FY 2020 Consolidated Annual Performance and Evaluation Report (CAPER) July 1, 2019 to June 30, 2020 Copyrighted
March 8, 2021
City of Dubuque
Special Meeting Action Items # 1.
ITEM TITLE: FY2020 Consolidated Annual Performance and Evaluation Report
(CAP E R) J uly 1, 2019 to J une 30, 2020
SUM MARY: City Manager recommending City Council approval of a resolution
authorizing submission of the Consolidated Annual Performance and
Evaluation Report (CAPER)for the period of July 1, 2019 through June
30, 2020, to the U.S. Department of Housing & Urban Development
Community Planning Division.
RESOLUTION Authorizing the submission of a Consolidated Annual
Performance and Evaluation Report (CAPER)for the period
commencing July 1, 2019 and concluding June 30, 2020
SUGGESTED Suggested Disposition: Receive and File;Adopt Resolution(s)
DISPOSITION:
ATTACHMENTS:
Description Type
FY 2020 CAPER-MVM Memo City Manager Memo
Staff Memo Staff Memo
Resolution Resolutions
FY 2020 CAPER Supporting Documentation
CDBG Area Map Supporting Documentation
Dubuque
THE CITY OF �
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TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: FY 2020 Consolidated Annual Performance and Evaluation Report
(CAPER) July 1, 2019 to June 30, 2020
DATE: March 4, 2021
Housing and Community Development Director Alexis Steger recommends City Council
approval of a resolution authorizing submission of the Consolidated Annual
Performance and Evaluation Report (CAPER) for the period of July 1, 2019 through
June 30, 2020, to the U.S. Department of Housing & Urban Development Community
Planning Division.
The most significant points of the report are:
■ $1,309,191 of entitlement and $381,340 in program income were expended, for a
total of $1,690,531.
■ The City met the May 1 timeliness target for expenditure of CDBG funds as set
by HUD.
■ Expenditures for public service activities were below the 15% public service cap,
as set by HUD.
■ Expenditures for administration activities were below the 20% cap as set by
HUD.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
v
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Cori Burbach, Assistant City Manager
Alexis Steger, Housing and Community Development Director
2
THE CITY OF Dubuque
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TO: Michael C. Van Milligen, City Manager
FROM: Alexis M. Steger, Housing & Community Development Director
SUBJECT: FY 2020 Consolidated Annual Performance and Evaluation Report
(CAPER) July 1, 2019 to June 30, 2020
DATE: March 3, 2021
INTRODUCTION
The purpose of this memorandum is to request City Council approval of a resolution
authorizing submission to HUD of the Consolidated Annual Performance and Evaluation
Report (CAPER) for the period of July 1, 2019 through June 30, 2020. The report
includes activities for the Community Development Block Grant (CDBG) Program.
DISCUSSION
The U.S. Department of Housing and Urban Development (HUD) requires annual
submittal of the Consolidated Annual Performance and Evaluation Report (CAPER).
The CAPER includes a narrative and numerous reports detailing how the City used its
federal funds during the most recently completed program year. It provides a description
of each activity for which funds were budgeted as well as information on activity
accomplishments. The CAPER is submitted to the Community Planning and
Development program office of HUD through HUD's Integrated Disbursement and
Information System (IDIS). IDIS is a nationwide database the City is required to use to
provide HUD with current information regarding CDBG activities.
HUD regulations require the report be made available to citizens in time to comment
prior to submission to HUD. A public notice was published in the Telegraph Herald as
required 15-days prior to the Public Hearing to receive comments on the CAPER.
The CAPER was prepared from data supplied by various City departments,
organizations, and agencies who utilized CDBG funds over the twelve-month period
ending June 30, 2020. A copy is attached for your review. The report is submitted to
HUD in draft form until HUD approval is received.
The following are among the most significant points of the report:
■ $1,309,191 of entitlement and $381,340 in program income were
expended, for a total of $1,690,531.
■ The City met the May 1 timeliness target for expenditure of CDBG funds
as set by HUD.
■ Expenditures for public service activities were below the 15% public
service cap, as set by HUD.
■ Expenditures for administration activities were below the 20% cap as set
by HUD.
COMMISSION ACTION
The Community Development Advisory Commission held a public hearing on Tuesday
March 2, 2021 to review the CAPER. No public comments were received.
RECOMMENDATION
It is recommended that the City Council approve the attached resolution, directing staff
to submit the Consolidated Annual PerFormance and Evaluation Report (CAPER) for
July 1, 2019 to June 30, 2020 to the U.S. Department of Housing & Urban Development
Community Planning Division.
Prepared by Alexis Steger, Housing & Community Devel., 350 W. 6th St., Suite 312, (563) 690-6072
Return to Adrienne N. Breitfelder, City Clerk, 50 W. 13th St., Dubuque, IA 52001, (563) 589-4100
RESOLUTION NO. 63-21
RESOLUTION AUTHORIZING THE SUBMISSION OF A CONSOLIDATED ANNUAL
PERFORMANCE AND EVALUATION REPORT (CAPER) FOR THE PERIOD
COMMENCING JULY 1, 2019 AND CONCLUDING JUNE 30, 2020.
Whereas, the City of Dubuque, Iowa, is an entitlement grant recipient under the
Community Development Block Grant (CDBG) Program of the U.S. Department of
Housing and Urban Development (HUD); and
Whereas, the CDBG regulations require each entitlement recipient must submit a
performance and evaluation report, Consolidated Annual Performance and Evaluation
Report (CAPER); and,
Whereas, the City has 1) prepared a CAPER for the program year commencing
July 1, 2019 and concluding June 30, 2020; 2) published notice of availability of the
CAPER in the Telegraph Herald and City of Dubuque and; 3) made copies of the CAPER
available for public review; 4) held a public hearing pursuant to required 15-days
published notice before the Community Development Advisory Commission on March 2,
2021; and
Whereas, the Community Development Advisory Commission has voted to
approve the CAPER and to recommend City Council approval for timely submission to
HUD.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. That the Consolidated Annual Performance and Evaluation Report
(CAPER) forthe period commencing July 1, 2019 and concluding June 30, 2020 is hereby
approved for submission.
Section 2. That the Mayor of the City of Dubuque is hereby authorized and directed
to execute the Consolidated Annual Performance and Evaluation Report (CAPER) on
behalf of the City of Dubuque, Iowa.
Section 3. That the City Manager is hereby authorized to direct staff to submit the
Consolidated Annual Performance and Evaluation Report (CAPER) along with any public
comment to the U.S. Department of Housing and Urban Development.
Passed, approved and adopted this 8th day of March, 2021
Roy D. Buol, Mayor
Attest:
Adrienne N. Breitfelder, City Clerk
1 1
HOUSING & COMMUNITY DEVELOPMENT DEPARTMENT
CHRISTOPHER LESTER
CR-05 - Goals and Outcomes
Progress the jurisdiction has made in carrying out its strategic plan and its action plan. 91.520(a)
This could be an overview that includes major initiatives and highlights that were proposed and executed throughout the program year.
The Consolidated Annual Performance and Evaluation Report (CAPER) provides an end-of-year performance report of federally-funded activities
and accomplishments to the U.S. Department of Housing and Urban Development (HUD) and the community.The City of Dubuque Consolidated
Plan Year 5 CAPER covers the City's progress in carrying out the Fiscal Year(FY) 2020 Annual Action Plan for the use of HUD Program Year 2019
Community Development Block Grant (CDBG) funds.This CAPER covers the period of July 1, 2019 through June 30, 2020.The City of Dubuque is
an entitlement City and is eligible to receive CDBG funds on an annual basis.The CAPER focuses on federally funded activities. When
appropriate,this report provides information on activities supported by local and federal funds.
The City of Dubuque expended $1,690,531.59 CDBG in FY 2020/PY2019.The City,the City of Dubuque Community Development Advisory
Commission, local not-for profit organizations and neighborhood associations partner to implement programs delivered with the funds. In
FY2020/PY2019, CDBG funds were used to make investments in economic development, public infrastructure, housing rehabilitation, and
neighborhood and public services for seniors,the homeless, children and youth, and recreation activities.All funds were used to meet the
priority housing, economic development, neighborhood, and administration needs identified in the Consolidated Plan and Annual Action Plan for
FY2020/PY2019 as amended.The City met the timeliness target for expenditure of CDBG funds as set by HUD for May 1, 2020.
Obligations Under Voluntary Compliance Agreement (VCA)
The City of Dubuque, lowa and the U.S. Department of Housing& Urban Development (HUD) entered into a Voluntary Compliance Agreement
(VCA) effective March 31, 2014 to resolve the findings detailed in a June 2013 Letter of Findings to the City of Dubuque.The Letter of Findings
was issued after a 2011 civil rights related program review of the City's Housing&Community Development Department. HUD found the City
was in noncompliance with Title VI of the Civil Rights Act in the administration of its Section 8 Program. HUD sought voluntary resolution to the
findings and agreed to a Voluntary Compliance Agreement with the City of Dubuque.The agreement is effective for seven years and outlines
corrective measures for the City's reporting, recordkeeping, and objectives during the term of the agreement.The CDBG Annual Action Plan for
FY20 includes objectives to address the diminished availability of affordable housing, affirmatively further fair housing, and address the
allegations and findings in the Letter of Findings (LOF)from HUD to reduce the negative effects of the findings. On April 10th, 2019 the Office of
Fair Housing and Equal Opportunity recognized the City of Dubuque's compliance with the Agreement thus far and modified the Agreement to
CAPER 1
OMB Control No:2506-0117(exp.09/30/2021)
reduce the administrative burden on the City by reducing the reporting requirements for the last two years of the Agreement.
Comparison of the proposed versus actual outcomes for each outcome measure submitted with the consolidated plan and
explain, if applicable, why progress was not made toward meeting goals and objectives. 91.520(g)
Categories, priority levels,funding sources and amounts, outcomes/objectives, goal outcome indicators, units of ineasure,targets, actual
outcomes/outputs, and percentage completed for each of the grantee's program year goals.
Goal Category Source/ Indicator Unit of Expected Actual— Percent Expected Actual— Percent
Amount Measure — Strategic Complete — Program Complete
Strategic Plan Program Year
Plan Year
Administrative Non-Housing
Assistance for Community CDBG: $ Other Other 1 1 1 1
100.00% 100.00%
Neighborhood Develop Development
Non-Housing
CDBG Administration Community CDBG: $ Other Other 1 1 1 1
100.00% 100.00%
Development
Direct Financial
Direct Homeownership Affordable Household
CDBG: $ Assistance to 40 45 4 9
Assistance Housing s Assisted 112.50% 225.00%
Homebuyers
Non-Housing
Encourage Workforce Businesses
Development Community CDBG: $ Businesses assisted Assisted 10 2 20.00% 0 0
Development
Affordable
Housing Administration CDBG: $ Other Other 1 1 1 1
Housing 100.00% 100.00%
Public Facility or
Non-Housing Infrastructure
Improve Infrastructure Persons
Community CDBG: $ Activities other than 6 1 6 1
and Accessibility Assisted 16.67% 16.67%
Development Low/Moderate Income
Housing Benefit
CAPER 2
OMB Control No:2506-0117(exp.09/30/2021)
Goal Category Source/ Indicator Unit of Expected Actual— Percent Expected Actual— Percent
Amount Measure — Strategic Complete — Program Complete
Strategic Plan Program Year
Plan Year
Non-Housing
Improve Infrastructure
Community CDBG: $ Other Other 16 0 0 0
and Accessibility 0.00%
Development
Non-Housing
Increase Econoimc
Community CDBG: $ Jobs created/retained Jobs 14 0 0 0
Opportunities 0.00%
Development
Non- Public service activities
Independent Lifestyles Homeless other than Persons
CDBG: $ 2400 645 0 0
for Special Populations Special Low/Moderate Income Assisted 26.88%
Needs Housing Benefit
Maintain Affordable Household
Affordable Homeowner Housing
Owneroccupied CDBG: $ Housing 55 32 3 4
Housing Rehabilitated 58.18% 133.33%
Housing Unit
Maintain Affordable Household
Affordable Rental units
Rental Housing through CDBG: $ Housing 40 0 25 0
Rehab Housing rehabilitated Unit 0.00% 0.00%
Public Facility or
Neighborhood Non-Housing Infrastructure
Persons
Infrastructure Community CDBG: $ Activities other than 0 12842 150 0
Assisted 0.00%
Improvements Development Low/Moderate Income
Housing Benefit
Public Facility or
Neighborhood Non-Housing Infrastructure
Household
Infrastructure Community CDBG: $ Activities for 28 12 0 0
s Assisted 42.86%
Improvements Development Low/Moderate Income
Housing Benefit
CAPER 3
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Goal Category Source/ Indicator Unit of Expected Actual— Percent Expected Actual— Percent
Amount Measure — Strategic Complete — Program Complete
Strategic Plan Program Year
Plan Year
Neighborhood Non-Housing
Infrastructure Community CDBG: $ Other Other 9 0 0 0
0.00%
Improvements Development
Preserve and Maintain Household
Affordable Homeowner Housing
Existing Affordable CDBG: $ Housing 1 28 5 6
Housin Housing Rehabilitated Unit 2,g00.00% 120.00%
g
Preserve and Maintain
Affordable
Existing Affordable CDBG: $ Other Other 1 1 0 0
Housing 100.00%
Housing
Public service activities
Preserve Character and Non-Housing
otherthan Persons
Assets of Community CDBG: $ 8000 4215 2000 4215
Low/Moderate Income Assisted 52.69% 210.75%
Neighborhoods Development
Housing Benefit
Preserve Existing Housing Code Household
Affordable
Housing through Code CDBG: $ Enforcement/Foreclos Housing 2000 2139 700 587
Housing 106.95% 83.86%
Enforcement ed Property Care Unit
Preserve Historical Household
Affordable Homeowner Housing
Housing& CDBG: $ Housing 2 0 0 0
Housing Rehabilitated 0.00%
Neighborhoods Unit
Preserve Housing by Non-Housing Housing Code Household
Zoning Community CDBG: $ Enforcement/Foreclos Housing 225 431 45 168
191.56% 373.33%
Inspection/Enforcement Development ed Property Care Unit
Public service activities
Provide Local Resources Non-Housing
otherthan Persons
for Neighborhood and Community CDBG: $ 1800 1503 500 1273
Low/Moderate Income Assisted 83.50% 254.60%
Home Development
Housing Benefit
CAPER 4
OMB Control No:2506-0117(exp.09/30/2021)
Goal Category Source/ Indicator Unit of Expected Actual— Percent Expected Actual— Percent
Amount Measure — Strategic Complete — Program Complete
Strategic Plan Program Year
Plan Year
Provide Local Resources Non-Housing
Businesses
for Neighborhood and Community CDBG: $ Businesses assisted 0 1 100% 0 1 100%
Assisted
Home Development
Public service activities
Non-Housing
Provide Neighborhood other than Persons
Community CDBG: $ 22920 37382 5730 8254
Recreation Activities Low/Moderate Income Assisted 163.10% 144.05%
Development
Housing Benefit
Public service activities
Provide Support for Non-Housing
Social and Human Community CDBG: $ other than Persons 0 529 100%
Low/Moderate Income Assisted 645 529 82 �2�
Service Needs Development
Housing Benefit
Public service activities
Provide Support for Non-Housing
for Low/Moderate Household
Social and Human Community CDBG: $ 185 0 0 0
Income Housing s Assisted 0.00%
Service Needs Development
Benefit
Public service activities
Support Youth Non-Housing
otherthan Persons
Education/Training Community CDBG: $ 15 79 0 0
Programs Development Low/Moderate Income Assisted 526.67%
Housing Benefit
Table 1-Accomplishments—Program Year&Strategic Plan to Date
CAPER 5
OMB Control No:2506-0117(exp.09/30/2021)
Assess how the jurisdiction's use of funds, particularly CDBG, addresses the priorities and specific objectives identified in the plan,
giving special attention to the highest priority activities identified.
CDBG funds were used to address the priorities, needs, and goals identified in the Consolidated Plan.The proposed budget for the FY 2019
Annual Action Plan was adopted into the City Budget by the Dubuque City Council.
The City's 23 goals described in the Consolidated Plan are all high priority and were used as the basis for the budgetary priorities outlined in the
FY20/PY19 Annual Action Plan. Each funded activity must demonstrate it helps achieve a goal identified in the Consolidated Plan and benefit
low/moderate-income (LMI) persons and communities before it is recommended for approval.The City provides funding for some public service
activities through a yearly grant process. When preparing the Consolidated Plan, estimates are used to project the level of funding and the
number of persons or households to be served. Due to the varying nature and cost of administering different programs, estimating the cost and
number to be served for public service activities can be very challenging. For example,job training activities have different costs, space, and time
requirements than programs providing emergency shelter.The City distinguishes between four areas of program development: Housing
Development, Economic Development, Neighborhood and Community Development, and Planning and Administration. Fiscal Year
2020/Program Year 2019 activities addressed all 23 of the goals identified in the Consolidated Plan.
CAPER 6
OMB Control No:2506-0117(exp.09/30/2021)
CR-10 - Racial and Ethnic composition of families assisted
Describe the families assisted (including the racial and ethnic status of families assisted).
91.520(a)
CDBG
W h ite 3,620
Black or African American 846
Asian 29
American Indian or American Native 25
Native Hawaiian or Other Pacific Islander 193
Total 4,713
Hispanic 154
Not Hispanic 4,559
Table 2—Table of assistance to racial and ethnic populations by source of funds
Narrative
The City of Dubuque focuses on serving racial minorities through direct outreach for participation in
program to increase the amount of minorities served.The City of Dubuque identified 8,865 people in
poverty, 75%of those are white, while 17% are Black or African American.The City of Dubuque's
population is only 6% racial minorities,with 60%of the black population in poverty.This is why direct
outreach through partners such as the Fountain of Youth, Dream Center and the Black Men's Coalition
were imporant to serving more racial minorities with Community Development Block Grant funds.The
City of Dubuque will expand this outreach in the next Consolidate Plan.
CAPER 7
OMB Control No:2506-0117(exp.09/30/2021)
CR-15 - Resources and Investments 91.520(a)
Identify the resources made available
Source of Funds Source Resources Made Amount Expended
Available During Program Year
CDBG public-federal 2,607,571 1,690,531
Other public-federal 647,301 0
Table 3-Resources Made Available
Narrative
The CDBG resources available in FY 2020/Program Year 2019 include program income received and
carryover funds. During FY 2020/Program Year 2019,the City expended $381,340 in program income,
$1,309,191 in entitlement funds for a total of$1,690,531. Funding was used to support housing,
neighborhood and community development, and administrative programs.
Identify the geographic distribution and location of investments
Target Area Planned Actual Percentage Narrative Description
Percentage of of Allocation
Allocation
City Wide 77 93 Activities available city-wide
Low/Moderate Area Activities to serve only low&
Benefit 23 7 moderate income areas
Table 4—Identify the geographic distribution and location of investments
Narrative
The annual action plan did not identify target areas for the geographic distribution of funds; however,
activities targeting LMI populations were conducted in residential areas with greater than or equal to
51% low/mod income residents. A listing of activities and their locations is found in the attached PR-03
CDBG Activity Summary Report. A map of the low and moderate residential areas is attached.
CAPER 8
OMB Control No:2506-0117(exp.09/30/2021)
Leveraging
Explain how federal funds leveraged additional resources (private, state and local funds),
including a description of how matching requirements were satisfied, as well as how any
publicly owned land or property located within the jurisdiction that were used to address the
needs identified in the plan.
The City of Dubuque actively seeks out and leverages resources to meet goals identified in the
consolidated plan. Partnerships with local organizations working to provide additional
affordable housing, economic development, socioeconomic, and self-sufficiency resources
ensure investments have lasting impact.
The City of Dubuque leverages funding at a program service level, to reduce any
burdens/barriers a match requirement imparts to programs serving low-moderate income
residents. The City of Dubuque directly fund the Gaining Opportunities Program that serves all
participants of CDBG program to help with four areas that are determinants of continued
poverty; financial management, basic human needs, education and employment ($133,075).
The City of Dubuque also helps fund a position at the Hawkeye Area Community Action
Program to connect residents served by CDBG to utilty assistance, security deposits, case
management, and other social services ($50,000).
Through a State grant, the City of Dubuque provides Home Advocates to those that participate
in CDBG funded programs and the Bee Branch Healthy Homes Program. These Home Advocates
assess social and physical barriers to sustainable living in each individual home/unit and
connects residents to agencies that can help eliminate the barriers ($373,000).
The City of Dubuque also started to leverage Housing Tax Increment Financing funds to further
the goals of rehabilitating dilapidated structures and making them available to low-moderate
income person for purchase. This program is paired with the Purchase/Rehab/Resale and First-
Time Homebuyer Programs to maximize access to homeownership for low-moderate income
residents ($583,714).
The City of Dubuque uses other funds to accomplish the same goals as the CDBG Consolidated
Plan such as Section 8 Housing, Shelter Plus Care Program, and the Rental Rehabilitation
Program; however, they are not directly leveraged by CDBG fund support of those outcomes.
Leveraging rate of non-formula funds for every$1 in formula funds: $ 0.66
CAPER 9
OMB Control No:2506-0117(exp.09/30/2021)
CR-20 - Affordable Housing 91.520(b)
Evaluation of the jurisdiction's progress in providing affordable housing, including the
number and types of families served,the number of extremely low-income, low-income,
moderate-income, and middle-income persons served.
One-Year Goal Actual
Number of Homeless households to be
provided affordable housing units 0 0
Number of Non-Homeless households to be
provided affordable housing units 7 9
Number of Special-Needs households to be
provided affordable housing units 0 0
Total 7 9
Table 5—Number of Households
One-Year Goal Actual
Number of households supported through
Rental Assistance 0 0
Number of households supported through
The Production of New Units 0 0
Number of households supported through
Rehab of Existing Units 14 11
Number of households supported through
Acquisition of Existing Units 1 2
Total 15 13
Table 6—Number of Households Supported
Discuss the difference between goals and outcomes and problems encountered in meeting
these goals.
The City of Dubuque had a partnership with Community Housing Initiatives to rehabilitate homes using
CDBG funding. Community Housing Initiatives was unable to fullfill their contracted number of homes,
so the City of Dubuque had to search for a new partner to meet the same outcomes.The City of
Dubuque found this partner in the Affordable Housing Network, Inc; however, it delayed the ability to
complete the outcomes in the annual plan.Toward the end of the program year, COVID-19 shut down
construction on several homes under rehabilitation that will now be completed in Program Year 2020.
CAPER 10
OMB Control No:2506-0117(exp.09/30/2021)
Discuss how these outcomes will impact future annual action plans.
Affordable housing options continue to be limited within the City, and often restricted to certain
geographic areas.The CDBG down payment assistance sometimes is not enough to reduce the price of
the home to be affordable to low and moderate-income buyers.The City started partnering with
developers to create new, affordable homeownership opportunities outside of areas of high poverty
concentration.The City's goals to increase income diversity in neighborhoods has a need for additional
funding and programming designed to support these efforts. The production of Housing TIF to serve this
purpose was created by the City of Dubuque, and is currently being used to rehabilitate homes that are
affordable and sell them to low/mod income residents and paired with the First-Time Homebuyer
Program to increase affordable housing access.This is being done through a partnership with Affordable
Housing Network Inc.
Include the number of extremely low-income, low-income, and moderate-income persons
served by each activity where information on income by family size is required to determine
the eligibility of the activity.
Number of Households Served CDBG Actual HOME Actual
Extremely Low-income 0 0
Low-income 1 0
Moderate-income 9 0
Total 10 0
Table 7—Number of Households Served
Narrative Information
CDBG funds were used for eligible housing activities, such as homeowner repair and rehabilitation, lead
hazard reduction, rental rehabilitation, rehabilitation services and staff costs, and direct financial
assistance for homebuyers. Income eligible households have access to additional financial assistance
through the Housing Trust Fund, funded by IFA, and other local sources.The First-time Homeowner
program partners with the City's Section 8 Homeownership Program to provide housing counseling and
financial assistance for voucher holders.The City encourages income diversity in neighborhoods by
incentivizing purchase in low-mod areas for higher income households and providing additional financial
resources for extremely-low, low, and moderate-income populations to increase affordability outside
areas of high-poverty concentration. By leveraging multiple sources of funding to increase resources for
lower-income households, more equitable outcomes are achieved. Program income generated from
CDBG funded housing activities represents nearly 98%of the City's entire loan portfolio. Additional
efforts are being made to specifically serve the extremely low-income residents, and the Equitable
Poverty Reduction & Prevention Plan will help guide those efforts and programs as we move into FY
2021.
CAPER 11
OMB Control No:2506-0117(exp.09/30/2021)
CR-25 - Homeless and Other Special Needs 91.220(d, e); 91.320(d, e); 91.520(c)
Evaluate the jurisdiction's progress in meeting its specific objectives for reducing and ending
homelessness through:
Reaching out to homeless persons (especially unsheltered persons) and assessing their
individual needs
Dubuque is in the Balance of State for lowa's Continuum of Care (CoC). Not-for-Profit service providers
lead the coordination of services and housing for the homeless.The Community Development Specialist
assists local Continuum of Care applicants with the environmental review process and determining
consistency with the Consolidated Plan. Staff from Housing& Community Development attend
Continuum of Care meetings to assist in identifying and responding to the needs of homeless persons.
Over 50 individuals make up the membership of the Homeless Advisory Council,working to streamline
and coordinate services and resources to meet the needs of homeless and near homeless community
members. Non-profit organizations providing homeless services including but not limited to referrals,
outreach, point-in-time count, coordinated entry, emergency&transitional shelter, and permanent
supportive housing. Organizations providing family self-sufficiency, advocacy, employment, employment
services&job training, substance abuse services, health, wellness, domestic violence, sexual assault,
mental health and dental services are available, as well as representation from the City of Dubuque
Police Department, Housing Authority, and Dubuque County Commission of Veteran's affairs.
The Homeless Advisory Council coordinates point-in-time homeless counts in July and January to
evaluate capacity and need for services. Hillcrest Family Services provides outreach, in partnership with
other organizations coordinating access for unsheltered persons.The City partners with East Central
Development Corporation (ECDC)to provide permanent supportive housing, targeting homeless
populations with mental health, HIV/AIDS related illness, and/or substance abuse.
Addressing the emergency shelter and transitional housing needs of homeless persons
The City of Dubuque supports organizations providing human service activities through Purchase of
Services Grants. Not-for-profit organizations meeting a human service need in the community can apply
for CDBG and General Funds on an annual basis. In FY 2020/Program Year 2019, shelter services were
funded in the amount of$15,760 to support the transitional and emergency women's shelters.The City
also delivers the Phoenix Housing program. Phoenix Housing provides permanent, supportive housing
for homeless living with disabilities. Homeless outreach, emergency,transitional, permanent, and
support services are coordinated with local providers.This is the City's only program serving the
homeless using the housing first model for permanent supportive housing.
The City identified 566 individuals reported as being homeless in Dubuque County during the January
CAPER 12
OMB Control No:2506-0117(exp.09/30/2021)
2020 point in time homeless count.
Helping low-income individuals and families avoid becoming homeless, especially extremely
low-income individuals and families and those who are: likely to become homeless after
being discharged from publicly funded institutions and systems of care (such as health care
facilities, mental health facilities, foster care and other youth facilities, and corrections
programs and institutions); and, receiving assistance from public or private agencies that
address housing, health, social services, employment, education, or youth needs
The City of Dubuque and State of lowa require publically funded institutions and facilities to have
discharge plans that include adequate and stable housing; however,the follow-up on those plans is
difficult in many situations.The City of Dubuque is also working with many community non-profits and
business partners to establish a "one-stop shop"for assistance that is provided across multiple agencies,
but can easily be accessed under the umbrella of one entity to help this vulnerable population access
assistance.
The City of Dubuque also used CDBG funds to support the Fountain of Youth in PY 2019 in the amount of
$15,760.This partner provides transitional services, counseling and community connections to help
those exiting incarceration become self-sufficient by obtaining employment and housing.
The City of Dubuque also was awarded Family Unification Program housing assistance vouchers to serve
those aging out of foster care, and families who have children placed in foster care that do not have
stable housing with the goal of reunification.
Helping homeless persons (especially chronically homeless individuals and families, families
with children, veterans and their families, and unaccompanied youth) make the transition to
permanent housing and independent living, including shortening the period of time that
individuals and families experience homelessness, facilitating access for homeless individuals
and families to affordable housing units, and preventing individuals and families who were
recently homeless from becoming homeless again
A network of non-profit organizations provides a range of services from outreach to permanent
supportive housing.These organizations collaborated during the program year to define and align
resources for coordinated entry. Headed by the lowa Continuum of Care, a network of local providers is
working to streamline services for homeless to allow better access to shelter, mental health, health,
dental, and substance abuse resources.The primary focus is to find people shelter or housing
immediately, in their community of choice.
The City participates as the permanent supportive housing provider and partners with a local non-profit
to coordinate outreach and manage the waiting list.The City continues to support requests to develop
and rehabilitate accessible and affordable housing, with emphasis on programs willing to accept
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vouchers or provide subsidies for households under 30%AMI.
There are three permanent supportive housing programs offered in Dubuque.The City provides the
Continuum of Care funded Phoenix Housing program, serving homeless individuals and families with
disabilities. Hillcrest Family Services provides permanent supportive housing for women and children,
and Opening Doors (Francis Apartments) provides permanent supportive housing opportunities for
families.
CAPER 14
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CR-30 - Public Housing 91.220(h); 91.320(j)
Actions taken to address the needs of public housing
The City of Dubuque does not have public housing.The City monitors the number of affordable tax
credit units and Housing Choice Voucher units within the City.The affordable housing stock is not high
enough to meet needs of renters and homeowners at or below 80%of the area median income.This is
supported by data in the Consolidated Plan showing more renters earning under 80%Area Median
Income are cost burdened, meaning they pay more than 30%of their income for housing-related costs.
The American Community Survey estimates verify nearly half of all renter's experience cost burden. The
City promotes CDBG funded programming to voucher participants in efforts to increase awareness and
participation in activities.
Actions taken to encourage public housing residents to become more involved in
management and participate in homeownership
The City uses the Section 8 Housing Choice Voucher program to provide affordable housing options.The
Housing & Community Development Department is the PHA for the City.The City has 1,112 vouchers
but is unable to issue to capacity due to budgetary constraints.The City, serving as the PHA, ensures
leasing to 95%of the budget capacity, as required by the Voluntary Compliance Agreement.The
Rehabilitation Supervisor at Housing& Community Development works with Family Self-Sufficiency and
Gaining Opportunities participants to increase awareness about homeownership options.
All Housing Choice Voucher participants are invited to join the City's Family Self-Sufficiency(FSS) and
Gaining Opportunities programs.These programs offer unique, person-centered coaching to support the
individual's needs. Goal planning, resource coordination,job readiness, and family supports are all
provided.The Rehabilitation Supervisor regularly visits with Family Self-Sufficiency caseworkers and
Gaining Opportunities and FSS participating families.The programs coordinate resources to help buyers
establish bank accounts, Individual Development Accounts (IDA's), homeownership counseling, and
resources to purchase a home.
Actions taken to provide assistance to troubled PHAs
The PHA is not troubled.
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CR-35 - Other Actions 91.220(j)-(k); 91.320(i)-(j)
Actions taken to remove or ameliorate the negative effects of public policies that serve as
barriers to affordable housing such as land use controls, tax policies affecting land, zoning
ordinances, building codes, fees and charges, growth limitations, and policies affecting the
return on residential investment. 91.220 (j); 91.320 (i)
The City's 2016-2020 Analysis of Impediments to Fair Housing Choice (AI) was updated as required every
5 years.The AI identifies several actions the City has taken to reduce discrimination based on: race,
color, national origin, religion, sex, familial status, disability, sexual orientation, age, and other arbitrary
factors.
The AI identified "source of income" as an arbitrary factor unrelated to a person's ability to be a good
tenant and recommended the Human Rights commission consider include source of income as a
protected class.The Housing& Community Development, Human Rights, and Planning Services
Departments partnered with local stakeholders to better understand how source of income impacts
tenants, particularly Housing Choice Voucher holders. Recent rental licensing data shows that only 33%
of units in the City of Dubuque will accept Housing Choice Vouchers, and the majority of those are in
high-concentrated proverty areas.To address this,the, "Source of Income" committee was formed.The
Committee was made up of key city staff, board and commission members, housing providers, and
housing advocacy groups.The group analyzed data, information, and organized a series of community
dialogues to gain insight into the issues surrounding the impact of such an ordinance and other options
to increase housing choice for voucher holders.
City Council is provided an annual update on the progress of increasing the amount and availability of
units for those using Housing Choice Vouchers,to determine what actions should be taken each year to
increase choice and remove barriers to affordable housing.
The City of Dubuque also formed a fees and charges equity committee to evaluate the impact fees have
on low-income residents.The goal of this committee is to eliminate fees and charges that don't produce
the desired outcomes and affect low-income residents more than others.
Actions taken to address obstacles to meeting underserved needs. 91.220(k); 91.320(j)
The City's Planning &Zoning, Economic Development, and Housing Departments coordinate to receive
and process requests for development of affordable housing.The Housing& Community Development
Department works closely with the City's Legal and Human Rights Departments to inform City staff,
housing providers, developers, and the community at large about the barriers to fair housing and the
strategic steps the City is taking to eliminate barriers as identified in the Analysis of Impediments.To
encourage public support for affordable housing development,the City partners with organizations
wishing to develop affordable housing to engage neighborhood residents about the proposed projects.
Through a series of informational meetings, housing developers and residents can discuss the
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community needs, obtain facts about the need for affordable housing, and identify target populations
and needs unique to the proposed location within the Dubuque community.These meetings have
proven successful for developers proposing Low Income Housing Tax Credit projects.
To help with the financial feasibility of these projects,the City offers developers the opportunity to
request support from the City for the project. If the project aligns with the City's goals, Consolidated
Plan, and Comprehensive Plan,the City facilitates a public engagement process where incentives for the
project are presented to City Council. Projects seeking support must apply to the City for a review and
the City Council makes final recommendations.
Actions taken to reduce lead-based paint hazards. 91.220(k); 91.320(j)
The City applied for the Lead Hazard Control Grant and in April 2019 was awarded $581,000 in Healthy
Home funds and $2,999,968 in lead hazard control funds for a total of$3,580,968.The program has a
local match of$648,454 and proposes to do 120 units in the 3.5-year grant period.The Lead and Healthy
Homes Program effectively delivers successful lead remediation activities for income eligible
households.The grant provides additional funds to address health and safety hazards in the home, and
coordinates with a Home Advocate to build social capacity for participating families.
All CDBG funded activities use the required level of lead assessment when performing rehab on homes.
Homeowners and renters are provided information and resources about lead and lead poisoning, as well
as information on where and when children should be tested. Code enforcement activities identify
visible hazards from peeling paint and housing code to ensure the health and wellbeing of children living
in these units. CDBG funding provided financial assistance for six units assisted by the Lead & Healthy
Homes program during the program year.
Actions taken to reduce the number of poverty-level families. 91.220(k); 91.320(j)
The City of Dubuque funds, supports, and participates in a variety of projects that support the
Consolidated Plan goals to increase economic opportunities through business retention, expansion,job
creation, and financial resources for low-and moderate-income small business owners.The City of
Dubuque had a low unemployment rate pre-COVID, and many of the local manufactures have a demand
for skilled workers. Project HOPE coordinates with Dubuque Works, Opportunity Dubuque, and the local
community college, NICC,to identify under-skilled workers,train them, and match them with
employment opportunities.
The City of Dubuque had a study completed to produce an Equitable Poverty Reduction & Prevention
Plan.This plan helps guide the activities that should be undertaken to have the greatest impact on the
number of poverty-level families.This report was released in FY 2021 and programs and outcomes will
be reported in future CDBG reports.
The City has also taken significant strides in the areas of equity and inclusion. Working with Inclusive
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Dubuque, the City completed an Equity Profile focused on identifying needs of various populations.The
equity profile for housing demonstrated many of the lowest income households experience the most
severe housing problems, and those problems disproportionately impact renters. Much of the City's
historic housing stock is in the downtown. Several units are in mixed-use structures, with vacant store
fronts on the first floor and deteriorated housing on the upper floors.The City developed a rental
rehabilitation program in FY 2019 to address the poor housing conditions in this area, in conjunction
with efforts to revitalize owner occupied, local business, and infrastructure in the Central Avenue
Corridor.
Actions taken to develop institutional structure. 91.220(k); 91.320(j)
Within the institution, steps are being taken to encourage and promote high-performing,fiscally
responsible government.This outcome-driven process is focused on data analysis, community
engagement, and strategic initiatives designed to support and retain Dubuque's population. Employers
in Dubuque are looking for a skilled workforce, and the Housing& Community Development
Department has strategically partnered with the private sector to connect unemployed and
underemployed populations to training and skills necessary to meet local employer's needs.
Multiple departments continue compiling a data library and develop uniform data collection and
tracking systems across departments to more effectively address neighborhood, housing, and economic
development concerns identified by citizens and staff.The work being completed by these departments
focuses on equity and identifying how the institution can provide more equitable services.
To address housing discrimination,the City took steps to increase staff understanding of fair housing,
discrimination, and the history of racism in the community. Fair housing training was completed in
October 2020, in accordance with the VCA. Staff from multiple City Departments, including Police
Department Staff, attended the training Fair housing training was also provided to specific departments
and organizations serving the public with housing needs. New employees, boards and commission
members also receive fair housing training and education within 30 days of beginning service.
The Housing& Community Development Department also instituted a weekly training for employees on
diversity, equity and inclusion concepts and practices. From this committees were formed to address
institutional structure issues that affect the City's ability to effectively serve all residents.
Actions taken to enhance coordination between public and private housing and social service
agencies. 91.220(k); 91.320(j)
The City has developed strategies to ensure housing developers relate to the community in which they
plan to provide housing, as well as local service providers. Programs seeking City support must
demonstrate active public engagement in the planning of the project and demonstrate what support
services will be available to residents. Locations of projects are carefully considered to ensure residents
will have access to areas of opportunity relevant to the target population being served.The City actively
CAPER 18
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seeks out federal, state, local, and private sector partners that can meet the range of housing needs
across the community.
The City launched the C.H.A.N.G.E. initiative (Comprehensive Housing Activities for Neighborhood
Growth and Enrichment)to identify and rehabilitate downtown housing units.The program is designed
to acquire, rehabilitate, and sell previously dilapidated properties to income eligible households,
coordinate local, state, and federal resources to have the greatest impact for occupied properties, and
support neighborhood and community development to ensure rich partnerships, programs, and
economic and social resiliency.Through a partnership with Community Housing Initiatives,True North,
and Affordable Housing Network, Inc., multiple single-family homes have been rehabilitated into
affordable homeownership opportunities.
Identify actions taken to overcome the effects of any impediments identified in the
jurisdictions analysis of impediments to fair housing choice. 91.520(a)
The City of Dubuque made progress in the following actions in FY 2019:
October 2019
Fair Housing Training Sessions Held
January 2020
Analysis of Impediments was updated and adopted with new goals and actions
CAPER 19
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CR-40 - Monitoring 91.220 and 91.230
Describe the standards and procedures used to monitor activities carried out in furtherance
of the plan and used to ensure long-term compliance with requirements of the programs
involved, including minority business outreach and the comprehensive planning
requirements
Pre-funding Preparedness:The Community Development Specialist provides one-on-one preparatory
and program development meetings for new or expanded programs offered through the City of
Dubuque.Technical assistance is provided to develop programs that deliver eligible activities in a timely
manner. New sub-recipients outside of the City are also provided one-on-one technical support prior to
project implementation ensure contracting, eligibility, reporting, and national objective requirements
are met.
Contract Management: Most CDBG contracts are overseen by the Housing&Community Development
Department, but some are assigned to a City project manager responsible for the execution and
reporting related to the contract. Contracts include HUD, state, and local requirements, including
related requirements such as environmental reviews, URA, 2 CFR 200, and Lead Based Paint
requirements. Ongoing technical assistance is provided by the Community Development Specialist to
sub recipients and project managers throughout the contract period. Most sub recipients do monthly
draws where supporting documentation is verified.
Monitoring Compliance:The City completes monthly desk audits of reports and supporting
documentation, onsite monitoring reviews, phone contacts,written communications (letters and email)
and meetings. Each sub recipient has individualized reporting forms unique to their program, budgeted
expenses, and activities.These individualized reporting forms allows for convenient management and
monitoring for fraud, waste, mismanagement and other opportunities for potential abuse. Contract
provisions allow for suspension of payment or termination of contract and reimbursement at any time
during the program year based on performance deficiencies. Staff always works with sub recipients to
correct identified deficiencies through discussion,technical assistance prior to imposing any sanctions.
Sub recipients report on successes, challenges, and needs quarterly using an electronic form. City
Departments using CDBG funds are monitored by their respective Department Managers and the
Housing& Community Development Director.
Audit Review: Sub recipients are required to submit an audit prior to funding (if available) and as part of
the year-end requirements in the contract. Programs requiring a Single Audit are subject to a financial
desk review to the CDBG program if there is a finding noted in the audit, regardless if the finding is
related to CDBG funds.
The City's Budget and Finance Office began tracking minority and women owned businesses in FY 16.
The Housing and Community Development department maintains and updates the Section 3 plan for
applicable contracts.
CAPER 20
OMB Control No:2506-0117(exp.09/30/2021)
Citizen Participation Plan 91.105(d); 91.115(d)
Describe the efforts to provide citizens with reasonable notice and an opportunity to
comment on performance reports.
The Community Development Advisory Commission meets monthly and is open to the public. Meetings
are normally at 5:30 pm in the Housing Conference Room, located in Dubuque's downtown on a bus
route, but have since been held on a virtual platform due to the Coronavirus Pandemic.The Community
Development Advisory Commission reviews the Citizen Participation Plan annually.Agendas are posted
in the Housing Department, City Hall, and distributed to a list serve where anyone can receive
notification when agendas and reports are posted online.The commission provides citizens an
opportunity to comment on proposed plans, performance, and reports. Comments can also be
submitted in writing, by phone, or electronically through the City's website.The Citizen Participation
Plan describes the roles, responsibilities, and contact information of entities involved in administering,
reviewing, and approving activities included in this report.
In response to the Coronavirus, the office of Community Planning and Development released a notice
that allowed grantees to amend citizen participation plans to establish expedited procedures to draft,
propose, or amend consolidated plans. Expediated procedures must include notice and reasonable
opportunity to comment of no less than five days.This notice also allowed grantees to utilize
telecommunication to send and receive updates, hold meetings, and receive public input.The
Community Development Advisory Commission set a public hearing to amend the Citizen Participation
Plan to reflect these changes on March 18th, 2020 and posted a public notice of such, which is attached
here.The public hearing was held on April 15th, 2020 at 5:30pm, and comments received have been
documented as an attachment.
CR-45 - CDBG 91.520(c)
Specify the nature of, and reasons for, any changes in the jurisdiction's program objectives
and indications of how the jurisdiction would change its programs as a result of its
experiences.
The City of Dubuque has beeing working hard to promote the use of the community development
programs to marginalized community members and those with significant barriers to navigating
systems.Targeted outreach was completed to test if that would encourage additional participants from
marginalized neighborhoods, but that was not an outcome. At the end of the plan year,the City changed
its focus to being part of"in-group" activities and events to reach this community.This has been
CAPER 21
OMB Control No:2506-0117(exp.09/30/2021)
effective in increasing the number of marginalized groups participating in programs and even providing
input for planning programs. Reaching community members in the extremely-low income category
appears to be a need that will be identified in the next consolidated plan, as well as substance use
barriers to becoming self-sufficient.
The City of Dubuque found that at the end of PY 2019, COVID hit low-moderate income residents
particularly hard. Employment and access to employment type services/support were terminated to
focus on processing unemployment claims.The City of Dubuque will want to work towards having
additional resources for employment services such as employment searches and resume development.
Does this Jurisdiction have any open Brownfields Economic Development Initiative (BEDI)
grants?
No
[BEDI grantees] Describe accomplishments and program outcomes during the last year.
CAPER 22
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CR-45 - CDBG 91.520(c)
Specify the nature of, and reasons for, any changes in the jurisdiction's program objectives
and indications of how the jurisdiction would change its programs as a result of its
experiences.
The City of Dubuque has beeing working hard to promote the use of the community development
programs to marginalized community members and those with significant barriers to navigating
systems.Targeted outreach was completed to test if that would encourage additional participants from
marginalized neighborhoods, but that was not an outcome. At the end of the plan year,the City changed
its focus to being part of"in-group" activities and events to reach this community.This has been
effective in increasing the number of marginalized groups participating in programs and even providing
input for planning programs. Reaching community members in the extremely-low income category
appears to be a need that will be identified in the next consolidated plan, as well as substance use
barriers to becoming self-sufficient.
The City of Dubuque found that at the end of PY 2019, COVID hit low-moderate income residents
particularly hard. Employment and access to employment type services/support were terminated to
focus on processing unemployment claims.The City of Dubuque will want to work towards having
additional resources for employment services such as employment searches and resume development.
Does this Jurisdiction have any open Brownfields Economic Development Initiative (BEDI)
grants?
No
CAPER 23
OMB Control No:2506-0117(exp.09/30/2021)
Low/Moderate Income Areas
City of Dubuque, IA
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