U.S. Department of Housing & Urban Development (HUD) Environmental reveiw Monitoring Finding ClearanceCity of Dubuque
City Council Meeting
Consent Items # 16.
Copyrighted
April 4, 2022
ITEM TITLE: U.S. Department of Housing & Urban Development (HUD)
Environmental review Monitoring Finding Clearance
SUMMARY: City Manager sharing information from the U.S. Department of Housing &
Urban Development (HUD) Environmental review Monitoring Finding
Clearance with City Council.
SUGGESTED Suggested Disposition: Receive and File
DISPOSITION:
ATTACHMENTS:
Description
Type
CDBG Environmental Review Monitoring Results-MVM City Manager Memo
Memo
Staff Memo
Letter from HUD
Staff Memo
Supporting Documentation
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TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: U.S. Department of Housing & Urban Development (HUD) Environmental
review Monitoring Finding Clearance
DATE: March 30, 2022
Housing & Community Development Director Alexis Steger is sharing information from
the U.S. Department of Housing & Urban Development (HUD) Environmental review
Monitoring Finding Clearance with City Council. The City of Dubuque Community
Development Block Grant funding requires an environmental review for all
undertakings/projects.
The Environmental Review Monitoring resulted in three (3) findings that required
corrective action from the City of Dubuque. The monitoring was completed for prior
fiscal years, so one finding had already been addressed and correct by the City prior to
the monitoring. The City of Dubuque submitted the corrective actions to HUD for
approval. The attached letter is an approval of the City of Dubuque's corrective actions
taken, and the closing of the monitoring for environmental review processes.
v
Mic ael C. Van Milligen
MCVM:sv
Attachment
cc: Crenna Brumwell, City Attorney
Cori Burbach, Assistant City Manager
Alexis Steger, Housing & Community Development Director
Dubuque City of Dubuque
THE CHousing &Community
AflAmerieaEity Development
DUUB FE I11 350 W. 6th Street, Suite 312
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Masterpiece on the Mississippi 2017*2019' Office (563) 589-4230
TO: Michael C. Van Milligen, City Manager
FROM: Alexis M. Steger, Housing & Community Development Director
DATE: March 30, 2022
RE: U.S. Department of Housing & Urban Development (HUD) Environmental review
Monitoring Finding Clearance
BACKGROUND
The City of Dubuque Community Development Block Grant funding requires an environmental review
for all undertakings/projects. Periodically, HUD will monitor the City of Dubuque's performance in this
area. HUD completed a remote monitoring from August 26 to August 31, 2021.
DISCUSSION
The Environmental Review Monitoring resulted in three (3) findings that required corrective action
from the City of Dubuque. The monitoring was completed for prior fiscal years, so one finding had
already been addressed and correct by the City prior to the monitoring.
A summary of findings and corrective actions:
Tier 1 environmental review had not been marked "completed" in the system prior to the
Mayor's signature on the certification of compliance.
Corrective Action: HEROS, a system for completing environmental reviews, was not fully
used by the City of Dubuque for Fiscal Year 2019 and 2020, so a paper copy of the review was
completed and available. HUD wants the City of Dubuque to only use the HEROS system,
although not required by regulations. The City agrees to only use the HEROS system for
Environmental Reviews, since this was already in the process and procedures starting in
Fiscal Year 2021. The process and procedures manual was updated to make the use of
HEROS a requirement.
2. The format for environment reviews was confusing in regards to the format of statutory
checklists. The organization and maintenance of environmental review records was fractured.
Corrective Action: The City of Dubuque uses the HUD provided system, HERDS, to maintain
and organize environmental review records starting in Fiscal Year 2021. Fiscal Year 2019 and
2020 were monitored and had fractured processes. The City of Dubuque had already noted
these issues and moved to HERDS. The process and procedures manual for CDBG was
service People Integrity Responsibility Innovation Teamwork
updated to reflect specific organizational structure of environmental review records and staff
assigned to each step in the process.
3. An environmental review record was not completed prior to a homeowner rehabilitation and the
copy of the environmental review for a tuck -pointing project was missing. Two activities that
were exempt from the environmental review process did not have the exempt documentation
in the file.
Corrective Action: The City retroactively completed the required environmental reviews and
updated files per HUDs instructions. Additional training was provided to City Staff and several
layers of oversight on environmental reviews were put into place and documented in the policy
and procedures manual to prevent a single employee from moving a project forward prior to an
environmental review being completed.
The City of Dubuque submitted the corrective actions to HUD for approval. The attached letter is an
approval of the City of Dubuque's corrective actions taken, and the closing of the monitoring for
environmental review processes.
REQUESTED ACTION
No action is requested by the City Council. This memorandum is for information purposes only.
Cc: Teri Goodmann, Assistant City Manager
Maddy Haverland, Community Development Specialist
Service People Integrity Responsibility Innovation Teamwork
U.S. Department of Housing and Urban Development
Omaha Field Office
Edward Zorinsky Federal Building
1616 Capitol Avenue, Suite 329
Omaha, Nebraska 68102-4908
March 24, 2022
SENT VIA E-MAIL
Alexis Steger, Director
Housing and Community Development
City of Dubuque
350 W 6th Street, Suite 312
Dubuque, Iowa 52001
Dear Ms. Steger:
SUBJECT: Closing of Environmental Monitoring Findings
HUD has reviewed the City of Dubuque's submission made on or about January 11, 2022, in
response to monitoring conducted by the U.S. Department of Housing and Urban Development
(HUD). HUD's monitoring was conducted August 26-31, 2021 by HUD Field Environmental
Officer Beth Held (FEO Held). The City's submission responded to the three environmental
Findings and required Corrective Actions. All Findings are now closed.
Finding #1
The City certified to HUD that environmental compliance had been achieved for CDBG
projects identified in the Annual Action Plan for fiscal years 2019 and 2020, when, in fact, the
environmental reviews for fiscal year 2020 had not been completed, and the Tier 1 review for
2019 had only been partially completed in HEROS.
Corrective Action
Within sixty (60) days of receipt of this report, the City is advised to complete the following
actions:
(a) Describe in writing the specific management oversight measures to be taken to avoid a
recurrence of this deficiency. The measures must describe the internal procedures and controls
that will be implemented to ensure that projects for which a release of funds is required will not
be submitted to HUD, nor notification to the public made regarding the intent to request the
release of funds, until the environmental review for an activity or project is complete. The
procedures should convey an understanding of the application of tiering procedures.
(b) The City must continue to use HEROS now and henceforth for performing and approving
environmental reviews for all activities and projects, including where tiering procedures are
used. (HERDS is the HUD Environmental Review Online System, available at
https://heros.hud.gov/). HEROS could help the City ensure that the correct documentation
for related laws and authorities is present and may offer additional structure and background
for reviews.
Dubuque Response: The City has revised its CDBG Policies and Procedures. The City is now
familiar with the HEROS Environmental Review program and will perform reviews in HEROS
for all future projects.
Finding #2
The organization and maintenance of the Environmental Review Records (ERR) did not
demonstrate an overall clear and concise written record of the process and compliance
determinations. Key component elements were missing from certain ERRs that contributed to
a confusing format in the statutory checklists.
Corrective Action
Within sixty (60) days of the date of this report, the City is advised to complete the following
actions:
(a) Describe the city's internal management and administrative structure for conducting the
environmental review process. The structure should identify the staff and their responsibilities
associated with performing environmental reviews.
(b) Describe the recordkeeping procedures for maintaining Environmental Review Records
including support documentation, the RROF process, approvals and other required
components.
(c) Describe how mitigation measures and environmental conditions that stem from the
environmental review will be continuously tracked and monitored from decision -making
through project completion.
(d) Describe how environmental compliance will be re-evaluated when new circumstances or
a substantial change occurs which may affect the project or have a bearing on environmental
impacts.
Dubuque Response: The City submitted a new staff organizational structure and revised
recordkeeping protocols as requested, which was approved by FEO Held.
Finding #3
An environmental review record was not completed for a property in the 2020 Homeowner
Rehab Program prior to the commitment of HUD funding nor for the St Mark's Community
Center Tuckpointing Project (the City furnished the Section 106 review but could not locate the
ERR). No ERR was made for two Exempt activities.
Corrective Action
Within sixty (60) days of receipt of this report, the City is advised to complete the following
actions:
(a) The City must retroactively complete environmental reviews for IDIS # 1220 and St. Mark's
Community Center (IDIS # 1154) and submit them to HUD for review and approval. If adverse
effects are identified, the City must complete mitigation using non -HUD funds. If an adverse
effect cannot be mitigated, the City must repay the HUD fund to the project(s). The project
descriptions and all support documentation must be included in the city's submittal to HUD.
For the purpose of this corrective action, the City should complete the environmental reviews
outside of HEROS. The City should not carry out the public notice and Request for Release of
Funds process for these two projects.
(b) Describe the internal procedural changes the City has made to prevent a recurrence of the
deficiency.
(c) City staff performing reviews must complete HUD online training and obtain certification
for all training modules found in the adult learning platform Web -Based Instructional System
for Environmental Review (WISER). WISER is available at
https://www.hudexchange.info/trainings/wiser/.
(d) Commit to one or more staff attending HUD environmental trainings offered in HUD
Region 7 and Region 8 in 2022.
Dubuque Response: The City submitted the reviews to HUD and were approved by FEO Held.
City staff completed the WISER modules and received passing certificates for each module.
Staff will continue to monitor the WISER site for additional training opportunities and attend
any upcoming virtual training sessions offered by the Region 7 office.
The City of Dubuque's letter and submissions are sufficient to close the above Findings. Should
you have questions, please contact Beth Held, Field Environmental Officer, at
Beth.Held@hud.gov or 913-321-9732. Thank you for your cooperation.
Sincerely,
Francis T Severin
2022.03.24 06:54:29 -
05'00'
Francis "Tim" Severin,
Director
Community Planning and
Development Division