FY15 CDBG Annual Action Plan (Program Year 2014)Honorable Roy Buol
Mayor of Dubuque
City Hall
50 West 13th Street
Dubuque, IA 52001-4864
Dear Mayor Buol:
U.S. Department of Housing and Urban Development
Omaha Field Office
Edward Zorinsky Federal Building
1616 Capitol Avenue, Suite 329
Omaha, Nebraska 68102-4908
July 22, 2015
This is to inform you that a review of your fiscal year 2015 Annual Action Plan has been
completed. The grant assistance, which you are receiving, includes Community Development
Block Grant (CDBG) funds in the amount of $954,011.
Enclosed are the Grant Agreements and Funding Approvals (three copies), which constitute
the contract between the Department of Housing and Urban Development and the City of
Dubuque, Iowa.
You should note particularly the special conditions included in the Grant Agreement. 1f you
are planning to charge any expenses as indirect costs to the grant, you must complete the indirect
cost chart for the grant before returning the agreement. Also, of a particular note are the
requirements for compliance with the Universal Numbering System and System for Award
Management (SAM) and the Federal Funding Accountability and Transparency Act (141 -ATA).
Other special conditions regard period of performance; selling, trading or transferring CDBG
funds; review of activities providing CDBG to for-profit entities; and the restrictions on using
eminent domain for CDBG activities. It is also important to understand the date you may begin to
obligate grant funds for eligible activities. Please contact your HUD program representative if you
have any questions regarding your agreement.
In order to establish a line of credit for these grant funds, you should execute and return two
copies of the Grant Agreement. Retain one copy of the Grant Agreement for your files. If there is
a need to establish or change the depository account to which these grant funds are to be wired, a
Direct Deposit Sign -Up Foiiu (SF -1199A) must be completed by you and your financial institution
and mailed to this office.
You are reminded that certain activities are subject to the provisions of 24 CFR Part 58
(Environmental Review Procedures for the CDBG Program). Funds for such activities may not be
obligated or expended unless the release of funds has been approved in writing by HUD. A
request for the release of funds must be accompanied by an environmental certification.
2
The special condition in your Grant Agreement and Funding Approval concerning the
review procedures under Executive Order (E.0.) 12372, Intergovernmental Review of Federal
Programs, and HUD's implementing regulations at 24 CFR Part 52 restricts the obligation or
expenditure of funds for the planning or construction of water or sewer facilities until the
completion of the review process and receipt of written notification of release of funds from HUD.
Since you have not submitted your final statement for review under E.O. 12372, we assume you do
not propose to use funds for activities subject to review. However, the condition requires that in
the event you amend or otherwise revise your Annual Action Plan to use funds for the planning or
construction of water or sewer facilities, you must receive written release of funds from HUD
before obligating or expending funds for such activities.
A primary goal of the Department is to reduce housing discrimination, affirmatively
further fair housing through CPD programs and promote diverse, inclusive communities. To that
end, we encourage your community to take all measures necessary to ensure compliance with the
Fair Housing requirements associated with these funds. A copy of your Consolidated
Plan/Annual Action Plan was provided to the Office of Fair Housing and Equal Opportunity for
review. At the time of this letter, the Omaha office had not received any comments from our Fair
Housing and Equal Opportunity (FHEO) Division regarding your Plan. Should FHEO have any
comments, they will be forwarded to you.
You are encouraged to continue to vigorously promote full partnerships between the City of
Dubuque, Iowa and its non-profit service providers, neighborhood organizations, the economic
community and private citizens as you implement your Consolidated Plan. In the process of
transforming plan elements into projects, the quality of success will depend in large part on the
closeness of cooperation among all the Consolidated Plan partners. We offer our continued
support and technical assistance during the coming year to help forward the objectives of the
Consolidated Plan.
If you have any questions regarding the information in this letter, please contact Charlie
House, CPD Representative, at (402) 492-3173 or Charlie.R.House@h �' .gov.
Sincerely
Enclosures
cc: Mr. David Harris
Mr. Dave Heiar
Tim - verin
Director
Community Planning and
Development Division
Page 1 of 1
Kevin Firnstahl - Mayor's Signature
From:
To:
Date:
Subject:
Attachments:
Erica Haugen
Kevin Firnstahl
4/30/2014 11:16 AM
Mayor's Signature
SF424.pdf
Kevin,
I need the mayor to sign an updated SF 424 for the FY2015 CDBG Grant. This form was originally signed on
3/5/2014 and had an estimated entitlement amount. Since then, we have received notification of our CDBG
grant amount and need to update the form for HUD to accept our annual action plan for FY2015. What do I
need to do to get this signed and when is the earliest I can have it?
Erica
Erica Haugen
Community Development Specialist
Housing & CD Dept.
350 West 6th St, Suite 312
Dubuque, IA 52001-4148
Office (563) 589-4212
Fax (563) 690-6693
TTY (563) 589-4230
file :///C:/Users/kfirnsta/AppData/Local/Temp/XPgrpwise/53 60DB79DBQ_... 4/30/2014
i.O tbtti'ci I i
*I 11 SF 424
hIt iillilP
4,0, The SF 424 is part of the CPMP Annual Action Plan. SF 424 form
9' "1N 0erv0_0 fields are included in this document. Grantee information is linked
from the 1CPMP.xls document of the CPMP tool.
SF 424
Complete the fillable fields (blue cells) in the table below. The other items are pre -filled with values from the
Date Submitted 5/5/2014
Applicant Identifier
Type of Submission
Date Received by state
State Identifier
Application
Pre=application.
Date Received by HUD
Federal Identifier
■ Construction
■ Construction
1 Non Construction
1 Non Construction
Applicant Information
City of Dubuque
IA191464 DUBUQUE
Street Address Line 1 350 West 6th Street
Organizational DUNS 093105302
Street Address Line 2 Suite 312
Organizational Unit City of Dubuque
City Dubuque
Iowa
Department Housing & Community
Development
ZIP 52001
Country U.S.A.
Division
Employer Identification Number (EIN):
County Dubuque
42-6004596
Program Year Start Date 07/01/2014
Applicant Type:
Specify Other Type if necessary:
Local Government: City
Specify Other Type
Program Funding
U.S. Department of
Housing and Urban Development
Catalogue of Federal Domestic Assistance Numbers; Descriptive Title of Applicant Project(s); Areas Affected by
Project(s) (cities, Counties, localities etc.); Estimated Funding
Community Development Block Grant
14.218 Entitlement Grant
CDBG Project Titles CDBG FY 2015 Annual Projects
(July 1, 2014 to June 30, 2015)
Description of Areas Affected by CDBG Project(s)
City of Dubuque
$CDBG Grant Amount 954,448
$Additional HUD Grant(s) Leveraged
Describe
$Additional Federal Funds Leveraged
$Additional State Funds Leveraged
$Locally Leveraged Funds
$Grantee Funds Leveraged
$Anticipated Program Income $285,000`
Other (Describe)
Total Funds Leveraged for CDBG-based Project(s),
Home Investment Partnerships Program
14.239 HOME
HOME Project Titles
Description of Areas Affected by HOME Project(s)
$HOME Grant Amount
$Additional HUD Grant(s) Leveraged
Describe
$Additional Federal Funds Leveraged
$Additional State Funds Leveraged
$Locally Leveraged Funds
$Grantee Funds Leveraged
SF 424
Page 1
Version 2.0
$Anticipated Program Income
Other (Describe)
Total Funds Leveraged for HOME -based Project(s)
Housing Opportunities for People with AIDS
14.241 HOPWA
HOPWA Project Titles
Description of Areas Affected by HOPWA Project(s)
$HOPWA Grant Amount
$Additional HUD Grant(s) Leveraged
Describe
$Additional Federal Funds Leveraged
Additional State Funds Leveraged
$Locally Leveraged Funds
$Grantee Funds Leveraged
$Anticipated Program Income
Other (Describe)
Total Funds Leveraged for HOPWA-basedProject(s)
Emergency Shelter Grants Program
14.231 ESG
ESG Project Titles
Description of Areas Affected by ESG Project(s)
$ESG Grant Amount
$Additional HUD Grant(s) Leveraged
Describe
$Additional Federal Funds Leveraged
$Additional State Funds Leveraged
$Locally Leveraged Funds
$Grantee Funds Leveraged
$Anticipated Program Income
Other (Describe)
Total Funds Leveraged for ESG-based Project(s)
Congressional Districts of:
Is applica ion subject to review by state Executive Order
12372 Process?
Applicant Districts 1 Project Districts
Is the applicant delinquent on any federal debt? If
"Yes" please include an additional document
explaining the situation.
❑ Yes
This application was made available to the
state EO 12372 process for review on DATE
0 No
Program is not covered by EO 12372
■ Yes
0 No
0 N/A
Program has not been selected by the state
for review
Person to be contacted regarding this application
First Name Alvin
Middle Initial
Last Name Nash
Title Housing & Community
Development Director
Phone 563-589-4239
Fax 563-589-4244
eMail
anash@cityofdubu ue.org
Grantee Website
www.cityofdubuque.org
Other Contact
Signature of Author' d Representative
I/1D_
Date Signed
5/5/14
SF 424
Page 2
Version 2.0
THE CITY OF
Dui
E
Masterpiece on the Mississippi
To: Michael Van Milligen, City Manager
From: Alvin Nash, Housing and Community and Development
Subject: FY 2014 Annual Action Plan
Date: February 3, 2014
Dubuque
AB-Americabatiri
City
h1 1.?
2007 • 2012 • 2013
INTRODUCTION
This memorandum transmits the resolution adopting the Fiscal Year 2015 (Program
Year 2014) Community Development Block Grant (CDBG) Annual Action Plan.
BACKGROUND
The City is required to submit an Annual Action Plan to the United States Department of
Housing and Urban Development (HUD) for the Community Development Block Grant
(CDBG) program. The attached FY 2015 Annual Action Plan provides for use of
Community Development Block Grant (CDBG) funds for the anticipated entitlement of
$974,408, with anticipated revenues of $285,000 in program income, for a total of
$1,259,408.
The Community Development Advisory Commission held a public hearing and
approved the FY 2015 Annual Action Plan on December 18, 2013. A public hearing on
the Annual Plan will be held by the City Council on February 13, 2014, with final FY
2015 budget approval at the March 5th public hearing to adopt the FY 2015 budget. A
required 30 day public comment period commenced with publication of notices on the
City website and in the Telegraph Herald on January 10th and the Dubuque Advertiser
on January 8th.
RECOMMENDED ACTION
I recommend the City Council approve the attached resolution adopting the FY 2015
Annual Action Plan as recommended by the City Manager and authorizing the City
Manager to prepare and submit the Plan to HUD for use of CDBG funds.
Prepared by Erica Haugen, Community Development Specialist
RESOLUTION NO. 69-14
A RESOLUTION ADOPTING THE FISCAL YEAR 2015 (PROGRAM YEAR 2014)
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) ANNUAL ACTION PLAN
Whereas, the City of Dubuque has, through a series of public meetings and hearings,
finalized a Fiscal Year 2015(Program Year 2014) Community Development Block Grant
Annual Action Plan addressing both housing and non-housingneeds in the community;
and -
Whereas, copies of the draft Fiscal Year 2015 (Program Year 2014) CDBG Annual
Action Plan have been available for public comment 30 days prior to City Council action;
and.
Whereas, the City's Community Development Advisory Commission has reviewed and
recommended adoption of an Annual Action Plan following a public hearing;. and
Whereas, the City Council has held a public hearing on the proposed plan on February
13, 2014 following a 30 day public comment period and has approved the Fiscal Year 2015
Annual Action Plan on March 5, 2014.
NOW, THEREFORE, BE E IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, IOWA:
Section 1. That the Community Development Block Grant Fiscal Year 2015 (Program
Year 2014) Annual Action Plan, attached hereto as Exhibit A and by this reference made a
part hereof, is hereby adopted.
Section 2. That the City Manager is hereby authorized and directed to prepare and
submit to the United States Department of Housing and Urban Development the Fiscal
Year 2015 (Program Year 2014) Annual Action Plan with all related documents for the use
of Community Development Block Grant funds based on this adopted budget and execute
standard contracts and agreements.
Passed, approved and adopted this 5th day of March, 2014.
Attest:
DL/
Roy D. Buol, Mayor
THE CITY OF
Dui
E
Masterpiece on the Mississippi
Dubuque
AII-America City
� r
2007 • 2012 • 2013
FY 2015 ANNUAL PLAN
FOR USE OF PROGRAM YEAR 2014
COMMUNITY DEVELOPMENT BLOCK GRANT
(CDBG) FUNDS
Exhibit A
PREPARED BY THE HOUSING AND COMMUNITY DEVELOPMENT DEPARTMENT
1
CITY OF DUBUQUE, IOWA
FY 2015 ANNUAL ACTION PLAN
FOR THE USE OF PROGRAM YEAR 2014
COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS
The City of Dubuque distinguishes between four different but complementary areas of
program development in its overall CDBG program: Housing Development, Economic
Development, Neighborhood and Community Development and Planning &
Administration. The following description of activities summarizes the projects to be
completed in the FY 2015 Annual Action Plan with the use of CDBG funds:
HOUSING DEVELOPMENT PROGRAMS
First Time Home Buyer Program $41,784
This program provides for loans to assist low and moderate income families to purchase their first homes.
These funds are used to cover the "entry costs" of homeownership — down payments and closing costs.
National Objective:
Location:
Proposed Accomplishments:
Priority:
Objective/Outcome:
Low and Moderate Income Housing
Citywide
8 Households
High
Decent Housing/Affordability (DH2)
Homeowner Rehabilitation
1) Residential Rehabilitation Loan Program (11 Housing Units)
An on-going program to provide low-interest loans to qualified low and moderate -income
homeowners for the rehabilitation of substandard housing units.
2) Home Repair Program
Zero % loans or deferred payment loan to improve conditions of property for income -eligible
homeowners
National Objective:
Location:
Proposed Accomplishments:
Priority:
Objective/Outcome:
$157,450
Low and Moderate Income Housing
Citywide
See above
High
Decent Housing/Affordability (DH2)
Housing Planning/Administration Services and Staff $70,416
On-going staff support for general housing planning activities, including Consolidated Plan, and
department administration.
Priority: High
Objective/Outcome:
Housing Code Enforcement
Intensive inspection program of rental units
safe and sanitary housing.
National Objective:
Location:
Proposed Accomplishments:
Priority:
Objective/Outcome:
Decent Housing/Accessibility (DH1)
$188,424
within low and moderate -income neighborhoods to ensure
Low and Moderate Income Benefit
Low/Moderate Income Areas
400 Housing units
High
Decent Housing/Affordability (DH2)
2
Housing Rehabilitation Services and Staff $356,727
On-going staff support, including program management, technical assistance, loan packaging
and inspection, for the City's rehabilitation loan program.
Priority: High
Objective/Outcome: Decent Housing/Accessibility (DH1)
Lead Hazard Control Program $50,816
Provides activities to support efforts to combat lead paint hazards in housing, including assessment and
abatement with forgivable loans of up to $12,000 to low/moderate income residents.
National Objective: Low and Moderate Income Housing
Location:
Proposed Accomplishments:
Priority:
Objective/Outcome:
Low/Moderate Income Areas
3 Housing units
High
Decent Housing/Accessibility (DH1)
Rental Unit Repair SO
1) Emergency Code Enforcement Loan Program
This program provides for loans to correct code deficiencies and, in particular, emergency or
health and safety corrections, for rental properties. The program aims at preventing the
displacement of economically disadvantaged tenants as a result of code enforcement actions.
3) Accessibility Rehab
This program provides forgivable loans to disabled tenants to make rental units accessible to the
physically disabled.
National Objective:
Location:
Proposed Accomplishments:
Priority:
Objective/Outcome:
Low and Moderate Income Housing
Citywide
10 Housing units
High
Decent Housing/Affordability (DH2)
Total Housing Programs $865,617
3
ECONOMIC DEVELOPMENT PROGRAM
Commercial/Industrial Building Rehab Loan Program and Revolving Loan $0
This program provides low interest and forgivable loans/grants for rehabilitation of commercial and
industrial buildings in the City's older neighborhoods and downtown. Rehabilitation assistance is limited
to improvements to the exterior of the building and to the correction of code violations. On-going
revolving loan fund established.
National Objective: Removal of Slum and Blight
Location: Slum and Blight Area
Priority: High
Objective/Outcome: Suitable Living Environment/Sustainability (SL3)
Economic Development Financial Assistance Program and Revolving Loan $0
This program provides both large and small businesses with attractive low-interest and forgivable loan
packages or grants to support local economic development efforts, including projects to create or retain
jobs, enhance the tax base and strengthen the local economy. To the greatest extent possible, these
investment capital funds are used to benefit low and moderate income citizens, address slum and blight
problems, leverage additional funding from state, federal and private sources and to assist in the retention
and expansion of existing local businesses. On-going revolving loan fund established.
National Objective: Low and Moderate Income Jobs
Location:
Priority:
Objective/Outcome:
Citywide
High
Economic Opportunity/Sustainability (E03)
Total Economic Development Programs $0
NEIGHBORHOOD and COMMUNITY DEVELOPMENT PROGRAMS
Accessible Curb Ramps
Replace curbs at intersections throughout the City
accessible to persons with disabilities.
National Objective:
Location:
Proposed Accomplishments:
Priority:
Objective/Outcome:
$12,600
th accessible ramps to make public sidewalks
Low and Moderate Income Benefit
Citywide
4 Accessible ramps
High
Suitable Living Environment/Sustainability (SL3)
Dubuque Dispute Resolution Center $728
Training of volunteers, marketing and promotion for the Dubuque Dispute Resolution Center, which
offers mediation of disputes between neighbors, including race -related disputes
National Objective: Low and Moderate Income Benefit
Location: City Wide
Proposed Accomplishments: 17 People
Priority: High
Objective/Outcome: Suitable Living Environment/Accessibility (SL1)
4
Information & Referral Services $10,000
(*Estimate only pending Council approval of purchase of services grant applications)
The purchase of services from Project Concem for a twenty-four hour information network for community
residents and a resource/counseling center for community services.
National Objective: Low and Moderate Income Benefit
Location:
Proposed Accomplishments:
Priority:
Objective/Outcome:
Citywide
3000 People
High
Suitable Living Environment/Accessibility (SL1)
Neighborhood Development Services & Staff $60,185
The Neighborhood Development Specialist coordinates the City's neighborhood Development programs
and provides technical assistance to organizations and residents to improve Dubuque's neighborhoods.
Priority: High
Objective/Outcome: Suitable Living Environment/Accessibility (SL1)
Neighborhood Infrastructure Improvements
National Objective:
Priority:
Objective/Outcome:
$13,400
Low and Moderate Income Benefit
High
Suitable Living Environment/Sustainability (SL3)
1) Neighborhood Street Overlays
Provides for pavement overlays in income eligible neighborhoods.
Location: Low/Moderate Income Areas
Proposed Accomplishments: 3 streets
2) Neighborhood Sidewalk Program
Grant program to income eligible homeowners, on a case-by-case basis, to pay a maximum of 75%
of the cost to repair public sidewalks in front of their home. Grant amount varies based on
percentage of area median income.
Location: City Wide
Proposed Accomplishments: 7 sidewalks
3) Neighborhood Step/Wall Repair
An on-going program to renovate or remove steps and walls that are public safety problems
In low-income areas.
Location: Low/Moderate Income Areas
Neighborhood Recreation Programs $109,838
An enhanced recreation program is offered in the City's older low and moderate -income neighborhoods to
meet the needs of at -risk youth promote self-esteem and build community. Activities include expanded
after-school programs, open gym, basketball league, music lessons, playtime for tots, scholarships, swim
passes, summer day camp and other recreational programs.
National Objective: Low and Moderate Income Benefit
Location: Low/Moderate Income Areas or City wide
Proposed Accomplishments: 5730 persons
Priority: High
Objective/Outcome: Suitable Living Environment/Accessibility (SL1)
Neighborhood Support Grants $14,560
This grant program provides resources for organized neighborhoods in low/mod income areas to
encourage self -initiated revitalization efforts including physical improvements, clean-ups, communication
efforts or other special projects.
National Objective: Low and Moderate Income Benefit
Location: Low/Moderate Income Areas
Proposed Accomplishments: 2000 People
Priority: High
Objective/Outcome: Suitable Living Environment/Sustainability (SL3)
5
Opening Doors
Program providing emergency and trans
Teresa Shelter and Maria House.
National Objective:
Location:
Proposed Accomplishments:
Priority:
Objective/Outcome:
$13,005
onal housing to women, alone or with children at two sites,
Senior Center
Education and recreation services provided to elderly cit
National Objective:
Location:
Proposed Accomplishments:
Priority:
Objective/Outcome:
Low and Moderate Income Benefit
Citywide
225People
High
Decent Housing/Accessibility (DH1)
$18,200
zens at the Hills & Dales Lifetime Center.
Low and Moderate Income Benefit
Citywide
600 People
High
Suitable Living Environment/Accessibility (SL1)
Washington Tool Library $11,284
An on-going free tool loan program operated by the Washington Neighborhood Tool Library,
A non-profit organization staffed by volunteers. Funds are used to buy and repair tools and operating
costs. Income eligible residents borrow tools at no charge for home repairs and improvements
National Objective: Low and Moderate Income Benefit
Location:
Proposed Accomplishments:
Priority:
Objective/Outcome:
City Wide
450 People
High
Suitable Living Environment/Accessibility (SL1)
Zoning Inspection/Enforcement $8,710
This project provides funding for inspection/enforcement staff services to low/mod income areas for
zoning ordinance infractions and to provide support for neighborhood clean up efforts.
National Objective: Low and Moderate Income Benefit
Location:
Proposed Accomplishments:
Objective/Outcome:
Total Neighborhood and
Community Development Programs
PLANNING AND ADMINISTRATION
Low/Moderate Income Areas
45 Housing Units
Decent Housing/Sustainability (DH3)
$272,510
CDBG Administration Services and Staff $121,281
Staff support for general management. Oversight and coordination of the Community Development Block
Grant program; assures compliance with federal regulations and reporting requirements. Includes $30,000
for consultant for Consolidated Plan and Analysis of Impediments.
Priority: High
Objective/Outcome: Suitable Living Environment/ Sustainability (SL3)
Total Planning and Administration $121,281
Grand Total: CDBG Funding Proposed for FY 15 $1,259,408
6
Exhibit A
FUNDING SOURCES FY2015
Estimated CDBG Entitlement 974,408
Program Income 285,000
Total Sources 1,259,408
PROPOSED ACTIVITIES FISCAL YEAR 2015
Housing Development Programs:
Proposed
First Time Homebuyer Program
41,784
Historic Preservation Rehab Grant
Homeowner Rehab Program
157,450
Housing Administration
70,416
Housing Code Enforcement
188,424
Housing Rehabilitation Services and Staff
356,727
Housing Trust
-
Lead Hazard Control Program
50,816'
Purchase/Rehab/Resale DREAMS
-
Rental Unit Rehabilitation
Housing Totals
865,617
Economic Development Programs:
Commercial/Industrial Building Rehab Loans & Revolving Loan Fund
-
E.D. Financial Assistance Program & Revolving Loan Fund
-
Economic Development Totals
-
Neighborhood and Community Development Programs
Accessible Curb Ramps
12,600
Dubuque Dispute Resolution Center
728
Information & Referral - Project Concern
10,000'
Neighborhood Development Services and Staff
60,185'
Neighborhood Infrastructure Improvements
13,400
Neighborhood Recreation Program
109,838'
Neighborhood Support Grants
14,560
Opening Doors
13,005
Senior Center
18,200
Washington Tool Library
11,284
Zoning Inspection/Enforcement
8,710
Neighborhood & Comm. Develop. Totals
272,510
Administration
CDBG Admin. Services and Staff
121,281
,
121,281
Administration Totals
TOTAL CDBG
1,259,408
7
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CPMP Non -State Grantee
Certifications
Many elements of this document may be completed
electronically, however a signature must be manually applied and the
document must be submitted in paper form to the Field Office.
Q This certification does not apply.:
This certification is applicable. '
NON -STATE GOVERNMENT CERTIFICATIONS
In accordance with the applicable statutes and the regulations governing the
consolidated plan regulations, the jurisdiction certifies that:
Affirmatively Further Fair Housing -- The jurisdiction will affirmatively further fair housing, which
means it will conduct an analysis of impediments to fair housing choice within the jurisdiction, take
appropriate actions to overcome the effects of any impediments identified through that analysis, and
maintain records reflecting that analysis and actions in this regard.
Anti -displacement and Relocation Plan -- It will comply with the acquisition and relocation
requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as
amended, and implementing regulations at 49 CFR 24; and it has in effect and is following a residential
antidisplacement and relocation assistance plan required under section 104(d) of the Housing and
Community Development Act of 1974, as amended, in connection with any activity assisted with funding
under the CDBG or HOME programs.
Drug Free Workplace -- It will or will continue to provide a drug-free workplace by:
1. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying
the actions that will be taken against employees for violation of such prohibition;
2. Establishing an ongoing drug-free awareness program to inform employees about -
a. The dangers of drug abuse in the workplace;
b. The grantee's policy of maintaining a drug-free workplace;
c. Any available drug counseling, rehabilitation, and employee assistance programs; and
d. The penalties that may be imposed upon employees for drug abuse violations occurring in the
workplace;
3. Making it a requirement that each employee to be engaged in the performance of the grant be given
a copy of the statement required by paragraph 1;
4. Notifying the employee in the statement required by paragraph 1 that, as a condition of employment
under the grant, the employee will -
a: Abide by the terms of the statement; and
b. Notify the employer in writing of his or her conviction for a violation of a criminal drug statute
occurring in the workplace no later than five calendar days after such conviction;
5. Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph
4(b) from an employee or otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title, to every grant officer or other
designee on whose grant activity the convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice shall include the identification
number(s) of each affected grant;
6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph
4(b), with respect to any employee who is so convicted -
a. Taking appropriate personnel action against such an employee, up to and including termination,
consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
b. Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation
program approved for such purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
7. Making a good faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs 1, 2, 3, 4, 5 and 6.
CPMP Non -State Grantee Certifications 1 Version 1.3
Jurisdiction
Anti -Lobbying -- To the best of the jurisdiction's knowledge and belief:
8. No Federal appropriated funds have been paid or will be paid, by or on behalf of it, to any
person for influencing or attempting to influence an officer or employee of any agency, a Member
of Congress, an officer or employee of Congress, or an employee of a Member of Congress
in connection with the awarding of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or
cooperative agreement;
9. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection
with this Federal contract, grant, loan, or cooperative agreement, it will complete and submit
Standard Form -LLL, "Disclosure Form to Report Lobbying," in accordance with
its instructions; and
10. It will require that the language of paragraph 1 and 2 of this anti -lobbying certification be
included in the award documents for all subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
Authority of Jurisdiction -- The consolidated plan is authorized under State and local law (as applicable)
and the jurisdiction possesses the legal authority to carry out the programs for which it is seeking funding,
in accordance with applicable HUD regulations.
Consistency with plan -- The housing activities to be undertaken with CDBG, HOME, ESG, and HOPWA
funds are consistent with the strategic plan.
Section 3 -- It will comply with section 3 of the Housing and Urban Development Act of 1968, and
implementing regulations at 24 CFR Part 135.
1'
Signat�r're/Authorized Official
Roy D. Buol
Name
Mayor, City of Dubuque
Title
50 West 13th Street
Address
Dubuque, IA 52001
City/State/Zip
563-589-4210
Telephone Number
03/05/2014
Date
CPMP Non -State Grantee Certifications 2 Version 1:3
Jurisdiction
[] This cert ficatldn dogs not apply.
El This certification is ,applicable.
Specific CDBG Certifications
The Entitlement Community certifies that:
Citizen Participation -- It is in full compliance and following a detailed citizen participation plan that
satisfies the requirements of 24 CFR 91.105.
Community Development Plan -- Its consolidated housing and community development plan identifies
community development and housing needs and specifies both short-term and long-term community
development objectives that provide decent housing, expand economic opportunities primarily for persons
of low and moderate income. (See CFR 24 570.2 and CFR 24 part 570)
Following a Plan -- It is following a current consolidated plan (or Comprehensive Housing Affordability
Strategy) that has been approved by HUD.
Use of Funds -- It has complied with the following criteria:
11. Maximum Feasible Priority - With respect to activities expected to be assisted with CDBG funds, it
certifies that it has developed its Action Plan so as to give maximum feasible priority to activities
which benefit low and moderate income families or aid in the prevention or elimination of slums or
blight. The Action Plan may also include activities which the grantee certifies are designed to meet
other community development needs having a particular urgency because existing conditions pose a
serious and immediate threat to the health or welfare of the community, and other financial resources
are not available);
12. Overall Benefit - The aggregate use of CDBG funds including section 108 guaranteed loans during
program year(s) 2013, 2014, 2015, (a period specified by the grantee consisting of one, two, or three
specific consecutive program years), shall principally benefit persons of low and moderate income in a
manner that ensures that at least 70 percent of the amount is expended for activities that benefit
such persons during the designated period;
13. Special Assessments - It will not attempt to recover any capital costs of public improvements assisted
with CDBG funds including Section 108 loan guaranteed funds by assessing any amount against
properties owned and occupied by persons of low and moderate income, including any fee charged or
assessment made as a condition of obtaining access to such public improvements.
However, if CDBG funds are used to pay the proportion of a fee or assessment that relates to the
capital costs of public improvements (assisted in part with CDBG funds) financed from other revenue
sources, an assessment or charge may be made against the property with respect to the public
improvements financed by a source .other than CDBG funds.
The jurisdiction will not attempt to recover any capital costs of public improvements assisted with
CDBG funds, including Section 108, unless CDBG funds are used to pay the proportion of fee or
assessment attributable to the capital costs of public improvements financed from other revenue
sources. In this case, an assessment or charge may be made against the property with respect to the
public improvements financed by a source other than CDBG funds. Also, in the case of properties
owned and occupied by moderate -income (not low-income) families, an assessment or charge may be
made against the property for public improvements financed by a source other than CDBG funds if the
jurisdiction certifies that it lacks CDBG funds to cover the assessment.
Excessive Force -- It has adopted and is enforcing:
14. A policy prohibiting the use of excessive force by law enforcement agencies within its jurisdiction
against any individuals engaged in non-violent civil rights demonstrations; and
15. A policy of enforcing applicable State and local laws against physically barring entrance to or exit from
a facility or location which is the subject of such non-violent civil rights demonstrations within its
jurisdiction;
CPMP Non -State Grantee Certifications 3
Version 1.3
Jurisdiction
Compliance With Anti -discrimination laws -- The grant will be conducted and administered in
conformity with title VI of the Civil Rights Act of 1964 (42 USC 2000d), the+air Housing Act (42 USC
3601-3619), and implementing regulations.
Lead -Based Paint-- Its activities concerning lead-based paint will comply with the requirements of
part 35, subparts A, B, 3, K and R, of title 24;
Compliance with Laws -- It will comply with applicable laws.
Signatur-/Authorized Official
Roy D. Buol
Name
Mayor, City of Dubuque
Title
50 West 13th Street
Address
Dubuque, IA 52001
City/State/Zip
563-589-4210
Telephone Number
03/05/2014
Date
CPMP Non -State Grantee Certifications 4 Version 1.3
Jurisdiction
1 This certification does Inot appl'
10
Th s..certific�tioln is a pplicabte;
APPENDIX TO CERTIFICATIONS
Instructions Concerning Lobbying and Drug -Free Workplace Requirements
Lobbying Certification
This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into
this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for
each such failure.
Drug -Free Workplace Certification
1. By signing and/or submitting this application or grant agreement, the grantee is providing the
certification.
2. The certification is a material representation of fact upon which reliance is placed when the agency
awards the grant. If it is later determined that the grantee knowingly rendered a false certification,
or otherwise violates the requirements of the Drug -Free Workplace Act, HUD, in addition to any other
remedies available to the Federal Government, may take action authorized under the Drug -Free
Workplace Act.
3. Workplaces under grants, for grantees other than individuals, need not be identified on the
certification. If known, they may be identified in the grant application. If the grantee does not identify
the workplaces at the time of application, or upon award, if there is no application, the grantee must
keep the identity of the workplace(s) on file in its office and make the information available for
Federal inspection. Failure to identify all known workplaces constitutes a violation of the grantee's
drug-free workplace requirements.
4. Workplace identifications must include the actual address of buildings (or parts of buildings) or other
sites where work under the grant takes place. Categorical descriptions may be used (e.g., all vehicles
of a mass transit authority or State highway department while in operation, State employees in each
local unemployment office, performers in concert halls or radio stations).
5. If the workplace identified to the agency changes during the performance of the grant, the grantee
shall inform the agency of the change(s), if it previously identified the workplaces in question (see
paragraph three).
6. The grantee may insert in the space provided below the site(s) for the performance of work done in
connection with the specific grant: Place of Performance (Street address, city, county, state, zip code)
Check if there are workplaces on file that are not identified here. The certification with regard to the
drug-free workplace is required by 24 CFR part 21.
Place Name
Street
City
County
State
Zip
City Hall
50 West 13th St
Dubuque
Dubuque
IA
52001
Housing and Community
Development Department
350 West 6th St
Suite 312
Dubuque
Dubuque
IA
52001
Leisure Services Office and City
Parks
220 Bunker Hill
Road and citywide
Dubuque
Dubuque
IA
52001
Public Works Department
925 Kerper
Dubuque
Dubuque
IA
52001
City Hall Annex
1300 Main Street
Dubuque
Dubuque
IA
52001
City of Dubuque
50 West 13th
Street
Dubuque
Dubuque
IA
52001
7. Definitions of terms in the Nonprocurement Suspension and Debarment common rule and Drug -Free
Workplace common rule apply to this certification. Grantees' attention is called, in particular, to the
following definitions from these rules: "Controlled substance" means a controlled substance in
Schedules I through V of the Controlled
Substances Act (21 U.S.C. 812) and as further defined by regulation (21 CFR 1308.11 through
1308.15); "Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of
CPMP Non -State Grantee Certifications 10
Version 1.3
Jurisdiction
sentence, or both, by any judicial body charged with the responsibility to determine violations of the
Federal or State criminal drug statutes; "Criminal drug statute" means a Federal or non -Federal
criminal statute involving the manufacture, distribution, dispensing, use, or possession of any
controlled pubstance; "Employee" means the employee of a grantee directly engaged in the
performance of work under a grant, including:
a. All "direct charge" employees;
b. all "indirect charge" employees unless their impact or involvement is insignificant to the
performance of the grant; and
c. temporary personnel and consultants who are directly engaged in the performance of work under
the grant and who are on the grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g., volunteers, even if used to meet a matching requirement;
consultants or independent contractors not on the grantee's payroll; or employees of
subrecipients or subcontractors in covered workplaces).
Note that by signing these certifications, certain documents must completed, in use, and on file for
verification. These documents include:
1. Analysis of Impediments to Fair Housing
2. Citizen Participation Plan
3. Anti -displacement and Relocation Plan
7w
Signatur Authorized Official
Roy D. Buol
Name
Mayor City of Dubuque Iowa
Title
50 West 13th Street
Address
Dubuque Iowa 52001
City/State/Zip
563-589-4210
Telephone Number
03/05/2014
Date
CPMP Non -State Grantee Certifications 11 Version 1.3
SF .424
The SF 424 is part of the CPMP Annual Action Plan. SF 424 form
fields are included in this document. Grantee information is linked
from the 1CPMP.xls document of the CPMP tool.
SF 424
Complete the fillable fields (blue cells) in the table below. The other items are pre -filled with values from the
Grantee Information Worksheet.
Date Submitted 3/5/2014
Date Received by state
Date Received by HUD
Applicant Identifier
State Identifier
Type'of Submission
Application .:
Pre -application,
Federal Identifier
0 Construction
0 Construction
0 Non Construction
0 Non Construction
Applicant Information
City of Dubuque
IA191464 DUBUQUE
Street Address Line 1 350 West 6th Street
Organizational DUNS 093105302
Street Address Line 2
Suite 312
Organizational Unit City of Dubuque
City Dubuque
ZIP 52001
Iowa
Department Housing & Community
Development
Country U.S.A.
Division
Employer Identification Number (EIN):
42-6004596
County Dubuque
Program Year Start Date 07/01/14
Applicant Type:'
Specify Other Type if necessary:
Local Government: City
Specify Other Type
U.S. Department of
Housing and Urban Development
Program Funding
Catalogue of Federal Domestic Assistance Numbers; Descriptive Title of Applicant Project(s); Areas Affected by
Project(s) (cities, Counties, localities etc.); Estimated Funding
Community Development Block Grant
14.218 Entitlement Grant
CDBG Project Titles CDBG FY 2014 Annual Projects
(July 1, 2014 to June 30, 2015)
$CDBG Grant Amount 974,408
Description of Areas Affected by CDBG Project(s)
City of Dubuque
$Additional HUD Grant(s) Leveraged
Describe
$Additional Federal Funds Leveraged
$Additional. State Funds Leveraged
$Locally Leveraged Funds
$Anticipated Program Income $285,000
Total Funds Leveraged for CDBG-based Project(s)
Home Investment Partnerships Program
$Grantee Funds Leveraged
14.239 HOME
HOME Project Titles
Description of Areas.Affected by HOME Project(s)
$HOME Grant Amount
$Additional HUD Grant(s) Leveraged
Describe
$Additional Federal Funds Leveraged
$Additional' State Funds Leveraged'
$Locally Leveraged Funds
$Grantee Funds Leveraged
SF 424
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$Anticipated Program Income
Other:(Describe)
Total Funds Leveraged for HOME -based Project(s)
Housing Opportunities for People with AIDS
14.241 HOPWA
HOPWA Project Titles
Description' of Areas'Affected by HOPWA Project(s)'
$HOPWA Grant-Arnount
$Additional Federal Funds Leveraged
$Locally Leveraged Funds
$Additional HUD Grant(s), Leveraged Describe
$Anticipated Program Income
$AdditionalState Funds Leveraged
$Grantee Funds Leveraged
Other "(Describe)
Total Funds Leveraged for. HOPWA-based Project(s)
Emergency Shelter Grants Program
14.231 ESG
ESG Project Titles
Description of Areas Affected by ESG Project(s).
$ESG Grant Amount
$Additional HUD Grant(s) Leveraged
$Additional Federal Funds Leveraged.
$Locally Leveraged Funds
$Anticipated Program Income;.;
Describe';,
$Additional State' Funds. Leveraged
$Grantee Funds Leveraged
Other (Describe)
Total Funds Leveraged for ESG-based Project(s)
Congressional Districts of:
Applicant Districts 1
Project Districts
Is application subject to review by state Executive Order
12372 Process?
Is the applicant delinquent on any federal debt? If
"Yes" please include an additional document
explaining the situation.
0 Yes
This application was made available to the
state EO 12372 process for review on DATE;'.
E1No
Program is not covered by E0 12372
0 N/A
Program has not been selected by the state
for review
Person to be contacted regarding this application
First Name Alvin
Middle Initial
Last Name Nash
Title Housing & Community
Development Director
eMail
anash@cityofdubuque.org
Phone 563-589-4239
Fax 563-589-4244
Grantee Website
iwww. cityofdubuque. org
Other Contact
SF 424
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