Special Services Grant Program Agreement with Hills & Dales and Community Development Block Grant Agreement with Four Mounds FoundationCity of Dubuque
City Council Meeting
Consent Items # 011.
Copyrighted
July 18, 2022
ITEM TITLE: Approval of Fiscal Year2023 Special Services Grant Program
Agreement with Hills & Dales Senior Center and Community
Development Block Grant Agreement with the Four Mounds Foundation
SUMMARY: City Manager recommending City Council approve the Fiscal Year 2023
Special Services Grant Program Agreement for Hills & Dales Senior
Center and Community Development Block Grant (CDBG) Agreement
with the Four Mounds Foundation and authorization for the Mayor to
execute the agreements on behalf of the City.
SUGGESTED Suggested Disposition: Receive and File; Approve
DISPOSITION:
ATTACHMENTS:
Description
Type
Approval of FY23 Special Services Agreement With
Hills & Dales Senior Center and CDBG Agreement with City Manager Memo
the Four Mounds Foundation-MVM Memo
Staff memo Staff Memo
FY23 Hills & Dales and Four Mounds Agreements Supporting Documentation
THE C
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TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Approval of FY23 Special Services Grant Program Agreement With Hills &
Dales Senior Center and CDBG Agreement with the Four Mounds
Foundation
DATE: July 13, 2022
Leisure Services Manager Marie Ware is recommending City Council approve the
Fiscal Year 2023 special services grant program agreement for Hills & Dales Senior
Center and CDBG agreement with the Four Mounds Foundation and authorization for
the Mayor to execute the agreements on behalf of the City.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
v
Mic ael C. Van Milligen
MCVM:sv
Attachment
CC' Crenna Brumwell, City Attorney
Cori Burbach, Assistant City Manager
Marie Ware, Leisure Services Manager
THE CITY OF
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Masterpiece on the Mississippi'
TO: Michael C. Van Milligen, City Manager
Dubuque
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Z447.201 Zt2013
2017*2019
FROM: Marie L. Ware, Leisure Services Manager
SUBJECT: Approval of FY23 Special Services Grant Program Agreement With Hills &
Dales Senior Center and CDBG Agreement with the Four Mounds
Foundation
DATE: July 8, 2022
INTRODUCTION
The purpose of this memorandum is to request approval of the Fiscal Year 2023 special
services grant program agreement for Hills & Dales Senior Center and CDBG
agreement with the Four Mounds Foundation.
BACKGROUND
The Fiscal Year 2023 council -approved budget provides $18,200 in general funds for
the Hills and Dales Senior Center and $39,258 in Community Development Block Grant
funds for the Four Mounds Summer Camp.
DISCUSSION
Grant recipients agree to use grant resources to further goals identified by the City
Council. Hills & Dales Senior Center will maintain existing services designed to further
the goal: Vibrant Community: Healthy and Safe. The Four Mounds partnership provides
free educational outdoor adventure programs for low/moderate youth designed to
further the goal: Diverse Arts, Culture, Parks, and Recreation Experiences and
Activities.
Both organizations are required to submit quarterly reports to City staff, identifying
race and income of individuals being assisted. This information helps City staff collect
data on the needs of the residents of the City of Dubuque and track outcomes of the
programs offered.
RECOMMENDATION
I respectfully request approval of the Fiscal Year 2023 special services grant program
agreement for Hills & Dales Senior Center and CDBG agreement with the Four Mounds
Foundation and authorization for the Mayor to execute the agreement on behalf of the
City.
attachment
Prepared by: Dan Kroger, Recreation Division Manager
Cc: Maddy Haverland, Community Development Specialist
CITY OF DUBUQUE, IOWA
AND
HILLS AND DALES
FY 2023 SPECIAL SERVICES GRANT PROGRAM AGREEMENT
THIS AGREEMENT, executed on the 5t" day of July 2022 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 Hills
and Dales, with its principal place of business in Dubuque, Iowa (Subrecipient).
WHEREAS, the City Council deems it in the best interests of the City to provide special services funding
to support organizations in the city of Dubuque; and
WHEREAS, Recipient wishes to engage Subrecipient to assist Recipient in providing services to a
presumed low -and moderate- income population.
NOW THEREFORE, in consideration of the premises and respective covenants, agreements and
representations hereinafter set forth, the parties agree as follows:
SCOPE OF SERVICES:
a. Subrecipient shall:
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 similar to those eligible under
the Community Development Block Grant Program: Operating costs for the Hills and
Dales Lifetime program to provide educational, recreational and social programs to
elderly persons.
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.
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:
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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.
IV. Project Budget
The total compensation to be paid to Subrecipient by Recipient for the services shall in no event
exceed the sum of $18,200 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, 2022 and shall
be completed not later than June 30, 2023. 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.
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 Income Guidelines in Exhibit D and Standard Contract
Requirements 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.
f;ZUil-1:4 1101[el
Organization agrees to submit the final report and remit any unspent grant funds by August 31,
2023. Final reports must include documentation of project expenditures, required match, and
activities completed. Details pertaining to match requirements are outlined in the program
guidelines. Failure to submit a final report may impact eligibility for receiving future City arts
funding.
AUDIT AND EVALUATION.
Because the funds provided to Organization by City are public funds, Organization must
maintain books, financial records, and accounting in accordance with generally accepted
accounting standards and necessary documentation to support all expenditures.
Organization will retain all financial records, reporting documents, and other records
pertinent to the City of Dubuque Arts and Culture Special Projects Grant Program for
three (3) calendar years after the end of the term of this Agreement.
Organization's funding request application and applicant assurances are incorporated by
reference into this Agreement.
X. Termination of Agreement
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M
XII.
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 less than five (5) days before the effective date of such termination.
Notices
Communication and details concerning this Agreement shall be directed to the following
agreement representatives:
Recipient
Dan Kroger
Recreation Division Manager
Leisure Services Department
2200 Bunker Hill Rd.
Dubuque, Iowa 52001
Subrecipient
Jack Mescher
Hills and Dales
1011 Davis
Dubuque, IA 52001
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:
a� '�/, �
Adrienne Breitfelder, City Clerk
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City of Dubuque, Iowa
IA� k;�4
Michael C. Van Milligan Milligen
Hills and Dales
Exhibit A
INCLUSIVEdubuque
Connecting People • Strengthening Community
Inclusive Dubuque
A local network of community leaders from faith, labor, education and government
organizations dedicated to advancing justice and social equity in our community.
- 1 -
Exhibit A
What is Inclusive Dubuque?
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
organizations across sectors including faith, government,
nonprofit, business, education and more. To see a complet
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 groups and peer -learning 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.
1WM
Exhibit A
I'm a Dubuquer Campaign
Winner of a 2017-18 Dubuque Silver ADDY Award and a 2018
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
Dubuque community from something used to draw a line between
insiders and outsiders into one that welcomes all who call Dubuque
home.
Learn more about the campaign at www.imadubuquer.com.
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.
-3-
Exhibit 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.
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 Iowa Community College
and Greater Dubuque Development Corporation have
implemented an outreach strategy to engage minority
community members in Opportunity Dubuque.
• Business: The Dubuque Chamber of Commerce has
created a Minority Business Council with a mission to
guide minority and under -represented business owners
toward local resources.
• Education: The Dubuque Community School District is
disaggregating data regarding Grade -Level Reading,
attendance and graduation rates to help improve
outcomes for all students.
Higher Education: Loras College has implemented
cultural competency training as part of the Honors
Student Program curriculum.
Government: The City of Dubuque has joined the
Government Alliance on Race and Equity and is
implementing a racial equity toolkit.
• Health: Mercy Medical Center, Crescent Community
Health Center, University of Dubuque, Dubuque's
Human Rights Department, and others are increasing
healthcare access for the Marshallese population
through a community health program that helps
remove barriers to care.
TO LEARN MORE AND FIND OUT HOW YOU CAN GET INVOLVED, VISIT
WWW.INCLUSIVEDBQ.ORG
INCLUSIVEdubuque
Connecting People • Strengthening Community
Inclusive Dubuque is facilitated by the Community Foundation of Greater Dubuque,
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BRAD M. CAVANAGH RIC W. JONES DAVID T. RESNICK SUSAN R. FARBER LAURA J. ROUSSELL DANNY C. SPRANK KATY A. WETHAL
MAYOR AT -LARGE AT -LARGE 1ST WARD 2ND WARD 3RD WARD 4TH WARD
Over the course of three sessions in August, City Council members affirmed 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 2021-2023 policy agenda as
well as in -progress projects and capital projects for 2021-2023.
Robust Local Economy: Diverse Businesses and Jobs with Economic Prosperity
Vibrant Community: Healthy & 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, Parrs, and Recreation Experiences and Activities
Connected Community:
,1 Miracle League of Dubuque ComT
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.
• Chaplain Schmitt Island Master Plan
Implementation
• City Information & Network Security
• Equitable Poverty Prevention & Reduction
Plan Implementation
• Federal Infrastructure Program Preparation
• Five Flags Center Direction
• Historic Building Rehabilitation/Preservation
• Sewer System Infrastructure Upgrade
(including Catfish Creek Sanitary Sewer
System)
• Bee Branch Watershed Project: Next Steps
• Childcare Initiative
• Community Broadband Expansion
• Complete Streets Concept Implementation:
16th St./Elm St./14th St. Railroad Overpass
Project
• Comprehensive Parks Master Plan
• Imagine Dubuque Implementation
• West End Fire Station
Under each City Council goal are items listed as Management in'Progress and
Major Projects. Each goal contains Management in Progress items and many
City Council goals also have major projects associated.
Management in progress are items
that are underway and budgeted.
Staff is implementing and providing
updates to City Council.
Major projects are projects that are
underway and budgeted. Staff is
implementing and providing updates
to City Council.
Management in Progress
• Airport Master Plan: Approval
• Air Service Expansion to Western Hub
• Business Development at the Airport
• Downtown Parking Issues
• Dubuque Brewing & Malting Building
• Fagade Loan Program
• Opportunity Dubuque Job Training Program: Financial Support
Major Projects
• Dubuque Riverfront Master Plan (US Army Corps of Engineers)
• Viking Cruise Destination Preparation
Vibrant Community
Management in Progress
• CAD Connection to City Cameras Network
• Fire Department Accreditation
• Police Department Re -Accreditation: Annual Assessment
• Re -Imagining Police
• Traffic Camera System
Livable Neighborhoods & Housing
Management in Progress
• Central Avenue Reinvestment Strategy
• Downtown Commercial Buildings Project
• Port of Dubuque Residential Project (MERGE)
• Safe Housing Initiative
Major Projects
• Hendricks Feed Site Parking Ramp
• Lowell Street Retaining Wall Repair
Financially Responsible, High -
Performance City Organization.
Management in Progress
• ADA Compliance Transition Report
• Cartegraph OMS System Asset Management System Expansion
• Centralized Facility Maintenance and Manager
• City Facilities/Work Space Analysis and Plan
• City Legislative Lobbying/Advocacy Agenda 2021
• Citywide Compensation and Benefit Policy and Program
• Digital Signatures
• ERP Software Implementation
• InVision Facility Management Software Implementation
• Resident Satisfaction Survey
• Socrata Software Implementation
Major Projects
• Engine House No.1 Remodel Project
Sustainable Environment
Management in Progress
• Bee Branch Pollinator Celebration
• Emerald Ash Borer Program
• Lead and Copper Rule Compliance Water Sampling and Testing
• Pollinator Habitat in Park System
• Public Education on Bikeable/Walkable Dubuque
• Renew DBQ Solar Program
• Sewer Infrastructure Asset Management
• Water and Resource Recovery Center: Nutrient Trading
Major Projects
• Royal Wood Drive Water Tank Improvement
• SCADA Overhaul: Water
• Water Lines Extension —Southwest Arterial
Partnership for a Better Dubuque
Management in Progress
• Civic Action Plan and Civic Leaders Program
• Greater Dubuque Development Corporation 5-year Funding Campaign
Diverse Arts, Culture, Parks, and
Recreation Experiences and Activities
Management in Progress
• AmeriCorps: Potential Expansion Area
• E. B. Lyons Center Partnership Development
• Mystique Community Ice Center Direction
Major Projects
• Comiskey Park Project
• Eagle Valley Subdivision Park
• English Ridge Subdivision Park
• Grand River.Center: Upgrade Projects
Connected Community
Management in Progress
• Comprehensive Pavement Preservation
• Corporate Hangar Repair
• Downtown Parking Ordinance
• Reconstruction of Airport Taxiway Alpha
• Traffic Signal Synchronization/STREETS Program
• Transit Vehicle Replacement
• Wi-Fi in Fixed Route Buses
Major Projects
• Chavenelle Road Hike/Bike Trail
• Comiskey Park Project
• Dupaco/Roshek Parking Project
• 1FK Sidewalks Project: Construction +Assessment
• Northwest Arterial Upgrade (IDOT)
• Roundabouts: Funding
a. University/Pennsylvania: Design
b. University/Asbury: Design
c. University/Loras: Design
• Washington Street Improvements (7th to 9th)
Exhibit C
Budget Template
Projected
Revenue
Block Grant
18,408.00
Other Revenue/User Fee
9,666.76
Total Revenue
28,074.76
Expenses
Management Salaries
2,900.00
Overtime Pay
8.65
Regular Wages
7,325.34
Benefit Pay
-
Client Wages
-
Health/ Insurance/Dental
-
Workers Compensation
94.65
Payroll taxes
782.90
Benefits
24.72
Staff Physical Expense
-
Professional Travel
-
Commercial Insurance
j 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
-
- 1 -
Exhibit C
Hills and Dales Dubuque Lifetime Center
-
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)
(77.37)
Assumptions:
$18,408 Block Grant
IWM
Exhibit 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 1, 2020 for the Dubuque Metropolitan Area are as follows:
Household Size
Below 30% AMI
Below 50% AMI
Below 80% AMI
Above 80% AMI
Family Size 1:
<$17,400
<$29,050
<$46,450
>$46,450
Family Size 2:
<$19,900
<$33,200
<$53,050
>$53,050
Family Size 3:
<$22,400
<$37,350
<$59,700
>$59,700
Family Size 4
<$24,850
<$41,450
<$66,300
>$66,300
Family Size 5:
<$26,850
<$44,800
<$71,650
>$71,650
Family Size 6:
<$28,850
<$48,100
<$76,950
>$76,950
Family Size 7:
<$30,850
<$51,400
<$82,250
>$82,250
Family Size 8:
<$32,850
<$54,750
<$87,550
>$87,550
Income limits for CDBG funded programs can be found on the HUD Exchange
https://www.hudexchange.info/resource/5334/cdbg-income-limits/
Organizations required to verify income are encouraged to use the CPD Income Eligibility
Calculator at https://www.hudexchange.info/incomecalculator/
Exhibit 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
REQUIREMENTS
.........................................................................................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. Client Data................................................................................................................. 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
REPLACEMENT.............4
IV. PERSONNEL AND PARTICIPANT
CONDITIONS.........................................................................4
A. Civil Rights...........................................................................................................................4
1. Compliance...............................................................................................................4
2. Nondiscrimination.....................................................................................................5
3. Land Covenants........................................................................................................5
4. Section 504................................................................................................................5
B. Affirmative Action.................................................................................................................5
1
Exhibit 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. ENVIRONMENTAL CONDITIONS...................................................................................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
IXENTIRE AGREEMENT................................................................................................10
2
EXHIBIT C
Exhibit E
STANDARD REQUIREMENTS
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) AGREEMENTS
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 recipient's environmental responsibilities
described in 24 CFR 570.604 and (2) the Subrecipient does not assume the recipient's
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 Subrecipient's
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.
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, signed
by a duly authorized representative of both organizations and approved by the Recipient's
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
Exhibit E
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.
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.
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
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.
Exhibit E
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 Recipient's 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.
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 Recipient's or Subrecipient's 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.
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.
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 Subrecipient to comply with 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
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
Exhibit E
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 Subrecipient's 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
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 Subrecipient's 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
Exhibit E
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
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
Exhibit E
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 necessary for 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 Recipient's
specifications an Affirmative Action Program in keeping with the principles as provided in
President's 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. Access to 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.
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 Subrecipient's commitments hereunder, and shall post copies in
conspicuous places available to employees and applicants for employment.
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.
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
Exhibit E
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 under this 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
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 Subrecipient's
subrecipients and subcontractors. Failure to fulfill these requirements shall
subject the Recipient, the Subrecipient and any of the Subrecipient's
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
Exhibit E
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.
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.
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.
Hatch Act
The Subrecipient agrees that no funds provided, nor personnel employed under this
Exhibit E
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.
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 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.
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.
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,
Exhibit E
and the extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement;
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:
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
The Subrecipient agrees that funds provided under this Agreement will not be utilized
for explicitly religious activities prohibited by 24 CFR 570.2000), 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 describing:
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 voluntary;
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
10
Exhibit E
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
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.
11
Exhibit E
VIII. WAIVER
The Recipient's 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.
12
Exhibit E
13
CDBG Contract
CITY OF DUBUQUE, IOWA
AND
FOUR MOUNDS FOUNDATION
FY 2023 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) Agreement
THIS AGREEMENT, executed on the 5th day of July, 2022 is entered 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 Foundation 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 a presumed low -and moderate- income population.
NOW THEREFORE, in consideration of the premises and respective covenants,
agreements and representations hereinafter set forth, the parties agree as follows:
SCOPE OF SERVICES:
a. Subrecipient shall:
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 a summer
day camp program for low/moderate income youth. In this regard for
the term of this agreement it shall:
1. Provide activities like challenge ropes course, canoeing,
ecosystem adventures, swimming, creek -stomping, hiking,
games and arts and crafts.
2. Provide team building activities.
ii. 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.
iii. 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
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CDBG Contract
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:
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.
iv. 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 $39,258 for the program.
-2-
CDBG Contract
Any indirect costs charged must be consistent with the conditions of Section
II (C) (3) of the attached Exhibit C, 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, 2022 and shall be completed not later than June 30, 2023.
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.
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 Income
Guidelines in Exhibit D and Standard Contract Requirements in Exhibit C
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 IV of this Agreement. Such amount
shall constitute compensation for establishment of a Microenterprise.
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 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. Reporting and Monitoring.
-3-
In
CDBG Contract
Subrecipient shall render to Recipient an annual written report detailing its
activities and individuals served. Annual report will be due July 15tn
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
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. 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 after being notified by Recipient,
contract suspension or termination procedures shall be initiated.
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 less than five (5) days before the effective date of
such termination.
Notices
Communication and details concerning this Agreement shall be directed to
the following agreement representatives:
Recipient
Dan Kroger
Recreation Division Manager
Leisure Services Department
2200 Bunker Hill Rd.
Dubuque, Iowa 52001
-4-
Subrecipient
Jill Courtney
Executive Director
Four Mounds Foundation
1900 Peru Rd.
Dubuque, Iowa 52001
CDBG Contract
XI. Assignability
Agency shall not assign this Agreement or any interest in this Agreement
without prior written approval of City.
XI. Indemnity. Subrecipient agrees to save, defend, indemnify and hold
harmless City, its officers, agents and employees, against any and all loss,
damage, claims, causes of action, judgments, costs and expenses that City
may hereafter suffer, incur, be put to, pay or lay out by reason of the
performance or lack of performance by Subrecipient and/or its agents and
employees of the conditions of this Agreement.
IN WITNESS WHEREOF, the parties have executed this contract with the referenced
attachment Exhibit A, B, C, and D as of the date first written above.
Witness:
Adrienne Breitfelder, C y Clerk
-5-
City of Dubuque, Iowa
i . • ragh, Mayor
Four Mounds Foundation
l
J II ourtney, Exectw ive Director
CDBG Contract
List of Exhibits
Exhibit A Inclusive Dubuque
Exhibit B City Council Goals and Priorities
Exhibit C Standard Requirements Community Development Block Grant
(CDBG) Agreements
Exhibit D City of Dubuque Income Guidelines for Financial Assistance
-6-
EXHIBIT A
INCLUSIVE dubuque
Connecting People. Strengthening Community
A local network of community leaders from faith, labor, education and government
organizations dedicated to advancing justice and social equity in our community.
-1-
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
organizations across sectors including faith, government,
nonprofit, business, education and more. To see a complete
listing of organizations, visit www.inctusivedbq.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,,
0 providing data and information to inform decisions
# supporting equity education opportunities
. creating and sharing equity tools
These goals are accomplished by supporting .Rartn_e[-lad , sector group and peer4earning 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 raciat/social equity lens to help guide decision- making.
Peer -Learning
Inclusive Dubuque offers peerAearning opportunities — including educatian, training and resources — to network partners
to improve personal and organizational understanding of all types of bias and promote racial and -social equity.
-2-
Winner o[w2O17-18 Dubuque Silver ADDY Award and a20N
Dubuque 366 Community Impact Award, the "|\na
campaign - was part ofalocal partnership between the Network and
the Telegraph Herald 0,redefine aterm deeply embedded inthe
Dubuque community from something used todraw aline between
insiders and outsiders into one that *eicomosrKiwho call
Dubuque home.
Learn more about the campaign at wwwimadubucluencom.
Last year, the Network hsundhed°BestPractices inOiversdy,Equity
and Inclusion," nine -month, 'tearniwork-shop series.
Organized bythe nahvork'sPeer-Learning Council (PL[), the series
^ gives participants the opportunity tohearnabout and engage in best
practices for diversity, equity and inclusion. Sessions took place ona
monthly basis and cover such topics ayleading organizations
throughchange-, meeting organizationalgoats, communication, and
recruitment strategies. The series will wrap tip inJune with
presentations hyparticipants demonstrating how they will apply the
skills they have learned hosupport their organizations' equity and
inclusion goats.
-3-
Network and community members have joined
partner -led working groups to address new
challenges and bring the raciatlsocial equity tens 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.
Sector groups are utilizing a process called Resutts-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 Iowa Community
College and Greater Dubuque Development Corporation
have implemented an outreach strategy to engage
minority community members in Opportunity Dubuque.
• Business: The Dubuque Chamber of Commerce has
created a Minority Business Council with a mission to
guide minority and under -represented business owners
toward local resources.
• Education: The Dubuque Community School District is
disaggregating data regarding Grade -Level Reading,
attendance and graduation rates to help improve out-
comes for at[ students.
• Higher Education: Loras College has implemented
cultural competency training ase part of the Honors
Student Program curriculum
• Government; The City of Dubuque has joined the
Government Alliance on Race and Equity and is
implementing a racial equity toolkit.
• Health: Mercy Medical Center, Crescent Community
Health Center, University of Dubuque, Dubuque's
Human Rights Department, and others are increasing
healthcare access For the Marshallese population
through a community health program that helps remove
barriers to care.
TO LEARN MORE AND FIND OUT HOW YOU CAN GET INVOLVED, VISIT WWWINCLUSIVEDBO.ORG
INCLUSIVEdubuque
Connecting People • Strengthening community
Inclusive Dubuque Is facilitated by the community Foundation of Greater Dubuque.
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BRAD M. CAVANAGH RIC IN, JONES DAVID T. RESNICK SUSAN R. FAROER LAURA J. ROUSSELL DANNY C. SPRANK KATY A.4VETHAL
IVIAY0R AT -LARGE AT -LARGE 1ST WARD 2IND 101ARD 3RD WARD 4TH IiVARD
Over the course of three sessions in August, City Council members affirmed the Is -
year vision statement and mission statement and identified eight five-year goals for
the city. They also identified top and high priorities for a 2021-2023 policy agenda as
well as in -progress projects and capital projects for 2021-2023.
Robust Local Economy: Diverse Businesses and Jobs with Economic Prosperity
Vibrant Community: l Iealthy & Safe
Livable Neighborhoods and Housing; Great Place to Live
Financially Responsible, E{ighaPerforx at�ce City Organization:
Sust-ainabte, Lquitable, and E" rective Service Delivery
Sustainable Environment: Preserving and Enhancing Natural Resources
Partnership for a Better Dubuque:
Building &,_ir C ornr!).Lmity that is Viabte, Livable, and Eclwtabl.e
Diverse .Arts, Culture, Parks, and Recreation Experiences and Activities
*olicy 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.
• Chaplain Schmitt Island Master Plan
Implementation
• City Information & Network Security
• Equitable Poverty Prevention & Reduction
Plan Implementation
• Federal Infrastructure Program Preparation
• Five Flags Center Direction
• Historic Building Rehabilitation/Preservation
• Sewer System Infrastructure Upgrade
(including Catfish Creek Sanitary Sewer
System)
• Bee Branch Watershed Project: Next Steps
• Childcare Initiative
• Community Broadband Expansion
• Complete Streets Concept Implementation:
16th St./Elm St./14th St. Railroad Overpass
Project
• Comprehensive Parks Master Plan
• Imagine Dubuque Implementation
• West End Fire Station
Under each City Council goal are items listed as Management in Progress and
Major Projects. Each goal contains Management in Progress items and many
City Council goals also have major projects associated.
Management in progress are items
that are underway and budgeted.
Staff is implementing and providing
updates to City Council.
Major projects are projects that are
underway and budgeted. Staff is
implementing and providing updates
to City Council.
Robust Local Economy
Management in Progress
• Airport Master Plan: Approval
• Air Service Expansion to Western Hub
• Business Development at the Airport
• Downtown Parking Issues
• Dubuque Brewing & Malting Building
• Facade Loan Program
• Opportunity Dubuque Job Training Program: Financial Support
Major Projects
• Dubuque Riverfront Pilaster Plan (US Army Corps of Engineers)
• Viking Cruise Destination Preparation
Vibrant Community
Management in Progress
• CAD Connection to City Cameras Network
• Fire Department Accreditation
• Police Department Re -Accreditation: Annual Assessment
• Re -Imagining Police
• Traffic Camera System
Livable Neighborhoods & Housing
Management in Progress
• Central Avenue Reinvestment Strategy
• Downtown Commercial Buildings Project
• Port of Dubuque Residential Project (MERGE)
• Safe Housing Initiative
Major Projects
• Hendricks Feed Site Parking Ramp
• Lowell Street Retaining Wall Repair
Financially Responsible,High-
Performance City Organization;
Management in Progress
• ADA Compliance Transition Report
• Cartegraph OMS System Asset Management System Expansion
• Centralized Facility Maintenance and Manager
• City Facilities/Nlork Space Analysis and Plan
• City Legislative Lobbying/Advocacy Agenda 2021
• Citywide Compensation and Benefit Policy and Program
• Digital Signatures
• ERP Software Implementation
• InVision Facility Management Software Implementation
• Resident Satisfaction Survey
• Socrata Software Implementation
Major Projects
• Engine House No. 1 Remodel Project
Sustainable Environment
Management in Progress
• Bee Branch Pollinator Celebration
• Emerald Ash Borer Program
• Lead and Copper Rule Compliance Water Sampling and Testing
• Pollinator Habitat in Park System
• Public Education on BikeableMlalkable Dubuque
• Renew DBQ Solar Program
• Sewer Infrastructure Asset Management
• Water and Resource Recovery Center: Nutrient Trading
Major Projects
• Royal Wood Drive Water Tank Improvement
• SCADA Overhaul: Water
i :--- r.'a--, :__ 0,. M .... ,.F A.+,..i,.
Partnership for a Better Dubuque
Management in Progress
• Civic Action Plan and Civic Leaders Program
• Greater Dubuque Development Corporation 5-year Funding Campaign
Diverse Arts, Culture, Parrs, and
Recreation Experiences and Activities
Management in Progress
• AmeriCorps: Potential Expansion Area
• E. B. Lyons Center Partnership Development
• Mystique Community Ice Center Direction
Major Projects
• Comiskey Park Project
• Eagle Valley Subdivision Park
• English Ridge Subdivision Park
• Grand River Center: Upgrade Projects
Connected Community
Management in Progress
• Comprehensive Pavement Preservation
• Corporate Hangar Repair
• Downtown Parking Ordinance
• Reconstruction of Airport Taxiway Alpha
• Traffic Signal Synchronization/STREETS Program
• Transit Vehicle Replacement
• Wi-Fi in Fixed Route Buses
Major Projects
• Chavenelle Road Hike/Bike Trail
• Comiskey Park Project
• Dupaco/Roshek Parking Project
• 1FK Sidewalks Project: Construction +Assessment
• Northwest Arterial Upgrade (IDOT)
• Roundabouts: Funding
a. University/Pennsylvania: Design
b. University/Asbury: Design
c. University/Loral: Design
• Washington Street Improvements Uth to 9th)
EXHIBIT C
STANDARD REQUIREMENTS
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) AGREEMENTS
TABLE OF CONTENTS
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
REQUIREMENTS ................................................................................ .
........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. Client Data........................................................................................ 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
REPLACEMENT.............4
IV. PERSONNEL AND PARTICIPANT
CONDITIONS.........................................................................4
A. Civil Rights..................................................................................................4
1. Compliance........................................................................................4
2. Nondiscrimination..............................................................................5
3. Land Covenants.................................................................................5
4. Section 504.......................................................................................5
B. Affirmative Action........................................................................................5
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. ENVIRONMENTAL
CONDITIONS...................................................................................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
VIII
WAIVER............................................................................................... .
....................10
IX ENTIRE
AGREEMENT................................................................................................
STANDARD REQUIREMENTS
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) AGREEMENTS
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 recipient's environmental responsibilities described in
24 CFR 570.604 and (2) the Subrecipient does not assume the recipient's
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 always
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 all claims, actions, suits, charges and judgments whatsoever that arise
out of the Subrecipient's 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, signed by a duly authorized representative of both
organizations and approved by the Recipient's 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
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 Recipient's 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 Recipient's
or Subrecipient's 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 Subrecipient to comply with
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
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. Except for certain advances, payments will be made for
eligible expenses 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 Subrecipient's
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
The use and disposition of real property and equipment under this
Agreement shall follow 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 Subrecipient's control that was acquired or
improved, in whole or in part, with funds under this Agreement more
than $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, 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
REPLACEMENT
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
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 necessary for 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 Recipient's specifications an Affirmative Action Program in
keeping with the principles as provided in President's 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 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. Access to 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.
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 Subrecipient's 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 under this 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
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 Subrecipient's subrecipients and subcontractors.
Failure to fulfill these requirements shall subject the Recipient,
the Subrecipient and any of the Subrecipient's 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
10
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.
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
11
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.
12
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 follow up actions taken
to correct areas of noncompliance.
C. Content
The Subrecipient shall cause all 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 ensure 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
13
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
The Subrecipient agrees that funds provided under this Agreement will
not be utilized for explicitly religious activities prohibited by 24 CFR
570.2000), 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 describing:
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
14
those activities must be purely voluntary;
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 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
15
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 Recipient's 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.
16
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.
17
EXHIBIT D
CITY OF DUBUQUE
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
Household
Size
Below 30% AMI
Below 50%
AMI
Below 80%
AMI
Above 80%
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.hudexchange.info/resource/5334/cdbq-income-limits/
Organizations required to verify income are encouraged to use the CPD Income
Eligibility Calculator at https://www.hudexchange.info/incomecalculator/
18