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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 � ui-Aseria cih DuB E , . � . , � II � Maste iece on tj2e Mississi i zoo�•zoiz•zois YP pp zoi�*zoi9 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 � U� � 111-America Cit' Maste iece on the Mississi i � � pp zoo�.Zo�z.zo�3.zo�� 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 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 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 CAPER 13 OMB Control No:2506-0117(exp.09/30/2021) 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 OMB Control No:2506-0117(exp.09/30/2021) CR-30 - Public Housing 91.220(h); 91.320(j) Actions taken to address the needs of public housing The City of Dubuque does not have public housing.The City monitors the number of affordable tax credit units and Housing Choice Voucher units within the City.The affordable housing stock is not high enough to meet needs of renters and homeowners at or below 80%of the area median income.This is supported by data in the Consolidated Plan showing more renters earning under 80%Area Median Income are cost burdened, meaning they pay more than 30%of their income for housing-related costs. The American Community Survey estimates verify nearly half of all 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. CAPER 15 OMB Control No:2506-0117(exp.09/30/2021) CR-35 - Other Actions 91.220(j)-(k); 91.320(i)-(j) Actions taken to remove or ameliorate the negative effects of public policies that serve as barriers to affordable housing such as land use controls, tax policies affecting land, zoning ordinances, building codes, fees and charges, growth limitations, and policies affecting the return on residential investment. 91.220 (j); 91.320 (i) The City'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 CAPER 16 OMB Control No:2506-0117(exp.09/30/2021) 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 CAPER 17 OMB Control No:2506-0117(exp.09/30/2021) 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 OMB Control No:2506-0117(exp.09/30/2021) 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 OMB Control No:2506-0117(exp.09/30/2021) CR-40 - Monitoring 91.220 and 91.230 Describe the standards and procedures used to monitor activities carried out in furtherance of the plan and used to ensure long-term compliance with requirements of the programs involved, including minority business outreach and the comprehensive planning requirements Pre-funding Preparedness:The Community Development Specialist provides one-on-one preparatory and program development meetings for new or expanded programs offered through the City of Dubuque.Technical assistance is provided to develop programs that deliver eligible activities in a timely manner. New sub-recipients outside of the City are also provided one-on-one technical support prior to project implementation ensure contracting, eligibility, reporting, and national objective requirements are met. 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 OMB Control No:2506-0117(exp.09/30/2021) 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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