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Authorization to Submit FY21/PY20 Community Development Block Grant Consolidated Annual Performance and Evaluation Report (CAPER)City of Dubuque City Council Meeting Consent Items # 24. Copyrighted January 18, 2022 ITEM TITLE: Authorization to Submit FY21/PY20 Community Development Block Grant Consolidated Annual Performance and Evaluation Report (CAPER) SUMMARY: City Manager recommending approval of a resolution authorizing submission of the Consolidated Annual Performance and Evaluation Report (CAPER) for the period of July 1, 2020 through June 30, 2021, to the U.S. Department of Housing & Urban Development Community Planning Division upon completion of the public hearing at the January 19, 2022 Community Development Advisory Commission meeting. RESOLUTION Authorizing the submission of a Consolidated Annual Performance and Evaluation Report (CAPER) for the period commencing July 1, 2020 and concluding June 30, 2021 SUGGESTED Suggested Disposition: Receive and File; Adopt Resolution(s) DISPOSITION: ATTACHMENTS: Description Type Authorization to Submit FY21/PY20 Community Development Block Grant Consolidated Annual City Manager Memo Performance and Evaluation Report (CAPER)-MVM Memo FY21 CAPER - Staff Memo FY21 CAPER - Resolution FY21 CAPER Staff Memo Resolutions Supporting Documentation THE CITY OF Dubuque DUB TEE1. All -America City Masterpiece on the Mississippi � pp zoo�•*o 13 zoi720zoi9 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Authorization to Submit FY21/PY20 Community Development Block Grant CAPER DATE: January 13, 2022 Housing and Community Development Director Alexis Steger recommends City Council approval of a resolution authorizing submission of the Consolidated Annual Performance and Evaluation Report (CAPER) for the period of July 1, 2020 through June 30, 2021, to the U.S. Department of Housing & Urban Development Community Planning Division upon completion of the public hearing at the January 19, 2022 Community Development Advisory Commission meeting. Typically, this report is due 90 days after the end of the reporting period, but the City of Dubuque was granted an extension due to technical issues with HUD's online reporting system. I concur with the recommendation and respectfully request Mayor and City Council approval. Mic ael C. Van Milligen MCVM:jh Attachment cc: Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Alexis M. Steger, Housing and Community Development Director Dubuque THE CITY OF All-Amerin City DUB E nx , 2007-2012.2013 Masterpiece on the Mississippi 2017*2019 TO: Michael C. Van Milligen, City Manager FROM: Alexis M. Steger, Housing and Community Development Director SUBJECT: Authorization to Submit FY21/PY20 Community Development Block Grant CAPER DATE: January 12, 2022 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, 2020 through June 30, 2021. The report includes activities for the Community Development Block Grant (CDBG) Program and is due January 31, 2022. Typically, this report is due 90 days after the end of the reporting period, but the City of Dubuque was granted an extension due to technical issues with HUD's online reporting system. 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 December 31St, 2021 announcing a public hearing for the CAPER is to be held on Wednesday, January 19t", 2022 at the Community Development Advisory Commission meeting. All public comments received at the meeting will be included as an attachment to the CAPER prior to submission to HUD. 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, 2021. A copy is attached for your review. The report is submitted to HUD in draft form until HUD approval is received. Recommendation I respectfully request that the City Council approve the attached resolution, directing staff to submit the Consolidated Annual Performance and Evaluation Report (CAPER) for July 1, 2020 to June 30, 2021 to the U.S. Department of Housing & Urban Development Community Planning Division upon completion of the Public Hearing at the Community Development Advisory Commission Meeting set for January 19, 2022. Prepared by: Maddy Haverland, Community Development Specialist Prepared by Maddv Haverland, Housing & Community Devel., 350 W. 6'h St Suite 312, Telephone: (563) 690-6072 Return to Adrienne N. Breitfelder, City Clerk, 50 W. 13th St., Dubuque, IA 52001, (563) 589-4100 RESOLUTION NO. 23-22 RESOLUTION AUTHORIZING THE SUBMISSION OF A CONSOLIDATED ANNUAL PERFORMANCE AND EVALUATION REPORT (CAPER) FOR THE PERIOD COMMENCING JULY 1, 2020 AND CONCLUDING JUNE 30, 2021 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, 2020 and concluding June 30, 2021; 2) published notice of availability of the CAPER in the Telegraph Herald and City of Dubuque website on December 31, 2021 and; 3) made copies of the CAPER available for public review; 4) will hold a public hearing pursuant to required 15-days published notice before the Community Development Advisory Commission on January 19, 2022. 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, 2020, and concluding June 30, 2021, is hereby approved for submission upon the completion of the Public Hearing to be held on January 19, 2022. 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. Passed, approved and adopted this 18th day of January 2022. Uavanagh, Attest: //7 Adrienne Breitfelder, City Clerk FISCAL YEAR 2021 1 HUD PROGRAM YEAR 2020 PREPARED BY MADELINE HAVERLAND, COMMUNITY DEVELOPMENT SPECIALIST CITY OF DUBUQUE, IOWA I Housing and Community Development Department 13S0 W 6th Street, Suite 312 1 Dubuque, IA S2001 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. 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 measure, targets, actual outcomes/outputs, and percentage completed for each of the grantee's program year goals. Goal Category Source / Amount Indicator Unit of Measure Expected — Strategic Plan Actual — Strategic Plan Percent Complete Expected — Program Year Actual — Program Year Percent Complete Affordable Housing Homeless AFH: Advance Non - Equity with Homeless CDBG: Other Other 5 1 1 1 100.00% Fair Housing Special $377,925 20.00% Activities Needs Non -Housing Community Development Affordable Public Facility or Housing Assist Special Infrastructure Activities Non- CDBG: Persons Needs other than 25000 0 0.00% 3 0 0.00% Homeless $0 Assisted Populations Low/Moderate Income Special Housing Benefit Needs CAPER OMB Control No: 2506-0117 (exp. 09/30/2021) Affordable Housing Public Facility or Assist Special Non- CDBG: Infrastructure Activities Households Needs 15 0 0.00% 5335 0 0.00% Homeless $0 for Low/Moderate Assisted Populations Special Income Housing Benefit Needs Affordable Housing Public service activities Assist Special Non- CDBG: other than Persons Needs 26675 1139 4.27% 5000 1139 22.78% Homeless $20,000 Low/Moderate Income Assisted Populations Special Housing Benefit Needs Affordable Housing Assist Special Public service activities Non- CDBG: Households Needs for Low/Moderate 100 0 0.00% 20 0 0.00% Homeless $0 Assisted Populations Income Housing Benefit Special Needs Affordable Housing Assist Special Non- CDBG: Businesses Needs Businesses assisted 55 10 11 10 90.91% Homeless $34,120 Assisted 18.18% Populations Special Needs Assist the Public Facility or Homeless and CDBG: Infrastructure Activities Households Homeless 10 0 0.00% 2 0 0.00% At -Risk of $0 for Low/Moderate Assisted Homelessness Income Housing Benefit CAPER OMB Control No: 2506-0117 (exp. 09/30/2021) Assist the Public service activities Homeless and CDBG: other than Persons Homeless 12500 0 0.00% 2500 0 0.00% At -Risk of $0 Low/Moderate Income Assisted Homelessness Housing Benefit Assist the Homeless and CDBG: Homeless Other Other 5 0 0.00% 1 0 0.00% At -Risk of $0 Homelessness Affordable Housing Develop New Homeless Household CDBG: Homeowner Housing Affordable Non- Housing 10 3 2 3 150.00% $351,283 Added 30.00% Housing units Homeless Unit Special Needs Affordable Housing Develop New Homeless Household CDBG: Homeowner Housing Affordable Non- Housing 45 0 0.00% 9 0 0.00% $0 Rehabilitated Housing units Homeless Unit Special Needs Direct Home Direct Financial Affordable CDBG: Households Ownership Assistance to 95 12 19 12 63.16% Housing $75,000 Assisted 12.63% Assistance Homebuyers Encourage Public service activities Self- Non -Housing CDBG: other than Persons Sufficiency- Community 60 13811 12 13811 $45,703 Low/Moderate Income Assisted 23,018.33% 115,091.67% Public/Human Development Housing Benefit Services CAPER OMB Control No: 2506-0117 (exp. 09/30/2021) Encourage Self- Non -Housing Tenant -based rental CDBG: Households Sufficiency- Community assistance / Rapid 250 1 0.40% 50 1 2.00% $1,726 Assisted Public/Human Development Rehousing Services Encourage Self- Non -Housing CDBG: Sufficiency- Community Other Other 5 0 0.00% 1 0 0.00% $0 Public/Human Development Services Affordable Maintaining Housing Public Facility or Existing Non- CDBG: Infrastructure Activities Households Affordable Homeless $0 for Low/Moderate Assisted 125 0 0.00% 25 0 0.00% Housing Special Income Housing Benefit Needs Affordable Maintaining Housing Public service activities Existing Non- CDBG: other than Persons 0 0 0 0 Affordable Homeless $0 Low/Moderate Income Assisted Housing Special Housing Benefit Needs Affordable Maintaining Housing Household Existing Non- CDBG: Homeowner Housing Affordable Homeless $39,750 Rehabilitated Housing 100 10 10.00% 20 10 50.00% Unit Housing Special Needs CAPER OMB Control No: 2506-0117 (exp. 09/30/2021) Affordable Maintaining Housing Direct Financial Existing Non- CDBG: Households Assistance to 150 0 0.00% 30 0 0.00% Affordable Homeless $0 Assisted Homebuyers Housing Special Needs Public service activities Neighborhood Non -Housing CDBG: other than Persons Youth Services Community 37400 4490 7480 4490 60.03% $54,860 Low/Moderate Income Assisted 12.01% and Aftercare Development Housing Benefit Neighborhood Non -Housing Facade CDBG: Youth Services Community treatment/business Business 1 0 0.00% 1 0 0.00% $0 and Aftercare Development building rehabilitation Provide Housing Code Household Inspection Affordable CDBG: Enforcement/Foreclosed Housing 825 185 165 185 112.12% and Code Housing $14,350 22.42% Property Care Unit Enforcement Support Public Facility or Neighborhood Non -Housing Infrastructure Activities CDBG: Persons Development Community other than 42500 1655 3.89% 8500 1655 19.47% $300 Assisted and Development Low/Moderate Income Improvements Housing Benefit Support Public Facility or Neighborhood Non -Housing CDBG: Infrastructure Activities Households Development Community 45 0 0.00% 9 0 0.00% $0 for Low/Moderate Assisted and Development Income Housing Benefit Improvements CAPER OMB Control No: 2506-0117 (exp. 09/30/2021) Support Public service activities Neighborhood Non -Housing CDBG: other than Persons Development Community 50000 18945 10000 18945 189.45% $9,680 Low/Moderate Income Assisted 37.89% and Development Housing Benefit Improvements Table 1 - Accomplishments — Program Year & Strategic 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 PY 2020 Annual Action Plan was adopted into the City Budget by the Dubuque City Council. The City's goals described in the Consolidated Plan are all high priority and were used as the basis for the budgetary priorities outlined in the FY21/PY20 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 2021/Program Year 2020 activities addressed all of the goals identified in the Consolidated Plan. CAPER OMB Control No: 2506-0117 (exp. 09/30/2021) 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 16,715 Black or African American 4,206 Asian 197 American Indian or American Native 177 Native Hawaiian or Other Pacific Islander 718 Total 22,013 Hispanic 1,749 Not Hispanic 20,264 Table 2 —Table of assistance to racial and ethnic populations by source of funds Narrative The City of Dubuque focuses on serving racial minorities through direct outreach for participation in programs and funding nonprofit organizations that provide services intended towards underserved populations. Outreach through partners such as The Dubuque Dream Center, Fountain of Youth, Crescent Community Health Center, and the Dubuque VNA allowed us to reach more racially diverse populations in the City. CAPER 7 OMB Control No: 2506-0117 (exp. 09/30/2021) CR-15 - Resources and Investments 91.520(a) Identify the resources made available Source of Funds Source Resources Made Available Amount Expended During Program Year CDBG public - federal 3,196,280 843,629 Table 3 - Resources Made Available Narrative The CDBG resources available in Program Year 2020 include program income received and carryover funds. During FY 2021/Program Year 2020, the City expended $585,913 in program income, $257,716 in entitlement funds for a total of $843,629. Funding was used to support housing, neighborhood and community development, and administrative programs. Additionally, $483,562 was expended in CDBG CARES Act funding during PY20. Funding was used to support the rehab and operation of a temporary shelter for individuals impacted by COVID-19, subsistence payments, organization support for nonprofits serving those impacted by COVID-19, and expanded broadband services for low and moderate income families to assist with online education and employment while Identify the geographic distribution and location of investments Target Area Planned Actual Percentage Narrative Description Percentage of of Allocation Allocation City Wide 89 91 Activities available city-wide Low/Moderate Area Activities serving only low and Benefit 11 9 moderate income areas Table 4 — Identify the geographic distribution and location of investments Narrative A majority of the activities identified in the Annual Action Plan are targeted to LMI populations, which could be city-wide, so specific geographical areas within the city were not identified for those activities The Low/Moderate Area Benefit activities were services that are available for all residents living in the determined areas, which are all conducted in residential areas with 51% or greater low/moderate income residents according to Census data. A listing of activities and their locations is found in the attached PR-03 CDBG Activity Summary Report. CAPER W OMB Control No: 2506-0117 (exp. 09/30/2021) 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. Through a State grant, the City of Dubuque provides Home Advocates to those that participate in CDBG funded programs and the Bee Branch Healthy Homes Program. These Home Advocates assess social and physical barriers to sustainable living in each individual home/unit and connects residents to agencies that can help eliminate the barriers ($32,575). The City of Dubuque also started to leverage Housing Tax Increment Financing funds to further the goals of rehabilitating dilapidated structures and making them available to low -moderate income person for purchase. This program is paired with the Purchase/Rehab/Resale and First - Time Homebuyer Programs to maximize access to homeownership for low -moderate income residents ($648,784). The City of Dubuque has a Lead and Healthy Homes grant which CDBG funds leveraged into the community as match funding. Additional funding is leveraged from the Lead and Healthy Homes grant, which assists households built before 1978 with children under the age of 6, with controlling lead -based paint hazards in the home ($172,010). The City of Dubuque uses other funds to accomplish the same goals as the CDBG Consolidated Plan such as Section 8 Housing, Shelter Plus Care Program, and the Rental Rehabilitation Program; however, they are not directly leveraged by CDBG fund support of those outcomes. CAPER 0 OMB Control No: 2506-0117 (exp. 09/30/2021) 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 250 0 Number of Non -Homeless households to be provided affordable housing units 20 12 Number of Special -Needs households to be provided affordable housing units 400 0 Total 670 12 Table 5 — Number of Households One -Year Goal Actual Number of households supported through Rental Assistance 0 1 Number of households supported through The Production of New Units 0 0 Number of households supported through Rehab of Existing Units 20 12 Number of households supported through Acquisition of Existing Units 0 0 Total 20 13 Table 6 — Number of Households Supported Discuss the difference between goals and outcomes and problems encountered in meeting these goals. The City of Dubuque partners with the Affordable Housing Network, Inc; however, COVID-19 has impaired construction on several homes under rehabilitation due to supply chain issues and increase in costs of materials. Progress continues as quickly as possible, but some projects will not be completed until PY2021. CAPER 10 OMB Control No: 2506-0117 (exp. 09/30/2021) The City's Lead and Healthy Homes Program provides lead hazard control activities and healthy homes interventions in homes built before 1978. CDBG provides match funding to leverage these grant funds, with a focus on owner -occupied homes with children under the age of 6 years old. Production for this grant was slowed significantly during PY20 due to the same supply chain issues and material cost increases, as well as contractor availability and capacity. Along with the programs mentioned above, homeowner rehabilitation was slowed in PY20, particularly due to the lack of contractors available and the increase of materials. A need identified in the community was assistance for rental properties to bring windows in habitable rooms into compliance in older housing stock primarily occupied by low to moderate income renters. A window replacement program was created to assist with this need. Additional homes were rehabilitated through Tax Increment Financing and sold to low to moderate income first-time homebuyers. 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, especially in the current housing market. The City started partnering 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 Housing TIF to serve this purpose was created by the City of Dubuque, and is currently being used to rehabilitate homes that are affordable and sell them to low/mod income residents and paired with the First -Time Homebuyer Program to increase affordable housing access. This is being done through a partnership with Affordable Housing Network Inc. The City's Lead and Healthy Homes Program provides lead hazard control activities and healthy homes interventions in homes built before 1978. CDBG provides match funding to leverage these grant funds, with a focus on owner -occupied homes with children under the age of 6 years old. Production for this grant will continue and increase in production as the supply chain and material costs stabilize. The City also received another Lead Hazard Control grant, and a Healthy Homes Production grant that will assist with rehabilitation of existing units in the City. Homeowner rehabilitiation programs will continue in the same manner as lead as the construction industry stabilizes throughout the country. The City implemented a short-term assistance program to help households struggling to pay their rent, mortgage, and/or utilities. These subsistence payments are preventing homelessness for low and moderate income households. Funds secured from the Iowa Economic Development Authority will assist households with Rapid Rehousing needs, as well. The City also continues to provide resources for CAPER 11 OMB Control No: 2506-0117 (exp. 09/30/2021) sheltering related to the COVID-19 pandemic. This includes providing spaces for individuals to isolate and quarantine as needed, as well as the opportunity to minimize overcrowding, particularly for homeless shelters that typically have communal living arrangements. 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 Extremely Low-income 8 Low-income 1 Moderate -income 15 Total 24 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. 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 entire loan portfolio. Additional efforts are being made to specifically serve the extremely low-income residents, and the Equitable Poverty Reduction & Prevention Plan, as well as the newly created Office of Shared Prosperity and Neighborhood Services will help guide those programs as we continue our efforts. CAPER 12 OMB Control No: 2506-0117 (exp. 09/30/2021) 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 Iowa'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. During PY2020, the City of Dubuque assisted 37 households with subsistence payments to prevent homelessness related to effects of the coronavirus pandemic ($83,296). Subsistence payments consisted of payments made towards rent or mortgage and utility payments to keep people in their homes. The City of Dubuque received additional CDBG-CV funds through the Iowa Economic Development Association in the amount of $521,469, and has contracted with Community Services of Eastern Iowa to assist households with Rapid Rehousing needs. Additionally, the City provided an isolation and quarantine shelter for individuals impacted by COVID-19 who were unable to safely isolate in their own homes, or for residents staying in homeless shelters that have communal living arrangements. These services assisted 127 individuals in PY20. Addressing the emergency shelter and transitional housing needs of homeless persons CAPER 13 OMB Control No: 2506-0117 (exp. 09/30/2021) 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. The City also delivers 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 of Dubuque received additional CDBG-CV funds through the Iowa Economic Development Association in the amount of $521,469, and has contracted with Community Services of Eastern Iowa to assist households with Rapid Rehousing needs. The City identified 67 individuals reported as being homeless in Dubuque County during the January 2021 point in time homeless count. 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 Iowa require publicly 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 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. The City of Dubuque also used CDBG funds to support the Fountain of Youth in PY 2020 in the amount of $15,000. This partner provides transitional services, counseling and community connections to help those exiting incarceration become self-sufficient by obtaining employment and housing. The City of Dubuque also was awarded Family Unification Program housing assistance vouchers to serve those aging out of foster care, and families who have children placed in foster care that do not have stable housing with the goal of reunification. 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 CAPER 14 OMB Control No: 2506-0117 (exp. 09/30/2021) 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 supportive housing. These organizations collaborated during the program year to define and align resources for coordinated entry. Headed by the Iowa 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. During PY2020, the City of Dubuque assisted 37 households with subsistence payments to prevent homelessness related to effects of the coronavirus pandemic. Subsistence payments consisted of payments made towards rent or mortgage and utility payments to keep people in their homes. The community need for this spurred the City to creating a short-term assistance program for FY22/PY21 to provide subsistence payments to households that have not been assisted with other funds. The City of Dubuque received additional CDBG-CV funds through the Iowa Economic Development Association in the amount of $521,469, and has contracted with Community Services of Eastern Iowa to assist households with Rapid Rehousing needs. 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 children, and Opening Doors (Francis Apartments) provides permanent supportive housing opportunities for families. CAPER 15 OMB Control No: 2506-0117 (exp. 09/30/2021) 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 Housing Choice Voucher 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 renters 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 1,108 vouchers but is unable to issue to capacity due to budgetary constraints. The Rehabilitation Supervisor at Housing & Community Development works with Family Self -Sufficiency participants to increase awareness about homeownership options. All Housing Choice Voucher participants are invited to join the City's Family Self -Sufficiency (FSS) program, which offers 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 FSS-participating families. The programs coordinate resources to help buyers establish bank accounts, Individual Development Accounts (IDA), homeownership counseling, and resources to purchase a home. Actions taken to provide assistance to troubled PHAs This PHA is not troubled. CAPER 16 OMB Control No: 2506-0117 (exp. 09/30/2021) 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); 91.320 (i) The City of Dubuque has taken steps toward removing barriers to affordable housing, especially when federal, state, or local funds are contributed toward housing improvements. All rental property owners who receive funding through CDBG Rehab programs, Lead Hazard Control, Bee Branch Healthy Homes (CDBG-NDR), are required to accept housing choice vouchers. The City continues to work with community groups and stakeholders regarding adding source of income as a protected class to our local ordinances. 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. Recent rental licensing data shows that only 33% of units in the City of Dubuque will accept Housing Choice Vouchers, and the majority of those are in high -concentrated proverty areas. 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. The City of Dubuque also formed a fees and charges equity committee to evaluate the impact fees have on low-income residents. The goal of this committee is to eliminate fees and charges that don't produce the desired outcomes and affect low-income residents more than others. The City completed an Equitable Poverty Prevention and Reduction Plan, which will be implemented in coming years. In accordance with that Plan, the City created the Office of Shared Prosperity and Neighborhood Services to carry out the efforts outlined within. Actions taken to address obstacles to meeting underserved needs. 91.220(k); 91.320(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 steps 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 CAPER 17 OMB Control No: 2506-0117 (exp. 09/30/2021) 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); 91.320(j) The City applied for a 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. The City of Dubuque has received another Lead and Healthy Homes Grant in 2021 for $4.2 million that would continue lead hazard control efforts, and have a targeted focus on Dubuque's unique historic properties that traditionally fall through the cracks due to the costs associated with historic preservation. This grant will run from November 2021-May 2025 and complete interventions in 106 units city-wide. 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 goals to increase economic opportunities through business retention, expansion, job creation, and financial resources for low- and moderate -income small business owners. The City of Dubuque had a low unemployment rate pre-COVID, and many of the local manufactures have a demand for skilled workers. Project HOPE, which is supported by the City of Dubuque, 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 of Dubuque had a study completed to produce an Equitable Poverty Reduction & Prevention CAPER 18 OMB Control No: 2506-0117 (exp. 09/30/2021) Plan. This plan helps guide the activities that should be undertaken to have the greatest impact on the number of poverty -level families. This report was released in FY 2021. A new department, the Office of Shared Prosperity and Neighborhood Services, was created within the City of Dubuque to specifically address the action plan from the Equitable Poverty Reduction & Prevention Plan. The Housing Department works closely with this newly created office and will partner for community participation and targeted programming in the future. Entitlement funds in the amount of $56,620 were committed to Microenterprise development and expansion for low to moderate income business owners. These grants assisted microenterprise owners with costs associated with beginning a business, or expanding services. 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 has multiple programs 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); 91.320(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. 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. New employees, boards and commission members also receive fair housing training and education. The Housing & Community Development Department also continues quarterly training for employees on diversity, equity and inclusion concepts and practices. From this committees were formed to address institutional structure issues that affect the City's ability to effectively serve all residents. CAPER 19 OMB Control No: 2506-0117 (exp. 09/30/2021) Actions taken to enhance coordination between public and private housing and social service agencies. 91.220(k); 91.320(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 continues its 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 GT Investments, and Affordable Housing Network, Inc., 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) CAPER 20 OMB Control No: 2506-0117 (exp. 09/30/2021) 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 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. Due to the COVID-19 pandemic, these are routinely completed virtually. 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. 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 Housing and Community Development department maintains and updates the Section 3 plan for applicable contracts. CAPER 21 OMB Control No: 2506-0117 (exp. 09/30/2021) 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 normally at 5:30 pm in a Housing Conference Room, located in Dubuque's downtown on a bus route, but have been held both in person and on a virtual platform due to the Coronavirus Pandemic. 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. In response to the Coronavirus, the office of Community Planning and Development released a notice that allowed grantees to amend citizen participation plans to establish expedited procedures to draft, propose, or amend consolidated plans. Expediated procedures must include notice and reasonable opportunity to comment of no less than five days. This notice also allowed grantees to utilize telecommunication to send and receive updates, hold meetings, and receive public input. 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 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. The City changed its focus to being part of "in-group" activities and events to reach this community. This has been effective in increasing the number of marginalized groups participating in programs and even providing input for planning programs. Due to lack of participation by marginalized populations in the City's homeownership workshops and CAPER 22 OMB Control No: 2506-0117 (exp. 09/30/2021) programs, the City's approach pivoted towards removing barriers to homeownership. Many minorities that expressed interest in homeownership were not at a stage yet financially where they could secure a bank loan to participate in our first-time homebuyer programs. The City devleoped a credit repair program to assist potential homebuyers to repair their credit, then recieve downpayment assistance. Through code enforcement efforts, it was discovered that many older rental units in the City, primarily occupied by minority or low/moderate income community members, had windows in habitable rooms that did not meet emergency escape and rescue opening requirements as identified by City Code. This was a safety issue, so the City developed a program by which rental property owners could replace the non -compliant windows with properly sized egress windows to keep occupants safe in case of emergency. The City of Dubuque found that at the end of PY 2020, COVID hit low -moderate income residents particularly hard. Access to food, shelter, and employment continued to be barriers and will likely to continue throughout the pandemic. 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. 09/30/2021)