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.