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Homelessness Prevention_Rapid Re-Housing ProgramTHE CITY OF DUBUQUE Masterpiece on the Mississippi Dubuque All-American City 2007 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Homelessness Prevention and Rapid Re-Housing Program DATE: April 28, 2009 Housing and Community Development Department Director David Harris recommends City Council approval of an application to the U.S. Department of Housing and Urban Development (HUD) and an Amendment to the Fiscal Year 2009 (Consolidated Plan 2008) Annual Action Plan for Homelessness Prevention and Rapid Re-Housing Program funding in the amount of $502,294. I concur with the recommendation and respectfully request Mayor and City Council approval. Michael C. Van Milligen MCVM/jh Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager David Harris, Housing and Community Development Department Director THE CITY OF DUBUQUE Masterpiece on the Mississippi Dubuque All-American City 2007 TO: Michael Van Milligen, City Manager FROM: David Flarris, Housing and Community Development Department SUBJECT: Homelessness Prevention and Rapid Re-Housing Program DATE: April 23, 2009 Introduction The purpose of this memorandum is to request the City Council's authorization of an application to the US Department of Housing and Urban Development (HUD) and an amendment to the Fiscal Year 2009 (Consolidated Plan 2008) Annual Action Plan for Homelessness Prevention and Rapid Re-Housing Program (HPRP) funding, in the amount of $502 294. Discussion Under Title XII of the American Recovery and Reinvestment Act, Congress designated $1.5 billion for homeless prevention and assistance. Dubuque's entitlement share, as established by formula, is $502 294. An amendment to the Consolidated Plan 2008 (Fiscal Year 2009) Annual Action Plan is required, as is an application to HUD (both attached) for execution of a grant agreement. Two specific populations are targeted for assistance with this grant: 1) persons and families who are currently housed but who are at risk of becoming homeless and may need temporary rent or utility assistance; and 2) persons and households who are currently homeless and need temporary assistance in order find housing and stabilize their living situation. There are four categories of eligible activities: financial assistance, housing relocation and stabilization services, data collection and evaluation, and administration. Financial assistance may be provided as payment of rent, security and utility deposits, utility payments, moving costs and motel vouchers. Housing relocation and stabilization services include case management and crisis intervention, advocacy and development of individualized housing and service plans. These services may also include housing search and placement, legal counseling and credit repair counseling. All persons and families assisted must have incomes below 50% of area median income. Up to 5% of the award may be used for administrative costs. This does not include direct delivery of services to program participants. Program Model Through the efforts of the Housing Department and other community partners, aHUD- recognized Continuum of Care (CofC) was established in Dubuque in 2001. More than 20 service provider agencies now participate in this consortium, meeting monthly as the Homeless Advisory Committee. Initially funded with a $602 000 HUD grant, four agencies today receive annual CofC allocations for staff support, including Hillcrest Family Services, Project Concern, Maria House and Manasseh House. Project Concern now serves as the facilitator for the consortium and runs a 24-hour homeless hotline and, through their Homeless Programs Coordinator, serves as the `point of entry' for homeless persons seeking assistance in Dubuque. We propose to contract with Project Concern as the primary service delivery provider for HPRP grant activities. Project Concern staff is fully trained and equipped to use the automated Homeless Management Information System (HMIs) reporting software program required by HUD for data entry. This capacity is essential for grant performance, as HUD is requiring timely expenditure as a condition of a continuing grant contract. At least 60% of the award must be disbursed within 24 months of program award; the balance must be expended within another 12 months. Failure to meet these performance standards will result in cancellation of contract. We must pay out about $12 500 monthly to meet this goal; Project Concern staff estimates that the current need for assistance exceeds $20 000 per month. Action Step The action requested of the City Council is to approve the attached resolution for the HUD application, and the Fiscal Year 2009 (Consolidated Plan 2008) Annual Action Plan- Amendment 4, for Homelessness Prevention and Rapid Re-Housing Program funds, in the amount of $502 294. RESOLUTION N0.137-2009 (137-09) RESOLUTION APPROVING THE APPLICATION AND FISCAL YEAR 2009 ANNUAL ACTION PLAN (CONSOLIDATED PLAN 2008)- AMENDMENT 4 FOR THE HOMELESSNESS PREVENTION AND RAPID RE-HOUSING PROGRAM (HPRP) FUNDING Whereas, the City of Dubuque prepared and filed a Fiscal Year 2009 Annual Action Plan (Consolidated Plan 2008); and Whereas, the City of Dubuque has received funding from the U.S. Department of Housing and Urban Development (HUD) for the Homelessness Prevention and Rapid Re-Housing Program (HPRP); and Whereas, HUD requires submittal of a Homelessness Prevention and Rapid Re- Housing Program application by May 18, 2008, and Whereas, HUD requires the City of Dubuque to amend the Fiscal Year 2009 Annual Action Plan (Consolidated Plan 2008) for the inclusion of the HPRP funding as per the attached Exhibit A; and Whereas, said amendment is a substantial amendment requiring a twelve day public comment period and must therefore be approved by resolution of the City Council after a public hearing by the Community Development Advisory Commission; and Whereas, the Community Development Advisory Commission reviewed the proposed amendment at a public hearing on April 22, 2009 following a public comment period beginning on April 8, 2009 and has voted to approve said amendment and to recommend approval by the City Council. NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE, IOWA: Section 1. That the Fiscal Year 2009 Annual Action Plan (Consolidated Plan 2008) is hereby amended as per Amendment 4, hereto attached as Exhibit A. Section 2. That said Homelessness Prevention and Rapid Re-Housing Program application with certifications, and the Fiscal Year 2009 Annual Action Plan (Consolidated Plan 2008) -Amendment 4 attached hereto as Exhibit A is hereby approved. Section 3. That the City Manager is hereby authorized and directed to submit a copy of this resolution and Homelessness Prevention and Rapid Re-Housing Program application, certifications, and Amended Plan to the U. S. Department of Housing and Urban Development. Passed, approved and adopted this 4th day of May, 2009 Attest: Jeanne F. Schneider, City Clerk Roy D. Buol, Mayor F:\USERS\ATAUKE\GDBG\AnnualPlan\FY 09\09Amd4.res.doc OMB Approval Number: 2506-0180 (Expiration Date: 9/30/2009) City of Dubuque, Iowa Substantial Amendment to the Consolidated Plan 2008 Action Plan (Fiscal Year 2009) for the Homelessness Prevention and Rapid Re-Housing Program (HPRP) Grantees eligible to receive funds under the Homelessness Prevention and Rapid Re- Housing Program (HPRP) are required to complete a substantial amendment to their Consolidated Plan 2008 Action Plan. This form sets forth the required format for this substantial amendment. A completed form is due to HUD within 60 days of the publication of the HUD HPRP notice. To aid grantees in meeting this submission deadline, the HPRP Notice reduces the requirement fora 30-day public comment period to no less than 12 calendar days for this substantial amendment. With this exception, HPRP grantees are required to follow their Consolidated Plan's citizen participation process, including consultation with the Continuum of Care (CoC) in the appropriate jurisdiction(s). Grantees are also required to coordinate HPRP activities with the CoC's strategies for homeless prevention and ending homelessness. To maximize transparency, HUD strongly recommends that each grantee post its substantial amendment materials on the grantee's official website as the materials are developed. A complete submission contains the following three documents: 1) A signed and dated SF-424, 2) A completed form HUD-40119 (this form), and 3) Signed and dated General Consolidated Plan and HPRP certifications. For additional information regarding the HPRP program, visit the HUD Homelessness Resource Exchange (www.hudhre.info). This site will be regularly updated to include HPRP resources developed by HUD and its technical assistance providers. The information collection requirements contained in this application have been submitted to the Office of Management and Budget (OMB) for review under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501- 3520). This agency may not collect this information, and you are not required to complete this form, unless it displays a currently valid OMB control number. Information is submitted in accordance with the regulatory authority contained in each program rule. The information will be used to rate applications, determine eligibility, and establish grant amounts. Public reporting burden for this collection of information is estimated to be 16 hours, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. This information is required to obtain benefits. To the extent that any information collected is of a confidential nature, there will be compliance with Privacy Act requirements. However, the substantial amendment to the Consolidated Plan 2008 Action Plan does not request the submission of such information. Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties. (18 U.S.C. 1001, 1010, 1012; 31 U.S.C. 3729, 3802) HUD-40119 OMB Approval Number: 2506-0180 (Expiration Date: 9/30/2009) City of Dubuque, Iowa Substantial Amendment to the Consolidated Plan 2008 Action Plan (Fiscal Year 2009) for the Homelessness Prevention and Rapid Re-Housing Program (HPRP) Grantees eligible to receive funds under the Homelessness Prevention and Rapid Re- Housing Program (HPRP) are required to complete a substantial amendment to their Consolidated Plan 2008 Action Plan. This form sets forth the required format for this substantial amendment. A completed form is due to HUD within 60 days of the publication of the HUD HPRP notice. To aid grantees in meeting this submission deadline, the HPRP Notice reduces the requirement fora 30-day public comment period to no less than 12 calendar days for this substantial amendment. With this exception, HPRP grantees are required to follow their Consolidated Plan's citizen participation process, including consultation with the Continuum of Care (CoC) in the appropriate jurisdiction(s). Grantees are also required to coordinate HPRP activities with the CoC's strategies for homeless prevention and ending homelessness. To maximize transparency, HUD strongly recommends that each grantee post its substantial amendment materials on the grantee's official website as the materials are developed. A complete submission contains the following three documents: 1) A signed and dated SF-424, 2) A completed form HUD-40119 (this form), and 3) Signed and dated General Consolidated Plan and HPRP certifications. For additional information regarding the HPRP program, visit the HUD Homelessness Resource Exchange (www.hudhre.info). This site will be regularly updated to include HPRP resources developed by HUD and its technical assistance providers. The information collection requirements contained in this application have been submitted to the Office of Management and Budget (OMB) for review under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501- 3520). This agency may not collect this information, and you are not required to complete this form, unless it displays a currently valid OMB control number. Information is submitted in accordance with the regulatory authority contained in each program rule. The information will be used to rate applications, determine eligibility, and establish grant amounts. Public reporting burden for this collection of information is estimated to be 16 hours, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. This information is required to obtain benefits. To the extent that any information collected is of a confidential nature, there will be compliance with Privacy Act requirements. However, the substantial amendment to the Consolidated Plan 2008 Action Plan does not request the submission of such information. Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties. (18 U.S.C. 1001, 1010, 1012; 31 U.S.C. 3729, 3802) HUD-40119 Substantial Amendment to the Consolidated Plan 2008 Action Plan for the Homelessness Prevention and Rapid Re-Housing Program (HPRP) A. General Information Grantee Name City of Dubuque Iowa Name of Entity or Department Administering Funds Housing and Community Development HPRP Contact Person (person to answer questions about this amendment and HPRP) David Harris Title Housing and Community Development Director Address Line 1 350 West 6 Street Address Line 2 Suite 312 City, State, Zip Code Dubuque Iowa 52001 Telephone 563-589-4239 Fax 563-690-6692 Email Address dharris@cityofdubuque.org Authorized Official (if different from Contact Person) Roy D. Buol Title Mayor Address Line 1 50 West 13 Street Address Line 2 City Hall City, State, Zip Code Dubuque Iowa 52001 Telephone 563-589-4120 Fax 563-589-0890 Email Address rdbuol@cityofdubuque.org Web Address where this Form is Posted www•cityofdubuque.org Amount Grantee is Eligible to Receive* $502,294 Amount Grantee is Requesting $502,294 *Amounts are available at http://www.hud.gov/recovery/homelesspreventrecov xls 2 HUD-40119 Substantial Amendment to the Consolidated Plan 2008 Action Plan for the Homelessness Prevention and Rapid Re-Housing Program (HPRP) B. Citizen Participation and Public Comment 1. Briefly describe how the grantee followed its citizen participation plan regarding this proposed substantial amendment (limit 250 words). Response: The Community Development Advisory Commission reviewed a proposed amendment to the FY 2009 Annual Action Plan at a meeting on April 1, 2009. The amendment proposed $502, 294 for the Homeless Prevention program, with Project Concern as the subgrantee. The Commission held a public hearing for 5:30 p.m. on Wednesday Apri122, 2009 at the Council Chambers, Historic Federal Building, 350 West 6th Street, Dubuque, Iowa. No comments were received for or against the Plan amendment. 2. Provide the appropriate response regarding this substantial amendment by checking one of the following options: ^ Grantee did not receive public comments. ^ Grantee received and accepted all public comments. ^ Grantee received public comments and did not accept one or more of the comments. 3. Provide a summary of the public comments regarding this substantial amendment. Include a summary of any comments or views not accepted and the reasons for non-acceptance. Response: C. Distribution and Administration of Funds Reminder: The HPRP grant will be made by means of a grant agreement executed by HUD and the grantee. The three-year deadline to expend funds begins when HUD signs the grant agreement. Grantees should ensure that sufficient planning is in place to begin to expend funds shortly after grant agreement. 1. Check the process(es) that the grantee plans to use to select subgrantees. Note that a subgrantee is defined as the organization to which the grantee provides HPRP funds. ^ Competitive Process ^ Formula Allocation ® Other (Specify: 3 HUD-40119 Substantial Amendment to the Consolidated Plan 2008 Action Plan for the Homelessness Prevention and Rapid Re-Housing Program (HPRP) 2. Briefly describe the process(es) indicated in question 1 above (limit 250 words). Response: Dubuque has an existing Continuum of Care (CofC) provider network of more than 20 agencies. Project Concern is the lead agency, annually receiving McKinney Act funds for a homeless hotline and afull-time homeless outreach coordinator. The City of Dubuque will subcontract with Project Concern as a central point of coordination for all grant activities. Other agencies, including Hillcrest Family Services and Operation New View (CAP) may also subcontract with the City for services provided to persons assisted with grant funds. 3. Briefly describe the process the grantee plans to use, once HUD signs the grant agreement, to allocate funds available to subgrantees by September 30, 2009, as required by the HPRP Notice (limit 250 words). Response: The Housing Dept has convened meetings of the Continuum of Care consortium and the Homeless Advisory Committee in anticipation of commencing activities under this grant. Roles, responsibilities, IDIS financial management and HMIS reporting systems have been discussed and assigned. We are presently devising a `model' contract we will use for Project Concern as our primary subcontractor for the grant. 4. Describe the grantee's plan for ensuring the effective and timely use of HPRP grant funds on eligible activities, as outlined in the HPRP Notice. Include a description of how the grantee plans to oversee and monitor the administration and use of its own HPRP funds, as well as those used by its subgrantees (limit 500 words). Response: The City of Dubuque Housing and Community Development Department is the primary HUD contact for grant activities. HPRP funds will be received from HUD by the City's Finance Department and incorporated into the Housing Department's annual operating budget. All Housing Department encumbrances and expenditures will be entered into the City of Dubuque's financial management system, administered through the Finance Department. The City's annual comprehensive audit will include audit of all HPRP expenditures. The Housing and Community Development Department will subcontract with Project Concern (PC) as primary subcontractor for grant activities. PC is a 501(c)(3) independent corporation. We have conducted conversations with PC staff regarding the need for timely expenditures of HPRP grant funds. PC homeless outreach staff state that current need for financial assistance for homeless and near-homeless persons approximates $20 000/month. Conditions of the HPRP grant require expenditure of no less than 60% of Dubuque's $502 000 grant within 24 months; this equates to a $12 500 monthly expenditure. 4 HUD-40119 Substantial Amendment to the Consolidated Plan 2008 Action Plan for the Homelessness Prevention and Rapid Re-Housing Program (HPRP) The Housing and Community Development Department and PC staff are now developing a policies and procedures manual for HPRP grant operations. These policies will be presented and discussed at the Homeless Advisory Committee meetings and approved by use by all participating agencies. Project Concern has several years of experience in use of the HMIS reporting system; their infrastructure is fully in place. Currently, PC and the Housing and Community Development Department are partners in a three-year, $536 000 Shelter Plus Care grant for homeless, mentally-disabled persons. The PC staff needs no start-up training to assume immediate operations. The City's Housing and Community Development Department administers the annual Community Development Block Grant Program. As an entitlement city, Dubuque receives approximately $1.2 M in CDBG funds. The Department's community development specialist is skilled in use of the IDIS financial management system, having used this system since introduced by HUD. The CD specialist will perform draw-downs and all required quarterly and annual reporting to HUD. This infrastructure is in place and ready to operate upon execution of a contract with HUD. Dubuque's Continuum of Care consortium meets quarterly. In addition, the Homeless Advisory Committee, staffed through Project Concern, meets monthly to coordinate activities and services provided by all agencies for homeless persons. This existing infrastructure is operational, staffed by experienced staff from many service agencies, and ready to assume immediate HPRP grant operations. Primary responsibility for oversight of grant funds will be the delegated to Housing and Community Development Department director, who reports directly to the Dubuque City Manager. D. Collaboration 1. Briefly describe how the grantee plans to collaborate with the local agencies that can serve similar target populations, which received funds under the American Recovery and Reinvestment Act of 2009 from other Federal agencies, including the U.S. Departments of Education, Health and Human Services, Homeland Security, and Labor (limit 250 words). Response: We will work closely with other agencies and City departments receiving ARRA funds, to maximize benefit to the targeted population. For instance, we will work with Operation New View, the area's community action agency, to weatherize homes owned by low-income (primarily elderly persons,) and apartments occupied by low-income tenants. New View's $2.3 million allocation can be used to significantly reduce heating costs, freeing up more disposable incomes and insuring against inability to pay rent or utility bills. By this 5 HUD-40119 Substantial Amendment to the Consolidated Plan 2008 Action Plan for the Homelessness Prevention and Rapid Re-Housing Program (HPRP) means, we can keep these renters in their housing, and not run the risk of unpaid bills resulting in homelessness. Similarly, the City's ARRA allocations for the CDBG-R and EECBG programs will be considered for coordination with HPRP operations. Many lower-income households are at risk of homelessness, due to the continued high costs of utilities. Our goal is to reduce these costs, through a comprehensive program of residential energy audits, weatherization and housing rehabilitation in the City's lowest- income neighborhoods. We will also work with our local Iowa Workforce Development Center, referring our clients to qualify for job training opportunities associated with ARRA funding. 2. Briefly describe how the grantee plans to collaborate with appropriate Continuum(s) of Care and mainstream resources regarding HPRP activities (limit 250 words). Response: Housing and Community Development Department staff regularly attend monthly meetings of the Homeless Advisory Committee and quarterly meetings of the Continuum consortium. Representatives of more than 20 service provider agencies attend these meetings, including homeless providers and representatives of area health care, education, legal services, workforce development and local and county government. Mainstream providers are also invited to attend, including apartment owners, lenders and the business community. Dubuque's ability to coordinate services and to bring in mainstream resources as needed is well-established through this process. The HPRP grant activities will be seamlessly incorporated into this collaborative system. 3. Briefly describe how HPRP grant funds for financial assistance and housing relocation stabilization services will be used in a manner that is consistent with the grantee's Consolidated Plan (limit 250 words). Response: The City's Consolidated Plan for FY 2006-2010 has established housing and homeless assistance as a high priority need. The Plan identified the following applicable high priority needs: Improve the affordability of housing for 0-30% and 31-50% medium family income for renter and homeowner households; Increase the availability of 3+ bedroom rental units affordable to 0-30%MFI and 31-50 %MFI households; Assist non-profit organization in providing permanently affordable renter and owner occupied housing; and Provide permanent supportive housing for individuals and families. The Strategic Plan in the Consolidated Plan has established goals and objectives to address affordable housing. In order to provide affordable housing opportunities, the Plan proposes to create and maintain the availability of emergency and 6 HUD-40119 Substantial Amendment to the Consolidated Plan 2008 Action Plan for the Homelessness Prevention and Rapid Re-Housing Program (HPRP) transitional housing and maintain support services for individuals and families. In addition, the Plan promotes building local capacity to provide permanently affordable housing through partnerships for the purpose of providing decent affordable housing((T1 G2.3) and providing housing opportunities to maintain, improve or obtain affordable housing for all income eligible residents (T 1 G2.1). CDBG funding has primarily been the funding used to meet these goals and objectives but the use of these HPRP grant funds will promote and maintain additional affordable housing in our community. E. Estimated Budget Summarv HUD requires the grantee to complete the following table so that participants in the citizen participation process may see the grantee's preliminary estimated amounts for various HPRP activities. Enter the estimated budget amounts for each activity in the appropriate column and row. The grantee will be required to report actual amounts in subsequent reporting. HPRP Estimated Budget Summary Homelessness Prevention Rapid Re- housing Total Amount Budgeted Financial Assistance $100,000 $225,000 $325,000 Housing Relocation and Stabilization Services2 $77,294 $75,000 $152,294 Subtotal (add previous two rows) $177,294 $300,000 $477,294, Data Collection and Evaluation3 $ 0 Administration (up to 5% of allocation) $ 25,000 Total HPRP Amount Budgeted4 $502,294 FFinancial assistance includes the following activities as detailed in the HPRP Notice: short-term rental assistance, medium-term rental assistance, security deposits, utility deposits, utility payments, moving cost assistance, and motel or hotel vouchers. ZHousing relocation and stabilization services include the following activities as detailed in the HPRP Notice: case management, outreach, housing search and placement, legal services, mediation, and credit repair. 3Data collection and evaluation includes costs associated with operating HUD-approved homeless management information systems for purposes of collecting unduplicated counts of homeless persons and analyzing patterns of use of HPRP funds. 7 HUD-40119 Substantial Amendment to the Consolidated Plan 2008 Action Plan for the Homelessness Prevention and Rapid Re-Housing Program (HPRP) 4This amount must match the amount entered in the cell on the table in Section A titled "Amount Grantee is Requesting." F. Authorized Signature By signing this application, I certify (1) to the statements contained in the list of certifications and (2) that the statements herein are true, complete, and accurate to the best of my knowledge. I also provide the required assurances and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U.S. Code, Title 218, Section 1001) Signature/Authorized Official Mayor City of Dubuque Iowa Title F:\USERS\ATAUKE\Homeless Prevention HPRP\HUD-40119 draft.doc Date 8 HUD-40119 Homelessness Prevention and Rapid Re-Housing Program (HPRP) Certifications The HPRP Grantee certifies that: Consolidated Plan - It is following a current HUD-approved Consolidated Plan or CHAS. Consistency with Plan -The housing activities to be undertaken with HPRP funds are consistent with the strategic plan. Confidentiality - It will develop and implement procedures to ensure: (1) The confidentiality of records pertaining to any individual provided with assistance; and (2) That the address or location of any assisted housing will not be made public, except to the extent that this prohibition contradicts a preexisting privacy policy of the grantee. Discharge Policy - A certification that the State or jurisdiction has established a policy for the discharge of persons from publicly funded institutions or systems of care (such as health care facilities, foster care or other youth facilities, or correction programs and institutions) in order to prevent such discharge from immediately resulting in homelessness for such persons. HMIS - It will comply with HUD's standards for participation in a local Homeless Management Information System and the collection and reporting of client-level information. Signature/Authorized Official Date MAYOR, CITY OF DUBUQUE IOWA Title GENERAL CERTIFICATIONS FOR STATE OR LOCAL GOVERNMENT FOR THE HOMELESSNESS PREVENTION AND RAPID RE-HOUSING PROGRAM (HPRP) In accordance with the applicable statutes and the regulations governing the consolidated plan regulations, the state, territory, or local government certifies that: Affirmatively Further Fair Housing -- The state, territory, or local government will affirmatively further fair housing, which means it will conduct an analysis of impediments to fair housing choice within the jurisdiction or state, take appropriate actions to overcome the effects of any impediments identified through that analysis, and maintain records reflecting that analysis and actions in this regard. Drug-Free Workplace -- It will or will continue to provide adrug-free workplace by: 1. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will betaken against employees for violation of such prohibition; 2. Establishing an ongoing drug-free awareness program to inform employees about: (a) The dangers of drug abuse in the workplace; (b) The grantee's policy of maintaining a drug-free workplace; (c) Any available drug counseling, rehabilitation, and employee assistance programs; and (d) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; 3. Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph 1; 4. Notifying the employee in the statement required by paragraph 1 that, as a condition of employment under the grant, the employee will - (a) Abide by the terms of the statement; and (b) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; 5. Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph 4(b) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant; 6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph 4(b), with respect to any employee who is so convicted - (a) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (b) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, state, or local health, law enforcement, or other appropriate agency; 7. Making a good faith effort to continue to maintain adrug-free workplace through implementation of paragraphs 1, 2, 3, 4, 5 and 6. Anti-Lobbying -- To the best of the state, territory, or local government's knowledge and belief 1. No Federal appropriated funds have been paid or will be paid, by or on behalf of it, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement; 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, it will complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions; and 3. It will require that the language of paragraphs 1 and 2 of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. Authority of Local Government, State, or Territory -- The submission of the consolidated plan is authorized under state law and local law (as applicable) and the jurisdiction or state possesses the legal authority to carry out the programs under the consolidated plan for which it is seeking funding, in accordance with applicable HUD regulations. Consistency with Plan -- The housing activities to be undertaken with HPRP funds are consistent with the strategic plan. Section 3 -- It will comply with section 3 of the Housing and Urban Development Act of 1968, and implementing regulations at 24 CFR Part 135. Signature/Authorized Official Date MAYOR, CITY OF DUBUQUE IOWA Title APPENDIX TO CERTIFICATIONS INSTRUCTIONS CONCERNING LOBBYING AND DRUG-FREE WORKPLACE REQUIREMENTS: A. Lobbvin~ Certification This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. B. Drua-Free Workplace Certification 1. By signing and/or submitting this application or grant agreement, the grantee is providing the certification. 2. The certification is a material representation of fact upon which reliance is placed when the agency awards the grant. If it is later determined that the grantee knowingly rendered a false certification, or otherwise violates the requirements of the Drug-Free Workplace Act, HUD, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug-Free Workplace Act. 3. Workplaces under grants, for grantees other than individuals, need not be identified on the certification. If known, they may be identified in the grant application. If the grantee does not identify the workplaces at the time of application, or upon award, if there is no application, the grantee must keep the identity of the workplace(s) on file in its office and make the information available for Federal inspection. Failure to identify all known workplaces constitutes a violation of the grantee's drug-free workplace requirements. 4. Workplace identifications must include the actual address of buildings (or parts of buildings) or other sites where work under the grant takes place. Categorical descriptions may be used (e.g., all vehicles of a mass transit authority or State highway department while in operation, State employees in each local unemployment office, performers in concert halls or radio stations). 5. If the workplace identified to the agency changes during the performance of the grant, the grantee shall inform the agency of the change(s), if it previously identified the workplaces in question (see paragraph three). 6. The Grantee may insert in the space provided below the site(s) for the performance of work done in connection with the specific grant: Place of Performance (Street address, city, county, state, zip code) HOUSING DEPARTMENT _ 350 W. 6TH STREET, SUITE 31~ DUBUQUE IA 52001 Check _ if there are workplaces on file that are not identified here. The certification with regard to the drug-free workplace is required by 24 CFR part 24, subpart F. 7. Definitions of terms in the Nonprocurement Suspension and Debarment common rule and Drug-Free Workplace common rule apply to this certification. Grantees' attention is called, in particular, to the following definitions from these rules: "Controlled substance" means a controlled substance in Schedules I through V of the Controlled Substances Act (21 U.S.C. 812) and as further defined by regulation (21 CFR 1308.11 through 1308.15); "Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes; "Criminal drug statute" means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, use, or possession of any controlled substance; "Employee" means the employee of a grantee directly engaged in the performance of work under a grant, including: (i) All "direct charge" employees; (ii) all "indirect charge" employees unless their impact or involvement is insignificant to the performance of the grant; and (iii) temporary personnel and consultants who are directly engaged in the performance of work under the grant and who are on the grantee's payroll. This definition does not include workers not on the payroll of the grantee (e.g., volunteers, even if used to meet a matching requirement; consultants or independent contractors not on the grantee's payroll; or employees of subrecipients or subcontractors in covered workplaces). OMB Number: 4040-0004 Expiration Date: 01/31/2009 Application for Federal Assistance SF-424 version 02 *1. Type of Submission: *2. Type of Application * If Revision, select appropriate letter(s) ^ Preapplication ®New ® Application ^ Continuation 'Other (Specify) ^ Changed/Corrected Application ^ Revision 3. Date Received: 4. Applicant Identifier: 5a. Federal Entity Identifier: *5b. Federal Award Identifier: State Use Only: 6. Date Received by State: 7. State Application Identifier: 8. APPLICANT INFORMATION: *a. Legal Name: City of Dubuque *b. EmployerlTaxpayer Identification Number (EIN/TIN): 'c. Organizational DUNS: 42-6004596 093105302 d. Address: *Street 1: 350 West 6~h Street Street 2: Suite 312 *City: Dubuaue County: Dubuaue *State: IA Province: *Country: USA *Zip /Postal Code 52001 e. Organizational Unit: Department Name: Division Name: Housing and Community Development f. Name and contact information of person to be contacted on matters involving this application: Prefix: Mr "First Name: David Middle Name: "Last Name: Harris Suffix: Title: Housing and Community Development Director Organizational Affiliation: City of Dubuque *Telephone Number: 563-589-4239 Fax Number: 563-690-6692 *Email: dharris@cityofdubuque.org OMB Number: 4040-0004 Expiration Date: 01/31/2009 Application for Federal Assistance SF-424 Version 02 *9. Type of Applicant 1: Select Applicant Type: C. City or Township Government Type of Applicant 2: Select Applicant Type: Type of Applicant 3: Select Applicant Type: *Other (Specify) *10 Name of Federal Agency: U. S. Department of Housing and Urban Development 11. Catalog of Federal Domestic Assistance Number: 14.257 CFDA Title: Homelessness Prevention and Raoid Re-Housing Program (HPRP) *12 Funding Opportunity Number: 14.257 *Title: Homelessness Prevention and Raoid Re-Housing Program (HPRP 13. Competition Identification Number: Title: 14. Areas Affected by Project (Cities, Counties, States, etc.): City of Dubuque Iowa *15. Descriptive Title of Applicant's Project: Administration of Homelessness PRevention and Rapid Re-Housing Program (HPRP) program fudns to assist homeless and at-risk homeless persons and families in the City of Dubuque. OMB Number: 4040-0004 Expiration Date: 01/31/2009 Application for Federal Assistance SF-424 Version 02 16. Congressional Districts Of: *a. Applicant: 1 *b. Program/Project: 1 17. Proposed Project: *a. Start Date: October 1, 2009 *b. End Date: September 30, 2012 18. Estimated Funding ($): *a. Federal 502,294 *b. Applicant *c. State *d. Local *e. Other *f. Program Income *g. TOTAL 502,294 *19. Is Application Subject to Review By State Under Executive Order 12372 Process? ^ a. This application was made available to the State under the Executive Order 12372 Process for review on ^ b. Program is subject to E.O. 12372 but has not been selected by the State for review. ^ c. Program is not covered by E. O. 12372 *20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.) ^ Yes ® No 21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U. S. Code, Title 218, Section 1001) ® **IAGREE ** The list of certifications and assurances, or an Internet site where you may obtain this list, is contained in the announcement or agency specific instructions Authorized Representative: Prefix: Mr *First Name: Roy Middle Name: D. *Last Name: Buol Suffix: *Title: Mayor *Telephone Number: 563-589-4120 Fax Number: 563-589-0890 * Email: rdbuol@cityofdubuque.org *Signature of Authorized Representative: *Date Signed: Authorized for Local Reproduction Standazd Form 424 (Revised 10/2005) Prescribed by OMB Circular A-102 OMB Number: 4040-0004 Expiration Date: 01/31/2009 Application for Federal Assistance SF-424 version 02 *Applicant Federal Debt Delinquency Explanation The following should contain an explanation if the Applicant organization is delinquent of any Federal Debt.