assistance through the Housing Trust Fund,funded by IFA, and other local sources.The First-time Homeowner program 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 neighborhoods by incentivizing purchase in low-mod areas for higher income households and providing additional financial resources for extremely-low, low, and moderate-income populations to increase affordability outside areas of high-poverty concentration. By leveraging multiple sources of funding 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. Additional efforts are CAPER 11 OMB Control No:2506-0117(exp.06/30/2018) being made to specifically serve the extremely low-income residents,and a Equitable Poverty Prevention Plan will help guide those efforts and programs as we move into FY 2020. CAPER 12 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. Over 50 individuals make up the membership of the Homeless Advisory Council,working to streamline and coordinate services and resources to meet the needs of homeless and near homeless community members. Non-profit organizations providing homeless services including but not limited to referrals, outreach, point-in-time count,coordinated entry, emergency &transitional shelter, and permanent supportive housing. Organizations providing family self-sufficiency, advocacy,employment,employment services &job training, substance abuse services, health,wellness,domestic violence, sexual assault, mental health and dental services are available,as well as representation from the City of Dubuque Police Department, Housing Authority,and Dubuque County Commission of Veteran's affairs. The Homeless Advisory Council coordinates point-in-time homeless counts in July and January to evaluate capacity and need for services. Hillcrest Family Services provides outreach, in partnership with other organizations coordinating access for unsheltered persons.The City partners with East Central Development Corporation (ECDC) to provide permanent supportive housing,targeting homeless populations with mental health, HIV/AIDS related illness,and/or substance abuse. 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 2019, shelter services were funded in the amount of$12,777 to support the transitional and emergency women's shelters.The City also 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. The City had 8 organizations providing access to emergency and transitional shelter services during the January 2019 point in time homeless count. Some of these organizations serve specific populations,such CAPER 13 OMB Control No:2506-0117(exp.06/30/2018) as pregnant women and victims of domestic violence.The bed capacity for these organizations is 167 and 116 persons were sheltered.The Hope House, Dubuque Rescue Mission,and Hillcrest Family Services were at full or over capacity at the time of the survey.These organizations serve men and families, representing high need in the community. Overall, 69%of the available beds were full. Programs with vacancies on the day of the survey include: Dubuque Rescue Mission Transitional,Teresa Shelter (Emergency),the Dubuque Community Y Domestic Violence Program, Maria House, Mary's Inn (pregnant women), Francis Apartments, and Almost Home. Shelter Name Type Capacity Guests %of Population Served Capacity Dubuque Rescue Mission Emergency 24 30 125% Men Hope House Emergency 8 8 100% Families Dubuque Rescue Mission Transitional 12 11 92% Men Teresa Shelter Emergency 30 20 67% Women&Children Almost Home Emergency 12 7 58% Men Mary's Inn Maternity 8 4 50% Pregnant Women Dubuque Community Y Domestic Emergency 17 8 47% Victims Fleeing Violence Program Violence Maria House Transitiona 24 9 38% Women&Children Table 8-Emergency&Trensitional Housing 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 The City of Dubuque and State of lowa require publically funded institutions and facilities to have discharge plans that include adequate and stable housing; however, the follow-up on those plans is difficult in many situations.The City of Dubuque established a rapid re-housing fund that starts in FY 2020 in case a short-term issue is found when executing a discharge plan for a resident.The City of Dubuque is also working with many community non-profits and business partners to establish a "one- stop shop"for assistance that is provided across multiple agencies, but can easily be accessed under the umbrella of one entity to help this vulnerable population access assistance. 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 CAPER 14 OMB Control No:2506-0117(exp.06/30/2018) A network of non-profit organizations provides a range of services from outreach to permanent 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%AM I. There are three permanent supportive housing programs offered in Dubuque.The City provides the Continuum of Care funded Phoenix Housing program,serving homeless individuals and families with disabilities. Hillcrest Family Services provides permanent supportive housing for women and children, and Opening Doors(Francis Apartments) provides permanent supportive housing opportunities for families. During the January 2019 point-in-time count,these programs had capacity for 55 individuals and were 78%full. CAPER 15 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. The City promotes CDBG funded programming to voucher participants in efforts to increase awareness and participation in activities. 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, serving as the PHA, ensures leasing to 95%of the budget capacity, as required by the Voluntary Compliance Agreement.The Rehabilitation Supervisor at Housing &Community Development works with Family Self-Sufficiency and Gaining Opportunities participants to increase awareness about homeownership options. All Housing Choice Voucher participants are invited to join the City's Family Self-Sufficiency (FSS) and Gaining Opportunities 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 Gaining Opportunities 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. Actions taken to provide assistance to troubled PHAs The PHA is not troubled. CAPER 16 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) 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.This Analysis of Impediments will be re-evaluated by a consultant and a new 5 year Analysis will be presented to the City Council in January 2020. 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. 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 CAPER 17 OMB Control No:2506-0117(exp.06/30/2018) 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 April 2019 was awarded $581,000 in Healthy Home funds and $2,999,968 in lead hazard control funds for a total of$3,580,968.The program has a local match of$648,454 and proposes to do 120 units in the 3.5-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 six units assisted by the Lead & Healthy Homes program during the program year. Actions taken to reduce the number of poverty-level families. 91.220(k); 91320(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 unemployment 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, 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 developed a rental rehabilitation program in FY 2019 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 CAPER 18 OMB Control No:2506-0117(exp.06/30/2018) 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. Multiple departments continue compiling a data library and develop 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 completed by these departments focuses on equity and identifying how the institution can provide more equitable services. 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/October 2018, 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. 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 demonstrate what support services will be available to residents. Locations of projects are carefully considered to ensure residents will have access to areas of opportunity relevant to the target population being served.The City actively seeks 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. initiative (Comprehensive Housing Activities for Neighborhood Growth and Enrichment) to identify and rehabilitate downtown housing units.The program is designed to acquire, rehabilitate,and sell previously dilapidated 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, and True North, multiple single-family homes 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 of Dubuque made progress in the following actions in FY 2019: CAPER 19 OMB Control No:2506-0117(exp.06/30/2018) October2018 • Fair Housing Training Sessions held February 2019 • City staff presented 2018 S01 Progress Report to the City Council, identifying 8 points of data needed to effectively analyze the housing needs of Housing Choice Voucher holders. • Housing &Community Development Department establishes equity training once a week • Housing &Community Development Department forms an equity team to evaluate insitiutional barriers such as policies and procedures that unintentionally create disparate impacts on certain populations. March 2019 • City partners working on neighborhood revitalization through rehabilitation of housing establish a time to meet monthly to establish metrics and data to collect to measure potential unintentional consequences of the work being completed. April 2019 • Workshop on Equity at Work Infusing Intercultural Strategies from Self to Systems—2 Sessions • City of Dubuque released from a significant amount of administrative burden created by bi- annual reporting requirements of the VCA as a recognition of the City's compliance with the Agreement. May 2019 • Housing Commission and Resident Advisory Board approve revisions to Administrative Plan on Applications,Waiting List and Tenant Selection (Chapter 4). • Workshop on Equity at Work Infusing Intercultural Strategies from Self to Systems—2 Sessions June 2019 • City staff began planning for fall 2019 staff Fair Housing training • City Council approves revisions to Administrative Plan on Applications, Waiting List and Tenant Selection (Chapter 4). • Advertisement of the Waiting List opening July 9th, 2019,and on the second Tuesday of each month thereafter, is released. CAPER 20 OMB Control No:2506-0117(exp.06/30/2018) CR-40 - Monitoring 91.220 and 91.230 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 2019, the responsibility for monitoring the CDBG programs was transferred from the Budget Department to the Housing&Community Development Department.The Community Development Specialist provides technical assistance and coordinates with department directors to ensure compliance with CDBG regulations; however,a lack of oversight at the executive level of the organization caused significant delays in meeting reporting requirements.The Housing&Community Development Director is now tasked with the oversight of the CDBG funding, to ensure reporting regulations are being followed by the Community Development Specialist. Pre-funding Preparedness:The Community Development Specialist provides 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. New sub-recipients outside of the City are also provided one-on-one technical support prior to project implementation ensure contracting,eligibility, reporting,and national objective requirements are met. Contract Management: Most CDBG contracts are overseen by the Housing&Community Development 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 by the Community Development Specialist to sub recipients and project managers throughout the contract period. Most sub recipients do monthly draws where supporting documentation is verified. 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 using an electronic form. City Departments using CDBG funds are monitored by their respective Department Managers and the Housing &Community Development Director. CAPER 21 OMB Control No:2506-0117(exp.06/30/2018) 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 Budget and 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. 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 Community Development Advisory Commission reviews the Citizen Participation Plan annually.Agendas are posted in the Housing Department, City Hall, and distributed to a list serve where anyone can receive notification when 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. The Community Development Advisory Commission accepts comments on performance at all meetings, but also has an online form for comments throughout the year. City staff is also available to accept comments on performance on a daily basis over the phone or through email and brings any comments received to the Community Development Advisory Commission to be recorded in the minutes and commented on by the public/commission members.The Community Development Advisory Commission set a public hearing on this specific report on July 17th, 2019 and posted a public notice of such, which is attached here.The public hearing will be held on August 28th, 2019 at 5:30pm, and comments received will be documented as an attachment. 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 of Dubuque historically had a significant amount of unspent funds based on lack of administrative oversight and a concerted effort to keep a steady stream of work being completed in the community throughout the entire plan year.This not only caused timeliness issues in the past, but made CAPER 22 OMB Control No:2506-0117(exp.06/30/2018) it difficult for partners using CDBG funding to administer their programs effectively.Through FY 2019, changes were made to program oversight to place benchmarks on program spending, and provide outreach to grantees to ensure spending was in line with outcomes being reported. The City of Dubuque has beeing working hard to promote the use of the community development programs to marginalized community members and those with significant barriers to navigating systems.Targeted outreach was completed to test if that would encourage additional participants from marginalized neighborhoods, but that was not an outcome.At the end of the plan year,the City changed its focus to being part of"in-group" activities and events to reach this community. It is too early to see if this approach will be effective, but in conjunction with this approach policies are being reviewed to remove additional barriers that were institutional. Reaching community members in the extremely-low income category appears to be a need that will be identified in the next consolidated plan. 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 23 OMB Control No:2506-0117(exp.06/30/2018) CDBG Eligi6le Areas Map ��� �'jp3' '[�' a1 . . . .. rn�xreAexn, m+s . . . �... �•1�. �,t �i � � + i � Q � � _ 1 ! I � j �.. Legend Q Dubuque City Limi�s . . 201L2015ACSCDBGEIigibleArea � � O 200fi-2010 WBG ACS Eligible Area CALER l6