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CDBG Fiscal Year 2017 Annual Action Plan Copyright 2014 City of Dubuque Consent Items # 9. ITEM TITLE: Community Development Block Grant (CDBG) Fiscal Year 2017 Annual Action Plan SUMMARY: City Manager recommending approval of a resolution adopting the Fiscal Year 2017 Annual Action Plan and authorizes the City Manager to prepare and submit the Plan to the U.S. Department of Housing and Urban Development (HUD). RESOLUTION Adopting the Fiscal Year 2017 (Program Year 2016) Community Development Block Grant(CDBG) Annual Action Plan SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Adopt Resolution(s) ATTACHMENTS: Description Type FY 2017 Annual Action Plan-MVM Memo City Manager Memo Staff Memo Staff Memo Resolution Resolutions FY17 Annual Action Plan for the use of CDBG funds Supporting Documentation Certifications Supporting Documentation THE CITY ODubuque AI-AmericII a Ciry DUBi&E r Masterpiece on the Mississippi 2007-2012-2013 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: FY 2017 Annual Action Plan DATE: April 25, 2016 Housing & Community Development Director Alvin Nash is recommending City Council approval of a resolution adopting the FY 2017 Annual Action Plan for the Community Development Block Grant Program and authorizes the City Manager to prepare and submit the Plan to the U.S. Department of Housing and Urban Development. The Community Development Advisory Commission approved the plan at a public hearing on April 20, 2016. 1 concur with the recommendation and respectfully request Mayor and City Council approval. Mich el C. Van Milligen MCVM:sv Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager Teri Goodmann, Assistant City Manager Alvin Nash, Housing & Community Development Director Erica Haugen, Community Development Specialist THE CITY OF Dubuque AII11-America CiI.ty UB E1 Masterpiece on the Mississippi 2007.2012.2013 To: Michael Van Milligen, City Manager From: Alvin Nash, Housing and Community and Development Subject: FY 2017 Annual Action Plan Date: April 25, 2016 INTRODUCTION The Community Development Advisory Commission is submitting the attached Fiscal Year 2017 Annual Action Plan for submission to HUD. The Commission reviewed and approved the plan at a public hearing on April 20, 2016. This memorandum transmits a resolution to include the FY 2017 Annual Action Plan in the 5 year Consolidated Plan for the use of CDBG funds and submit to HUD. 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 2017 Annual Action Plan provides for use of Community Development Block Grant (CDBG) funds for the anticipated entitlement of $963,306, with anticipated revenues of$373,015 in program income, for a total of $1,336,321. The FY 2017 Annual Action Plan provides for year two of the five year Consolidated Plan. The FY 2016-2020 Consolidated Plan was adopted by City Council in July 2015. The Community Development Advisory Commission held a series of planning meetings and two public hearings to develop the FY 2017 Annual Action Plan. Development of the Plan coincided with the preparation and adoption of the FY 2017 City budget. The Community Development Advisory Commission held a public hearing on January 20, 2016 and recommended the FY 2017 CDBG Annual Action Plan to City Council for consideration inclusion in the FY 2017 City Budget. City Council held a public hearing on the plan, after a 30 day comment period, on February 17, 2016. The Annual Action Plan was included in the FY 2017 City Budget adopted by City Council on March 14, 2016. To allow for additional citizen engagement, the Community Development Advisory Commission held a final public hearing on the proposed plan on April 20, 2016. No public comments were received during the hearing. By a unanimous vote, the Commission recommends the attached Fiscal Year 2017 Annual Action Plan for the use of CDBG be forwarded to City Council for adoption and submission to HUD prior to May 15, 2016. RECOMMENDED ACTION I recommend the City Council approve the attached resolution adopting the FY 2017 Annual Action Plan and authorizing the City Manager to prepare and submit the Plan to HUD. Prepared by Erica Haugen, Community Development Specialist 2 RESOLUTION NO. 165-16 A RESOLUTION ADOPTING THE FISCAL YEAR 2017 (PROGRAM YEAR 2016) COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) ANNUAL ACTION PLAN. Whereas, the City of Dubuque has, through a series of public meetings and hearings, proposed a Fiscal Year 2017 (Program Year 2016) Community Development Block Grant Annual Action Plan addressing both housing and non -housing needs in the community; and Whereas, copies of the draft Fiscal Year 2017 (Program Year 2016) 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 17, 2016 following a 30 day public comment period; and Whereas, City Council has included the Fiscal Year 2017 Annual Action Plan in the Fiscal Year 2017 City Budget on March 14, 2016; NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE, IOWA: Section 1. That the Community Development Block Grant Fiscal Year 2017 (Program Year 2016) Annual Action Plan, attached hereto as Exhibit A and by this reference made a part hereof, is hereby adopted. Section 2. That the Community Development Block Grant Fiscal' Year 2017 (Program Year 2016) Annual Action Plan, shall be included in the Five Year Consolidated Plan for the use of Community Development Block Grant Funds for Fiscal Year 2016-2020. Section 3. 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 2017 (Program Year 2016) 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 2nd day of May 2016. Attest: Kevin Firnstahl, City Clerk F:\USERS\CDBG\CDBG\AnnualPlan\FY 17\Council\FY2017 PIan.Resolution.doc Flog D. Buol, Mayor THE CITY OF Dubuque DUB E *Amedca MY 11111.' Masterpiece on the Mississippi 2007.2012.2012 PROPOSED FY 2017 ANNUAL PLAN FOR USE OF PROGRAM YEAR 2016 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) FUNDS This document is subject to revision. Exhibit A PREPARED BY THE HOUSING AND COMMUNITY DEVELOPMENT DEPARTMENT 1 CITY OF DUBUQUE, IOWA FY 2017 ANNUAL ACTION PLAN FOR THE USE OF PROGRAM YEAR 2016 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 2017 Annual Action Plan with the use of CDBG funds: HOUSING DEVELOPMENT PROGRAMS First Time Home Buyer Program $50,000 This program provides for loans to assist low and moderate income families to purchase their first hom es. These funds are used to cover the "entry costs" of homeownership—down payments and closing costs. National Objective: Low and Moderate Income Housing Location: Citywide Proposed Accomplishments: 8 Households Priority: High Objective/Outcome: Decent Housing/Affordability(DH2) Homeowner Rehabilitation $59,234 1)Residential Rehabilitation Loan Program (7 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 to improve conditions of property for income-eligible homeowners National Objective: Low and Moderate Income Housing Location: Citywide Proposed Accomplishments: See above Priority: High Objective/Outcome: Decent Housing/Affordability(DH2) Housing Code Enforcement $104,327 Intensive inspection program of rental units within low and moderate-income neighborhoods to ensure safe and sanitary housing. National Objective: Low and Moderate Income Benefit Location: Low/Moderate Income Areas Proposed Accomplishments: 400 Housing units Priority: High Objective/Outcome: Decent Housing/Affordability(DH2) Lead Paint Hazard Reduction $60,000 Provides activities in support of efforts to combat lead paint hazards in housing, including assessment and lead paint reduction or abatement,with grants of up to$14,200 to low/moderate income residents. Housing Rehabilitation Services and Staff $391,294 2 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(DHI) Purchase/Rehab/Resale $109,295 This program provides funding to address the redevelopment of derelict properties. Properties acquired are resold to low/mod homebuyers or to property owners who will provide affordable rents. Rental Unit Repair $50,000 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. 2) Rental Unit Rehabilitation Provides loans for property owners to correct code deficiencies and make substantial repairs to sub-standard rental units. 3) Accessibility Rehab This program provides forgivable loans to disabled tenants to make rental units accessible to the physically disabled. National Objective: Low and Moderate Income Housing Location: Citywide Proposed Accomplishments: 10 Housing units Priority: High Objective/Outcome: Decent Housing/Affordability(DH2) Total Housing Programs $824,150 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: Citywide Priority: High Objective/Outcome: Economic Opportunity/Sustainability(E03) Total Economic Development Programs $0 NEIGHBORHOOD and COMMUNITY DEVELOPMENT PROGRAMS Accessible Curb Ramps $12,600 Replace curbs at intersections throughout the City with accessible ramps to make public sidewalks accessible to persons with disabilities. National Objective: Low and Moderate Income Benefit Location: Citywide Proposed Accomplishments: 4 Accessible ramps Priority: High Objective/Outcome: Suitable Living Environment/Sustainability(SL3) Neighborhood Infrastructure Improvements $13,400 National Objective: Low and Moderate Income Benefit Priority: High Objective/Outcome: 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 Lighting An on-going program to provide additional lighting in residential low/moderate income neighborhoods. Location: Low/Moderate Income Areas Proposed Accomplishments: 0 Light 4 Neighborhood Recreation Programs $135,045 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(SLI) 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) Four Mounds HEART Program $10,000 Youth education program where youth experience hands-on learning while promoting neighborhood revitalization and earning high school diploma. National Objective: Low and Moderate Income Benefit Location: Citywide Proposed Accomplishments: 20 People Priority: High Objective/Outcome: Suitable Living Environment/Accessibility(SL1) Senior Center $18,200 Education and recreation services provided to elderly citizens at the Hills&Dales Lifetime Center. National Objective: Low and Moderate Income Benefit Location: Citywide Proposed Accomplishments: 600 People Priority: High Objective/Outcome: Suitable Living Environment/Accessibility(SL1) Washington Tool Library $15,790 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: City Wide Proposed Accomplishments: 450 People Priority: High Objective/Outcome: Suitable Living Environment/Accessibility(SL1) 5 Purchase of Services Grant $20,000 Local non-profits may apply for funding that meets the City Council Goals and Priorities for FY 2016. National Objective: Low and Moderate Income Benefit Location: Low/Moderate Income Areas Proposed Accomplishments: To be determined Priority: High Objective/Outcome: Suitable Living Environment/Sustainability(SL3) 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: Low/Moderate Income Areas Proposed Accomplishments: 45 Housing Units Objective/Outcome: Decent Housing/Sustainability (DH3) Total Neighborhood and Community Development Programs $248,305 PLANNING AND ADMINISTRATION Neighborhood Development Services&Staff $83,967 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) Housing Planning/Administration Services and Staff $72,170 On-going staff support for general housing planning activities, including Consolidated Plan, and department administration. Priority: High Objective/Outcome: Decent Housing/Accessibility(DHI) CDBG Administration Services and Staff $107,729 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 $263,866 Contingency $0.0 Grand Total: CDBG Funding Proposed for FY 2017 $1,336,321 6 COMMUNITY DEVELOPMENT BLOCK GRANT FY 2017 CDBG ANNUAL ACTION PLAN FOR THE PERIOD ENDING June 30, 2017 PROJECTED SOURCES FY2017 Entitlement 963,306 Program Income 373,015 Total Sources 1,336,321 Housing Development Programs: FY 2017 First Time Homebuyer Program 50,000 Homeowner Rehab Program 59,234 Housing Code Enforcement 104,327 Housing Rehabilitation Services and Staff 391,294 Lead Hazard Control Program 60,000 Purchase/Rehab/Resale 109,295 Rental Unit Rehabilitation 50,000 Housing Totals 824,150 Economic Development Programs: E.D. Financial Assistance Program Microenterprise Assistance Program Economic Development Totals - Neighborhood and Community Development Programs Accessible Curb Ramps 12,600 Neighborhood Infrastructure Improvements 13,400 Neighborhood Recreation Program 135,045 Neighborhood Support Grants 14,560 Four Mounds HEART 10,000 Senior Center 18,200 Washington Tool Library 15,790 Zoning Inspection/Enforcement 8,710 Purchase of Services 20,000 Neighborhood & Comm. Develop. Totals 248,305 Administration Neighborhood Development Services and Staff 83,967 Housing Administration 72,170 CDBG Admin. Services and Staff 107,729 Administration Totals 263,866 Contingency TOTAL CDBG 1,336,321 7 COMMUNITY DEVELOPMENT BLOCK GRANT - FY 2015 ANNUAL ACTION PLAN: CAPS 20 % ADMINISTRATIVE CAP 15 % PUBLIC SERVICE CAP Estimated FY 16 CDBG Allocation 963,306 963,306 FY 16 CDBG Allocation Current Year Program Income 373.015 493,629 Previous Year Program Income Total Available 1,336,321 1,456,935 Total Available Cap% 20% 15% Public Service Cap% Maximum allowed 267,264 218,540 Maximum allowed ADMIN PUBSERVICE UNCAPPED FY16 AP AMD 1 FY16 AP AMD 1 FY16 AP AMD 1 First Ti m e Hom ebuyer Frog ram 50,000 Homeowner Rehab Progarm 59,234 Housing Administraton 72,170 Housing Code Enforcement 104,327 Housing Rehabilitation Services and Staff 391,294 Lead Hazard Control Program 60,000 Purchase/Rehab/Resale 109,295 Rental Unit Rehabilitation 50,000 Microenterprise Assistance Program 0 Harvest Kitchen and Bar 0 Accessible Curb Ramps 12,600 Information &Referral- Project Concern 0 Multicultural Center 0 Neighborhood Development Services and Staff 83,967 Neighborhood Infrastructure Improvements 13,400 Neighborhood Recreation Program 135,045 Neighborhood Support Grants 14,560 Purchase of SeMces 20,000 Four Mounds HEART 10,000 Opening Doors Senior Center 18,200 Washington Tool Library 15,790 Zoning Inspection/Enforcement 8,710 CDBG Admin.Services and Staff 107,729 Contingency 0 TOTALS 263,8661 0 1 213,5951 0 1 858,860 10 OVER (3,398) (267,264) (4,945) (218,540) 8 Kevin Firnstahl From: Sent: To: Subject: Erica Haugen Tuesday, October 17, 2017 3:35 PM Kevin Firnstahl RE: CDBG Signature pages Yes, one set is to replace the August 2017 (for the fiscal year 2018 plan) and the other is for resolutioii,165-16 a opting the Fiscal Year 2017 plan. -Erica From: Kevin Firnstahl Sent: Tuesday, October 17, 2017 3:32 PM To: Erica Haugen <Ehaugen@cityofdubuque.org> Subject: CDBG Signature pages Erica, Can you tell me if the pages you asked the Mayor to sign last night belong to this item from August 7, 2017 Council agenda? It appears we had a set of signature pages. Are these to replace those? Please advise. Thank you. Kevin Firnstahl, City Clerk City of Dubuque 50 W. 13th Street Dubuque, IA 52001 563-589-4100 kfirnsta@cityofdubuque.org 1 OMB Number:4040-0004 Expiration Date:8/31/2016 Application for Federal Assistance SF-424 *1.Type of Submission: *2.Type of Application: If Revision,select appropriate letter(s): ❑ Preapplication R New ®Application ®Continuation *Other(Specify): R Changed/Corrected Application ❑Revision 3.Date Received: 4.Applicant Identifier: 5a.Federal Entity Identifier: 5b.Federal Award Identifier: IA191464 DUBUQUE State Use Only: 6.Date Received by State: 7.State Application Identifier: 8.APPLICANT INFORMATION: *a.Legal Name: CITY OF DUBUQUE *b.Employer/Taxpayer Identification Number(EIN/TIN): *c.Organizational DUNS: 42-6004596 0931053020000 d.Address: *Streetl: HOUSING & COMMUNITY DEVELOPMENT Street2: *City: DUBUQUE County/Parish: *State: IA: Iowa Province: *Country: USA: UNITED STATES *Zip/Postal Code: 52001-4805 e.Organizational Unit: Department Name: Division Name: f.Name and contact information of person to be contacted on matters involving this application: Prefix: MR *First Name: ALVIN Middle Name: *Last Name: NASH Suffix: Title: HOUSING & COMMUNITY DEVELOPMENT DIRECTOR Organizational Affiliation: *Telephone Number: 563-589-4239 Fax Number: Email: ANASH@CITYOFDUBUQUE.ORG Application for Federal Assistance SF-424 *9.Type of Applicant 1:Select Applicant Type: C: City or Township Government Type of Applicant 2:Select Applicant Type: Type of Applicant 3:Select Applicant Type: Other(specify): *10.Name of Federal Agency: U. S. DEPARTMENT OF HOUSING & URBAN DEVELOPMENT 11.Catalog of Federal Domestic Assistance Number: CFDA Title: 7-- *12.Funding Opportunity Number: Public Law 114-113 *Title: Fiscal Year 2016 Office of Community Planning and Development's CPD formula programs: Community Development Block Grant (CDBG) 13.Competition Identification Number: Title: 14.Areas Affected by Project(Cities,Counties,States,etc.): Add Attachment *15.Descriptive Title of Applicant's Project: Jurisdictions Fiscal Year 2017 Plan Year 2016 Annual Action Plan for the use of CDBG funds. Includes funding for housing development, economic development, neighborhood, and administrative costs Attach supporting documents as specified in agency instructions. Add Attachments 1 Application for Federal Assistance SF-424 16. Congressional Districts Of: * a. Applicant IA-1 * b. Program/Project IA-1 Attach an additional list of Program/Project Congressional Districts if needed. Add Attachment Del t `: tac 't'. %:P ,arnerr 17. Proposed Project: * a. Start Date: 07/01/2016 * b. End Date: 06/30/2017 18. Estimated Funding ($): * a. Federal * b. Applicant * c. State * d. Local * e. Other * f. Program Income * g. TOTAL 963, 306.00 0.00 0.00 0.00 0.00 373, 015.00 1, 336, 321.00 * 19. Is Application a. This application b. Program is subject Subject to Review By State Under Executive Order 12372 Process? was made available to the State under the Executive Order 12372 Process for review on to E.O. 12372 but has not been selected by the State for review. covered by E.O. 12372. • c. Program is not * 20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes," provide explanation in attachment.) Yes No If "Yes", provide explanation and attach re- ac me,e 21. *By signing this herein are true, complete comply with any resulting subject me to criminal, application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements and accurate to the best of my knowledge. I also provide the required assurances** and agree to terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may civil, or administrative penalties. (U.S. Code, Title 218, Section 1001) and assurances, or an internet site where you may obtain this list, is contained in the announcement or agency El. ** I AGREE ** The list of certifications specific instructions. Authorized Representative: Prefix: MAYOR * First Name: ROY Middle Name: D. * Last Name: BUOL Suffix: * Title: MAYOR * Telephone Number: 563-564-5455 Fax Number: * Email: RD'$UOL@CITYOFDUBUQUE . ORG *Signa u / f Authorized R presentative: 6 is y s * Date Signed: 05/02/2016 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. Anti -Lobbying -- To the best of the jurisdiction's knowledge and belief: No Federal appropriated funds have been paid or will be paid, by or on behalf of it, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement; 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, it will complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions; and 3. It will require that the language of 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 31-- It will comply with section 3 of the Housing and Urban Development Act of 1968, and implem'itinregulations X124 CFR Part 135. 5 I ! Signatu /Authorized Official Date 05/02/2016 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: 1. 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); 2. Overall Benefit.The aggregate use of CDBG funds including section 108 guaranteed loans during program year(s)2015,2016, 2017 (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; 3. 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: 1. 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 2. 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; 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 Fair Housing Act (42 USC 3601-3619), and implementing regulations. Lead -Based Paint -- Its activities concerning lead-based paint will comply with the requirements of 24 CFR Part 35, subparts A, B, J, K and R; Compliance with Laws -- It will comply with applicable laws. 0. $-J 05/02/2016 SignaturAuthorized Official Date Mayor Roy D. Buol Title APPENDIX TO CERTIFICATIONS INSTRUCTIONS CONCERNING LOBBYING: A. 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. REF '3 16JUL26 AN 10: I9. City Clerk's Office [)ub'u le , IA Honorable Roy Buol Mayor of Dubuque City Hall 50 West 13th Street Dubuque, IA 52001-4864 Dear Mayor Buol: le /Av-.? 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, 2016 This is to inform you that a review of your fiscal year 2016 Annual Action Plan has been completed. The grant assistance, which you are receiving, includes Community Development Block Grant (CDBG) funds in the amount of S963,306. 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. If 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 (11 -IATA). 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 Form (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.O.) 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 (FHEO) for review. FHEO concluded that the Action Plan met both their review requirements and the terms of the Title VI Voluntary Compliance Agreement (VCA). 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 ..,ov. im everin Di F- ctor Community Planning and Development Division Enclosures cc: Mr. Alvin Nash Mr. Erica Haugen Funding Approval/Agreement Title I of the Housing and Community Development Act (Public Law 930383) HI -00515R of 20515R 1. Name of Grantee (as shown in item 5 of Standard Form 424) City of Dubuque 2. Grantee's Complete Address (as shown in item 5 of Standard Form 424) City Hall 50 W 13th St Dubuque, IA 52001-4805 U.S. Department of -Housing and Urban Development Office of Community Planning and Development Community Development Block Grant Program OMB Approval No. 2506-0193 (exp 5/31/2018) 3a. Grantee's 9 -digit Tax ID Number 426004596 3b. Grantee's 9 -digit DUNS Number 093105302 4. Date use of funds may begin (mm/dd/yyyy) 07/01/2016 5a. Project/Grant No. 1 B -16 -MC -19-0004 5b. Project/Grant No. 2 6a. Amount Approved $963,306.00 6b. Amount Approved Grant Agreement: This Grant Agreement between the Department of Housing and Urban Development (HUD) and the above named Grantee is made pursuant to the authority of Title I of the Housing and Community Development Act of 1974, as amended, (42 USC 5301 et seq.). The Grantee's submissions for Title I assistance, the HUD regulations at 24 CFR Part 570 (as now in effect and as may be amended from time to time), and this Funding Approval, including any special conditions, constitute part of the Agreement. Subject to the provisions of this Grant Agreement, HUD will make the funding assistance specified here available to the Grantee upon execution of the Agreement by the parties. The funding assistance specified in the Funding Approval may be used to pay costs incurred after the date specified in item 4 above provided the activities to which such costs are related are carried out in compliance with all applicable requirements. Pre -agreement costs may not be paid with funding assistance specified here unless they are authorized in HUD regulations or approved by waiver and listed in the special conditions to the Funding Approval. The Grantee agrees to assume all of the responsibilities for environmental review, decision making, and actions, as specified and required in regulations issued by the Secretary pursuant to Section 104(g) n Title I and published in 24 CFR Part 58. The Grantee further acknowledges its responsibility for adherence to the Agreement by sub -recipient entities to which it funding assistance hereunder available. U.S. Department of Housing and U n evelopment (By Name) Francis T. Severin Grantee Name City of Dubuque Title% HUD . P. unit.y.glitung . d Development Director Title Honorabl Mayor Roy D. Buol Sign.. / - ...,,i -Se.--- . .Got--"" Date (mm/dd/yyyy) 07/22/2016 Signature Date (mm//ddd/ yy) 7. Cate.,ory o Title I Assis'Fnce for this Funding Action (ch only one) I a. Entitlement, Sec 106(b) 8. Special Conditions (check one) • None 9a. Day. -IUD Received Submission (mm dd/yyyy) 05/17/2016 10. check one Orig. Funding Approval Amendment Amendment Number ►1 a. 9b. Date Grantee Notified (mm/dd/yyyy) 07/22/2016 ❑ b. State -Administered, Sec 106(d)(1) II c. HUD -Administered Small Cities, Sec 106(d)(2)(B) 4 Attached • b. 9c. Date of Start of Program Year (mm/dd/yyyy) 07/01/2016 d. Indian CDBG Programs, Sec 106(a))1) ❑ e. Surplus Urban Renewal Funds, Sec 112(b) ❑ f. Special Purpose Grants, Sec 107 ❑ g. Loan Guarantee, Sec 108 11. Amount of Community Development Block Grant FY (2016) FY 0 FY ( ) a. Funds Reserved for this Grantee $963,306.00 b. Funds now being Approved $963,306.00 c. Reservation to be Cancelled (11a minus 11b) 12a. Amount of Loan Guarantee Commitment now being Approved - N/A - 12b. Name and complete Address of Public Agency Loan Guarantee Acceptance Provisions for Designated Agencies: The public agency hereby accepts the Grant Agreement executed by the Department of Housing and Urban Development on the above date with respect to the above grant number(s) as Grantee designated to receive loan guarantee assistance, and agrees to comply with the terms and conditions of the Agreement, applicable regulations, and other requirements of HUD now or hereafter in effect, pertaining to the assistance provided it. 12c. Name of Authorized Official for Designated Public Agency The Signature HUD Accounting use Only Region 7, Field Office 26, Appropriation 866/80162, PAS Code EC1, Source Year 2016 (S) Effective Date Batch TAC Program Y A Reg Area Document No. Project Number Category Amount (mm/dd/yyyy) 5 3 1 7 6 Y Y Project Number Project Number Amount Amount F Date Entered PAS (mm/dd/yyyy) Date Entered LOCCS (mm/dd/yyyy) Batch Number " Transaction Code Entered By Verified By 24 CFR 570 form HUD -7082 (4/93) 8. Special Conditions. (a) The period of performance for the funding assistance specified in the Funding Approval ("Funding Assistance") shall begin on the date specified in item 4 and shall end on September 1, 2023. The Grantee shall not incur any obligations to be paid with such assistance after September 1, 2023. (b) If Funding Assistance will be used for payment of indirect costs pursuant to 2 CFR 200, Subpart E - Cost Principles, attach a schedule in the format set forth below to the executed Grant Agreement that is returned to HUD. The schedule shall identify each department/agency that will carry out activities with the Funding Assistance, the indirect cost rate applicable to each department/agency (including if the de minimis rate is charged per 2 CFR §200.414), and the direct cost base to which the rate will be applied. Do not include indirect cost rates for subrecipients. Administering Direct Department/Agency Indirect cost rate Cost Base* % % *Specify the type of cost base utilized - e.g., Modified Total Direct Costs (MTDC). Do not include amounts. (c) In addition to the conditions contained on form HUD 7082, the grantee shall comply with requirements established by the Office of Management and Budget (OMB) concerning the Dun and Bradstreet Data Universal Numbering System (DUNS), the System for Award Management (SAM.gov), and the Federal Funding Accountability and Transparency Act as provided in 2 CFR part 25, Universal Identifier and System for Award Management, and 2 CFR part 170, Reporting Subaward and Executive Compensation Information. (d) The grantee shall ensure that no CDBG funds are used to support any Federal, State, or local projects that seek to use the power of eminent domain, unless eminent domain is employed only for a public use. For the purposes of this requirement, public use shall not be construed to include economic development that primarily benefits private entities. Any use of funds for mass transit, railroad, airport, seaport or highway projects as well as utility projects which benefit or serve the general public (including energy-related, communication - related, water- related and wastewater -related infrastructure), other structures designated for use by the general public or which have other common -carrier or public -utility functions that serve the general public and are subject to regulation and oversight by the government, and projects for the removal of an immediate threat to public health and safety or brownsfield as defined in the Small Business Liability Relief and Brownsfield Revitalization Act (Public Law 107-118) shall be considered a public use for purposes of eminent domain. The Grantee or unit of general local government that that indirectly receives CDBG funds may not sell, trade, or otherwise transfer all or any such portion of such funds to another such entity in exchange for any other funds, credits or non - Federal considerations, but must use such funds for activities eligible under title I of the Act. E.O. 12372 -Special Contract Condition- Notwithstanding any other provision of this agreement, no funds provided under this agreement may be obligated or expended for the planning or construction of water or sewer facilities until receipt of written notification from HUD of the release of funds on completion of the review procedures required under Executive Order (E.O.) 12372, Intergovernmental Review of Federal Programs, and HUD's implementing regulations at 24 CFR Part 52. The recipient shall also complete the review procedures required under E.O. 12372 and 24 CFR Part 52 and receive written notification from HUD. of the release of funds before obligating or expending any funds provided under this agreement for any new or revised activity for the planning or construction of water or sewer facilities not previously reviewed under E.O. 12372 and implementing regulations.