Smart Planning Grant Agreement_IDEDTHE CITY OF
Dui
Masterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: IDED Smart Planning Grant Agreement
DATE: February 14, 2011
Dubuque
hitd
All- Aikdca City
11111,
2007
Planning Services Manager Laura Carstens recommends City Council approval of a
resolution and agreement with the Iowa Department of Economic Development (IDED)
for a Smart Planning Grant with Dubuque County, the City of Dubuque, and six small
cities (Asbury, Cascade, Dyersville, Epworth, Farley and Peosta). This grant will cover
up to 50% of the cost for a new or updated comprehensive plan for each participant.
The other 50% can be "in- kind." The City of Dubuque's share of the grant is $12,000,
and the City's match will be $12,000 of in -kind City staff time and $6,000 in Federal
Highway Administration Metropolitan Planning (PL) funds from DMATS.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Laura Carstens, Planning Services Manager
Mic4el C. Van Milligen
Masterpiece on the Mississippi
TO: Michael Van Milligen, City Manager
FROM: Laura Carstens, Planning Services Manager
SUBJECT: IDED Smart Planning Grant Agreement
DATE: February 11, 2011
Dubuque
bitill
AI-Amain Cit ►
1I r
2007
INTRODUCTION
This memo transmits a resolution and an agreement with the Iowa Department of
Economic Development (IDED) for a Smart Planning Grant with Dubuque County, the
City of Dubuque, and six small cities, for City Council review and approval.
DISCUSSION
The Iowa Smart Planning Local Comprehensive Planning Grant Program is designed to
assist local governments in the development of new or updated comprehensive plans.
ECIA and Dubuque County are coordinating a Smart Planning Grant with the cities of
Dubuque, Asbury, Cascade, Dyersville, Epworth, Farley, and Peosta. These eight
jurisdictions have formed the Dubuque Smart Planning Consortium. The Consortium's
goals are to develop a regional sustainability plan that includes Iowa's Smart Planning
principles, Dubuque's sustainability principles, and watershed planning, and then
incorporates the regional plan's smart planning elements into local comprehensive
plans. The IDED agreement is enclosed.
BUDGET IMPACT
This project will cover up to 50% of the cost per jurisdiction. Of the other 50 %, half of
the match can be "in- kind ". The City of Dubuque does not have any cash match, so our
contribution is as follows: the $12,000 grant allocation for the City of Dubuque will be
matched with $12,000 of in -kind City staff time and $6,000 in PL funds from DMATS.
RECOMMENDATION
I recommend that the City Council approve the enclosed resolution and IDED
agreement for the Smart Planning Grant.
Enclosure
F: \USERS \LCARSTEN \WP \Smart Planning Grant \IDED smart planning grant agreement MVM memo.doc
Masterpiece on the Mississippi
TO: Michael Van Milligen, City Manager
FROM: Laura Carstens, Planning Services Manager !"' '
SUBJECT: IDED Smart Planning Grant Agreement
DATE: February 11, 2011
INTRODUCTION
This memo transmits a resolution and an agreement with the Iowa Department of
Economic Development (IDED) for a Smart Planning Grant with Dubuque County, the
City of Dubuque, and six small cities, for City Council review and approval.
DISCUSSION
The Iowa Smart Planning Local Comprehensive Planning Grant Program is designed to
assist local governments in the development of new or updated comprehensive plans.
ECIA and Dubuque County are coordinating a Smart Planning Grant with the cities of
Dubuque, Asbury, Cascade, Dyersville, Epworth, Farley, and Peosta. These eight
jurisdictions have formed the Dubuque Smart Planning Consortium. The Consortium's
goals are to develop a regional sustainability plan that includes Iowa's Smart Planning
principles, Dubuque's sustainability principles, and watershed planning, and then
incorporates the regional plan's smart planning elements into local comprehensive
plans. The IDED agreement is enclosed.
BUDGET IMPACT
This project will cover up to 50% of the cost per jurisdiction. Of the other 50 %, half of
the match can be "in- kind ". The City of Dubuque does not have any cash match, so our
contribution is as follows: the $12,000 grant allocation for the City of Dubuque will be
matched with $12,000 of in -kind City staff time and $6,000 in PL funds from DMATS.
RECOMMENDATION
I recommend that the City Council approve the enclosed resolution and IDED
agreement for the Smart Planning Grant.
Enclosure
F: \USERS \LCARSTEN \WP \Smart Planning Grant \IDED smart planning grant agreement MVM memo.doc
Dubuque
bard
All- America City
111111
2007
IOWA DEPARTMENT OF ECONOMIC DEVELOPMENT
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) PROGRAM
PLANNING DISASTER RECOVERY FUND CONTRACT
CDBG CONTRACT NUMBER: City of 08- DRPG -218
EFFECTIVE DATE: November 19, 2010
AWARD AMOUNT: $89,000
END DATE: November 19, 2012
THIS COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM ( "CDBG ") DISASTER RECOVERY
CONTRACT is made by and between the IOWA DEPARTMENT OF ECONOMIC DEVELOPMENT, 200 East Grand Avenue,
Des Moines, Iowa 50309 ( "Department" or "IDED ") and Dubuque County ( "Recipient "), effective as of the date stated above.
WHEREAS, the Department is designated to receive, administer, and disburse CDBG funds; and
WHEREAS, the Department received funds under the Consolidated Appropriations Act, 2009 (Public Law 110 -329)
under the CDBG program; and
WHEREAS, the Department desires to disburse grant funds to the Recipient for eligible purposes meeting the national
objectives of the CDBG Progratn pursuant to 24 C.F.R. 570.208(d)(4); and
WHEREAS, the Recipient submitted an application for funding to Rebuild Iowa Office ( "RIO "), and RIO has approved
such application; and
WHEREAS, based on the application approved by RIO, the Department has determined to fund the activity described
therein; and
WHEREAS, the Department has retied upon the representations of proposed Project activities; management and financial
condition of the Recipient; investment of other Project funds; and other material information contained therein; and
NOW, THEREFORE, the Recipient accepts this grant upon the terms and conditions set forth in this Contract. In
consideration of the mutual promises contained in this Contract and other good and valuable consideration, it is agreed as follows:
ARTICLE 1
DEFINITIONS
As used in this Contract, the following terms shall apply:
1.1 ACT. "Act" means Title I of the Housing and Community Development Act of 1974 as amended (42 U.S.C. 5301 et seq.) and the
regulations now or hereafter promulgated thereunder and the guidance now or hereafter disseminated with respect thereto.
1.2 ACTIVITY. "Activity" is a discrete item of work as determined to be eligible under 24 CFR Part 570.482. Activities are line
items in the budget and have specific performance targets.
1.3 ALLOWABLE COSTS. "Allowable Costs" are those costs which are identified on Attachment A, Program Description and
Budget; Attachment B, Application; and consistent with Federal regulations and the Program Rules.
1.4 COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM (CDBG). " Community Development Block Grant Program"
means the grant program authorized by Title I of the Housing and Community Development Act of 1974, as amended.
1.5 CONSOLIDATED APPROPRIATIONS ACT. "Consolidated Appropriations Act" means the Consolidated Security, Disaster
Assistance, and Continuing Appropriations Act of 2009 (Pub.L. 110 -329).
1.6 CONTRACT EXPIRATION DATE. "Conflict Expiration Date" means the date the Contract ceases to be in force and effect.
The Contract expires upon the occurrence of one of the following: a) the Recipient fulfills the conditions and Project activities agreed to
herein as of the end date stated above; or b) the Contract is terminated by the Department due to any default under Article 9; or c) the
Contract is terminated in accordance with provisions set forth in Sections 8 and 9 of the General Provisions, Attachment C of this Contract.
ARTICLE 2
FUNDING
Contract Number 08 -DRPG -218
Page 2 of 16
1.7 CONTRACT. "Contract" means this Contract and all other instruments or documents executed by the Recipient or otherwise
required in connection with the Contract, including the CDBG grant application together with any related submittal documents.
1.8 GRANT. "Grant" means the award of CDBG funds to the Recipient for Project activities.
1.9 GUIDE. "Guide" means, collectively, the Iowa Smart Planning Local Comprehensive Planning Grant Program Application
Guidelines and the Iowa Community Development Block Grant Smart Planning Management Guide available from the Department.
1.10 HUD. "HUD" means the U.S. Department of Housing and Urban Development.
1.11 PROGRAM. "Program" means the Community Development Block Program for Disaster Recovery authorized pursuant to the
Program Rules,
1.12 PROGRAM INCOME. "Program Income" shall have the meaning for such teen set forth in 24 CFR 570.500(a), as modified by
the Program Rules.
1.13 PROGRAM RULES. "Program Rules" means the Act, as modified by the Consolidated Appropriations Act, and the regulations
now or hereafter promulgated thereunder and the guidance now or hereafter disseminated with respect thereto including but not limited to
HUD Notices published in the Federal Register on September I I, 2008, December 19, 2008, February 13, 2009 and August 14, 2009, and
any additional HUD Notices or other guidance that may be disseminated.
1.14 PROJECT. "Project" means the totality of work, services, and activities to be performed or accomplished by the Recipient as
described in this Contract and the CDBG application approved by the Rebuild Iowa Office.
2.I FUNDING SOURCE. The source of funding for the Grant is a Federal appropriation for the Program.
2,2 RECEIPT OF FUNDS. All payments under this Contract are subject to receipt by the Department of sufficient Federal funds for
the CDBG program. Any termination, reduction or delay of CDBG funds to the Department shall, at the option of the Department, result in
the termination, reduction or delay of CDBG funds to the Recipient.
23 PRIOR COSTS. If any Recipient has received written approval from the Department to incur certain costs prior to the Effective
Date of this Contract, then said written approval and the tenns and conditions therein are incorporated herein and made a part of this Contract
by this reference as if fully set forth; provided, however, that no such costs incurred prior to November 19, 2010 shall be reimbursed. Any
such costs incurred prior to the Effective Date of this Contract are subject to the Special Conditions and General Conditions of this Contract.
2.4 DISBURSEMENT OF LESS THAN THE TOTAL AWARD AMOUNT. If the total award amount has not been requested by
the Recipient within ninety (90) days after the Contract Expiration Date, then the Department shall be under no obligation for further
disbursement. The Department may allow access to funds after this time for allowable costs associated with the conduct of the audits
required in Articla.2.0 of the General Provisions, Attachment C to this Contract.
ARTICLE 3
TERMS OF GRANT
3.1 TIME OF PERFORMANCE. The services of the Recipient are to commence as of the Effective Date and shall be undertaken in
such a manner as to assure their timely and expeditious completion. All of the services required hereunder shall be completed on or before
the End Date.
3.2 MAXIMUM PAYMENTS. It is expressly understood and agreed that the maximum amounts to be paid to the Recipient by the
Department for any item of work or service shall conform to the budget as presented in Attachment A, "Program Description and Budget." It
is further understood and agreed that the total of all payments to the Recipient by the Department for all work and services required under
this Contract shall not exceed the Award Amount unless modified by written amendment of this Contract as provided for in Section 1.0 of the
General Provisions, Attachment C of this Contract.
3.3 LOCAL EFFORT REQUIREMENTS. The Recipient agrees to provide local cash contribution to the Project as defined in the
"Local" column of the budget shown on Attachment A, "Program Description and Budget." Expenditures above this level, necessary to
complete the statement of work and services, shall be paid with local funds. Reports of' the local funds expended shall be included in the
Request for Payment/Activity Status Report specified in Article 8.1(b), "Reports."
Document Prepared by: Jeff Geerts CDBG Disaster Recovery infrastructure Contract Format
Revised November 2009
ARTICLE 5
USE OF FUNDS
Contract Number 08 -DRPG -218
Page 3 of 16
3.4 ADMINISTRATION. This Contract shall be administered in accordance with 261 Iowa Administrative Code, Chapter 23 and all
applicable State and Federal taws and regulations, including the Iowa Community Development Block Grant Smart Planning Management
Guide, which has been distributed by IDED to the Recipient, to the extent applicable to the Program and not in conflict with the Program
Rules.
ARTICLE 4
PERFORMANCE TARGET ACHIEVEMENT
4,1 PERFORMANCE TARGETS. As part of the first request for funds pursuant to this Agreement, the Recipient shall submit a
projected budget for all funds granted pursuant to this Contract, including each activity, associated budget, and performance measure. If
these items change over the term of the Contract, the Recipient shall submit the requested changes in the initial budget submitted to the
Department. By the Contract Expiration Date, the Recipient shall have substantially accomplished the activities and performance targets as
estimated by the Recipient as set forth in the budget as amended by those amendments thereto approved by the Department.
4.2 CALCULATION OF PROJECT COMPLETION. The Department has the final authority to assess whether the Recipient has
met their performance targets at the Contract End Date. The Department shall determine completion according to the performance targets set
forth in Attachment A, "Program Description and Budget" and performance expecations set forth in Attachment D "Iowa CDBG Grantee
Program Smart Planning Grant Expectations." The Department reserves the right to monitor and measure at any time during and after the
Contract tern the achievement of the performance targets.
5.1 GENERAL. The Recipient shall perform in a satisfactory and proper manner, as determined by the Department, the work
activities and services as written and described in the application approved by RIO (Attachment B) as summarized in the Recipient's
approved Program Description and Budget (Attachment A) and performance expectations set forth Attachment D "Iowa CDBG Grantee
Program Smart Planning Grant Expectations ".
5.2 PROGRAM INCOME. No Program Income is intended or expected to be generated under and pursuant to the Program. If
Program Income is generated, such Program Income shall be distributed and/or expended in accordance with written instructions from IDED.
5.3 BUDGET REVISIONS. Budget revisions shall be subject to approval of the Department through the Contract amendment
process. Budget line item decreases that would lower the Recipient's performance level required under this Contract must be first approved
by the Department through the amendment process. In no instance shall a budget revision result in total costs exceeding the total Contract
amount. Budget revisions shall be compatible with the terns of this Contract and be of such a nature as to qualify as an allowable cost.
Budget revisions requested during the final ninety (90) days of the Contract period will be approved by the Department only if it determines
that the revisions are necessary to complete all activities. The Department retains the right to amend this contract to reduce the award amount
when necessary to achieve an equitable distribution of funds for all areas of the State.
5.4 DUPLICATION OF BENEFITS. 42 U.S.C. 5155 provides that any federal agency administering any program providing
financial assistance to person, business concerns or other entities suffering losses as a result of a major disaster or emergency, shall assure
that no such person, business concern, or other entity will receive such assistance with respect to any part of such loss as to which it has
received financial assistance under any other federal program or from insurance or any other source (the "Duplication of Benefits Rules ").
IDED will work with the Recipient to review projects undertaken pursuant to this Contract to assure compliance with the Duplication of
Benefits Rules as a condition to disbursing funds to the Recipient.
5.5 DISASTER RECOVERY REQUIREMENT. Use of all funds pursuant to this Contract shall be for necessary expenses related
to disaster relief, long -teen recovery and restoration of infrastructure, housing and economic revitalization in areas covered by the
declarations of major disaster under Title IV of the Roberi'1. Stafford Disaster Relief and Emergency Act (42 U.S.C., Section 5721 et Seq.)
designated Disaster No. 1763.
5.6 NO ACQUISITION OF PROPERTY. The Activities permitted under and pursuant to this Contract do not permit the acquisition
of property.
5.7 COMPLIANCE WITH PROGRAM RULES. All activities conducted and services performed pursuant to this contract shall be
conducted and performed in compliance with the Program Rules and the Guide to the extent the Guide is not in conflict with the Program
Rules.
Document Prepared by: Jeff Geerts CDBG Disaster Recovery Infrastructure Contract Format
Revised November 2009
Contract Number 08 -DRPG -218
Page 4 of 16
ARTICLE 6
CONDITIONS TO DISBURSEMENT OF FUNDS
Unless and until the following conditions have been satisfied, the Department shall be under no obligation to disburse to the Recipient any
amounts under this Contract:
6.1 CONTRACT EXECUTED. The Contract shall have been properly executed and, where required, acknowledged.
6.2 COMPLIANCE WITH ENVIRONMENTAL AND HISTORIC PRESERVATION REQUIREMENTS. The Activities
permitted under and pursuant to this Contract are exempt Activities pursuant to 24 CFR Part 58.34(a)(1).
6.3 PERMITS AND LICENSES. The Department reserves the right to withhold funds until the Department has reviewed and
approved all material, such as permits or Licenses from other state or Federal agencies, which may be required prior to Project
commencement.
6.4 EXCESSIVE FORCE POLICY. The Department, prior to release of funds under this Contract, shall review and approve the
Recipient's policy on protecting individuals engaged in nonviolent civil rights demonstrations from the use of excessive force by law
enforcement agencies within its jurisdiction, and enforcing state and local laws against physically barring entrance to or exit from a facility or
location which is the subject of such nonviolent civil rights demonstrations within its jurisdiction, consistent with the provisions of Section
906 of the National Affordable Housing Act of 1990 and Subsection 104(1) of the Housing and Community Development Act of 1974, as
amended.
6.5 CONDITIONS TO DISBURSEMENT NECESSITATING OUTSIDE AGENCY ACTION FOR A SPECIFIC ACTIVITY.
For each activity number listed below, the Recipient shall comply with the corresponding applicable conditions prior to release of funds for
that activity. If no applicable conditions are identified below, none of the conditions in this Section shall apply to the activities funded by this
Contract as described in Attachment A to the Contract,
ACTIVITY APPLICABLE OUTSIDE
NUMBER(S) CONDITIONS AGENCY
(a) FUNDING. Funding shall be contingent upon receipt of adequate funds from the identified agency to complete the
Project described. The Recipient must submit a copy of the notification of said funding commitment, if applicable, to the
Department before funds can be released to the Recipient. If there is a reduction in the amount of the fiends available from this
source, the Recipient shall identify an alternative source of funds, and the change in funding sources shall be reflected in an
amendment to this Contract. If the funds from the identified agency are rejected, this award is no longer valid. if the other funding
is not obligated to the Recipient within three (3) months following the announcement of the CDBG award, the CDBG funds shall
be considered available to the Department for allocation to other Projects, and the provisions of the CDBG Administrative Rules
concerning contingent awards shall apply.
(b) SUBRECIPIENT AGREEMENT. The Department, prior to the release of funds, shall review and approve the
subrecipient agreement between the Recipient and the identified agency.
(c) CONTINGENT FUNDING. The Department has awarded these funds contingent upon receipt of other funding from the
identified agency.
ARTICLE 7
REPRESENTATIONS AND WARRANTIES OF RECIPIENT
To induce the Department to make the Grant referred to in this Contract, the Recipient represents, covenants and warrants that:
7,1 AUTHORITY. The Recipient is duly authorized and empowered to execute and deliver the Contract. All required actions on the
Recipient's part, such as appropriate resolution of its governing board for the execution and delivery of the Contract, have been effectively
taken.
7.2 FINANCIAL INFORMATION. All financial statements and related materials concerning the Project provided to the Department
are true and correct in all material respects and completely and accurately represent the subject matter thereof as of the Effective Date of the
statements and related materials, and no material adverse change has occurred since that date.
7.3 APPLICATION. The contents of the application the Recipient submitted to RIO for CDBG funding is a complete and accurate
representation of the Project as of the date of submission and there has been no material adverse change in the organization, operation, or
key personnel of the Recipient since the date the Recipient submitted its CDBG Disaster Recovery Fund application to RIO.
Document Prepared by: Jeff Geerts CDBG Disaster Recovery Infrastructure Contract Format
Revised November 2009
7.4 CLAIMS AND PROCEEDINGS. There are no actions, lawsuits or proceedings pending or, to the knowledge of the Recipient,
threatened against the Recipient affecting in any manner whatsoever their rights to execute the Contract or the ability of the Recipient to
make the payments required under the Contract, or to otherwise comply with the obligations of the Contract. There are no actions, lawsuits
or proceedings at law or in equity, or before any governmental or administrative authority pending or, to the knowledge of the Recipient,
threatened against or affecting the Recipient or any property involved in the Project.
7.5 PRIOR AGREEMENTS. The Recipient has not entered into any verbal or written contracts, agreements or arrangements of any
kind which are inconsistent with the Contract.
7.6 EFFECTIVE DATE. The covenants, warranties and representations of this Article are made as of the Effective Date of this
Contract and shall be deemed to be renewed and restated by the Recipient at the time of each advance or request for disbursement of funds.
REPORT
Request for Payment — Planning Report
Progress Report
Final Request for Payment — Planning Report with
Resolution that the Consolidated Plan has been adopted
Updates to the Applicant/Recipient Disclosure Report
Audit Report
Other reports as required by IDED and the Program Rules
ARTICLE 8
COVENANTS OF THE RECIPIENT
S.1 AFFIRMATIVE COVENANTS. Until the Project has been closed out, audited, and approved by IDED, the Recipient covenants
with IDED that:
(a) PROJECT WORK AND SERVICES. The Recipient shall perform the work and services detailed in the CDBG
Attachment A by the Contract End Date.
(b) REPORTS. The Recipient shall prepare, review and sign the requests and reports as specified below in the form and
content specified by the Department. The Recipient shall review all Requests for Payment and verify that claimed expenditures are
allowable costs. The Recipient shall maintain documentation adequate to support the claimed costs.
Final Report — Consolidated Plan and an attachment that
outlines how the entity will implement the plan and maintain
planning process in the future
DUE DATE
As funds are needed (original and three copies)
At the end of the first and second year of funding
Within 60 days of Contract End Date
Within 60 days of Contract End Date
As needed due to changes
Within 30 days of Audit Completion
As needed
Contract Number 08 -DRPG -218
Page 5of18
The Department reserves the right to require more frequent submission of the Activity Status Report than as shown above if, in the
opinion of the Department, more frequent submissions would help improve the Recipient's CDBG program.
(c) RECORDS. The Recipient shall maintain books, records, documents and other evidence pertaining to all costs and
expenses incurred and revenues received under this Contract in sufficient detail to reflect all costs, direct and indirect, of labor,
materials, equipment, supplies, services and other costs and expenses of whatever nature, for which payment is claimed under this
Contract. The Recipient shall maintain books, records and documents in sufficient detail to demonstrate compliance with the
Contract and shall maintain these materials for a period of five (5) years beyond the date upon which the final audit of the Project is
accepted by IDED. Records for non - expendable property acquired under this Contract shall be retained for a five (5) year period
after the final disposition of property. Records shall be retained beyond the prescribed period if any litigation or audit is begun or if
a claim is instituted involving the grant or agreement covered by the records. In these instances, the records shall be retained until
the litigation, audit or claim has been finally resolved.
(d) ACCESS TO RECORDS /INSPECTIONS. The Recipient shall, without prior notice and at any time, permit HUD or its
representatives, the General Accounting Office or its representatives, and the Department, its representatives or the State Auditor to
examine, audit and/or copy (i) any plans and work details pertaining to the Project, (ii) all of the Recipient's books, records and
Document Prepared by: Jeff Geerts CDBG Disaster Recovery Infrastructure Contract Format
Revised November 2009
Contract Number 08 -ORPG -218
Page 6 of 16
accounts, and (iii) all other documentation or materials related to this Contract; the Recipient shall provide proper facilities for
making such examination and /or inspection.
(e) USE OF GRANT FUNDS. The Recipient shall expend funds received under the Contract only for the purposes and
activities described in its Application to RIO, this Contract and as approved by the Department.
(f) DOCUMENTATION. The Recipient shall deliver to IDED, upon request, (i) copies of all contracts or agreements
relating to the Project, (ii) invoices, receipts, statements or vouchers relating to the Project, (iii) a list of all unpaid bills for labor
and materials in connection with the Project, and (iv) budgets and revisions showing estimated Project costs and funds required at
any given time to complete and pay for the Project.
(g) NOTICE OF PROCEEDINGS, The Recipient shall promptly notify IDED of the initiation of any claims, lawsuits or
proceedings brought against the Recipient.
(h) INDEMNIFICATION, The Recipient shall indemnify and hold harmless the Department, its officers and employees
from and against any and all claims or losses accruing or resulting from any and all claims of subcontractors, laborers and any other
person, firm or corporation furnishing or supplying work, services, materials or supplies in connection with the performance of this
Contract (singularly, a "Vendor" and, collectively, "Vendors ") and from any and all claims and losses accruing or resulting from
any person, firm or corporation who may be injured or damaged by the Recipient in the performance of this Contract, including but
not limited to claims under worker's compensation acts, claims of damages because of bodily injury including personal injury,
sickness or disease, death, injury to or destruction of tangible property including but not limited to loss of use therefrom; and from
claims arising out negligent errors, omissions or acts of the Recipient. The Recipient shall require that any subrccipient or Vendor
provide such indemnification to the Department in addition to the indemnification provided by the Recipient.
(i) NOTICE TO DEPARTMENT. In the event the Recipient becomes aware of any material alteration in the Activity,
initiation of any investigation or proceeding involving the Project, or any other similar occurrence, the Recipient shall promptly
notify the Department.
(j} CERTIFICATIONS. The Recipient certifies and assures that the Activity will be conducted and administered in
compliance with all applicable Federal and State laws, regulations and orders. Certain statutes are expressly made applicable to
activities assisted under the Act by the Act itself, while other laws not referred to in the Act may be applicable to such activities by
their own terms. The Recipient certifies and assures compliance with the applicable orders, laws and implementing regulations,
including but not limited to, the following, as modified by the waivers and alternative requirements contained in the Program
Rules:
(i) Financial Management guidelines issued by the U.S. Office of Management and Budget, OMB Circular A -133
( "Single Audit Act Amendment of 1996 "), OMB Circular A -122 ( "Cost Principles for Nonprofit Organizations "), OMB
Circular A -87 ( "Principles for Determining Costs Applicable to Grants and Contracts with State, Local and Federally
recognized Indian Tribal Governments ").
(ii) Title 1 of the Housing and Community Development Act of 1974 as amended (42 U.S.C. 530] et seq.); and
regulations which implement these laws, as modified by the waivers and alternative requirements published in the
Federal Register on September 11, 2008.
(iii) Title VI of the Civil Rights Act of 1964 as amended (Public Law 88 -352; 42 U.S.C. 2000d el seq.); Title VIIi
of the Civil Rights Act of 1968 as atnended (Public Law 90 -284; 42 U.S.C. 3601 ct seq.); the Iowa Civil Rights Act of
1965; Chapter 19B.7, 2003 Code of Iowa, and Iowa Executive Order #34, dated July 22, 1988; Iowa Code Chapter 216,
Presidential Executive Order 11063, as amended by Executive Order 12259; Presidential Executive Order 11246, as
amended; Section 504 of the Vocational Rehabilitation Act of 1973 as amended (29 U.S.C. 794); the Age Discrimination
Act of 1975 as amended (42 U.S.C. 6101 et seq.); the Americans with Disabilities Act, as applicable, (P. L. 101 -336, 42
U.S.C. 12101- 12213); and related Civil Rights and Equal Opportunity statutes; and regulations which implement these
laws.
(iv) Fair Housing Act, Public Law 90 -284;. The Public Fair Housing Act is part of Title VIII of the Civil Rights Act
of 1968 as amended (42 U.S.C. 3601 et seq.); Section 109 of the Title i of the Housing and Community Development Act
of 1974, as amended; Section 3 of the Housing and Urban Development Act of 1968 as amended (12 U,S.C. 1701u); and
regulations which implement these laws.
(v) Department of Housing and Urban Development regulations governing the CDBG program, 24 Code of
Federal Regulations, Part 570.
Document Prepared by: Jeff Geerts CDBG Disaster Recovery infrastructure Contract Format
Revised November 2009
(vi) Section 102 of the Department of Housing and Urban Development Reform Act of 1989 (P.L. 101 -235), and
implementing regulations.
(vii) Lead Based Paint Poisoning Prevention Act (42 U.S.C. 4821 - 4846), as amended, and implementing
regulations.
(viii) Davis -Bacon Act, as amended (40 U.S.C. 276a - 276a -5), where applicable under Section 110 of the Housing
and Community Development Act of 1974, as amended; Contract Work Flours and Safety Standards Act (40 U.S.C. 327
et seq.); the Copeland Anti - Kickback Act (18 U.S.C. 874); and regulations which implement these laws.
(ix) National Environmental Policy Act of 1969 and implementing regulations.
(x) Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, (URA)(42
U.S.C. 4601 - 4655) and implementing regulations; Section [04(d) of the Housing and Community Development Act of
1974, as amended, governing the residential antidisplacement and relocation assistance plan; Section 105(a)(1 1) of the
Housing and Community Development Act of 1974, as amended, governing optional relocation assistance, each as
modified and/or waived by the Program Rules.
(xi) Administrative rules adopted by the Iowa Department of Economic Development, 261 Iowa Administrative
Code, Chapter 23, to the extent applicable to the Program and not in conflict with the Program Rules.
(xii) Financial and Program Management guidelines issued by the Iowa Department of Economic Development: the
IDED Audit Guide and the Guide, to the extent applicable to the Program and not in conflict with the Program Rules.
(xiii) Government -wide Restriction on Lobbying Certification [Section 319 of Public Law 101 -121] and
implementing regulations.
(x iv) Fair Labor Standards Act and implementing regulations.
(x v) Hatch Act (regarding political partisan activity and Federally funded activities) and implementing regulations.
(xvi) Citizen participation, hearing and access to information requirements found under sections 104(a)(2) and
I04(a)(3) of Title I of the Housing and Community Development Act of 1974, as amended, and as modified by the
waivers and alternative requirements published in the Federal Register on September 11, 2008.
(xvii) Subsection 104(1) of Title I of the Housing and Community Development Act of 1974, as amended, regarding
the prohibition of the use of excessive force in nonviolent civil rights demonstrations and the enforcement of state and
local laws on barring entrance to or exit from facilities subject to such demonstrations.
(xviii) Drug -Free Workplace Act.
(xix) Senate File 2389, 83" G.A., 2' Sess. (Iowa 2010), Division VII,
8.2 NEGATIVE COVENANTS. During the Contract term the Recipient covenants with IDED that it shall not, without the prior
written disclosure to and prior written consent of IDED, directly or indirectly:
(a) ASSIGNMENT. Assign its rights and responsibilities under this Contract.
(b) ADMINISTRATION. Discontinue administration activities under the Contract.
ARTICLE 9
DEFAULT AND REMEDIES
9.1 EVENTS OF DEFAULT. The following shalt constitute Events of Default under this Contract:
Contract Number 08 -DRPG -218
Page 7of16
(a) MATERIAL MISREPRESENTATION. If at any time any representation, warranty or statement made or furnished to
the Department by, or on behalf of the Recipient in connection with this Contract or to induce the Department to make a grant to
the Recipient shall be determined by the Department to be incorrect, false, misleading or erroneous in any tnaterial respect when
made or furnished and shall not have been remedied to the Department's satisfaction within thirty (30) days after written notice by
the Department is given to the .Recipient.
Document Prepared by: Jeff Geerts CDBG Disaster Recovery Infrastructure Contract Format
Revised November 2009
ARTICLE 10
INCORPORATED DOCUMENTS
1. Attachment A, "Program Description and Budget."
2. Attachment B, "Application submitted-to RIO."
3. Attachment C, "CDBG Program General Provisions," dated September 23, 2008.
4. Attachment D, "Iowa CDBG Grantee Program Smart Planning Grant Expectations."
Contract Number 08 -DRPG -218
Page 8of16
(b) NONCOMPLIANCE. If there is a failure by the Recipient to comply with any of the covenants, terms or conditions
contained in this Contract.
(c) CONTRACT EXPIRATION DATE. If the Project, in the sole judgment of the Department, is not completed on or
before the Contract Expiration Date.
(d) MISSPENDING. If the Recipient expends Grant proceeds for purposes not described in the CDBG Disaster Recovery
Fund application, this Contract, or as authorized by the Dcpartrnent.
9,2 NOTICE OF DEFAULT. IDED shall issue a written notice of default providing therein a fifteen (15) day period in which the
Recipient shall have an opportunity to cure, provided that cure is possible and feasible.
9.3 REMEDIES UPON DEFAULT. If, after opportunity to cure, the default remains, IDED shall have the right, in addition to any
rights and remedies available to it to do one or more of the following:
(a) exercise any remedy provided by law,
(b) require immediate repayment of up to the full amount of funds disbursed to the Recipient under this Contract plus
interest.
9.4 FAILURE TO MEET PERFORMANCE TARGETS. if the Recipient is determined by the Department to be in default of this
Contract due to meeting less than one hundred percent (100 %) of its Performance Targets, the Department may require full Grant repayment
or, at its discretion, the Department may require partial repayment of Grant proceeds which allows partial credit for the performance targets
which have been met, or the Department may require other remedies that the Department determines to be appropriate.
10.1 DOCUMENTS INCORPORATED BY REFERENCE. The Recipient shall comply with the terms and conditions of the
following documents which are hereby incorporated by reference:
10.2 ORDER OF PRIORITY. In the event of a conflict between documents of this Contract, the following order of priority shall
govern:
I. Articles 1 through 11 herein.
2. Attachment C, "CDBG Program General Provisions," dated September 23, 2003.
3. Attachment A, "Program Description and Budget."
4. Attachment B, "Application submitted to RIO."
5.. Attachment D, "Iowa CDBG Grantee Program Smart Planning Grant Expectations."
10.3 SUPERSEDING AUTHORITY. Notwithstanding any provision herein to the contrary, in the event of any provision of this
Contract, including Attachments A, B, C and D, conflicts with any of the Program Rules, such conflicting provisions shall be of no
force and effect, the Program Rules shall apply in lieu thereof as though fully set forth herein.
ARTICLE 11
MISCELLANEOUS
11.1 LIMIT ON GRANT PROCEEDS ON HAND. The Recipient shall request Project funds only as needed and shall not have more
than five hundred dollars ($500.00) of Grant proceeds, including earned interest, on hand for a period of longer than ten (10) working days,
after which time any surplus amount shall be returned to the Department,
11.2 BINDING EFFECT. This Contract shall be binding upon and shall inure to the benefit of the Department and Recipient and their
respective successors, legal representatives and assigns. The obligations, covenants, warranties, acknowledgments, waivers, agreements,
terms, provisions and conditions of this Contract shall be jointly and severally enforceable against the parties to this Contract.
Document Prepared by: Jeff Geerts CDBG Disaster Recovery Infrastructure Contract Format
Revised November 2009
Contract Number 08 -DRPG -218
Page 9 of 16
11.3 SURVIVAL OF CONTRACT. if any portion of this Contract is held to be invalid or unenforceable, the remainder shall be valid
and enforceable. The provisions of this Contract shall survive the execution of all instruments herein mentioned and shall continue in full
force until the Project is completed as determined by the Department.
11.4 GOVERNING LAW. This Contract shall be interpreted in accordance with the laws of the State of Iowa, and any action relating
to the Contract shall only be commenced in the Iowa District Court for Polk County or the United States District Court for the Southern
District of Iowa.
11.5 NOTICES. Whenever this Contract requires or permits any notice or written request by one party to another, it shall be in writing,
enclosed in an envelope, addressed to the party to be notified at the address heretofore stated (or at such other address as may have been
designated by written notice), properly stamped, sealed and deposited in the United States Mail. Any such notice given hereunder shall be
deemed delivered upon the earlier of actual receipt or two (2) business days after posting. The Department may rely on the address of the
Recipient set forth heretofore, as modified from time to time, as being the address of the Recipient.
11.6 WAIVERS. No waiver by the Department of any default hereunder shall operate as a waiver of any other default or of the sane
default on any future occasion. No delay on the part of the Department in exercising any right or remedy hereunder shall operate as a
waiver thereof. No single or partial exercise of any right or remedy by the Department shall preclude future exercise thereof or the exercise
of any other right or remedy.
11.7 LIMITATION. It is agreed by the Recipient that the Department shall not, under any circumstances, be obligated financially
under this Contract except to disburse funds according to the terms of the Contract.
11.8 HEADINGS. The headings in this Contract are intended solely for convenience of reference and shall be given no effect in the
construction and interpretation of this Contract.
11.9 INTEGRATION, This Contract contains the entire understanding between the Recipient and the Department and any
representations that may have been made before or after the signing of this Contract, which are not contained herein, are nonbinding, void
and of no effect. None of the parties have relied on any such prior representation in entering into this Contract.
11.10 COUNTERPARTS. This Contract may be executed in any number of counterparts, each of which shall be deemed to be an
original, but all of which together shall constitute one and the same instrument.
Document Prepared by: Jeff Gcerts CDBG Disaster Recovery Infrastructure Contract Format
Revised November 2009
IN WITNESS WHEREOF, the parties have executed this Contract as of the Effective Date first stated.
RECIPIENT: Dubuque County
BY:
IOWA DEPARTMENT OF ECONOMIC DEVELOPMENT:
BY:
Timothy R. Waddell, Division Administrator
Typed or Printed Name and Title
Contract Number 08 -DRPG -218
Page 10 of 16
Document Prepared by: Jeff Geerts CDBG Disaster Recovery Infrastructure Contract Format
Revised November 2009
Name of Recipient: Dubuque County
Name of Subreciplent: •
Contract Number: 08-DRPG-218
b0 PIO in OY
0V.
::::-:::::
,,,,, ,,-- ,-,:;VA:',':V:,V,:k'4-',..:W
*Ci.'0094161, :, ' '
-A,1,
.,... FOMANCE 'rRGET ''' - :: :: ' . i
::::',.::A9:
M,,. C DBG
L Vi
'
Activity - 2: Planning - Recipient will update the Dubuque
County Comprehensive Plan
1. All participating governing bodies
have adopted the regional plan and
have committed in writing to update
their comprehensive plan to reflect the
goals and objectives of the regional
plan. 2. One hardcopy & one electronic
copy of plan submitted to the
department (1DED). 3. Watershed
Planning Authority established that can
Implement conservation practices and
establish regulations that are advisory.
$89,000
$95,000
$184,000
Sub-Activity 1: Data & inventory (examples: review of other
plans, data gathering, data development)
Sub-Activity 2: Mapping Activities (examples: base mapping
activities, future land use map)
Sub-Activity 3: Public Participation Activities (examples:
visioning, meeting spaces, surveys)
Sub-Activity 4: Development of Plan Alternatives (examples:
plan document preparation, printing, distribution)
Sub-Activity 5: Other Activities
Provide education on and establishment
of Watershed Planning Authority
ADMINISTRATION 181
$0
TOTAL AMOUNT OF ALL FUNDS BUDGETED:
$89,000
$95,000
$184,000
Contract 08-DRPG-218
Page 11 of 16
CDBG Contract Format
Revised March 2006
IOWA CDBG GRANTEE PROGRAM DESCRIPTION & BUDGET
ATTACHMENT A DATE; November 30, 2010
LasALMAlattlirsaksloyn
$45,500.00 = Cash
$49,500.00 =
895,000.00 = Total
gr\projectsIbcf\recipients1cdbXDBG 2004 WS_CF AltachA,xls
1.0 AMENDMENT.
ATTACHMENT C
GENERAL PROVISIONS
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
September 23, 2008
Contract Number
Page 12 of lb
(a) WRITING REOUIRED. The Contract may only be amended through written prior approval of IDED. Examples of
situations where amendments are required include extensions for completion of Project activities, changes to the Project including,
but not limited to, alteration of existing approved activities or inclusion of new activities.
(b) UNILATERAL MODIFICATION. Notwithstanding paragraph "a" above, IDED may unilaterally modify the Contract
at will in order to accommodate any change in the Act or the Program Rules or any change in the interpretation of the Act or the
Program Rules or any other applicable Federal, State or local laws, regulations, rules or policies. A copy of such unilateral
modification will be given to the Recipient as an amendment to this Contract.
(c) IDED REVIEW. IDED will consider whether an amendment request is so substantial as to necessitate reevaluating
iDED's original funding decision on the Project. An amendment will be denied if it substantially alters the circumstances under
which the Project funding was originally approved or if it does not meet requirements set forth in 261 Iowa Administrative Code,
Chapter 23, to the extent applicable to the Program and not in conflict with the Program Rules.
2.0 AUDIT REOUIREMENTS.
(a) SINGLE AUDIT. The Recipient shall ensure that an audit is performed in accordance with the Single Audit Act
Amendment of 1996 and OMB Circular A -133, as applicable, IDED's administrative rules for the CDBG program (261 Iowa
Administrative Code Chapter 23), and the Iowa CDBG Management Guide to the extent applicable to the Program and not in
conflict with the Program R {t1es,
(b) ADDITIONAL AUDIT. As a condition of the grant to the Recipient, IDED reserves the right to require the Recipient to
submit to a post Project completion audit and review in addition to the audit required above.
3.0 COMPLIANCE WITH LAWS AND REGULATIONS. The Recipient shall comply with all applicable State and Federal laws,
rules, ordinances, regulations and orders.
4.0 UNALLOWABLE COSTS. If IDED determines at any time, whether through monitoring, audit, closeout procedures or by other
means or process that the Recipient has expended funds which are unallowable, the Recipient will be notified of the questioned costs and
given an opportunity to justify questioned costs prior to IDED's final determination of the disallowance of costs. Appeals of any
determinations will be handled in accordance with the provisions of Chapter 1 7A, Iowa Code. If it is IDED's final determination that costs
previously paid by the IDED are unallowable under the terms of the Contract, the expenditures will be disallowed and the Recipient shall
repay to IDED any and all disallowed costs.
5.0 INTEREST EARNED. To the extent that interest is earned on advances of CDBG fords, this interest shall be returned to IDED,
except that the Recipient may keep interest amounts of up to $100 per year for administrative expenses.
6.0 SUSPENSION. When the Recipient has failed to comply with the Contract, award conditions or standards, IDED may, on
reasonable notice to the Recipient, suspend the Contract and withhold future payments, or prohibit the Recipient from incurring additional
obligations of CDBG funds. Suspension may continue until the Recipient completes the corrective action as required by IDED. IDED may
allow such necessary and proper costs which the Recipient could not reasonably avoid during the period of suspension provided IDED
concludes that such costs meet the provisions of HUD regulations issued pursuant to OMB Circular A -87.
Document Prepared by: Jeff Geerts CDBG Disaster Recovery Infrastructure Contract Format
Revised October 2009
Contract Number
Page 13 of 16
8.0 TERMINATION,
(a) FOR CAUSE, IDED may terminate the Contract in whole, or in part, whenever IDED determines that the Recipient has
failed to comply with the terns and conditions of the Contract.
(b) FOR CONVENIENCE. IDED, the Recipient may terminate the Contract in whole, or in part, when all parties agree
that the continuation of the Project would not produce beneficial results commensurate with the future disbursement of funds.
(c) DUE TO REDUCTION OR TERMINATION OF CDBG FUNDING. At the discretion of IDED, the Contract may
be terminated in whole, or in part, if there is a reduction or termination of CDBG Federal block grant funds to the State.
9.0 PROCEDURES UPON TERMINATION.
(a) NOTICE. IDED shall provide written notice to the Recipient of the decision to terminate, the reason(s) for the
termination, and the effective date of the termination. If there is a partial termination due to a reduction in funding, the notice will
set forth the change in funding and the changes in the approved budget. The Recipient shall not incur new obligations beyond the
effective date and shall cancel as many outstanding obligations as possible. IDED's share of noncancellable obligations which
IDED determines were properly incurred prior to notice of cancellation will be allowable costs.
(b) RIGHTS IN PRODUCTS. All finished and unfinished documents, data, reports or other material prepared by the
Recipient under the Contract shall, at IDED option, become the property of IDED.
(c) RETURN OF FUNDS. The Recipient shall return to IDED all unencumbered funds within one week of receipt of the
notice of termination. Any costs previously paid by IDED which are subsequently determined to be unallowable through audit,
monitoring, or closeout procedures shall be retuned to IDED within thirty (30) days of the disallowance.
10.0 ENFORCEMENT EXPENSES. The Recipient shall pay upon demand any and all reasonable fees and expenses of the
Department, including the fees and expenses of their attorneys, experts and agents, in connection with the exercise or enforcement of any of
the rights of the Department under this Contract.
11.0 CONFLICT OF INTEREST.
(a) GENERAL. Except for the use of CDBG funds to pay salaries and other related administrative or personnel costs, no
persons identified in paragraph (b) below 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 personal or financial interest or benefit from a CDBG assisted activity, or have an interest in any contract,
subcontract or agreement with respect thereto, or the proceeds thereunder, either for themselves or those with whom they have
family or business ties, during their tenure or for one year thereafter.
(b) PERSONS COVERED. The conflict of interest provisions described above apply to any person who is an employee,
agent, consultant, officer, or elected or appointed official of the Recipient, or of any designated public agencies, or subrecipients
which are receiving CDBG funds.
(c) CONFLICTS OF INTEREST. Chapter 68B, Code of Iowa, the "Iowa Public Officials Act ", shall be adhered to by the
Recipient, its officials and employees.
12.0 USE OF DEBARRED, SUSPENDED, OR INELIGIBLE CONTRACTORS OR SUBRECIPIENTS. CDBG funds shall not
be used directly or indirectly to employ, award contracts to, or otherwise engage the service of, or fund any contractor or subrecipient during
any period of debarment, suspension, or placement in ineligible status under the provisions of 24 CFR Part 24 or any applicable law or
regulation of the Department of Labor.
Document Prepared by: Jeff Geerts CDBG Disaster Recovery infrastructure Contract Format
Revised October 2009
13.0 CIVIL RIGHTS.
Contract Number
Page 14 of 16
(a) DISCRIMINATION IN EMPLOYMENT. The Recipient shall not discriminate against any qualified employee or
applicant for employment because of race, color, religion, sex, national origin, age, or physical or mental disability. The Recipient
may take affirmative action to ensure that applicants are employed and that employees are treated without regard to their race,
color, religion, sex, national origin, age, or disability. Such action shall include but may not be limited to the following:
employment, upgrading, demotion or transfers; recruitment or recruitment advertising; lay -off or termination; rates of pay or other
forms of compensation; and selection for training, including an apprenticeship. The Recipient agrees to post notices setting forth
the provisions of the nondiscrimination clause in conspicuous places so as to be available to employees.
(b) CONSIDERATION FOR EMPLOYMENT. The Recipient shall, in all solicitations or advertisements for employees
placed by or on behalf of the Recipient, state that all qualified applicants will receive consideration for employment without regard
to race, color, religion, sex, national origin, age, disability, or familial status. Solicitation and Advertisement - The Recipient shall
list all suitable employment openings in the State Employment Service local offices.
c) CIVIL RIGHTS COMPLIANCE IN EMPLOYMENT. The Recipient shall comply with all relevant provisions of the
Iowa Civil Rights Act of 1965 as amended, Chapter 19B.7, 2003 Code of Iowa, Federal Executive Order 11246, as amended;
Title Vi of the U.S. Civil Rights Act of 1964 as amended (42 U.S.C. Section 2000d et seq.), the Fair Labor Standards Act
(29 U.S.C. Section 201 et seq.), The Americans with Disabilities Act, as applicable, (P.L. 101 -336, 42 U.S.C. 12101- 12213),
Section 504 of the Rehabilitation Act of 1973 as amended (29 U.S.C. Section 794), and the Age Discrimination Act of 1975 as
amended (42 U.S.C. Section 6101 et seq.). The Recipient will furnish all information and reports requested by the State of Iowa or
required by or pursuant to the rules and regulations thereof and will permit access to payroll and employment records by the State
of Iowa to investigate compliance with these rules and regulations.
(d) CERTIFICATION REGARDING GOVERNMENT -WIDE RESTRICTION ON LOBBYING. The Recipient
certifies, to the best of his or her knowledge and belief, that:
i) No Federal appropriated funds have been paid or will be paid, by or on behalf of the Recipient, 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 Metnber 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.
ii) 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, or an
employee of a Member of congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
Recipient shall cornplete and submit Standard Form -LLL, "Disclosure Form to Report Federal Lobbying" in accordance
with its instruction.
iii) The Recipient shall require that the language 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.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by
section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty
of not less than $10,000 and not more than $100,000 for each such failure.
(e) PROGRAM NONDISCRIMINATION. The Recipient shall conform with requirements of Title VI of the Civil Rights
Act of 1964 (42 U.S.C. 2000d et seq.) and HUD regulations issued pursuant thereto contained in 24 CFR Part 1. No person in the
United States shall on the basis of race, color, national origin, sex or religion or religious affiliation be excluded from participation
in, be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with funds
made available through this Contract. Any prohibition against discrimination on the basis of age under the Age Discrimination Act
of 1975 (42 U.S.C. 6101 et. seq.) or with respect to an otherwise qualified individual with a disability as provided in the Americans
with Disabilities Act, as applicable, (P.L. 101 -336, 42 U.S.C. 12101- 12213) or Section_ 504 of the Rehabilitation Act of 1973
(29 U.S.C. Section 794) shall also apply to any such program or activity.
Document Prepared by: Jeff Geerts CDBG Disaster Recovery Infrastructure Contract Format
Revised October 2009
Contract Number
Page 15 of 16
{f) FAIR HOUSING. The Recipient shall comply with Title VIII of the Civil Rights Act of 1968 (42 U.S.C. 3601 et seq.),
generally known as the Fair Housing Act, and with HUD regulations found at 24 CFR Part 107, issued in compliance with Federal
Executive Order 11063, as amended by Federal Executive Order 12259. The recipient shall also comply with Section 109, Title 1
of the Housing and Community Development Act of 1974, as amended.
(g) SECTION 3 COMPLIANCE. The Recipient shall comply with provisions for training, employment, and contracting in
accordance with Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701 u).
(h) NONCOMPLIANCE WITH THE CIVIL RIGHTS LAWS. In the event of the Recipient's noncompliance with the
nondiscrimination clauses of this Contract or with any of the aforesaid rules, regulations, or requests, this Contract may be
canceled, terminated, or suspended either wholly or in part. In addition, the State of Iowa may take further action, imposing other
sanctions and invoking additional remedies as provided by the Iowa Civil Rights Act of 1965 (Chapter 216, Code of Iowa 1997) or
as otherwise provided by law.
(1) INCLUSION IN SUBCONTRACTS. The Recipient will include the provisions of the preceding paragraphs of Section
14 in every subcontract unless exempt by the State of Iowa, and said provisions will be binding on each subcontractor. The
Recipient will take such action with respect to any subcontract as the State of Iowa may direct as a means of enforcing such
provisions including sanctions for noncompliance. In the event the Recipient becomes involved in or is threatened by litigation
with a subcontractor or vendor as a result of such direction by the State of Iowa, the Recipient may request the State of Iowa to
enter into such litigation to protect the interests of the State of Iowa.
14.0 POLITICAL ACTIVITY. No portion of program funds shall be used for any partisan political activity or to further the election
or defeat of any candidate for public office. Neither the program nor the funds provided therefore, nor the personnel employed in the
administration of this Contract, shall be in any way or to any extent, engaged in the conduct of political activities in contravention of The
Hatch Act (5 U.S.C. 15).
15.0 LIMIT ON RECOVERY OF CAPITAL COSTS. The Recipient will not attempt to recover any capital costs of public
improvements assisted in whole or part under this Contract by assessing any amount against properties owned and occupied by persons of
low and moderate income, including any fee charged or assessment made as a condition of obtaining access to such public improvements,
unless (1) funds received under this Contract are used to pay the proportion of such fee or assessment that relates to the capital costs of such
public improvements that are financed from revenue sources other than under Title I of the Housing and Community Development Act of
1974, as amended, or (ii) for purposes of assessing any amount against properties owned. and occupied by persons of low and moderate
income who are not persons of very low income, the Recipient has certified to the Department that it lacks sufficient funds received under
Title 1 of the Housing and Community Development Act of 1974, as amended, to comply with the requirements of clause (i) above.
Document Prepared by: Jeff Geerts CDBG Disaster Recovery Infrastructure Contract Format
Revised October 2009
Iowa CDBG Grantee Program Smart Planning Grant Expectations
Attachment D
Contract Number
Page 16 of 16
In this attachment, IDED specifically highlights three aspects that the Department considers crucial to successful
comprehensive plan development and implementation. While completing Contract activities and fulfilling performance targets
specified in the Recipient's application, the Recipient shall thoroughly address the three aspects below.
• Smart Planning Principles and Elements
Recipients shall develop implementation- focused comprehensive plans that meaningfully apply and integrate each of the
ten Iowa Smart Planning Principles strategically where appropriate within the 13 elements of the comprehensive plan
provided in Division VII of Senate File 2389, 83r G.A. 2 Sess. (Iowa 2010) (2010 Iowa Acts, Chapter 1184, Sections 17
and 18). The plan elements do not need to follow order listed in Iowa code and may be combined or divided differently,
so long as each component is addressed at some point in the plan and the Recipient is able to document how that is
occurring.
The Department will assist in the review of the Recipient's comprehensive planning process, draft plans and final plan for
meaningful application of the Iowa Smart Planning Principles. Recipients shall complete the attached Iowa Smart Planning
Principles /Comprehensive PIan Elements Matrix or similar tool to assist the Recipient and the Department in visualizing
integration of the smart planning principles throughout the plan.
• Hazard Mitigation and Disaster Recovery
Comprehensive Plans shall reflect the purpose of Supplemental Disaster Community Development Block Grant (CDBG)
funds provided through HUD. This includes development of and listing of specific action steps that would not have
otherwise been developed in absence of this grant. The Department will review draft and final plans for verification that
the plan goes beyond just referencing other local hazard mitigation or similar plans, but also includes information as
specified in the "Hazards" element of a comprehensive plan as defined in Iowa Code as, "Objectives, policies, and
programs that identify the natural and other hazards that have the greatest likelihood of impacting the municipality or that
pose a risk of catastrophic damage as such hazards relate to Iand use and development decisions, as well as the steps
necessary to mitigate risk after considering the local hazard mitigation plan approved by the Federal Emergency
Management Agency."
• Implementation
Recipients shall develop implementation focused comprehensive plans. The Recipient's plan shall include implementation
strategies; action steps for reviewing and updating all applicable codes, regulations, ordinances and policies to create
consistency with the plan; and specific Departments, organizations or individuals responsible for completion of the
implementation strategies and time lines and incentives for completion. The hazard mitigation policies in the
comprehensive plan shall also include implementation strategies; designated responsible parties and time lines; action
steps for reviewing and updating applicable codes, regulations, ordinances and policies to create consistency with the plan.
This approach demonstrates the necessity and long -term benefits of receiving the grant, and how local plans will translate
to future actions and improvement of the community.
Document Prepared by: Jeff Geerts CDBG Disaster Recovery Infrastructure Contract Format
Revised October 2009
PART I: GENERAL INFORMATION Please complete all of the following sections.
1. Plan Title: Dubuque Region Smart Planning Project
2. Lead Governmental Unit Applying
(must be a city or county government):
Dubuque County
3. All Additional Governmental Units Applying (if
multi - jurisdictional application): City of Dubuque, City of
Asbury, City of Cascade, City of Dyersville, City of
Epworth, City of Farley, City of Peosta
4. Contact Person: Anna O'Shea
5. Address:
1347 City View Dr
Dubuque, IA 52002
6. Phone: 563 -589 -7827
7. Email: zoningadmin @dbeco.org
8. Application
box):
X In -House
will be prepared by (place X in correct
(applicant will conduct work) OR
Consultant (please specify):
Private
9. Is this project part of an update of an existing comprehensive plan or a new plan (place
correct box)?
X Update. Please provide details below New. Please go to question
X in
10.
a. Title of existing plan:
b. Date of existing plan adoption:
Dubuque County Comprehensive Land Use and
Development Plan
9/23/2002
City of Dubuque Comprehensive Plan
2008
Dyersville Comprehensive Plan
Update in Progress
Asbury Comprehensive Plan
6/27/2006
Cascade Comprehensive Plan
10/23/2008
Epworth Comprehensive Plan
1979 (Land use plan updated 2006)
Farley Comprehensive Plan
11/9/1970 (Amended 2/3/2003)
Peosta Comprehensive Plan
4/11/1989
10. Signature
governmental
I certify
this grant
knowledge.
Signature:
Print Name:
of Lead Government Unit (adopted resolutions from each participating
entity must be included):
that all participating local units of government have received a copy of and support
application, and that all information contained within Is accurate to the best of my
Date: _ _
Title: _
Iowa Smart Planning:
Local Comprehensive Planning Grant Program
Application Form
Issued July 2010
*Please see the Iowa Smart Planning: Local Comprehensive Planning Grant Program Application
Guidelines document to assist in filling out this application.
PART II: BUDGET & GRANT REQUEST Please complete all of the following sections.
Part A: Budget & Timeline Worksheet
Please complete the budget worksheet below. Budget categories serve as examples; applicants may edit budget
categories as necessary. Supplemental information may be attached to this section to provide greater detail. Only include
items that are eligible expenses.
OVERALL BUDGET WORKSHEET
Categories
Preparation &
Products
Estimated Hours
Timeframe for
Completion
Overall Costs
(include in - kind)
City of Dubuque
Dubuque County
Ci of Asbury
City of Cascade
City of Dyersville
City of Epworth
City of Farley
City of Peosta
Dubuque Soil & Water
Conservation District
Total
$12,000
$25,000
$10,000
$6,000
$6,000
$6,000
$6,000
$6,000
$12,000
$89,000
$6,000
$6,000
$2,000
$1,000
$
$1,000
$1,000
$1,000
$0
$19,000
so
$6,500
$4,000
$2,000
$2,000
$2,000
$2,000
$2,000
$6,000
426,500
$12,000
$12,500
$4,000
$3,000
$3,000
$3,000
$3,000
$ 3 , 0 0 0
$6,000
$49,500.
$30,000
$50,000
$20,000
$12,000
$12,000
$12,000
$12,000
$12,000
$24,000
1.84,000
1 Preparation & Products
Estimated Hours
City of Dubuque ;City of !City of ;CItyof City of City of City of SWCD
Dubuque County ;Asbury 'Cascade )Dyersville LEpworth
Farley Peosta
Develop Vision and Goals
Public Input
Finalize Vision & Goals
15 151 I5 15;
10 10 10' 10 10
10 101. 101 10; 10
15 15
10 :............. 10
10 10
Cc�piehensive .Plan:iJpdafe'�` -..i':
'Review existing comp plan
_ - _ 1 - Data collection and analysis
_ Pubticinput 1
i Draft_plan updates
F Public input
;Meet with Planning & Zoning and City Councils
i Finalize plan updates
Plan implementation
91: 31 15'
100 152; 52 25;
I 20 30' 10 5:
WO 52j _....__
20 30: 5,
• 40 61: 211 10' 10
40 61: 21 10'
20 30; 10 5'
15 15
25 25 50
5 5 .. _..
25 25
5 5
5 5
18est Management Practice Education
'Setup Wathershed Planning Authority
ite4loifat.CooitlinaUaii •
.1 Total Hours
Overall Cesu (575 per hour}
400 667; 2671 1601 1601 160 160 160 320
$ 30,000 $ 50,000 $ 20.000 5 12,000 $ 12,000 $ 12,000 512,000 $ 12,000 5 24.000
See Appendix Page 1 for Project timeline.
Part B: Grant Request Worksheet Please complete the following questions.
1. Total Plan Costs: $184,000
2. Number of Participating Government Entities: 9
Iowa Smart Planning: Local Comprehensive Planning Program Application Page 2 of 11
City of Dubuque
$0
Dubuque County
$6,500
City of Asbury
$4,000
City of Cascade
$2,000
City of Dyersville
$2,000
City of Epworth
$2,000
City of Farley
$2,000
City of Peosta
$2,000
MPO /RPA
$19,000
Dubuque Soil and Water
Conservation District
$6,000
Total
$45,500
City of Dubuque
$12,000
Dubuque County
$12,500
City of Asbury
$4,000
City of Cascade
$3,000
City of Dyersville
$3,000
City of Epworth
$3,000
City of Farley
$3,000
City of Peosta
$3,000
MPO /RPA
$0
Dubuque Soil and Water
Conservation District
$6,000
Total
$49,500
3. Maximum Grant Eligibility (answer to #2 times $50,000): $450,000
4. Grant Request (no more than the lesser of the answer to #3 or 50% of total plan costs in #1): $89,000
Part C: Total Funding Overview
1. Total Han Costs: $184,000
2. Planning Grant Request (answer to #4 in Part B): $89,000
3. Matching Funds
a. List all sources and associated amount of monetary match (at least 50% of total match):
b. List all sources and associated fair market value of in -kind match (no more than 50% of total match):
c. Total match (at least 50% of total plan costs): $95,000
Iowa Smart Planning: Local Comprehensive Planning Program Application Page 3 of 11
Dubuque County
Anna O'Shea
The City of Dubuque
Laura Carstens
The City of Asbury
Beth Bonz
City of Cascade
Randy Lansing
City of Dyersville
Mick Michelle
City of Epworth
Janet Berger
City of Farley
Danielle Hartke
The City of Peosta
Karen Snyder
Dubuque Housing and Community
Development Department
Greater Dubuque Development
Cooperation
Eastern Iowa Regional Housing
Authority
Dubuque Economic Development
Department
Dubuque Metropolitan Area
Transportation Study (MPO)
The Dubuque Soil & Water
Conservation District
Regional Planning Affiliation 8
PART III: REVIEW CRITERIA Please complete all of the following sections, which will be scored by the
grant application review panel based on a total of 100 available points. The possible points available per
question are noted in parenthesis. Answers to all eight of the following questions should not exceed 10 pages in
length on a single- spaced 8.5" by 11" page format and a 10 -point font or larger. Any attachments, such as
appendices, maps, and other supporting documentation, should be limited to 10 additional pages.
1. Iowa Smart Planning Principles: How does your planning process apply and integrate the Iowa
Smart Planning Principles (see Iowa Smart Planning Legislative Guide for a listing of the 10 Smart
Planning Principles)? (up to 20 points)
The Planning Process
Consortium
The communities of Dubuque County have come together to form a Smart Planning Consortium. The following
chart lists the core partner agencies and the project lead for each agency.
The consortium also has several supporting partners including:
The core members of the consortium will operate as a steering committee for the project. The Consortium will
set goals, carry out the activities of this grant, and ensure the tasks of the project are completed. Supporting
partners will assist the implementation of project tasks advising the core partners and engaging communities
during the comprehensive plan update process. See Appendix Pages 4 -10 for letters of support from supporting
partners.
Smart Planning Principles & Regional Vision
The first objective of the Smart Planning Consortium will be to develop a long -term regional vision for
Dubuque County that incorporates Iowa's 10 Smart Planning Principles. The consortium will then develop a
set of regional comprehensive planning goals and objectives based on the regional vision. Project goals are the
desired outcomes of the project, and the objectives are the steps that need to be taken to achieve those goals.
For example, if water quality improvement is a goal of the plan one, reducing the area covered by impervious
surfaces would be a possible objective. The second objective for the consortium will be to analyze and approve
regional data sets. Using regional data will ensure that all communities are planning based on consistent
population projections, future land use maps, transportation demand data, and other relevant data. The
consortium's third objective will be to develop policies that will implement the regional vision, goal, and
objectives and guide future development within the region Each consortium partner will incorporate the
Iowa Smart Planning: Local Comprehensive Planning Program Application Page 4 of 11
regional polices into their comprehensive plan updates. Potential polices include: transit oriented development,
energy efficiency, mixed -use development, smart growth and many others.
Comprehensive Plan Update
Each community will use the vision, goals objectives, data and regional polices developed by the consortium to
update their comprehensive plan. Each community will complete its comprehensive plan individually, but
members will meet with the consortium periodically to ensure that plan updates are consistent with the regional
vision, data, and policies, and to collaborate on intermunicipal projects.
Policy and Project Implementation
Through the comprehensive planning process each community will create a list of polices and projects that,
when implemented, will help achieve the goals and objectives of the comprehensive plan and. Projects
recommended in the comprehensive plans will be incorporated in to each jurisdiction's funding program.
Examples of funding programs include the city or county Five Year Capital Improvements Program, the MPO
Surface Transportation Program, and the Iowa DOT's Five Year Program. See Appendix Page 2 for a Flowchart
depicting the Consortium's Smart Planning Process.
1. Collaboration
The Dubuque Smart Planning Project will work to increase the level of collaboration between all governmental,
community and individual stakeholders. Early in the planning process, the Consortium partners will meet to
develop regional smart planning principles. The regional smart planning principles will be based on the Iowa
Smart Planning Principles, and will be used to create a long -term vision for the region. Based on this vision, the
consortium will set goals and objectives for the region. The partners will also meet throughout the
comprehensive plan update process. These meetings will allow the partners to work together on developing the
polices and projects that will be implemented as a result of the new comprehensive plans. For example, several
proposed road improvement projects fall under multiple jurisdictions. If each jurisdiction plans its section of
the project individually, the result could be a road corridor plan made of a combination of disjointed plans that
is not likely to receive funding. However, if all parties involved collaborate early on in the planning process,
they can create a consistent plan for the entire corridor that is much more likely to receive funding.
2. Efficiency, Transparency, and Consistency
The Dubuque smart planning process will strive to incorporate efficiency, transparency, and consistency into all
planning activities. The Dubuque smart planning process will bring all of the county's communities together to
develop consistent vision and goals for the county. Each community will then develop their own set of policies
and projects that will help achieve those goals. Maintaining consistency at the goal level while allowing
communities to work individually on the policy level will help foster collaboration while allowing cities to
function as independent communities.
Consistent vision and goals will improve local government efficiency by allowing communities to work
together instead of competing against each other. Communities will be able to pool their resources when
applying for state and federal funding, attracting new development, and addressing environmental issues.
All plans within the county will be developed using a transparent public participation process. Residents will be
involved in the planning process from beginning to end. Incorporating public input throughout the process will
ensure that the goals and objectives reflect the true vision of the community.
3. Clean, Renewable, and Efficient Energy
Clean energy is a top priority for Dubuque County's communities. 2005 -2008 data from the nearest air quality
monitor at Petosi, WI shows that the Dubuque area is very close to falling in to nonattainment for PM 2.5. In
Iowa Smart Planning: Local Comprehensive Planning Program Application Page 5 of 11
light of this data the City of Dubuque and the Dubuque Metropolitan Transportation Study (DMATS), the MPO
for the region, formed a clean air task force, and have been actively pursuing alternatives to address the
particulate matter issue, and are working closely with local industry, energy providers, and the Dubuque and
regional transit systems to address the situation. The Dubuque Smart Planning Consortium realizes that the
region's air quality issues will not be easily corrected. The consortium will encourage a multifaceted approach
to promote clean, renewable, and efficient energy practices. Potential energy polices and projects are listed
below.
Transportation
Promote cleaner more energy efficient modes of transportation. E.g. Transit, biking, and walking.
Encourage the use of fuel efficient and clean fuel vehicles.
Land Use
Encourage mixed -use land development patterns that reduce dependence on the automobile.
Direct development towards existing urban areas to strengthen existing urban cores and reduce sprawl.
Infrastructure
Address maintenance and improvement issues of aging street and utility infrastructure.
Encourage the use of energy efficient and locally produced building materials.
Encourage the reuse of existing structures.
Education
Educate the public on the health, safety, financial, quality of life benefits of energy saving techniques.
4. Occupational Diversity
The Dubuque Smart Planning consortium will work to strengthen the regional economy by promoting a diverse
range of employment opportunities throughout the region. For much of its history the Dubuque Region was a
center for heavy industry. Brick and button making, boat building, logging, mill working, meatpacking, and
other heavy industries were all located in the region. In the 1980s, Dubuque and other Midwestern cities were
hit hard by a downturn in the national economy. Many area businesses were forced to close or lay off workers.
Dubuque experienced 23% unemployment, an exodus of residents, struggling downtown businesses, and
disconnected neighborhoods. For the past 20 years the Dubuque region has worked to reinvent itself by
attracting a diverse range of new employers. Recently, Dubuque was able to attract IBM to the region. The
technology company committed to moving a technology services delivery center with 1,300 jobs to downtown
Dubuque. Today, Dubuque serves as a regional center for commerce, education, medical services, culture, and
tourism.
5. Revitalization
The Dubuque Smart Planning Consortium will build on the success of past revitalization projects. The Port of
Dubuque and the Historic Millwork District projects were the result of a partnership between city, state, federal,
non - profit, and private enterprises. The goal of the Dubuque Smart Planning Project is to take the sense of
cohesiveness that made the Port of Dubuque, a $500 million transformation of the Dubuque Riverfi•ont, and the
Historic Millwork District, a $200 million renovation of a once vibrant factory district, projects possible, and
apply it to all planning processes within the region. During the initial meetings the partners will work to
develop regional polices and regulations that direct development towards urban centers. The planning process
will bring public and private community leaders from across the region to collaborate around the issues of smart
planning and sustainability.
6. housing Diversity.
The consortium will review the existing development codes and develop new housing policies to encourage a
wide range of housing types throughout the region. These policies will be part of a larger growth management
strategy that will ensure that people of all income levels will have access to safe, energy efficient, affordable
housing. Housing policies will be coordinated with land use and transportation plans in order to give all
Iowa Smart Planning: Local Comprehensive Planning Program Application Page 6 of 11
residents access to good jobs, quality education, fresh food, and a clean environment. As supporting partners the
Dubuque Department of Housing and Community Development and the Eastern Iowa Regional Housing
Authority will advise the core partners on housing issues.
7. Community Character
As Iowa's oldest city, Dubuque has been continually in the forefront of historic preservation in State of Iowa —
principally for successful new preservation incentives. The city of Dubuque has 659 structures in 5 local
historic districts. Eight National Register Historic Districts and 45 structures listed on the National Register of
Historic Places. The City of Dubuque has a strong a historic preservation ordinance, a conservation district
ordinance, and a variety of preservation incentives supported by an active Historic Preservation
Commission. Many of the communities in the Dubuque Region have buildings with historic value similar to
those within the Dubuque city limits. The Smart Planning Consortium will use the Dubuque's historic
preservation polices as a guide for developing similar regulations for the rest of the region.
8. Natural Resources and Agricultural Protection
Dubuque balances urban growth with ecological constraints through urban design guidelines. Dubuque was one
of eight cities in the United States to participate in a sustainable design assessment by the American Institute of
Architects to develop sustainable land use and urban design recommendations that were incorporated into the
Sustainability Plan and Sustainable Unified Development Code (UDC). Dubuque's UDC requires that
subdivisions and site developments incorporate sustainable design; avoid sensitive areas; protect historic,
cultural and natural resources; and accommodate pedestrians, bicycles, and transit. UDC landscaping standards
ensure that developments are designed and maintained with respect to land capability and constraints, control
erosion, maintain natural amenities, and reduce conflicts between the natural and built landscapes. The
Dubuque regulations will be used to guide the creation of guidelines that protect natural resources in both urban
and rural settings. These guidelines will encourage smart growth policies that protect agricultural land and
other open space from urban development.
Water quality and flood control will be a focus of the natural resources element. As a supporting member of the
consortium, the Dubuque Soil and Water Conservation District (SWCD) will advise the core members on
county watershed issues, and will help integrate components of that plan into each community's comprehensive
plan. Currently, the SWCD is working to improve water quality in aportion of Dubuque County through the
Upper Catfish Creek Watershed Project. The SWCD has worked with both urban and rural landowners to
install conservation practices that prevent sediment, nitrates, and other pollutants from entering the Upper
Catfish Creek. Conservation practices also help control flooding by allowing water to soak directly into the
ground instead of running directly into local streams. In addition to the Upper Catfish Creek Project, the
SWCD has collaborated with Dubuque County on a stormwater and erosion control ordinance. This ordinance
will help strengthen and help enforce watershed related developments in the future. If smart planning funds are
awarded, the SWCD will create a plan for establishing a county Watershed Planning Authority. The Watershed
Authority will be charged with implementing conservation practices, similar to those in place in portion of the
county, for both urban and rural watersheds in Dubuque County.
9. Sustainable Design
In 2007 the City of Dubuque identified becoming a designated Green Community as one of their top goals. In
the past three years Dubuque has collaboratively worked with the community to develop, "Sustainable
Dubuque," a holistic approach to creating a sustainable community that is viable, equitable, and livable. The
model involves a three -part approach that addresses: Environmental and Ecological Integrity; Economic
Prosperity; and Social and Cultural Vibrancy. Each of these pieces is important individually and helps
contribute to a sustainable community. Dubuque is taking a unique approach by supplying its citizens with the
tools and information necessary to measure and manage their sustainability efforts. Eleven sustainable
principles have been adopted within the Sustainable Dubuque model: regional economy; smart energy use;
Iowa Smart Planning: Local Comprehensive Planning Program Application Page 7 of 11
resource management; community design; healthy air; clean water; native plants and animals; green buildings;
healthy local food; community knowledge; and reasonable mobility. Please see the City of Dubuque's
Sustainability Model on page 2 of the Appendix.
Using the principles outlined in the Sustainable Dubuque Initiative, the City was able to forge a public/private
partnership with IBM. Dubuque's commitment to sustainability played a critical part in IBM's decision to
move a technology services delivery center with 1,300 new jobs to Downtown Dubuque. IBM has also
announced that Dubuque will be part of the company's Smarter Sustainable Cities initiative. Plans include the
development of new "smarter" technologies and implementation strategies to create a replicable, international
model of sustainability for communities of 200,000 and under. When U.S. Secretary of Transportation Ray
LaHood visited Dubuque in spring 2009, he said, "With its `Smart City' partnership with IBM, Dubuque has
become a model for other cities because people work together to solve problems.
Dubuque Smart Planning Initiative take the sustainability principles that are already being implemented within
the City of Dubuque and apply them to the rest of the region. Regional implementation is vital to the success of
a sustainability initiative because many of the issues do not stop at jurisdictional boundaries. Regional
implementation of these principles will allow all communities to preserve and improve their quality of life in
the years to come.
10. Transportation Diversity
According to the DMATS Long Range Transportation Plan, the population of the Dubuque region is forecast to
expand by 26% over the next 25 years. This expansion of the population will result in more vehicle trips,
increased congestion, and environmental damage. With tight budgets and limited environmental resources, the
Dubuque Region will not be able to increase capacity to get out of congestion. Instead, it will need to reduce
the need for vehicle travel with smarter land use planning, and reduce the impact on the environment by
promoting cleaner and more efficient modes of transportation.
Smart Planning principles that are already in place in local areas could be used as a base for regional policies.
For example, a key component of the Millwork District revitalization plan is to redevelop the area street
network using the Complete Streets model. The project has received funding through the US DOT's
Transportation Generating Economic Recovery (TIGER) grant program. The Complete Streets model will
produce a more livable enviromnent by creating an area that is easy to use for pedestrians, bicyclists, transit
riders, older people and families. It is estimated that 60 percent of the new residents within the Historic
Millwork District will work downtown. Redesigning streets for alternative modes of transportation will allow
residents to take advantage of their proximity to work and choose walking, biking or mass transit as options.
Reducing automobile dependence in the area will decrease vehicle miles traveled and the associated energy use
and air emissions. The Complete Streets design will also create a more vibrant area encouraging more
businesses to locate in the downtown area.
2. Plan Elements: Explain how your comprehensive plan will be organized. Does the plan follow the state
comprehensive planning guidance? In what ways does this plan go above and beyond the state
guidance? (up to 10 points)
The several of the comprehensive plans that are currently in place have been updated recently, and as a result
contain many of the components from the state comprehensive planning guidance. The City of Dubuque ,
Dubuque County, Peosta, Asbury, Cascade, and Dyersville all have recently updated comprehensive plans.
These plans were updated between 2002 and 2008 and currently incorporate many of the smart planning
principles outlined by the state, and will require relatively minor updates to align with the regional smart
planning principles. The cities of Farley and Epworth have comprehensive plans that are more out of date, so
Iowa Smart Planning: Local Comprehensive Planning Program Application Page 8 of 11
these plans will require a more extensive overhaul. Ultimately, the final details of the plan structure will be up
to each community, however each plan will follow the State of Iowa's planning guidance.
The plan goes beyond the state guidance by encouraging intergovernmental coordination. Before updating the
local comprehensive plans, the consortium will meet to develop smart planning principles for the region. The
principles will be based on the Iowa Smart Planning Principles, and the city of Dubuque's sustainability
principles, and input from the Dubuque Soil and Water Conservation District. The consortium will continue to
meet throughout the planning process to encourage collaboration on the policies and projects that will be
implemented following the completion of the plans.
3. Public Participation: Explain your proposed public participation process. Explain any innovative
approaches to reaching a broad spectrum of your population. How are you encouraging neighboring
jurisdictions to participate? (up to 10 points)
The consortium will ensure that all of Dubuque County's residents are involved in the planning process by
dividing into public involvement zones. Each zone will host a workshop meeting where residents can learn how
the regional plan will impact their local area. The local focus will help residents see the local impacts of the
regional planning process. With a better understanding of their place in the region, participants will be more
interested in the planning process and will provide better input. Workshop moderators will employ a scenario
based planning strategy during the meetings. Scenario planning works well with the zone concept because it
allows citizens to engage in constructive dialogue about the future of their zone, and provides a basis for action
to direct the course of that future.
The Consortium will also seek input from the private sector and business interests through its supporting
partner, the Greater Dubuque Development Corporation. Private sector organizations will be invited to
participate in the public input workshops, and will be asked to help shape the contents of the final plan.
The Regional Sustainability Consortium will use all forms of media to advertize the public input process. In
addition to the traditional newspaper and public access television meeting announcements, the consortium will
also provide information through a website. The website will contain all the project information, allow users to
track the progress of the planning process, and provide meeting locations and times.
4. Intergovernmental Coordination: How does your planning process intend to identify and address
issues that are of interest to neighboring jurisdictions? How are you fostering collaboration and
cooperation in the planning process? Please list all groups with which the applicant will coordinate the
development of the comprehensive plan, including but not limited to: school, utility, and other special
districts; neighborhood associations; other special interest groups and organizations. (up to 10 points)
As the lead applicant, the Dubuque County will incorporate the interests of neighboring jurisdictions by taking a
regional approach to the comprehensive planning process. This planning process will update the city of .
Dubuque comp plan, Dubuque County comp plan, and the comp plans of the six other cities in the region. All
communities involved will be represented on the regional planning consortium, and will provide input in the
development of the regional smart planning principles. The process will include the creation of a regional
vision, goals, and objectives, approval and analysis of consistent regional planning data, and creation of a list of
regional policies that will be incorporated into the partner's comprehensive plans.
5. Collaboration: Does your proposed planning process include multiple jurisdictions? (0 or 10 points)
X Yes No
Iowa Smart Planning: Local Comprehensive Planning Program Application Page 9 of 11
Community
Date Adopted
Asbury
10/16/2009 Approved pending Adoption
Bankston
10/17/2009
Cascade
7/11/2005
Dubuque
6/8/2004
Dubuque County
6/10/2004
Dyersville
5/20/2005
Epworth
6/23/2005
Farley
6/29/2005
Graf
6/3/2008
New Vienna
7/14/2009
Peosta
6/16/2009
Sageville
2/2/2007
Sherrill
2/29/2009
Dubuque County, City of Dubuque, City of Peosta, City of Asbury, City of Cascade, City of Farley, City of
Epworth, and City of Dyersville.
6. Plan Integration: Identify plans that have been completed or are currently being developed (hazard
mitigation plans, neighborhood plans, regional transportation plans, etc), and describe how those will
be integrated into the proposed comprehensive plan and how any discrepancies will be addressed. (up
to 10 points)
The goal of a comprehensive plan is to create a vision that will set the direction for the future of the city. All
policy decisions made in the city should be based on the vision, goals, objectives, and policies that are included
in the comprehensive plan. Following update of the eight comprehensive plans listed in the grant application,
the cities' more specific, policy level plans may need to be updated to conform to the new smart planning
principles and the vision, goals, and objectives of the updated comprehensive plans. Existing plans that may
require updates following the smart planning process include:
• DMATS and RPA Long Range Transportation Plans
• Tri -State Area Integrated Walking, Bicycling, and, Hiking Plan Network Plan
• City of Dubuque Hazard Mitigation Plan
• Dubuque County Hazard Mitigation Plan
• Public Transit Plan
• City and County Zoning Ordinance
• City of Dubuque Downtown Master Plan
• Community Economic Development Strategy
• Eastern Iowa Regional Housing Authority 5 Year Plan
Following the completion of the Smart Planning Process, all affected plans, including those listed above, will be
reviewed. If major discrepancies exist, the plans will be amended. Other minor issues will be addressed when
the plans are due for a comprehensive update or replacement.
7. Does your planning process specifically call for referencing all applicable hazard mitigation plans
approved by FEMA and articulating action steps for reducing flood risk associated with natural
disasters? (0 or 10 points)
X Yes No
The planning process will reference the following hazard mitigation plans:
Iowa Smart Planning: Local Comprehensive Planning Program Application
Page 10 of 11
Worthington
7/9/2009
Luxemburg
Approved pending adoption
Bernard
3/31/2010
8. Watershed Planning: Does your proposed planning process coordinate with or seek to establish a
watershed management authority (as specified in House File 2459, sections 4 -7)7 (0 or 10 points)
X Yes No
During the Smart Planning process, the Consortium partners will address watershed issues by working closely
with the Dubuque Soil and Water Conservation District (SWCD) and the Upper Catfish Creek Watershed
Project. SWCD will advise the core members on county watershed issues, and will help integrate components
of that plan into each community's comprehensive plan. SWCD will be included as a consortium partner. This
will allow the SWCD to help the other partners integrate watershed plan components into their comprehensive
plans. The Consortium will seek to establish a watershed a watershed management authority as specified in
House File 2459, sections 4 -7. Eric Schmechel of the SWCD will be leading the watershed element of the
Smart Planning Process. See Appendix page 4 for Eric Schmechel's Resume.
9. Implementation: Once the plan is completed, how do you plan to coordinate implementation of plan
recommendations? How will participating jurisdictions utilize the plan for decision- making purposes
upon completion? Do the participating jurisdictions intend to review and update the plan on a regular
basis; if so, please describe the intent? (up to 10 points)
Throughout the comprehensive plan update process the consortium will continue to meet. These meetings will
allow the partners to work together on developing the polices and projects that will be implemented as a result
of the new comprehensive plans. For example, several proposed road improvement projects fall under multiple
jurisdictions. If each jurisdiction plans its section of the project individually, the result could be a road corridor
plan made of a combination of disjointed plans that is not likely to receive funding. However, if all parties
involved collaborate early on in the planning process, they can create a consistent plan for the entire corridor
that is much more likely to receive funding. Collaboration will also help reduce project costs by reducing
duplication of work. Planning, engineering, site analysis, and construction costs can be reduced by
collaborating on one large project, instead of several individual projects.
Upon completion of the comprehensive plan updates, participating jurisdictions will incorporate the plan's
policy recommendations into local development codes, ordinances, and other canununity planning documents.
Documents such as the local zoning code, downtown master plan, and the long range transportation plan are
important to the implementation of the comprehensive plan recommendations because they guide the decision
making process. Projects recommended in the comprehensive plans will be incorporated in to each
jurisdiction's funding program. Examples of firnding programs include the city or county Five Year Capital
Improvements Program, the MPO Surface Transportation Program, and the Iowa DOT's Five Year Program.
See Project Flow Chart on page 2 of the appendix for more funding program examples.
All communities participating in the comprehensive plan updates will review and update their comprehensive
plans on a regular basis. The intent of the review and update process is to ensure that the data contained in the
plan is up to date, and the vision and goals of the plan reflect the current needs of the community's residents.
The timeframe for plan updates will depend on the resources available to each community. Larger jurisdictions
like the City of Dubuque will be able to update their comprehensive plan approximately every five years, while
small communities' budgets will require less frequent updates.
Iowa Smart Planning: Local Comprehensive Planning Program Application Page 11 of 11