Purchase of Service Agreement_FY 12 Project Concern_Information and Referral, Child Care ReferralMasterpiece on the Mississippi
July 21, 2011
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
Dubuque
kitti
hill,!
2007
SUBJECT: Purchase of Service Agreement with Project Concern, Inc. -
Information and Referral and Child Care Referral
The adopted Fiscal Year 2012 City Community Development Block Grant (CDBG)
operating budget provides payment of $21,483 to Project Concern, Inc., for the
Information and Referral Program, plus a payment of $7,570 for the Child Care
Resource and Referral Program.
Housing and Community Development Manager David Harris is recommending that the
City Council approve the attached Purchase of Service Agreement with Project
Concern, Inc. to help provide financial counseling and medical services information and
referral services, and child care resource and referral services to low- and moderate -
income residents of the City of Dubuque.
I concur with the recommendation and respectfully requ t Mayor and City Council
approval. °
r/
Mic ael C. Van Milligen
MCVM /jml
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Jenny Larson, Budget Director
David Harris, Housing & Community Development Director
Masterpiece on the Mississippi
July 21, 2011
Dubuque
AFAmedcacp
2007
TO: Michael Van Milligen, City Manager
FROM: David Harris, Housing and Community Development Department
SUBJECT: Purchase of Service Agreement with Project Concern, Inc. -
Information and Referral and Child Care Referral
The adopted Fiscal Year 2012 City Community Development Block Grant (CDBG)
operating budget provides for the payment of $21,483 for the Information and Referral
Program. This program provides information on resources for financial counseling and
medical services, and referral services to low and moderate income residents of the
City of Dubuque. A payment of $7,570 for the Child Care Resource and Referral
Program provides for childcare resource and referral services to low- and moderate -
income residents.
Although the program start date is July 1st, the agreement is being submitted at this
time since the FY 2012 Annual Plan has just been amended to reflect the reduction in
our CDBG funding allocation for FY12.
It is recommended that the City Council approve the attached Purchase of Service
Agreement with Project Concern, Inc., for the Information and Referral Program and the
Child Care Resource and Referral Program, and authorize the Mayor to execute the
contract on behalf of the City when the HUD CDBG funding agreement has been
authorized.
Attachment
AGREEMENT BETWEEN
CITY OF DUBUQUE, IOWA
AND
PROJECT CONCERN
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG)
Information and Referral
Child Care Resource and Referral
THIS AGREEMENT, executed on the day of 2011 is entered into by and
between the City of Dubuque, Iowa, a municipal corporation organized and existing
under the laws of the State of Iowa (Recipient) and Project Concern, with its principal
place of business in Dubuque, Iowa (Subrecipient).
Whereas, Recipient is a participating city in the Community Development Block
Grant Program of the United States Department of Housing and Urban Development;
and
Whereas, Recipient wishes to engage Subrecipient to assist Recipient in
providing services to low -and moderate - income persons.
NOW THEREFORE, in consideration of the premises and respective covenants,
agreements and representations hereinafter set forth, the parties agree as follows:
I. SCOPE OF SERVICES
A. Information and Referral Services
Subrecipient shall provide information and referral services primarily to
low and moderate - income residents of the City of Dubuque. In this regard
for the term of this agreement it shall:
1 Provide information on resources for financial counseling and
medical services and referral services primarily to low- and
moderate income residents of the City of Dubuque.
2. Maintain current local information available on financial programs
for low- or moderate - income persons.
3. Assess client's financial needs to determine appropriate referral.
4. When appropriate, complete client intake, determine eligibility, and
write narrative on current financial crisis.
5. Refer client to appropriate financial sources.
6. Serve as advocate for clients needing additional assistance.
7. Keep current information available on local medical programs for
low- or moderate - income persons.
8. Assess clients' medical needs to determine eligibility.
9. Refer eligible clients to appropriate service or professionals.
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10. Research alternatives in the event first referrals do not meet client
needs.
Cost Not to Exceed: $21,483
B. Child Care Resource and Referral Services
Subrecipient shall provide child care resource and referral services primarily
to low and moderate - income residents of the City of Dubuque. In this
regard for the term of this agreement it shall:
1. Identify all childcare services and maintain a regularly updated resource
file of all such services.
2. Target low and moderate - income families as consumers of CCR &R
services through special marketing efforts, classes and publications
aimed at educating about the availability of childcare services in
Dubuque.
3. Actively maintain a resource and referral process, which responds to
parental need for information and support, promotes maximum parental
choices, documents and tabulates data pertaining to parent requests
and respects the confidentiality of families and providers.
4. Provide information and technical assistance to existing and
prospective providers to increase the variety, quantity, and quality of
childcare in Dubuque. Expand childcare provider database, targeting
providers of infant care, evening and flexible schedule care.
Cost Not to Exceed: $7,570
II. NATIONAL OBJECTIVE
Subrecipient certifies and maintains documentation that the activities
carried out with funds provided under this Agreement will meet the CDBG
program's National Objectives as stated:
570.208(a)(2) Activities benefiting low and moderate income persons;
Benefit a limited clientele at least 51 percent of who are low- or moderate -
income persons; and Requires information on family size, household
income, ethnic origin and female head of household. (Exhibit B lists the
income guidelines)
III. PROJECT BUDGET
The total compensation to be paid to Subrecipient by Recipient for the
services shall in no event exceed the sum of $29,053 for the program as
described approved.
Any indirect costs charged must be consistent with the conditions of
Section II (C)(3) of the attached Exhibit A, Standard Requirements. In
addition, the Recipient may require a more detailed budget breakdown,
and Subrecipient shall provide such supplementary budget information in
a timely fashion in the form and content prescribed by Recipient.
Recipient and Subrecipient must approve any amendments to this budget
in writing.
IV. DATES OF COMMENCEMENT AND COMPLETION:
The services to be provided under this Agreement shall be commenced
on July 1, 2011 and shall be completed not later than June 30, 2012.
Recipient's right to enforce the terms of this Agreement shall be extended
to cover any additional time during which the Subrecipient remains in
control of CDBG funds or other assets including program income.
V. AGREEMENT DOCUMENTS AND PROVISIONS
Subrecipient will perform or arrange for the provision of services under
this Agreement in the manner and time provided herein and in accordance
with the Community Development Block Grant Program, including the
Standard Requirements in Exhibit A and Income Guidelines in Exhibit B
herein attached and a part of this agreement.
VI. PAYMENT
A. It is expressly agreed and understood that the total amount to be
paid by Recipient to Subrecipient under this Agreement shall not
exceed the amount stated in Section III of this Agreement. Such
amount will be paid upon written request on the Request for
Payment form, with proof satisfactory to Recipient of expenses.
Drawdowns for payment of eligible expenses are reimbursement
only.
B. Payment shall be supported by documentation provided by
Subrecipient of costs incurred for services provided pursuant to this
Agreement.
C. Payments are contingent upon certification of Subrecipient's
financial management system in accordance with the standards
specified in OMB Circular A -110, the provisions of which are
available in the office of Recipient.
VII. INSURANCE.
At the time of execution of this Agreement by Subrecipient, Subrecipient
shall provide to Recipient copies of Subrecipient's insurance certificates
showing general liability, automobile liability, and workers compensation
insurance coverage to the satisfaction of Recipient for the term of this
Agreement.
VIII. REPORTING AND MONITORING.
Subrecipient shall render to Recipient a quarterly written report detailing
its activities. Quarterly reports shall be submitted no later than the 15th of
the month in October, January, April and July.
Subrecipient shall submit a measurable performance outcome for the
funded activity when submitting the quarterly report, as follows:
3300 residents will have new access to financial counseling and medical
services information and referral services that create a suitable living
environment. In addition, 1000 residents will have access to child care
resource and referral services that create a suitable living environment
Subrecipient shall be subject to at least one site visit by personnel of
Recipient, or a designee of Recipient or duly authorized federal, for the
purpose of monitoring Subrecipient's delivery of services and compliance
with terms of the agreement and federal standards that pertain to federally
funded grant activities. Review may include accounting books and
records for financial management and documentation of program costs.
The reviewers shall have access to and the right to examine, audit,
excerpt and /or transcribe any of Subrecipient's records pertaining to all
matters covered by this Agreement. Subrecipient shall be subject to
subsequent site visits to review correction of any deficiencies in
compliance.
Recipient shall monitor the performance of Subrecipient against goals and
performance standards required herein. Substandard performance as
determined by Recipient shall constitute noncompliance with this
agreement. If action to correct such substandard performance is not
taken by Subrecipient within a reasonable period of time after being
notified by Recipient, contract suspension or termination procedures shall
be initiated
IX. TERMINATION OF AGREEMENT
This Agreement may be terminated by either party by giving the other party a
written, ninety (90) day notice of such termination or upon such other terms
as may be mutually agreeable.
If, through any cause, Agency shall fail to fulfill in a timely and proper manner
its obligations under this Agreement or if Agency shall violate any of the
covenants, agreements, or stipulations of this Agreement, City shall have the
right to terminate this Agreement by giving written notice to Agency of such
termination not less than five (5) days before the effective date of such
termination.
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IN WITNESS WHEREOF, the parties have executed this agreement, with the
referenced attachments Exhibit A and B, as of the date first written above.
Witness:
X. ASSIGNABILITY
Agency shall not assign this Agreement or any interest in this Agreement
without prior written approval of City.
XI. NOTICES
Communication and details concerning this Agreement shall be directed
to the following representatives:
Recipient
Aggie Tauke
Community Development Specialist
Housing and Community Development
350 West 6 Street Suite 312
Dubuque, Iowa 52001
Kevin Firnstahl, Acting City Clerk
F: \USERS\ATAUKE \CDBG \CDBG Contracts \Project Concern112 Project Concem Child Referral agrmt.doc
6
Project Concern
Board Chairperson
Subrecipient
Attention:
Nancy Lewis
Project Concern
1789 Elm Suite B
Dubuque, IA 52001
Nancy Lewis, Executive Director
EXHIBIT A
TABLE OF CONTENTS
I. GENERAL CONDITIONS 1
A. General Compliance 1
B. Independent Contractor 1
C. Hold Harmless 1
D. Workers' Compensation 1
E. Insurance and Bonding 1
F. Grantor Recognition 1
G. Amendments 1
H. Suspension or Termination 2
U. ADMINISTRATIVE REQUIREMENTS 2
A. Financial Management 2
1. Accounting Standards 2
2. Cost Principles 2
B. Documentation and Recordkeeping 2
1. Records to be Maintained 2
2. Retention 2
3. Client Data 3
4. Disclosure 3
5. Closeouts 3
6. Audits and Inspections. 3
C. Reporting and Payment Procedures 3
1. Program Income 3
2. Payment Procedures 3
3. Indirect Costs 4
4. Progress Reports 4
O. Procurement 4
1. Compliance 4
2. OMB Standards 4
3. Travel 4
E. Use and Reversion of Assets
|||. RELOCATION, PROPERTY ACQUISITION AND ONE-FOR-ONE HOUSING REPLACEMENT 4
IV. PERSONNEL AND PARTICIPANT CONDITIONS... 4
A. Civil Rights 4
1. Compliance 4
2. Nondiscrimination 5
3. Land Covenants 5
4. Section 504 5
B. Affirmative Action 5
1. Approved Plan 5
2. Women-Minority Businesses (W/MBE) 5
3. Access toRecords 6
4. Notifications 6
5. Equal Employment Opportunity and Affirmative Action (EEO/AA) Statement 6
G. Subcontract Provisions 6
C. Employment Restrictions 6
i
1. Prohibited Activity 6
2. Labor Standards 6
3. "Section 3" Clause 7
a. Compliance 7
b. Notifications 7
c. Subcontracts 8
D. Conduct 8
1. Assignability 8
2. Hatch Act 8
3. Conflict of Interest 8
4. Subcontracts 8
a. Approvals 8
b. Monitoring 8
Content 8
d. Selection Process 8
5. Lobbying 9
6. Copyright 9
7 Religious Organization 9
V. ENVIRONMENTAL CONDITIONS 9
A. Air and Water 9
B. Flood Disaster Protection 9
C. Lead Based Paint 10
D. Historic reservation 10
VI. SEVERABILITY 10
VII SECTION HEADINGS AND SUBHEADS 10
VIII WAIVER 10
IX ENTIRE AGREEMENT 10
ii
EXHIBIT A
STANDARD REQUIREMENTS
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) AGREEMENTS
I. GENERAL CONDITIONS
A. General Compliance
The Subrecipient agrees to comply with the requirements of Title 24 Code of Federal
Regulations, Part 570 of the Housing and Urban Development regulations concerning
Community Development Block Grants (CDBG) including subpart K of these regulations,
except that (1) the Subrecipient does not assume the recipient's environmental responsibilities
described in 24 CFR 570.604 and (2) the Subrecipient does not assume the recipient's
responsibility for initiating the review process under the provisions of 24 CFR Part 52. The
Subrecipient further agrees to utilize funds available under this Agreement to supplement
rather than supplant funds otherwise available. The Subrecipient agrees to comply with all
applicable federal, state and local laws and regulations governing the funds provided under
this contract.
B. Independent Contractor
Nothing contained in this Agreement is intended to, or shall be construed in any manner, as
creating or establishing the relationship of employer /employee between the parties. The
Subrecipient shall at all times remain an independent contractor with respect to the services to
be performed under this Agreement. The Recipient shall be exempt from payment of all
Unemployment Compensation, FICA, retirement, life and /or medical insurance and Workers'
Compensation Insurance as the Subrecipient is an independent contractor.
C. Hold Harmless
The Subrecipient shall hold harmless, defend and indemnify the Recipient from any and all
claims, actions, suits, charges and judgments whatsoever that arise out of the Subrecipient's
performance or nonperformance of the services or subject matter called for in this Agreement.
D. Workers' Compensation
The Subrecipient shall provide Workers' Compensation Insurance coverage for all employees
involved in the performance of this contract.
E. Insurance and Bonding
The Subrecipient shall maintain insurance to the extent and against such hazards and
liabilities as are in keeping with the current insurance program of Recipient.
The Subrecipient shall comply with the bonding and insurance requirements of 24 CFR 84.31
and 84.48, Bonding and Insurance.
F. Grantor Recognition
The Subrecipient shall insure recognition of the role of the Recipient in providing services
through the agreement. All activities, facilities and items utilized pursuant to this contract shall
be prominently labeled as to funding source. In addition, the Subrecipient will include a
reference to the support provided herein in all publications made possible with funds available
under this contract.
G. Amendments
Recipient or subrecipient may amend this Agreement at any time provided that such
amendments make specific reference to this Agreement, and are executed in writing, signed
by a duly authorized representative of both organizations and approved by the Recipient's
governing body. Such amendments shall not invalidate this Agreement, nor relieve or release
Recipient or Subrecipient from its obligations under this Agreement.
Recipient may, in its discretion, amend this Agreement to conform with federal, state or local
governmental guidelines, policies and available funding amounts, or for other reasons. If such
amendments result in a change in the funding, the scope of services, or schedule of, the
activities to be undertaken as part of this Agreement, such modifications will be incorporated
only by written amendment signed by both Recipient and Subrecipient.
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H. Suspension or Termination
In accordance with 24 CFR 85.43, the Recipient may suspend or terminate this Agreement if the
Subrecipient materially fails to comply with any terms of this Agreement, which include (but are
not limited to) the following: 1) Failure to comply with any of the rules, regulations or provisions
referred to herein, or such statutes, regulations, executive orders, and HUD guidelines, policies or
directives as may become applicable at any time; 2) Failure, for any reason, of the Subrecipient to
fulfill in a timely and proper manner its obligations under this Agreement; 3) Ineffective or
improper use of funds provided under this Agreement; or 4) Submission by the Subrecipient to the
Recipient reports that are incorrect or incomplete in any material respect.
In accordance with 24 CFR 85.44, this Agreement may also be terminated for convenience by
either the Recipient or the Subrecipient, in whole or in part, by setting forth the reasons for such
termination, the effective date, and, in the case of partial termination, the portion to be terminated.
However, if in the case of a partial termination, the Recipient determines that the remaining
portion of the award will not accomplish the purpose for which the award was made, the Recipient
may terminate the award in its entirety.
II. ADMINISTRATIVE REQUIREMENTS
A. Financial Management
1. Accounting Standards
The Subrecipient agrees to comply with 24 CFR 84.21 -28 and agrees to adhere to the
accounting principles and procedures required therein, utilize adequate internal
controls, and maintain necessary source documentation for all costs incurred.
2. Cost Principles
The Subrecipient shall administer its program in conformance with OMB Circular A -122,
"Cost Principles for Nonprofit Organizations" or A -21, "Cost Principles for Educational
Institutions" as applicable. These principles shall be applied for all costs incurred
whether charged on a direct or indirect basis.
B. Documentation and Record Keeping
1. Records to be Maintained
The Subrecipient shall maintain all records required by the federal regulations specified
in 24 CFR Part 570.506, that are pertinent to the activities to be funded under this
Agreement. Such records shall include but not be limited to:
a. Records providing a full description of each activity undertaken;
b. Records demonstrating that each activity undertaken meets one of the National
Objectives of the CDBG program'
c. Records required to determine the eligibility of activities;
d. Records required to document the acquisition, improvement, use or disposition
of real property acquired or improved with CDBG assistance,
e. Records documenting compliance with the fair housing and equal opportunity
components of the CDBG program, and
f. Financial records as required by 24 CFR Part 570.502, and 24 CFR 84.21 -28:
and
g. Other records necessary to document compliance with Subpart K of 24 CFR
570.
2. Retention
The Subrecipient shall retain all financial records, supporting documents, statistical records,
and all other records pertinent to the Agreement for a period of four (4) years. The retention
period begins on the date of the submission of the Recipient's annual performance and
evaluation report to HUD in which the activities assisted under the Agreement are reported
on for the final time. Notwithstanding the above, if there is litigation, claims, audits,
negotiations or other actions that involve any of the records cited and that have started
before the expiration of the four -year period, then such records must be retained until
completion of the actions and resolution of all issues, or the expiration of the four -year
period, whichever occurs later.
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3. Client Data
The Subrecipient shall maintain client data demonstrating client eligibility for services
provided. Such data shall include, but not be limited to client name, address, income
level or other basis for determining eligibility, and description of services provided.
Such information shall be made available to Recipient monitors or their designees for
review upon request.
4. Disclosure
The Subrecipient understands that client information collected under this contract is
private and the use or disclosure of such information, when not directly connected with
the administration of the Recipient's or Subrecipient's responsibilities with respect to
services provided under this contract, is prohibited by law unless written consent is
obtained from such person receiving service and, in the case of a minor, that of a
responsible parent/guardian.
5. Closeouts
Subrecipient obligation to the Recipient shall not end until all closeout requirements are
completed. Activities during this closeout period shall include, but are not limited to,
making final payments, disposing of program assets (including the return of all unused
materials, equipment, unspent cash advances, program income balances, and
accounts receivable to the Recipient), and determining the custodianship of records.
Not withstanding the foregoing, the terms of this Agreement shall remain in effect
during any period that the Subrecipient has control over CDBG funds, including
program income.
6. Audits and Inspections
All Subrecipient records with respect to any matters covered by this Agreement shall be
made available to the Recipient, grantor agency, and the Comptroller General of the
United States or any of their authorized representatives, at any time during normal
business hours, as often as deemed necessary, to audit, examine, and make excerpts or
transcripts of all relevant data. Any deficiencies noted in audit reports must be fully cleared
by the Subrecipient within 30 days after receipt by the Subrecipient. Failure of the
Subrecipient to comply with the above audit requirements will constitute a violation of this
contract and may result in the withholding of future payments. The Subrecipient hereby
agrees to have an annual agency audit conducted in accordance with current Recipient
policy concerning subrecipient audits and OMB Circular A -133
C. Reporting and Payment Procedures
1. Program Income
The Subrecipient shall report quarterly all program income (as defined at 24 CFR
570.500(a)) generated by activities carried out with CDBG funds made available under this
contract. The use of program income by the Subrecipient shall comply with the
requirements set forth at 24 CFR 570.504. By way of further limitations, the Subrecipient
may use such income during the contract period for activities permitted under this contract
and shall reduce requests for additional funds by the amount of any such program income
balances on hand. All unexpended program income shall be returned to the Recipient at
the end of the contract period. Any interest earned on cash advances from the U.S.
Treasury and from funds held in a revolving fund account is not program income and shall
be remitted promptly to the Recipient.
2. Payment Procedures
The Recipient will pay to the Subrecipient funds available under this agreement based
upon information submitted by the Subrecipient and consistent with any approved
budget and Recipient policy concerning payments. With the exception of certain
advances, payments will be made for eligible expenses actually incurred by the
Subrecipient, and not to exceed actual cash requirements. Payments will be adjusted
by the Recipient in accordance with advance fund and program income balances
available in Subrecipient accounts. In addition, the Recipient reserves the right to
liquidate funds available under this contract for costs incurred by the Recipient on
behalf of the Subrecipient.
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3. Indirect Costs
If indirect costs are charged, the Subrecipient will develop an indirect cost allocation
plan for determining the appropriate Subrecipient's share of administrative costs and
shall submit such plan to the Recipient for approval, in a form specified by the
Recipient.
4. Progress Reports
The Subrecipient shall submit quarterly Activity Progress Reports to the Recipient in the
form and content as required by the Recipient.
D. Procurement
1. Compliance
The Subrecipient shall comply with current Recipient policy concerning the purchase of
equipment and shall maintain inventory records of all nonexpendable personal property
as defined by such policy as may be procured with funds provided herein. All program
assets (unexpended program income, property, equipment, etc.) shall revert to the
Recipient upon termination of this Agreement.
2. OMB Standards
Unless specified otherwise within this agreement, the Subrecipient shall procure all
materials, property, or services in accordance with the requirements of 24 CFR 84.40 -48.
3. Travel
The Subrecipient shall obtain written approval from the Recipient for any travel outside
the metropolitan area to be paid for with funds provided under this contract.
E. Use and Reversion of Assets
The use and disposition of real property and equipment under this Agreement shall be in
compliance with the requirements of 24 CFR Part 84 and 24 CFR 570.502, 570.503, and
570.504, as applicable, which include but are not limited to the following:
1. The Subrecipient shall transfer to the Recipient any CDBG funds on hand and any
accounts receivable attributable to the use of funds under this Agreement at the time of
expiration, cancellation, or termination.
2. Real property under the Subrecipient's control that was acquired or improved, in whole or
in part, with funds under this Agreement in excess of $25,000 shall be used to meet one of
the CDBG National Objectives pursuant to 24 CFR 570.208 until five (5) years after
expiration of this Agreement. If the Subrecipient fails to use CDBG- assisted real property in
a manner that meets a CDBG National Objective for the prescribed period of time, the
Subrecipient shall pay the Recipient an amount equal to the current fair market value of the
property less any portion of the value attributable to expenditures of non -CDBG funds for
acquisition of, or improvement to, the property. Such payment shall constitute program
income to the Recipient. The Subrecipient may retain real property acquired or improved
under this Agreement after the expiration of the five -year period.
3. In all cases in which equipment acquired, in whole or in part, with funds under this
Agreement is sold, the proceeds shall be program income (prorated to reflect the extent to
that funds received under this Agreement were used to acquire the equipment). Equipment
not needed by the Subrecipient for activities under this Agreement shall be (a) transferred
to the Recipient for the CDBG program or (b) retained after compensating the Recipient [an
amount equal to the current fair market value of the equipment less the percentage of non -
CDBG funds used to acquire the equipment].
III. RELOCATION, PROPERTY ACQUISITION AND ONE - FOR -ONE HOUSING REPLACEMETN
The Subrecipient agrees to comply with (a) the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended (URA), and implementing
regulations at 49 CFR Part 24 and 24 CFR 570.606(b); (b) the requirements of 24 CFR
570.606(c) governing the Residential Anti - displacement and Relocation Assistance Plan
under section 104(d) of the HCD Act; and (c) the requirements in 24 CFR 570.606(d)
governing optional relocation policies.The Subrecipient shall provide relocation assistance
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to displaced persons as defined by 24 CFR 570.606(b)(2) that are displaced as a direct
result of acquisition, rehabilitation, demolition or conversion for a CDBG- assisted project.
The Subrecipient also agrees to comply with applicable Recipient ordinances, resolutions
and policies concerning the displacement of persons from their residences.
IV. PERSONNEL AND PARTICIPANT CONDITIONS
A. Civil Rights
1. Compliance
The Subrecipient agrees to comply all federal, state and local regulations in effect as of
the date of this Agreement as they apply to federally assisted programs and activities of
the Department of Housing and Urban Development and with Title VI of the Civil Rights
Act of 1964 as amended, Title VIII of the Civil Rights Act of 1968 as amended, Section
104(b) and Section 109 of Title I of the Housing and Community Development Act of 1974
as amended, Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities
Act of 1990, the Age Discrimination Act of 1975, Executive Order 11063, and Executive
Order 11246 as amended by Executive Orders 11375, 11478, 12107 and 12086.
2. Nondiscrimination
The Subrecipient agrees to comply with the non - discrimination in employment and
contracting opportunities laws, regulations, and executive orders referenced in 24 CFR
570.607, as revised by Executive Order 13279. The applicable non - discrimination
provisions in Section 109 of the HCDA are still applicable.
3. Land Covenants
This contract is subject to the requirements of Title VI of the Civil Rights Act of 1964 (P. L.
88 -352) and 24 CFR 570.601 and 570.602. In regard to the sale, lease, or other transfer of
land acquired, cleared or improved with assistance provided under this contract, the
Subrecipient shall cause or require a covenant running with the land to be inserted in the
deed or lease for such transfer, prohibiting discrimination as herein defined, in the sale,
lease or rental, or in the use or occupancy of such land, or in any improvements erected or
to be erected thereon, providing that the Recipient and the United States are beneficiaries
of and entitled to enforce such covenants. The Subrecipient, in undertaking its obligation to
carry out the program assisted hereunder, agrees to take such measures as are necessary
to enforce such covenant, and will not itself so discriminate.
4. Section 504
The Subrecipient agrees to comply with all Federal regulations issued pursuant to
compliance with Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which
prohibits discrimination against the individuals with disabilities or handicaps in any Federally
assisted program. The Recipient shall provide the Subrecipient with any guidelines
necessary for compliance with that portion of the regulations in force during the term of this
Agreement.
B. Affirmative Action
1. Approved Plan
The Subrecipient agrees that it shall be committed to carry out pursuant to the Recipient's
specifications an Affirmative Action Program in keeping with the principles as provided in
President's Executive Order 11246 of September 24, 1966. The Recipient shall provide
Affirmative Action guidelines to the Subrecipient to assist in the formulation of such
program. The Subrecipient shall submit a plan for an Affirmative Action Program for
approval prior to the award of funds.
2. Women- Minority-Owned Businesses (W /MBE)
The Subrecipient will use its best efforts to afford small businesses, minority business
enterprises, and women's business enterprises the maximum practicable opportunity to
participate in the performance of this contract. As used in this contract, the terms "small
business" means a business that meets the criteria set forth in section 3(a) of the Small
Business Act, as amended (15 U.S.C. 632), and "minority and women's business
enterprise" means a business at least fifty -one (51) percent owned and controlled by
minority group members or women. For the purpose of this definition, "minority group
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members" are Afro - Americans, Spanish- speaking, Spanish surnamed or Spanish- heritage
Americans, Asian - Americans, and American Indians. The Subrecipient may rely on written
representations by businesses regarding their status as minority and female business
enterprises in lieu of an independent investigation.
3. Access to Records
The Subrecipient shall furnish and cause each of its own subrecipients or
subcontractors to furnish all information and reports required hereunder and will permit
access to its books, records and accounts by the Recipient, HUD or its agent, or other
authorized Federal officials for purposes of investigation to ascertain compliance with
the rules, regulations and provisions stated herein.
4. Notifications
The Subrecipient will send to each labor union or representative of workers with which it
has a collective bargaining agreement or other contract or understanding, a notice, to
be provided by the agency contracting officer, advising the labor union or worker's
representative of the Subrecipient's commitments hereunder, and shall post copies in
conspicuous places available to employees and applicants for employment.
5. Equal Employment Opportunity and Affirmative Action (EEO /AA) Statement
The Subrecipient will, in all solicitations or advertisements for employees placed by or
on behalf of the Subrecipient, state that it is an Equal Opportunity or Affirmative Action
employer.
6. Subcontract Provisions
The Subrecipient will include the provisions of Paragraphs X A, Civil Rights, and B,
Affirmative Action, in every subcontract or purchase order, specifically or by reference,
so that such provisions will be binding upon each of its own subrecipients or
subcontractors.
C. Employment Restrictions
1. Prohibited Activity
The Subrecipient is prohibited from using funds provided herein or personnel employed
in the administration of the program for political activities; inherently religious activities;
lobbying, political patronage, and nepotism activities.
2. Labor Standards
The Subrecipient agrees to comply with the requirements of the Secretary of Labor in
accordance with the Davis -Bacon Act as amended, the provisions of Contract Work Hours
and Safety Standards Act (40 U.S.C. 327 et seq.) and all other applicable Federal, state
and local laws and regulations pertaining to labor standards insofar as those acts apply to
the performance of this Agreement. The Subrecipient agrees to comply with the Copeland
Anti -Kick Back Act (18 U.S.C. 874 et seq.) and its implementing regulations of the U.S.
Department of Labor at 29 CFR Part 5. The Subrecipient shall maintain documentation
that demonstrates compliance with hour and wage requirements of this part. Such
documentation shall be made available to the Recipient for review upon request.
The Subrecipient agrees that, except with respect to the rehabilitation or construction of
residential property containing less than eight (8) units, all contractors engaged under
contracts in excess of $2,000.00 for construction, renovation or repair work financed in
whole or in part with assistance provided under this contract, shall comply with Federal
requirements adopted by the Recipient pertaining to such contracts and with the
applicable requirements of the regulations of the Department of Labor, under 29 CFR
Parts 1, 3, 5 and 7 governing the payment of wages and ratio of apprentices and trainees
to journey workers; provided that, if wage rates higher than those required under the
regulations are imposed by state or local law, nothing hereunder is intended to relieve the
Subrecipient of its obligation, if any, to require payment of the higher wage. The
Subrecipient shall cause or require to be inserted in full, in all such contracts subject to
such regulations, provisions meeting the requirements of this paragraph.
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3. "Section 3" Clause
a. Compliance
Compliance with the provisions of Section 3 of the HUD Act of 1968, as amended,
and as implemented by the regulations set forth in 24 CFR 135, and all applicable
rules and orders issued hereunder prior to the execution of this contract, shall be a
condition of the Federal financial assistance provided under this contract and
binding upon the Recipient, the Subrecipient and any of the Subrecipient's
subrecipients and subcontractors. Failure to fulfill these requirements shall subject
the Recipient, the Subrecipient and any of the Subrecipient's subrecipients and
subcontractors, their successors and assigns, to those sanctions specified by the
Agreement through which Federal assistance is provided. The Subrecipient certifies
and agrees that no contractual or other disability exists that would prevent
compliance with these requirements.
The Subrecipient further agrees to comply with these "Section 3" requirements and
to include the following language in all subcontracts executed under this Agreement:
"The work to be performed under this Agreement is a project assisted
under a program providing direct Federal financial assistance from HUD
and is subject to the requirements of Section 3 of the Housing and Urban
Development Act of 1968, as amended (12 U.S.C. 1701). Section 3
requires that to the greatest extent feasible opportunities for training and
employment be given to low- and very low- income residents of the project
area, and that contracts for work in connection with the project be awarded
to business concerns that provide economic opportunities for low- and
very low- income persons residing in the metropolitan area in which the
project is located."
The Subrecipient further agrees to ensure that opportunities for training and
employment arising in connection with a housing rehabilitation (including reduction
and abatement of lead -based paint hazards), housing construction, or other public
construction project are given to low- and very low- income persons residing within
the metropolitan area in which the CDBG- funded project is located; where feasible,
priority should be given to low- and very low- income persons within the service area
of the project or the neighborhood in which the project is located, and to low- and
very low- income participants in other HUD programs; and award contracts for work
undertaken in connection with a housing rehabilitation (including reduction and
abatement of lead -based paint hazards), housing construction, or other public
construction project to business concerns that provide economic opportunities for
low- and very low- income persons residing within the metropolitan area in which the
CDBG- funded project is located; where feasible, priority should be given to business
concerns that provide economic opportunities to low- and very low- income residents
within the service area or the neighborhood in which the project is located, and to
low- and very low- income participants in other HUD programs.
The Subrecipient certifies and agrees that no contractual or other legal incapacity
exists that would prevent compliance with these requirements.
b. Notifications
The Subrecipient agrees to send to each labor organization or representative of
workers with which it has a collective bargaining agreement or other contract or
understanding, if any, a notice advising said labor organization or worker's
representative of its commitments under this Section 3 clause and shall post
copies of the notice in conspicuous places available to employees and applicants
for employment or training.
c. Subcontracts
The Subrecipient will include this Section 3 clause in every subcontract and will
take appropriate action pursuant to the subcontract upon a finding that the
subcontractor is in violation of regulations issued by the Recipient. The
Subrecipient will not subcontract with any entity where is has notice or
knowledge that the latter has been found in violation of regulations under 24
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CFR 135 and will not let any subcontract unless the entity has first provided it
with a preliminary statement of ability to comply with the requirements of these
regulations.
D. Conduct
1. Assignability
The Subrecipient shall not assign or transfer any interest in this contract without the
prior written consent of the Recipient thereto; provided, however, that claims for money
due or to become due to the Subrecipient from the Recipient under this contract may be
assigned to a bank, trust company or other financial institution without such approval.
Notice of any such assignment or transfer shall be furnished promptly to the Recipient.
2. Hatch Act
The Subrecipient agrees that no funds provided, nor personnel employed under this
contract, shall be in any way or to any extent engaged in the conduct of political
activities in violation of Chapter 15 of Title V United States Code.
3. Conflict of Interest
The Subrecipient agrees to abide by the provisions of 24 CFR 84.42 and 570.611, which
include (but are not limited to) the following:
a. The Subrecipient shall maintain a written code or standards of conduct that shall
govern the performance of its officers, employees or agents engaged in the award
and administration of contracts supported by Federal funds.
b. No employee, officer or agent of the Subrecipient shall participate in the selection, or
in the award, or administration of, a contract supported by Federal funds if a conflict
of interest, real or apparent, would be involved.
c. No covered persons who exercise or have exercised any functions or responsibilities
with respect to CDBG- assisted activities, or who are in a position to participate in a
decision - making process or gain inside information with regard to such activities,
may obtain a financial interest in any contract, or have a financial interest in any
contract, subcontract, or agreement with respect to the CDBG- assisted activity, or
with respect to the proceeds from the CDBG- assisted activity, either for themselves
or those with whom they have business or immediate family ties, during their tenure
or for a period of one (1) year thereafter. For purposes of this paragraph, a "covered
person" includes any person who is an employee, agent, consultant, officer, or
elected or appointed official of the Recipient, the Subrecipient, or any designated
public agency.
4. Subcontracts
a. Approvals
The Subrecipient shall not enter into any subcontracts with any agency or
individual in the performance of this contract without the written consent of the
Recipient prior to the execution of such agreement.
b. Monitoring
The Subrecipient will monitor all subcontracted services on a regular basis to
assure contract compliance. Results of monitoring efforts shall be summarized
in written reports and supported with documented evidence of follow up actions
taken to correct areas of noncompliance.
c. Content
The Subrecipient shall cause all of the provisions of this contract in its entirety to
be included in and made a part of any subcontract executed in the performance
of this agreement.
d. Selection Process
The Subrecipient shall undertake to insure that all subcontracts let in the
performance of this agreement shall be awarded on a fair and open competition
basis in accordance with applicable procurement requirements. Executed
copies of all subcontracts shall be forwarded to the Recipient along with
documentation concerning the selection process.
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5. Lobbying
The Subrecipient hereby certifies that:
a. No Federal appropriated funds have been paid or will be paid, by or on behalf of
it, to any person for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement;
b. If any funds other than Federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with this
Federal contract, grant, loan, or cooperative agreement, it will complete and
submit Standard Form -LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions; and
c. It will require that the language of paragraph (d) of this certification be included
in the award documents for all subawards at all tiers (including subcontracts,
subgrants, and contracts under grants, loans, and cooperative agreements) and
that all Subrecipients shall certify and disclose accordingly:
d. Lobbying Certification
This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction
imposed by section 1352, title 31, U.S.C. Any person who fails to file the
required certification shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such failure.
6. Copyright
If this contract results in any copyrightable material or inventions, the Recipient and /or
grantor agency reserves the right to royalty -free, non - exclusive and irrevocable license to
reproduce, publish or otherwise use and to authorize others to use, the work or materials
for governmental purposes.
5. Religious Organization
The Subrecipient agrees that funds provided under this Agreement will not be utilized for
inherently religious activities prohibited by 24 CFR 570.200(j), such as worship, religious
instruction, or proselytization.
V. ENVIRONMENTAL CONDITIONS
A. Air and Water
1. The Subrecipient agrees to comply with the following regulations insofar as they apply
to the performance of this contract:
2. Clean Air Act, 42 U.S.C., 7401, ET seq.
3. Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251, et seq., as amended
1318 relating to inspection, monitoring, entry, reports and information, as well as other
requirements specified in said Section 114 and Section 308, and all regulations and
guidelines issued hereunder.
4. Environmental Protection Agency (EPA) regulations pursuant to 40 CFR, Part 50, as
amended.
B. Flood Disaster Protection
In accordance with the requirements of the Flood Disaster Protection Act of 1973 (42 U.S.C.
4001), the Subrecipient shall assure that for activities located in an area identified by the Federal
Emergency Management Agency (FEMA) as having special flood hazards, flood insurance under
the National Flood Insurance Program is obtained and maintained as a condition of financial
assistance for acquisition or construction purposes (including rehabilitation).
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C. Lead Based Paint
The Subrecipient agrees that any construction or rehabilitation of residential structures with
assistance provided under this contract shall be subject to HUD Lead Based Paint Regulations
at 24 CFR 570.608, and 24 CFR Part 35 subpart B. Such regulations pertain to all CDBG
assisted housing and require that all owners, prospective owners, and tenants or properties
constructed prior to 1978 be properly notified that such properties may include lead based
paint. Such notification shall point out the hazards of lead based paint and explain the
symptoms, treatment and precautions that should be taken when dealing with lead based paint
poisoning and the advisability and availability of blood lead level screening for children under
seven. The notice should also point out that if lead -based paint is found on the property,
abatement measures may be undertaken.The regulations further require that, depending on
the amount of Federal funds applied to a property, paint testing, risk assessment, treatment
and /or abatement may be conducted.
D. Historic Preservation
The Subrecipient agrees to comply with the Historic Preservation requirements set forth in the
National Historic Preservation Act of 1966, as amended (16 U.S.C. 470) and the procedures
set forth in 36 CFR, Part 800, Advisory Council on Historic Preservation Procedures for
Protection of Historic Properties, insofar as they apply to the performance of this contract.
In general, this requires concurrence from the State Historic Preservation Officer for all
rehabilitation and demolition of historic properties that are fifty years old or older or that are
included on a federal, state or local historic property list.
VI. SEVERABILITY
If any provision of this Agreement is held invalid, the remainder of the Agreement shall not be
affected thereby and all other parts of this Agreement shall nevertheless be in full force and
effect.
VII. SECTION HEADINGS AND SUBHEADINGS
The section headings and subheadings contained in this Agreement are included for
convenience only and shall not limit or otherwise affect the terms of this Agreement.
VIII. WAIVER
The Recipient's failure to act with respect to a breach by the Subrecipient does not waive its right
to act with respect to subsequent or similar breaches. The failure of the Recipient to exercise or
enforce any right or provision shall not constitute a waiver of such right or provision.
IX. ENTIRE AGREEMENT
This agreement constitutes the entire agreement between the Recipient and the Subrecipient for
the use of funds received under this Agreement and it supersedes all prior or contemporaneous
communications and proposals, whether electronic, oral, or written between the Recipient and
the Subrecipient with respect to this Agreement.
NOTE: For the above sections, if the Subrecipient is a governmental or quasi - governmental agency, the
applicable sections of 24 CFR Part 85, "Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments," and OMB Circular A -87 would apply.
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Exhibit B
CITY OF DUBUQUE, IOWA
INCOME GUIDELINES FOR
FINANCIAL ASSISTANCE
Income limits are defined and occasionally revised by the U.S. Department of Housing and Urban Development's
estimated median family income.
A low income person or family has a total income which falls between the fifty (50) percent and eighty (80) percent
median for the area, adjusted for size.
A very low income person, family, or household has a total income which falls between thirty (30) and fifty (50) percent
of the median income, adjusted for size, of the metropolitan area.
A 30% median income person, family or household has a total income which is between 0 and thirty (30) percent of the
median income, adjusted for size, of the metropolitan area.
The maximum income limits as of June 2011 for the Dubuque Metropolitan Area are as follows:
Maximum Annual Income
Family Size
30 % Median Very Low Income -
Income (50 %)
1 $0 - $13,400 $13,401- $22,300
2 $0 - $15,300 $15,301 - $25,500
3 $0 - $17,200 $17,201 - $28,700
4 $0 - $19,100 $19,101 - $31,850
5 $0 - $20,650 $20,651 - $34,400
6 $0 - $22,200 $22,201 - $36,950
7 $0 - $23,700 $23,701 - $39,500
8 or more $0 - $25,250 $25,250 - $42,050
Low
Income - (80 %)
$22,301 - $35,700
$25,501- $40,800
$28,701 - $45,900
$31,851- $50,950
$34,401- $55,050
$36,951- $59,150
$39,501- $63,200
$42,050- $67,300
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