Contracted Service Agreement with the Four Mounds HEART Program FY20 Copyrighted
October 21 , 2019
City of Dubuque Consent Items # 20.
ITEM TITLE: Contracted ServiceAgreementwiththe FourMounds
HEART Program for Fiscal Year 2020
SUMMARY: City Manager recommending approval of the Community
Development Block Grant(CDBG) GrantAgreement with
Four Mounds HEART Program for Fiscal Year 2020.
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Approve
ATTACHMENTS:
Description Type
Four Mounds HEART Program Contracted Service City Manager Memo
Agreement-MVM Memo
Staff Memo Staff Memo
FY20 Four Mounds Contract Supporting Documentation
Dubuque
THE CITY OF �
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TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Contracted Service Agreement — FY20 Four Mounds HEART Program
DATE: October 16, 2019
The Adopted Fiscal Year 2020 City Community Development Block Grant (CDBG)
Annual Action Plan provides for the payment of $10,000 to assist the HEART program
to provide youth activities focused on neighborhood revitalization.
Housing and Community Development Director Alexis Steger recommends City Council
approval of the CDBG Grant Agreement with Four Mounds.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
�
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Teri Goodmann, Assistant City Manager
Cori Burbach, Assistant City Manager
Alexis M. Steger, Housing & Community Development Director
Dubuque
THE CTTY OF �
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2007�2012�2013
Masterpiece on the Mississippi zoi�*zoi9
TO: Michael C. Van Milligen, City Manager
FROM: Alexis M. Steger, Housing & Community Development Director
SUBJECT: Contracted Service Agreement— FY20 Four Mounds HEART Program
DATE: August 29, 2019
The Adopted Fiscal Year 2020 City Community Development Block Grant (CDBG)
Annual Action Plan provides for the payment of $10,000 to assist the HEART program.
These funds are requested to provide youth activities focused on neighborhood
revitalization. The agreement includes reference to the City Councils goals and
priorities.
Grant agreements in FY20 support the City's efforts to be a viable, livable, and
equitable community and to advance equity and inclusion.
RECOMMENDATION
It is my recommendation that the City Council approves the attached CDBG Grant
Agreement with Four Mounds and authorizes the Mayor to execute the agreement on
behalf of the City.
Prepared by: Christopher J. Lester, Community Development Specialist
Exhibit A
CITY OF DUBUQUE, IOWA
AND
FOUR MOUNDS HEART PROGRAM
FY 2020 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) Agreement
THIS AGREEMENT, executed on the 29th day of August, 2019 is entered into by and between the City of
Dubuque, Iowa, a municipal corporation organized and existing under the laws of the State of Iowa (Recipient)
and Four Mounds, with its principal place of business in Dubuque, Iowa (Subrecipient).
Whereas, Recipient is a participating city in the Community Development Block Grant (CDBG) Program
of the United States Department of Housing and Urban Development; and
Whereas, Recipient wishes to engage Subrecipient to assist Recipient in providing services to low -and
moderate- income persons.
NOW THEREFORE, in consideration of the premises and respective covenants, agreements and
representations hereinafter set forth, the parties agree as follows:
I. SCOPE OF SERVICES:
a. Subrecipient shall:
i. Provide the services to eligible residents of the City of Dubuque in a manner satisfactory
to Recipient and consistent with any standards required as a condition of providing these
funds. Such program shall include the following activities eligible under the Community
Development Block Grant Program: Operating costs for the Four Mounds HEART program
to provide educational, recreational and social programs focused on neighborhood
revitalization for youth.
1. In the event of a conflict between Subrecipient's proposals and the provisions
hereto attached, that provision which in the judgment of Recipient provides the
greatest benefit to Recipient shall prevail. Failure of Subrecipient to provide any
of the services proposed shall be deemed a material breach of this Agreement.
ii. Support the City's efforts to be a viable, livable, and equitable community, and to advance
equity and inclusion. The City will provide opportunities to demonstrate this support by
inviting the Executive Director of the Agency and any employees working on services
covered by this agreement to participate in the following professional development
opportunities and supporting activities:
Exhibit A
1. The opportunity to be active and engaged participants in Inclusive Dubuque peer
learning opportunities and strategic efforts, Exhibit A;
2. The opportunity to attend intercultural and equity workshops offered by the City,
including workshops that focus on developing an intercultural team with a strategic
plan for advancing equity and inclusion within the Agency and through the Agency's
work;
3. Assistance in creating semi-annual status reports that demonstrate the ways in
which the Agency's efforts are advancing equity and inclusion; and
4. Access to the City's equity toolkit.
iii. Comply with City Council goals and priorities are attached hereto as Exhibit B.
City Responsibilities
City designates the City Manager, or the City Manager's designee, to act as its representative
with respect to the work to be performed under this Agreement, and such person shall have
authority to transmit instructions, receive information, interpret and define City's policies and
provide decisions in a timely manner pertinent to the work covered by this Agreement
until Agency has been advised in writing by City that such authority has been revoked.
III. National Objective
Subrecipient certifies and maintains documentation that the activities carried out with funds
provided under this Agreement will meet the CDBG
program's National Objectives as stated:
570.208(a)(2) Activities benefiting low and moderate -income persons; Benefit to a
clientele (elderly persons) who are generally presumed to be principally low -moderate
income persons; and requires reporting information on ethnic origin, elderly status, and
female head of household status for participants served.
IV. Project Budget
The total compensation to be paid to Subrecipient by Recipient for the services shall in no event
exceed the sum of $10,000 for the program as described in Exhibit C.
Any indirect costs charged must be consistent with the conditions of Section II (C) (3) of the
attached Exhibit D, Standard Requirements. In addition, Recipient may require a more detailed
budget breakdown, and Subrecipient shall provide such supplementary budget information in a
timely fashion in the form and content prescribed by Recipient. The Recipient and Subrecipient
must approve any amendments to this Agreement in writing.
V. Dates of Commencement and Completion
The services to be provided under this Agreement shall be commenced on July 1, 2019 and shall
be completed not later than June 30, 2020. Recipient's right to enforce the terms of this
Agreement shall be extended to cover any additional time during which Subrecipient remains in
control of CDBG funds or other assets including program income.
Exhibit A
VI. Agreement Documents and Provisions
Subrecipient shall perform or arrange for the provision of services under this Agreement in the
manner and time provided herein and in accordance with the Community Development Block
Grant Program, including the Standard Requirements in Exhibit D and Income Guidelines in
Exhibit E herein attached and a part of this agreement.
VII. Payment
a. It is expressly agreed and understood that the total amount to be paid by Recipient to
Subrecipient under this Agreement shall not exceed the amount stated in Section III of
this Agreement. Such amount shall constitute complete compensation for all services to
be rendered, including expenses for the operation of the physical structure and the cost
in providing staff to deliver homeless services. Such amount shall be paid upon written
request on the Request for Payment form, with proof satisfactory to the recipient of
expenses. Drawdowns for payment of eligible expenses are reimbursement only.
b. Payment shall be supported by documentation provided by Subrecipient of costs incurred
for services provided pursuant to this Agreement.
c. Payments are be contingent upon certification of Subrecipient's financial management
system in accordance with the standards specified in 2 CFR 200, the provisions of which
are available in the office of Recipient.
VIII. Insurance.
At the time of execution of this Agreement by Subrecipient, Subrecipient shall provide to
Recipient copies of Subrecipient's insurance certificates showing general liability, automobile
liability, and workers compensation insurance coverage to the satisfaction of Recipient for the
term of this Agreement.
IX. Reporting and Monitoring.
Subrecipient shall render to Recipient a quarterly written report detailing its activities and
number of persons provided services for. Quarterly reports shall be submitted no later than the
15th of the month in October, January, April and July.
Subrecipient shall submit a measurable performance outcome for the funded activity when
submitting the quarterly report, as follows:
The program shall provide youth services that support neighborhood revitalization.
Subrecipient shall be subject to at least one site visit by personnel of Recipient, or a designee of
Recipient or duly authorized federal officials, for the purpose of monitoring Subrecipient's
delivery of services and compliance with terms of the agreement and federal standards that
pertain to federally funded grant activities. Income verification of the participants as provided on
the Participant Report, if applicable, shall be provided for review at the time of monitoring.
Exhibit A
Review may include accounting books and records for financial management and documentation
of program costs. The reviewers shall have access to and the right to examine, audit, excerpt and
/or transcribe any of Subrecipient's records pertaining to all matters covered by this Agreement.
Subrecipient shall be subject to subsequent site visits to review correction of any deficiencies in
compliance.
Recipient shall monitor the performance of Subrecipient against goals and performance
standards required herein. Substandard performance as determined by Recipient shall
constitute noncompliance with this agreement. If action to correct such substandard
performance is not taken by Subrecipient within a reasonable period of time after being notified
by Recipient, contract suspension or termination procedures shall be initiated.
X. Termination of Agreement
This Agreement may be terminated by either party by giving the other party a written, ninety (90)
day notice of such termination or upon such other terms as may be mutually agreeable.
If, through any cause, Agency shall fail to fulfill in a timely and proper manner its obligations under
this Agreement or if Agency shall violate any of the covenants, agreements, or stipulations of this
Agreement, City shall have the right to terminate this Agreement by giving written notice to Agency
of such termination not Tess than five (5) days before the effective date of such termination.
Exhibit A
XI. Notices
Communication and details concerning this Agreement shall be directed to the following
agreement representatives:
Recipient
Christopher Lester
Community Development Specialist
Housing and Community Development
350 West 6th Street Suite 312
Dubuque, Iowa 52001
Subrecipient
Four Mounds Foundation
HEART Program
4900 Peru Road
Dubuque, Iowa 52001
XII. Assignability
Agency shall not assign this Agreement or any interest in this Agreement without prior written
approval of City.
IN WITNESS WHEREOF, the parties have executed this contract with the referenced attachment Exhibit A, B, C,
D, and E as of the date first written above.
Witness:
Kein Firnstahl, City Clerk
City of Dubuque, Iowa
Roy D.
ol, Mayor
Four Mounds Foundation
rtney, Executive Direct
E�ibit A
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A local network of community leaders from faith, labor, education and government
organizations dedicated to advancing justice and social equity in our community.
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What is Inclusive Dubuque?
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Inclusive Dubuque is a peer-learning network of partners �
committed to creating an informed, equitable and inclusive
community where all people are respected, valued and ' ' �
engaged. The network is comprised of more than 50 ' ' ' '
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organizations across sectors including faith, government,
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nonprofit, business, education and more. To see a complete
listing of organizations, visit www.inclusivedbq.org. ' " ' " '
.... . - .
The Inclusive Dubuque network works collaboratively to eliminate bias in our community. --• •
While this goal would be difficult for a single organization or individual to achieve, each
network member can contribute to an effective outcome by: • , •
••. • • -• .
• providing data and information to inform decisions _ � _
• supporting equity education opportunities
• creating and sharing equity tools
These goals are accomplished by supporting partner-led sector�roups and peer-learnin�opportunities.
Sector Groups
Community and network members lead these groups to address bias within the seven focus areas of the equity profile.Sector groups
are supported by a data team and guided by the expertise and lived experience of their members; data to learn and track their
progress;and the use of a racial/social equity lens to help guide decision-making.
Peer-Learning
Inclusive Dubuque offers peer-learning opportunities— including education,training and resources—to network partners to improve
personal and organizational understanding of all types of bias and promote racial and social equity.
Early Warning Community Mobilization CVB integretes
Business leaders and Planning@ culturel competency My Brother's Keeper
identify opportunity Chamber Diversity Summit into training modules initiative forms
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� Gathering of Implementation Cityjoins Government Race and Equity
Partners Inclusive Dubuque Alliance on Race&Equity Treining through
• Launched (GARE) GARE
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E�ibit A
I'm a Dubuquer Campaign
Winner of a 2017-18 Dubuque Silver ADDY Award and a 2018
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Dubuque 365 Community Impact Award, the "I'm a Dubuquer"
campaign was part of a local partnership between the Network and �
the Telegraph Herald to redefine a term deeply embedded in the ' ' ' ''
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Dubuque community from something used to draw a line between -•. . - .
insiders and outsiders into one that welcomes all who call Dubuque � ' �
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home. �
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Learn more about the campaign at www.imadubuquer.com. - • - • •
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Best Practices
Last year, the Network launched "Best Practices in Diversity, Equity
and Inclusion," a nine-month, peer-learning work-shop series.
Organized by the network's Peer-Learning Council (PLC), the series
gives participants the opportunity to learn about and engage in best
practices for diversity, equity and inclusion. Sessions took place on a
monthly basis and cover such topics as leading organizations through
change, meeting organizational goals, communication, and
recruitment strategies. The series will wrap up in June with
presentations by participants demonstrating how they will apply the
skills they have learned to support their organizations' equity and
inclusion goals.
Sectorgroupsleam
Community Equity luly:NICC expands minority outreach Results-Based Restorative Strategies lune:I'm a Dubuquer
Profilebegins Aug:GDDCImplementsEntrepreneur5trategy Acmuntability peer-leamingsession Oct:BestPracticesbegins
Networkworkshop Sept:ChamberlaunchesMinorityBusinessCouncil DevelopRacial BestPracticeswithauthor Oct:
CommunityEquityProfilemmplete EquityToolkit (mntinued)
MadeleineTaylor Nov:Sector groupsform around Equity Profile priorities
E�ibit A
The Network at Work
Network and community members have joined . .
partner-led working groups to address new � . _ � ., , . , ,,, _
challenges and bring the racial/social equity lens to •- � • - � � -
existing programs and efforts in education, arts and � _, '.
culture and our neighborhoods. These groups work � � - � -
to identify priorities, measurable indicators and � � �
partners and programs that can be engaged to affect ' ' ' • ' '•' ' '
change. � � ��
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. . . - .
.. .. . .- . .
Sector groups are utilizing a process called Results-Based Accountability in an
effort to better understand how we can track our progress. Since December 2015, more than 90 people have joined sector groups and
that number continues to grow as members identify voices missing from the conversation.
In addition to participating in sector groups and Best Practices, network partners are already taking steps in their own organization.
These network-owned actions help contribute to creating an equitable and inclusive community where all people feel respected,
valued and engaged. Here are just a few of the ways our"network is at work":
• Economic Wellbeing: Northeast lowa Community College • Higher Education: Loras College has implemented
and Greater Dubuque Development Corporation have cultural competency training as part of the Honors
implemented an outreach strategy to engage minority Student Program curriculum.
community members in Opportunity Dubuque. . Government:The City of Dubuque has joined the
• Business:The Dubuque Chamber of Commerce has Government Alliance on Race and Equity and is
created a Minority Business Council with a mission to implementing a racial equity toolkit.
guide minority and under-represented business owners � Health: Mercy Medical Center,Crescent Community
toward local resources.
Health Center, University of Dubuque, Dubuque's
• Education:The Dubuque Community School District is Human Rights Department,and others are increasing
disaggregating data regarding Grade-Level Reading, healthcare access for the Marshallese population
attendance and graduation rates to help improve through a community health program that helps
outcomes for all students. remove barriers to care.
TO LEARN MORE AND FIND OUT HOW YOU CAN GET INVOLVED, VISIT
VWVW.INCLUSIVEDBQ.ORG
�usivt dubuque
Connecting People•Strengthening Community
Inclusive Dubuque isfacilitated bythe Community Foundation of Greater Dubuque.
Exhibit B
Dubuque
THE CITY OF �
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DUB E 'I��I'
mm�miz�mis
Masterpiece on the Mississippi zoi�*zoie
City Council Completes Annual Goal-Setting Sessions
DUBUQUE, lowa—Over the course of three evening sessions, City Council members reaffirmed the 15-year vision
statement and mission statement and identified eight five-year goals for the city. They also identified top and high priorities
for a 2018-2020 policy agenda as well as a management agenda for projects and initiatives planned for 2018-2020.
The 2035 Dubuque Vision Statement
Dubuque 2035 is a sustainable and resilient city and an inclusive and equitable community. Dubuque 2035 has preserved
our Masterpiece on the Mississippi, has a strong diverse economy and expanding connectivity. Our residents experience
healthy living and active lifestyles; have choices of quality, livable neighborhoods; have an abundance of fun things to do;
and are engaged in the community.
Mission Statement
Dubuque city government is progressive and financially sound with residents receiving value for their tax dollars and
achieving goals through partnerships. Dubuque city governmenYs mission is to deliver excellent municipal services that
support urban living; contribute to an equitable, sustainable city; plan for the community's future; and facilitate access to
critical human services.
City of Dubuque Goals 2024
• Robust Local Economy: Diverse Businesses and Jobs with Economic Prosperity
• Vibrant Community: Healthy and Safe
• Livable Neighborhoods and Housing: Great Place to Live
• Financially Responsible, High-Performance City Organization: Sustainable, Equitable, and
Effective Service Delivery
• Sustainable Environment: Preserving and Enhancing Natural Resources
• Partnership for a Better Dubuque: Building Our Community that is Viable, Livable, and Equitable
• Diverse Arts, Culture, Parks, and Recreation Experiences and Activities
• Connected Community: Equitable Transportation, Technology Infrastructure, and Mobility
Policy Agenda
Policy agenda items are issues that need direction or a policy decision by the City Council or need a major funding decision
by the City Council, or issues that need City Council leadership in the community or with other governmental bodies. The
policy agenda is divided into top priorities and high priorities.
2018—2020 Top Priorities (in alphabetical order):
• Affordable Childcare Study and Funding
• Five Flags Center: Direction and Funding
• Inclusive Dubuque Support
• Major Streets Improvement: Plan, Direction, and Funding
• Poverty Reduction: Action Plan
• River Cruise Docking Facilities: Direction
• Winter Farmers Market: Location and Funding Support
2018—2020 High Priorities (in alphabetical order):
• Bee Branch Floodwall Gates Funding
• Central Avenue Corridor: Economic Revitalization
• Crime Prevention Program: Maintenance
E�ibit B
• Debt-Reduction Plan: Continuation
• Mental/Brain Health Strategy and Action Plan
• New Financial Software: Funding
• Pet-Friendly Community: Policy Direction and Actions
• Street Maintenance Program: Funding Level
ManagementAgenda
Management agenda items are issues for which the City Council has set the overall direction and provided initial funding,
may require further City Council action or funding, or are major management projects that may take multiple years to
implement. The management agenda is divided into top priorities and high priorities.
2018—2020 Management in Progress Top Priorities (in alphabetical order):
• Campaign for Grade-Level Reading
• CHANGE Program: Implementation
• Crescent Community Health Center Expansion
• Dubuque's True North Housing Initiative
• Multicultural Family Center Expansion
• Riverfront Master Plan (US Army Corps of Engineers)
• Transit Vehicles Replacement
• Veterans Pond Development and Direction
2018—2020 Management in Progress High Priorities (in alphabetical order):
• City Performance Measurements/Open Data/Data Governance
• Citywide Departmental Work Order System
• Comiskey Park Renovation
• Community Security/Surveillance System Expansion
• Housing Needs Assessment Report
• Resident Satisfaction Survey
• Residential Housing Upgrade/Bee Branch HUD Flood Protection
• Water& Resource Recovery Center: Nutrient Trading
# # #
Ez�hibit B
Dubuque
THE CTTY OF �
AIFAmEfkiClry
DuB E �:i�.�i;
200]�2012�2013
Masterpiece on the Mississippi zov.zoi9
City Council Completes Annual Goal-Setting Sessions
Over the course of three evening sessions, City Council members reaffirmed the 15-year vision
statement and mission statement and identified eight five-year goals for the city. They also identified
top and high priorities for a 2017-2019 policy agenda as well as a management agenda for projects
and initiatives planned for 2017-2019.
The 2032 Dubuque Vision Statement
Dubuque 2032 is a sustainable and resilient city and an inclusive and equitable community. Dubuque
2032 has preserved our Masterpiece on the Mississippi, has a strong diverse economy and expanding
connectivity. Our residents experience healthy living and active lifestyles; have choices of quality,
livable neighborhoods; have an abundance of fun things to do; and are engaged in the community.
Mission Statement
Dubuque city government is progressive and financially sound with residents receiving value for their
tax dollars and achieving goals through partnerships. Dubuque city governmenYs mission is to deliver
excellent municipal services that support urban living; contribute to an equitable, sustainable city; plan
for the community's future; and facilitate access to critical human services.
City of Dubuque Goals 2022
• Robust Local Economy: Diverse Businesses and Jobs with Economic Prosperity
• Vibrant Community: Healthy and Safe
• Livable Neighborhoods and Housing: Great Place to Live
• Financially Responsible, High-Performance City Organization: Sustainable, Equitable, and
Effective Service Delivery
• Sustainable Environment: Preserving and Enhancing Natural Resources
• Partnership for a Better Dubuque: Building Our Community that is Viable, Livable, and Equitable
• Diverse Arts, Culture, Parks, and Recreation Experiences and Activities
• Connected Community: Equitable Transportation, Technology Infrastructure, and Mobility
Policy Agenda
Policy agenda items are issues that need direction or a policy decision by the City Council, or need a
major funding decision by the City Council, or issues that need City Council leadership in the
community or with other governmental bodies. The policy agenda is divided into top priorities and high
priorities.
2017 — 2019 Top Priorities (in alphabetical order):
• Central Avenue Revitalization: Streetscape and Business Development
• Citywide Flower Planting Program
• Comprehensive Plan: Adoption
• Communitywide Solar Strategy
• East-West Corridor Study Implementation
E�ibit B
. Master Plan for Chaplain Schmitt Island
. South Port Redevelopment Master Plan
. Splash Pad
2017 — 2019 High Priorities (in alphabetical order):
. Crime Prevention Program Expansion
. Dilapidated Buildings/Structures
. Five Flags Center Study
. Kerper Boulevard Revitalization Report
. Inclusive Dubuque
. Multicultural Family Center: Colts Building Direction and Funding
. River Cruise Docking Facilities
. Roosevelt Road Water Tower
Management Agenda
Management agenda items are issues for which the City Council has set the overall direction and
provided initial funding, may require further City Council action or funding, or are major management
projects that may take multiple years to implement. The management agenda is divided into top
priorities and high priorities.
2017 — 2019 Management in Progress Top Priorities (in alphabetical order):
. CHANGE Program: Implementation
. Citywide Traffic Signal Synchronization
. Comiskey Park Expansion and Renovation
. Crescent Community Health Center: Development Agreement
. Greater Dubuque Development Corporation Downtown Transformation
. Residential Housing Upgrade/Flood Protection Program
. Westside Water System: Implementation
2017 — 2019 Management in Progress High Priorities (in alphabetical order):
. Affirmatively Furthering Fair Housing Plan: Development
. Cartegraph Partnership: High-Performance Government
. City Performance Measures/Open Data Catalog/Data-Driven Governance
. International City/County Management Association (ICMA) Fellowship International Exchange
. Leisure Services Department Assessment
. Parking Ramp Maintenance: Direction/Funding
. Teen/Young Professionals/Seniors: Jackson Park Pilot Program
. Water & Resource Recovery Center Nutrient Trading
# # #
E�ibit C
Budget Template
Projected
Revenue
Block Grant 18,408.00
OtherRevenue/UserFee 9,666.76
Total Revenue 28,074.76
Expenses
Management Salaries 2,900.00
Overtime Pay 8.65
Regular Wages 7,32534
Benefit Pay -
Client Wages -
Health/ Insurance/Dental -
Workers Compensation 94.65
Payrolltaxes 782.90
Benefits 24.72
Staff Physical Expense -
Professional Travel -
Commercial Insurance 269.45
Consulting Services -
Legal/Accounting -
Training -
Staff Mileage -
Other Related Transportation -
Recruiting
Advertising 611.82
Lease/Rent -
Supplies 360.91
Adaptive Equipment -
Diapers -
Resident Food -
Special Event Food -
Hills and Dales Dubuque Lifetime Center -
E�ibit C
Repairs & Maintenance 3,157.98
Dues/Memberships -
Licenses -
Publications -
Events & Outings -
Special Events -
Program Instruction/Activities -
Tools -
Minor Equipment 1,800.00
Utilities 5,060.88
Postage/Shipping -
Fuel/Gasoline -
Vehicle Repair -
RTA -
Other -
Prof. Contracted Services -
Temporary Services 2,060.41
Interest Expense -
Depreciation 22.40
Property Taxes
AR Uncollectable
Total Expense 24,480.11
Administrative Allocation 3,672.02
Vocational Allocation -
Net Income (Loss) (7737)
Assumptions:
$18,408 Block Grant
E�ibit D
CITY OF DUBUQUE, IOWA
INCOME GUIDELINES FOR
FINANCIAL ASSISTANCE
Income limits are defined and occasionally revised by the U.S. Department of Housing and Urban
Development's estimated median family income.
A low-income person or family has a total income which falls between the fifty (50) percent and
eighty (80) percent median for the area, adjusted for size.
A very low-income person, family, or household has a total income which falls between thirty (30)
and fifty (50) percent of the median income, adjusted for size, of the metropolitan area.
A 30% median income person, family or household has a total income which is between 0 and
thirty (30) percent of the median income, adjusted for size, of the metropolitan area.
The maximum income limits as of July 2019 for the Dubuque Metropolitan Area are as follows:
Maximum Annual Income
HouseholdSize Below30%AMI Below50%AMI Below80%AMI Above80%AMI
Family Size 1: <$17,100 <$28,500 <$45,500 >$45,500
Family Size 2: <$19,550 <$32,600 <$52,050 >$52,050
Family Size 3: <$22,000 <$36,650 <$58,550 >$58,550
Family Size 4 <$25,750 <$40,700 <$65,050 >$65,050
Family Size 5: <$30,170 <$44,000 <$70,300 >$70,300
Family Size 6: <$35,590 <$47,250 <$75,500 >$75,500
Family Size 7: <$39,010 <$50,500 <$80,700 >$80,700
Family Size 8: <$43,430 <$53,750 <$85,900 >$85,900
Income limits for CDBG funded programs can be found on the HUD Exchange
https://www.hudexchan�e.info/resource/5334/cdb�-income-limits/
Organizations required to verify income are encouraged to use the CPD Income Eligibility
Calculator at https://www.hudexchan�e.info/incomecalculator/
1
E�ibit D
EXHIBIT E
STANDARD REQUIREMENTS
COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG)AGREEMENTS
TABLE OF CONTENTS
I. GENERAL
CONDITIONS... ... ... ...... ... ... ...... ... ... ...... ... ... ... ...... ... ... ...... ... ... ... ...... ... ... ... ...... ... ... ...1
A. General Compliance............................................................................................................1
B. Independent Contractor.......................................................................................................1
C. Hold Harmless.....................................................................................................................1
D. Workers' Compensation.......................................................................................................1
E. Insurance and Bonding........................................................................................................1
F. Grantor Recognition.............................................................................................................1
G. Amendments........................................................................................................................1
H. Suspension or Termination..................................................................................................2
II. ADMINISTRATIVE
REQUIREM ENTS...... ... ... ... ...... ... ... ...... ... ... ... ...... ... ... ...... ... ... ... ...... ... ... ... .....2
A. Financial Management ........................................................................................................2
1. Accounting Standards...............................................................................................2
2. Cost Principles..........................................................................................................2
B. Documentation and Recordkeeping ....................................................................................2
1. Records to be Maintained.........................................................................................2
2. Retention...................................................................................................................2
3. ClientData.................................................................................................................3
4. Disclosure .................................................................................................................3
5. Closeouts..................................................................................................................3
6. Audits and Inspections..............................................................................................3
C. Reporting and Payment Procedures....................................................................................3
1. Program Income .......................................................................................................3
2. Payment Procedures ................................................................................................3
3. Indirect Costs............................................................................................................4
4. Progress Reports......................................................................................................4
D. Procurement........................................................................................................................4
1. Compliance...............................................................................................................4
2. Procurement Standards............................................................................................4
3. Travel........................................................................................................................4
E. Use and Reversion of Assets
III. RELOCATION, PROPERTY ACQUISITION AND ONE-FOR-ONE HOUSING
REPLACEM ENT... ... ... ....4
IV. PERSONNEL AND PARTICIPANT
CONDIT IONS... ... ... ...... ... ... ...... ... ... ...... ... ... ... ...... ... ... ...... ... ....4
A. Civil Rights...........................................................................................................................4
1. Compliance...............................................................................................................4
2. Nondiscrimination. ....................................................................................................5
3. Land Covenants........................................................................................................5
4. Section 504................................................................................................................5
B. Affirmative Action.................................................................................................................5
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E�ibit D
1. Approved Plan ..........................................................................................................5
2. Women-Minority Businesses (W/MBE).....................................................................5
3. Access to Records....................................................................................................6
4. Notifications...............................................................................................................6
5. Equal Employment Opportunity and Affirmative Action (EEO/AA) Statement .........6
6. Subcontract Provisions.............................................................................................6
C. Employment Restrictions.....................................................................................................6
1. Prohibited Activity .....................................................................................................6
2. Labor Standards .......................................................................................................6
3. "Section 3" Clause....................................................................................................7
a. Compliance....................................................................................................7
b. Notifications....................................................................................................7
c. Subcontracts..................................................................................................8
D. Conduct................................................................................................................................8
1. Assignability..............................................................................................................8
2. Hatch Act...................................................................................................................8
3. Conflict of Interest.....................................................................................................8
4. Subcontracts.............................................................................................................8
a. Approvals.......................................................................................................8
b. Monitoring ......................................................................................................8
Content...........................................................................................................8
d. Selection Process ..........................................................................................8
5. Lobbying....................................................................................................................9
6. Copyright...................................................................................................................9
7 Faith Based Organization .........................................................................................9
V. ENVIRONMENTALCONDITIONS... ... ...... ... ... ...... ... ... ... ...... ... ... ... ...... ... ... ... ...... ... ... ........9
A. Air and Water.......................................................................................................................9
B. Flood Disaster Protection ....................................................................................................9
C. Lead Based Paint...............................................................................................................10
D. Historic reservation ... ... ...... ... ... ... ...... ... ... ... ...... ... ... ...... ... ... ...... ... ... ... .......... .......10
VI. SEVERABILITY... ... ... ... ... ...... ... ... ...... ... ... ...... ... ... ... ...... ... ... ...... ... ... ... ...... ......... ....... ...10
VII SECTION HEADINGS AND SUBHEADS... ... ...... ... ... ... ...... ... ... ... ...... ... ... ... ...... ... ... ..........10
VIIIWAIVER......... ... ... ...... ... ... ... ...... ... ... ... ...... ... ... ... ...... ... ... ...... ... ... ...... ... ... ... ...... ...........10
IX ENTIRE AGREEMENT...... ... ...... ... ... ...... ... ... ... ...... ... ... ...... ... ... ... ...... ... ... ... ...... ... ... ......10
2
E�ibit D
EXHIBIT C
STANDARD REQUIREMENTS
COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG)AGREEMENTS
I. GENERAL CONDITIONS
A. General Compliance
The Subrecipient agrees to comply with the requirements of Title 24 Code of Federal
Regulations, Part 570 of the Housing and Urban Development regulations concerning
Community Development Block Grants (CDBG) including subpart K of these regulations,
except that (1) the Subrecipient does not assume the recipienYs environmental
responsibilities described in 24 CFR 570.604 and (2) the Subrecipient does not assume
the recipienYs responsibility for initiating the review process under the provisions of 24
CFR Part 52. The Subrecipient further agrees to utilize funds available under this
Agreement to supplement rather than supplant funds otherwise available. The
Subrecipient agrees to comply with all applicable federal, state and local laws and
regulations governing the funds provided under this contract.
B. Independent Contractor
Nothing contained in this Agreement is intended to, or shall be construed in any manner,
as creating or establishing the relationship of employer/employee between the parties.
The Subrecipient shall at all times remain an independent contractor with respect to the
services to be performed under this Agreement. The Recipient shall be exempt from
payment of all Unemployment Compensation, FICA, retirement, life and/or medical
insurance and Workers' Compensation Insurance as the Subrecipient is an independent
contractor.
C. Hold Harmless
The Subrecipient shall hold harmless, defend and indemnify the Recipient from any and all
claims, actions, suits, charges and judgments whatsoever that arise out of the
SubrecipienYs performance or nonperformance of the services or subject matter called for
in this Agreement.
D. Workers' Compensation
The Subrecipient shall provide Workers' Compensation Insurance coverage for all
employees involved in the performance of this contract.
E. Insurance and Bonding
The Subrecipient shall maintain insurance to the extent and against such hazards and
liabilities as are in keeping with the current insurance program of Recipient.
The Subrecipient shall comply with the bonding and insurance requirements of 24 CFR
84.31 and 84.48, Bonding and Insurance.
F. Grantor Recognition
The Subrecipient shall insure recognition of the role of the Recipient in providing services
through the agreement. All activities, facilities and items utilized pursuant to this contract
shall be prominently labeled as to funding source. In addition, the Subrecipient will include
a reference to the support provided herein in all publications made possible with funds
available under this contract.
G. Amendments
Recipient or subrecipient may amend this Agreement at any time provided that such
amendments make specific reference to this Agreement, and are executed in writing,
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E�ibit D
signed by a duly authorized representative of both organizations and approved by the
RecipienYs governing body. Such amendments shall not invalidate this Agreement, nor
relieve or release Recipient or Subrecipient from its obligations under this Agreement.
Recipient may, in its discretion, amend this Agreement to conform with federal, state or
local governmental guidelines, policies and available funding amounts, or for other
reasons. If such amendments result in a change in the funding, the scope of services, or
schedule of, the activities to be undertaken as part of this Agreement, such modifications
will be incorporated only by written amendment signed by both Recipient and Subrecipient.
H. Suspension or Termination
In accordance with 24 CFR 85.43, the Recipient may suspend or terminate this Agreement
if the Subrecipient materially fails to comply with any terms of this Agreement, which include
(but are not limited to) the following: 1) Failure to comply with any of the rules, regulations
or provisions referred to herein, or such statutes, regulations, executive orders, and HUD
guidelines, policies or directives as may become applicable at any time; 2) Failure, for any
reason, of the Subrecipient to fulfill in a timely and proper manner its obligations under this
Agreement; 3) Ineffective or improper use of funds provided under this Agreement; or 4)
Submission by the Subrecipient to the Recipient reports that are incorrect or incomplete in
any material respect.
In accordance with 24 CFR 85.44, this Agreement may also be terminated for convenience
by either the Recipient or the Subrecipient, in whole or in part, by setting forth the reasons
for such termination, the effective date, and, in the case of partial termination, the portion to
be terminated. However, if in the case of a partial termination, the Recipient determines that
the remaining portion of the award will not accomplish the purpose for which the award was
made, the Recipient may terminate the award in its entirety.
II. ADMINISTRATIVE REQUIREMENTS
A. Financial Management
1. Accounting Standards
The Subrecipient agrees to comply with 2 CFR 200.49 or 200.419 as applicable and
agrees to adhere to the accounting principles and procedures required therein,
utilize adequate internal controls, and maintain necessary source documentation for
all costs incurred.
2. Cost Principles
The Subrecipient shall administer its program in conformance with 2 CFR 200
Subpart E Cost Principles. These principles shall be applied for all costs incurred
whether charged on a direct or indirect basis.
B. Documentation and Record Keeping
1. Records to be Maintained
The Subrecipient shall maintain all records required by the federal regulations
specified in 24 CFR Part 570.506 that are pertinent to the activities to be funded
under this Agreement. Such records shall include but not be limited to:
a. Records providing a full description of each activity undertaken;
b. Records demonstrating that each activity undertaken meets one of the
National Objectives of the CDBG program'
c. Records required determining the eligibility of activities;
d. Records required to document the acquisition, improvement, use or
disposition of real property acquired or improved with CDBG assistance,
e. Records documenting compliance with the fair housing and equal opportunity
components of the CDBG program, and
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E�ibit D
f. Financial records as required by 24 CFR Part 570.502, and 2 CFR 200.333-
337: and
g. Other records necessary to document compliance with Subpart K of 24 CFR
570.
2. Retention
The Subrecipient shall retain all financial records, supporting documents, statistical
records, and all other records pertinent to the Agreement for a period of four(4)years.
The retention period begins on the date of the submission of the RecipienYs annual
performance and evaluation report to HUD in which the activities assisted under the
Agreement are reported on for the final time. Notwithstanding the above, if there is
litigation, claims, audits, negotiations or other actions that involve any of the records
cited and that have started before the expiration of the four (4) year period, then such
records must be retained until completion of the actions and resolution of all issues,
or the expiration of the four (4) year period, whichever occurs later.
3. Client Data
The Subrecipient shall maintain client data demonstrating client eligibility for
services provided. Such data shall include, but not be limited to client name,
address, income level or other basis for determining eligibility, and description of
services provided. Such information shall be made available to Recipient monitors
or their designees for review upon request.
4. Disclosure
The Subrecipient understands that client information collected under this contract is
private and the use or disclosure of such information, when not directly connected
with the administration of the RecipienYs or SubrecipienYs responsibilities with
respect to services provided under this contract, is prohibited by law unless written
consent is obtained from such person receiving service and, in the case of a minor,
that of a responsible parent/guardian.
5. Closeouts
Subrecipient obligation to the Recipient shall not end until all closeout requirements
are completed. Activities during this closeout period shall include, but are not
limited to, making final payments, disposing of program assets (including the return
of all unused materials, equipment, unspent cash advances, program income
balances, and accounts receivable to the Recipient), and determining the
custodianship of records. Notwithstanding the foregoing, the terms of this
Agreement shall remain in effect during any period that the Subrecipient has control
over CDBG funds, including program income.
6. Audits and Inspections
All Subrecipient records with respect to any matters covered by this Agreement shall
be made available to the Recipient, grantor agency, and the Comptroller General of
the United States or any of their authorized representatives, at any time during
normal business hours, as often as deemed necessary, to audit, examine, and make
excerpts or transcripts of all relevant data. Any deficiencies noted in audit reports
must be fully cleared by the Subrecipient within 30 days after receipt by the
Subrecipient. Failure of the Subrecipientto complywith the above audit requirements
will constitute a violation of this contract and may result in the withholding of future
payments. The Subrecipient hereby agrees to have an annual agency audit
conducted in accordance with current Recipient policy concerning subrecipient
audits and 2 CFR 200 Subpart F
C. Reporting and Payment Procedures
1. Program Income
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E�ibit D
The Subrecipient shall report quarterly all program income (as defined at 24 CFR
570.500(a)) generated by activities carried out with CDBG funds made available
under this contract. The use of program income by the Subrecipient shall comply with
the requirements set forth at 24 CFR 570.504. By way of further limitations, the
Subrecipient may use such income during the contract period for activities permitted
under this contract and shall reduce requests for additional funds by the amount of
any such program income balances on hand. All unexpended program income shall
be returned to the Recipient at the end of the contract period. Any interest earned on
cash advances from the U.S. Treasury and from funds held in a revolving fund
account is not program income and shall be remitted promptly to the Recipient.
2. Payment Procedures
The Recipient will pay to the Subrecipient funds available under this agreement
based upon information submitted by the Subrecipient and consistent with any
approved budget and Recipient policy concerning payments. With the exception of
certain advances, payments will be made for eligible expenses actually incurred by
the Subrecipient, and not to exceed actual cash requirements. Payments will be
adjusted by the Recipient in accordance with advance fund and program income
balances available in Subrecipient accounts. In addition, the Recipient reserves the
right to liquidate funds available under this contract for costs incurred by the
Recipient on behalf of the Subrecipient.
3. Indirect Costs
If indirect costs are charged, the Subrecipient will develop an indirect cost allocation
plan for determining the appropriate SubrecipienYs share of administrative costs
and shall submit such plan to the Recipient for approval, in a form specified by the
Recipient.
4. Progress Reports
The Subrecipient shall submit quarterly Activity Progress Reports to the Recipient in
the form and content as required by the Recipient.
D. Procurement
1. Compliance
The Subrecipient shall comply with current Recipient policy concerning the
purchase of equipment and shall maintain inventory records of all nonexpendable
personal property as defined by such policy as may be procured with funds
provided herein. All program assets (unexpended program income, property,
equipment, etc.) shall revert to the Recipient upon termination of this Agreement.
2. 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards
Unless specified otherwise within this agreement, the Subrecipient shall procure all
materials, property, or services in accordance with the requirements of 2 CFR part
200.
3. Travel
The Subrecipient shall obtain written approval from the Recipient for any travel
outside the metropolitan area to be paid for with funds provided under this contract.
E. Use and Reversion of Assets
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E�ibit D
The use and disposition of real property and equipment under this Agreement shall
be in compliance with the requirements of 2 CFR Part 200 and 24 CFR 570.502,
570.503, and 570.504, as applicable, which include but are not limited to the following:
1. The Subrecipient shall transfer to the Recipient any CDBG funds on hand and any
accounts receivable attributable to the use of funds under this Agreement at the time
of expiration, cancellation, or termination.
2. Real property under the SubrecipienYs control that was acquired or improved, in
whole or in part, with funds under this Agreement in excess of$25,000 shall be used
to meet one of the CDBG National Objectives pursuant to 24 CFR 570.208 until five
(5) years after expiration of this Agreement. If the Subrecipient fails to use CDBG-
assisted real property in a manner that meets a CDBG National Objective for the
prescribed period of time, the Subrecipient shall pay the Recipient an amount equal
to the current fair market value of the property less any portion of the value attributable
to expenditures of non-CDBG funds for acquisition of, or improvement to, the
property. Such payment shall constitute program income to the Recipient. The
Subrecipient may retain real property acquired or improved under this Agreement
after the expiration of the five-year period.
3. In all cases in which equipment acquired, in whole or in part, with funds under this
Agreement is sold, the proceeds shall be program income (prorated to reflect the
extent to that funds received under this Agreement were used to acquire the
equipment). Equipment not needed by the Subrecipient for activities under this
Agreement shall be (a) transferred to the Recipient for the CDBG program or (b)
retained after compensating the Recipient[an amount equal to the current fair market
value of the equipment less the percentage of non-CDBG funds used to acquire the
equipment].
III. RELOCATION, PROPERTY ACQUISITION AND ONE-FOR-ONE HOUSING REPLACEMETN
The Subrecipient agrees to comply with (a) the Uniform Relocation Assistance and
Real Property Acquisition Policies Act of 1970, as amended (URA), and
implementing regulations at 49 CFR Part 24 and 24 CFR 570.606(b); (b) the
requirements of 24 CFR 570.606(c)governing the Residential Anti-displacement and
Relocation Assistance Plan under section 104(d) of the HCD Act; and (c) the
requirements in 24 CFR 570.606(d) governing optional relocation policies. The
Subrecipient shall provide relocation assistance to displaced persons as defined by
24 CFR 570.606(b)(2) that are displaced as a direct result of acquisition,
rehabilitation, demolition or conversion for a CDBG-assisted project. The
Subrecipient also agrees to comply with applicable Recipient ordinances, resolutions
and policies concerning the displacement of persons from their residences.
IV. PERSONNEL AND PARTICIPANT CONDITIONS
A. Civil Rights
1. Compliance
The Subrecipient agrees to comply all federal, state and local regulations in effect as
of the date of this Agreement as they apply to federally assisted programs and
activities of the Department of Housing and Urban Development and with Title VI of
the Civil Rights Act of 1964 as amended, Title VIII of the Civil Rights Act of 1968 as
amended, Section 104(b) and Section 109 of Title I of the Housing and Community
Development Act of 1974 as amended, Section 504 of the Rehabilitation Act of 1973,
the Americans with Disabilities Act of 1990, the Age Discrimination Act of 1975,
Executive Order 11063, and Executive Order 11246 as amended by Executive
Orders 11375, 11478, 12107 and 12086.
2. Nondiscrimination
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E�ibit D
The Subrecipient agrees to comply with the non-discrimination in employment and
contracting opportunities laws, regulations, and executive orders referenced in 24
CFR 570.607, as revised by Executive Order 13279. The applicable non-
discrimination provisions in Section 109 of the HCDA are still applicable.
3. Land Covenants
This contract is subject to the requirements of Title VI of the Civil Rights Act of 1964
(P. L. 88-352) and 24 CFR 570.601 and 570.602. In regard to the sale, lease, or other
transfer of land acquired, cleared or improved with assistance provided under this
contract, the Subrecipient shall cause or require a covenant running with the land to
be inserted in the deed or lease for such transfer, prohibiting discrimination as herein
defined, in the sale, lease or rental, or in the use or occupancy of such land, or in any
improvements erected or to be erected thereon, providing that the Recipient and the
United States are beneficiaries of and entitled to enforce such covenants. The
Subrecipient, in undertaking its obligation to carry out the program assisted
hereunder, agrees to take such measures as are necessary to enforce such covenant,
and will not itself so discriminate.
4. Section 504
The Subrecipient agrees to comply with all Federal regulations issued pursuant to
compliance with Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which
prohibits discrimination against the individuals with disabilities or handicaps in any
Federally assisted program. The Recipient shall provide the Subrecipient with any
guidelines necessaryfor compliance with that portion of the regulations in force during
the term of this Agreement.
B. Affirmative Action
1. Approved Plan
The Subrecipient agrees that it shall be committed to carry out pursuant to the
RecipienYs specifications an Affirmative Action Program in keeping with the principles
as provided in PresidenYs Executive Order 11246 of September 24, 1966. The
Recipient shall provide Affirmative Action guidelines to the Subrecipient to assist in
the formulation of such program. The Subrecipient shall submit a plan for an
Affirmative Action Program for approval prior to the award of funds.
2. Women-Minority-Owned Businesses (W/MBE)
The Subrecipient will use its best efforts to afford small businesses, minority business
enterprises, and women's business enterprises the maximum practicable opportunity
to participate in the performance of this contract. As used in this contract, the terms
"small business" means a business that meets the criteria set forth in section 3(a) of
the Small Business Act, as amended (15 U.S.C. 632), and "minority and women's
business enterprise" means a business at least fifty-one (51) percent owned and
controlled by minority group members or women. For the purpose of this definition,
"minority group members"are Afro-Americans, Spanish-speaking, Spanish surnamed
or Spanish-heritage Americans, Asian-Americans, and American Indians. The
Subrecipient may rely on written representations by businesses regarding their status
as minority and female business enterprises in lieu of an independent investigation.
3. Accessto Records
The Subrecipient shall furnish and cause each of its own subrecipients or
subcontractors to furnish all information and reports required hereunder and will
permit access to its books, records and accounts by the Recipient, HUD or its
agent, or other authorized Federal officials for purposes of investigation to ascertain
compliance with the rules, regulations and provisions stated herein.
-6-
E�ibit D
4. Notifications
The Subrecipient will send to each labor union or representative of workers with
which it has a collective bargaining agreement or other contract or understanding, a
notice, to be provided by the agency contracting officer, advising the labor union or
worker's representative of the SubrecipienYs commitments hereunder, and shall
post copies in conspicuous places available to employees and applicants for
employment.
5. Equal Employment Opportunity and Affirmative Action (EEO/AA) Statement
The Subrecipient will, in all solicitations or advertisements for employees placed by
or on behalf of the Subrecipient, state that it is an Equal Opportunity or Affirmative
Action employer.
6. Subcontract Provisions
The Subrecipient will include the provisions of Paragraphs X A, Civil Rights, and B,
Affirmative Action, in every subcontract or purchase order, specifically or by
reference, so that such provisions will be binding upon each of its own subrecipients
or subcontractors.
C. Employment Restrictions
1. Prohibited Activity
The Subrecipient is prohibited from using funds provided herein or personnel
employed in the administration of the program for political activities; explicitly
religious activities; lobbying, political patronage, and nepotism activities.
2. Labor Standards
The Subrecipient agrees to comply with the requirements of the Secretary of Labor
in accordance with the Davis-Bacon Act as amended, the provisions of Contract
Work Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and all other
applicable Federal, state and local laws and regulations pertaining to labor standards
insofar as those acts apply to the performance of this Agreement. The Subrecipient
agrees to comply with the Copeland Anti-Kick Back Act (18 U.S.C. 874 et seq.) and
its implementing regulations of the U.S. Department of Labor at 29 CFR Part 5. The
Subrecipient shall maintain documentation that demonstrates compliance with hour
and wage requirements of this part. Such documentation shall be made available to
the Recipient for review upon request.
The Subrecipient agrees that, except with respect to the rehabilitation or construction
of residential property containing less than eight (8) units, all contractors engaged
under contracts in excess of $2,000.00 for construction, renovation or repair work
financed in whole or in part with assistance provided underthis contract, shall comply
with Federal requirements adopted by the Recipient pertaining to such contracts and
with the applicable requirements of the regulations of the Department of Labor, under
29 CFR Parts 1, 3, 5 and 7 governing the payment of wages and ratio of apprentices
and trainees to journey workers; provided that, if wage rates higher than those
required under the regulations are imposed by state or local law, nothing hereunder
is intended to relieve the Subrecipient of its obligation, if any, to require payment of
the higher wage. The Subrecipient shall cause or require to be inserted in full, in all
such contracts subject to such regulations, provisions meeting the requirements of
this paragraph.
3. "Section 3" Clause
a. Compliance
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E�ibit D
Compliance with the provisions of Section 3 of the HUD Act of 1968, as
amended, and as implemented by the regulations set forth in 24 CFR 135, and
all applicable rules and orders issued hereunder prior to the execution of this
contract, shall be a condition of the Federal financial assistance provided
under this contract and binding upon the Recipient, the Subrecipient and any
of the SubrecipienYs subrecipients and subcontractors. Failure to fulfill these
requirements shall subject the Recipient, the Subrecipient and any of the
SubrecipienYs subrecipients and subcontractors, their successors and
assigns, to those sanctions specified by the Agreement through which Federal
assistance is provided. The Subrecipient certifies and agrees that no
contractual or other disability exists that would prevent compliance with these
requirements.
The Subrecipient further agrees to comply with these"Section 3" requirements
and to include the following language in all subcontracts executed under this
Agreement:
"The work to be performed under this Agreement is a project assisted
under a program providing direct Federal financial assistance from
HUD and is subject to the requirements of Section 3 of the Housing
and Urban Development Act of 1968, as amended (12 U.S.C. 1701).
Section 3 requires that to the greatest extent feasible opportunities
for training and employment be given to low- and very low-income
residents of the project area, and that contracts for work in connection
with the project be awarded to business concerns that provide
economic opportunities for low- and very low-income persons
residing in the metropolitan area in which the project is located."
The Subrecipient further agrees to ensure that opportunities for training and
employment arising in connection with a housing rehabilitation (including
reduction and abatement of lead-based paint hazards), housing construction,
or other public construction project are given to low- and very low-income
persons residing within the metropolitan area in which the CDBG-funded
project is located;where feasible, priority should be given to low-and very low-
income persons within the service area of the project or the neighborhood in
which the project is located, and to low- and very low-income participants in
other HUD programs; and award contracts for work undertaken in connection
with a housing rehabilitation (including reduction and abatement of lead-based
paint hazards), housing construction, or other public construction project to
business concerns that provide economic opportunities for low- and very low-
income persons residing within the metropolitan area in which the CDBG-
funded project is located; where feasible, priority should be given to business
concerns that provide economic opportunities to low- and very low-income
residents within the service area or the neighborhood in which the project is
located, and to low- and very low-income participants in other HUD programs.
The Subrecipient certifies and agrees that no contractual or other legal
incapacity exists that would prevent compliance with these requirements.
b. Notifications
The Subrecipient agrees to send to each labor organization or representative
of workers with which it has a collective bargaining agreement or other
contract or understanding, if any, a notice advising said labor organization or
worker's representative of its commitments under this Section 3 clause and
shall post copies of the notice in conspicuous places available to employees
and applicants for employment or training.
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E�ibit D
c. Subcontracts
The Subrecipient will include this Section 3 clause in every subcontract and
will take appropriate action pursuant to the subcontract upon a finding that
the subcontractor is in violation of regulations issued by the Recipient. The
Subrecipient will not subcontract with any entity where is has notice or
knowledge that the latter has been found in violation of regulations under 24
CFR 135 and will not let any subcontract unless the entity has first provided it
with a preliminary statement of ability to comply with the requirements of
these regulations.
D. Conduct
1. Assignability
The Subrecipient shall not assign or transfer any interest in this contract without the
prior written consent of the Recipient thereto; provided, however, that claims for
money due or to become due to the Subrecipient from the Recipient under this
contract may be assigned to a bank, trust company or other financial institution
without such approval. Notice of any such assignment or transfer shall be furnished
promptly to the Recipient.
2. Hatch Act
The Subrecipient agrees that no funds provided, nor personnel employed under this
contract, shall be in any way or to any extent engaged in the conduct of political
activities in violation of Chapter 15 of Title V United States Code.
3. Conflict of Interest
The Subrecipient agrees to abide by the provisions of 2CFR 200.112 and 24 CFR
570.611, which include (but are not limited to) the following:
a. The Subrecipient shall maintain a written code or standards of conduct that shall
govern the performance of its officers, employees or agents engaged in the
award and administration of contracts supported by Federal funds.
b. No employee, officer or agent of the Subrecipient shall participate in the
selection, or in the award, or administration of, a contract supported by Federal
funds if a conflict of interest, real or apparent, would be involved.
c. No covered persons who exercise or have exercised any functions or
responsibilities with respect to CDBG-assisted activities, or who are in a
position to participate in a decision-making process or gain inside information
with regard to such activities, may obtain a financial interest in any contract, or
have a financial interest in any contract, subcontract, or agreement with respect
to the CDBG-assisted activity, or with respect to the proceeds from the CDBG-
assisted activity, either for themselves or those with whom they have business
or immediate family ties, during their tenure or for a period of one (1) year
thereafter. For purposes of this paragraph, a "covered person" includes any
person who is an employee, agent, consultant, officer, or elected or appointed
official of the Recipient, the Subrecipient, or any designated public agency.
4. Subcontracts
a. Approvals
The Subrecipient shall not enter into any subcontracts with any agency or
individual in the performance of this contract without the written consent of
the Recipient prior to the execution of such agreement.
b. Monitoring
The Subrecipient will monitor all subcontracted services on a regular basis to
assure contract compliance. Results of monitoring efforts shall be
summarized in written reports and supported with documented evidence of
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E�ibit D
follow up actions taken to correct areas of noncompliance.
c. Content
The Subrecipient shall cause all of the provisions of this contract in its
entirety to be included in and made a part of any subcontract executed in the
performance of this agreement.
d. Selection Process
The Subrecipient shall undertake to insure that all subcontracts let in the
performance of this agreement shall be awarded on a fair and open
competition basis in accordance with applicable procurement requirements.
Executed copies of all subcontracts shall be forwarded to the Recipient along
with documentation concerning the selection process.
5. Lobbying
The Subrecipient hereby certifies that:
a. 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;
b. 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
c. It will require that the language of paragraph (d) of this certification be
included in the award documents for all subawards at all tiers (including
subcontracts, subgrants, and contracts under grants, loans, and
cooperative agreements) and that all Subrecipients shall certify and
disclose accordingly:
d. 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.C. 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.
6. Copyright
If this contract results in any copyrightable material or inventions, the Recipient
and/or grantor agency reserves the right to royalty-free, non-exclusive and
irrevocable license to reproduce, publish or otherwise use and to authorize others to
use, the work or materials for governmental purposes.
7. Religious Organization
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The Subrecipient agrees thatfunds provided underthis Agreement will not be utilized
for explicitly religious activities prohibited by 24 CFR 570.200Q), such as worship,
religious instruction, or proselytization. Faith-based organizations that carry out
programs or activities with direct Federal financial assistance from HUD must comply
with 24 CFR Part 5.109; including to give written notice to beneficiaries and
prospective beneficiaries and prospective beneficiaries of the programs or activities
descri bi ng:
a) The organization may not discriminate against a beneficiary or prospective
beneficiary based on religion, a religious belief, a refusal to hold a religious
belief, or a refusal to attend or participate in a religious practice;
b) The organization may not require a beneficiary to attend or participate in
any explicitly religious activities that are offered by the organization, and
any participation by the beneficiaries in those activities must be purely
vo I unta ry;
c) The organization must separate in time or location any privately funded
explicitly religious activities from activities supported by direct Federal
financial assistance;
d) If a beneficiary or prospective beneficiary objects to the religious character
of the organization, the organization will undertake reasonable efforts to
identify and refer the beneficiary to an alternative provider to which the
beneficiary has no such objection; and
e) A beneficiary or prospective beneficiary may report violations of these
protections, including any denials of services or benefits, to the Federal
agency or intermediary administering the program.
V. ENVIRONMENTAL CONDITIONS
A. Air and Water
1. The Subrecipient agrees to comply with the following regulations insofar as they
apply to the performance of this contract:
2. Clean Air Act, 42 U.S.C., 7401, ET seq.
3. Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251, et seq., as
amended 1318 relating to inspection, monitoring, entry, reports and information, as
well as other requirements specified in said Section 114 and Section 308, and all
regulations and guidelines issued hereunder.
4. Environmental Protection Agency (EPA) regulations pursuant to 40 CFR, Part 50,
as amended.
B. Flood Disaster Protection
In accordance with the requirements of the Flood Disaster Protection Act of 1973(42 U.S.C.
4001), the Subrecipient shall assure that for activities located in an area identified by the
Federal Emergency Management Agency (FEMA) as having special flood hazards, flood
insurance under the National Flood Insurance Program is obtained and maintained as a
condition of financial assistance for acquisition or construction purposes (including
rehabilitation).
C. Lead Based Paint
The Subrecipient agrees that any construction or rehabilitation of residential structures with
assistance provided under this contract shall be subject to HUD Lead Based Paint
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Regulations at 24 CFR 570.608, and 24 CFR Part 35 subpart B. Such regulations pertain
to all CDBG assisted housing and require that all owners, prospective owners, and tenants
of properties constructed prior to 1978 be properly notified that such properties may
include lead based paint. Such notification shall point out the hazards of lead-based paint
and explain the symptoms, treatment and precautions that should be taken when dealing
with lead-based paint poisoning and the advisability and availability of blood lead level
screening for children under seven. The notice should also point out that if lead-based
paint is found on the property, abatement measures may be undertaken. The regulations
further require that, depending on the amount of Federal funds applied to a property, paint
testing, risk assessment, treatment and/or abatement may be conducted.
D. Historic Preservation
The Subrecipient agrees to comply with the Historic Preservation requirements set forth in
the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470) and the
procedures set forth in 36 CFR, Part 800, Advisory Council on Historic Preservation
Procedures for Protection of Historic Properties, insofar as they apply to the performance
of this contract.
In general, this requires concurrence from the State Historic Preservation Officer for all
rehabilitation and demolition of historic properties that are fifty years old or older or that are
included on a federal, state or local historic property list.
VI. SEVERABILITY
If any provision of this Agreement is held invalid, the remainder of the Agreement shall not
be affected thereby and all other parts of this Agreement shall nevertheless be in full force
and effect.
VII. SECTION HEADINGS AND SUBHEADINGS
The section headings and subheadings contained in this Agreement are included for
convenience only and shall not limit or otherwise affect the terms of this Agreement.
VIII. WAIVER
The RecipienYs failure to act with respect to a breach by the Subrecipient does not waive
its right to act with respect to subsequent or similar breaches. The failure of the Recipient
to exercise or enforce any right or provision shall not constitute a waiver of such right or
provision.
IX. ENTIRE AGREEMENT
This agreement constitutes the entire agreement between the Recipient and the
Subrecipient for the use of funds received under this Agreement and it supersedes all prior
or contemporaneous communications and proposals, whether electronic, oral, or written
between the Recipient and the Subrecipient with respect to this Agreement.
NOTE: For the above sections, if the Subrecipient is a governmental or quasi-governmental agency, the
applicable sections of 24 CFR Part 85, "Administrative Requirements for Grants and Cooperative
Agreements to State and Local and Federally Recognized Tribal Governments," and 2 CFR 200 would
apply.
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