Purchase of Service Agreement_FY 12 Washington Tool LibraryMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Purchase of Service Agreement -
Washington Neighborhood Tool Library
Dubuque
AI,Amodcaph
2007
July 21, 2011
The adopted Fiscal Year 2012 Community Development Block Grant (CDBG) operating
budget provides for payment of $12,896 to the Washington Tool Library.
Housing and Community Development Department Director David Harris is
recommending that the City Council approve the attached Purchase of Service
Agreement with the Washington Tool Library to provide lending free tools and
equipment for low and moderate income persons.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Michael C. Van Milligen
MCVM /jml
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Jenny Larson, Budget Director
David Harris, Housing and Community Development Department Director
Masterpiece on the Mississippi
July 21, 2011
Dubuque
u-Amedactr
1
2007
TO: MichaelCVan Milligen, City Manager
FROM: David Harris, Housing and Community Development Department
SUBJECT: Purchase of Service Agreement—
Washington Neighborhood Tool Library
The adopted Fiscal Year 2012 City Community Development Block Grant (CDBG)
operating budget provides for the payment of $12,896 for the Washington Tool Library.
The attached Purchase of Service Agreement will facilitate the continued operation of
the Washington Neighborhood Tool Library at 345 East 18th Street. 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.
The Washington Neighborhood Tool Library is a free tool lending library for low -and
moderate - income persons. The Library registers tool borrowers by assisting residents in
completing an eligibility form to verify annual income status as required by HUD, and
issues a Tool Library card. The volunteer staff purchase new tools as needed, maintain
files and information on borrowers, and provide the documentation as required by the
CDBG regulations.
It is recommended that the City Council approve the attached Purchase of Service
Agreement with the Washington Neighborhood Tool Library and authorize the Mayor to
execute the contract on behalf of the City when the HUD CDBG funding agreement has
been authorized.
Attachment
CITY OF DUBUQUE, IOWA
AND
WASHINGTON NEIGHBORHOOD TOOL LIBRARY
FY 12 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) Agreement
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 Washington Neighborhood Tool
Library, with its principal place of business in Dubuque, Iowa (Subrecipient).
Whereas, Recipient is a participating city in the Community Development Block
Grant (CDBG) Program of the United States Department of Housing and Urban
Development; and
Whereas, Recipient wishes to engage Subrecipient to assist Recipient in
providing services to low -and moderate- income persons.
NOW THEREFORE, in consideration of the premises and respective covenants,
agreements and representations hereinafter set forth, the parties agree as follows:
I. SCOPE OF SERVICES:
Subrecipient shall:
1. Provide a program of services to eligible residents of the City of
Dubuque in a manner satisfactory to Recipient and consistent with
all standards required as a condition of providing these funds. Such
program will include the following activities eligible as a public
service under the Community Development Block Grant (CDBG)
Program:
a) Lend, without charge, a variety of tools for the purpose of improvement
or rehabilitation of residential property for low -and moderate - income
households. The Tool Library shall continue to increase, when deemed
necessary, its inventory of tools in order to provide a wider range of tools
for use.
b) Maintain documentation on the number of users, tools borrowed and
purchased. Borrowers must present a Tool Library card issued by the
Washington Tool Library prior to obtaining tools.
c) Administer the Tool Library operation, including the registration of
borrowers of tools by assisting residents in completing an annual eligibility
form verifying income status and by issuing a Tool Library card prior to
borrowing tools.
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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 in Section 570.208(a)(2): An
activity which benefits a limited clientele, at least 51 percent of whom are
low -and moderate - income persons. HUD 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 $12,896 for the program as
described in Section 1.
Any indirect costs charged must be consistent with the conditions of
Section II (C)(3) of the attached Exhibit A, Standard Requirements. In
addition, Recipient may require a more detailed budget breakdown, and
Subrecipient shall provide such supplementary budget information in a
timely fashion in the form and content prescribed by Recipient. The
Recipient and Subrecipient must approve any amendments to this
Agreement in writing.
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 Subrecipient remains in control
of CDBG funds or other assets including program income.
V AGREEMENT DOCUMENTS AND PROVISIONS
Subrecipient shall perform or arrange for the provision of services under
this Agreement in the manner and time provided herein and in accordance
with the Community Development Block Grant Program, including the
Standard Requirements in Exhibit 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 shall
constitute complete compensation for all services to be rendered,
including expenses for the operation of the physical structure and the
cost in purchasing and maintaining tools. Such amount shall be paid
upon written request on the Request for Payment form, with proof
satisfactory to the recipient of expenses. Drawdowns for payment of
eligible expenses are reimbursement only.
B. All donations received from individuals using tools from the
Washington Tool Library shall be considered program income. As
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program income, the donations shall be used to offset expenses of the
program prior to requesting additional CDBG funds.
C. Payment shall be supported by documentation provided by
Subrecipient of costs incurred for services provided pursuant to this
Agreement.
D. Payments are be 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, including number of persons certified, tool library cards
issued, number of tools borrowed and purchased, number of low -and
moderate - income persons borrowing tools at the Washington
Neighborhood Tool Library and other information required by the CDBG
regulations to document participants are low -and moderate - income.
Quarterly reports shall be submitted no later than the 15th of the month in
October, January, April and July.
Subrecipient shall submit a measurable performance outcome for the
funded activity when submitting the quarterly report, as follows:
The program shall provide 550 low /moderate income persons with access
to affordable housing through services which assist in providing decent
affordable housing
Subrecipient shall be subject to at least one site visit by personnel of
Recipient, or a designee of Recipient or duly authorized federal officials,
for the purpose of monitoring Subrecipient's delivery of services and
compliance with terms of the agreement and federal standards that
pertain to federally funded grant activities. Income verification of the
participants as provided on the Participant Report, if applicable, shall be
provided for review at the time of monitoring. 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.
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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 maybe 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.
X. NOTICES
Communication and details concerning this Agreement shall be directed
to the following agreement representatives:
Recipient
Aggie Tauke
Community Development Specialist
Housing and Community Development
350 West 6 Street Suite 312
Dubuque, Iowa 52001
XI. ASSIGNABILITY
Agency shall not assign this Agreement or any interest in this Agreement
without prior written approval of City.
IN WITNESS WHEREOF, the parties have executed this contract with the referenced
attachment Exhibit A & B as of the date first written above.
Witne
Kevin Firnstahl, Acting City Clerk
City of q�, I a
Roy D. ol, Mayor
Washington Neighborhood Tool Library
Tom Oberhoffer, President
F: \USERSWTAUKE \CDBG \CDBG Contracts \Washington Tool Library\12 Wash Tool Library agrmt.doc
5
Subrecipient
Attention:
Tom Oberhoffer
Washington Neighborhood
Tool Library
345 E. 18 Street
Dubuque, IA 52001
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
II. ADMINISTRATIVE REQUIREMENTS 2
A. Financial Management 2
1. Accounting Standards 2
2. Cost Principles 2
B. Documentation and Recordkeeping 2
1. Records to be Maintained 2
2. Retention 2
3. Client Data 3
4. Disclosure 3
5. Closeouts 3
6. Audits and Inspections. 3
C. Reporting and Payment Procedures 3
1. Program Income 3
2. Payment Procedures 3
3. Indirect Costs 4
4. Progress Reports 4
D. Procurement 4
1. Compliance 4
2. OMB Standards 4
3. Travel 4
E. Use and Reversion of Assets
III. RELOCATION, PROPERTY ACQUISITION AND ONE - FOR -ONE HOUSING REPLACEMENT 4
IV. PERSONNEL AND PARTICIPANT CONDITIONS 4
A. Civil Rights 4
1. Compliance 4
2. Nondiscrimination. 5
3. Land Covenants 5
4. Section 504 5
B. Affirmative Action 5
1. Approved Plan 5
2. Women- Minority Businesses (W /MBE) 5
3. Access to Records 6
4. Notifications 6
5. Equal Employment Opportunity and Affirmative Action (EEO /AA) Statement 6
6. Subcontract Provisions 6
C. Employment Restrictions 6
1. Prohibited Activity 6
2. Labor Standards 6
3. "Section 3" Clause 7
a. Compliance 7
b. Notifications 7
c. Subcontracts 8
D. Conduct 8
1. Assignability 8
2. Hatch Act 8
3. Conflict of Interest 8
4. Subcontracts 8
a. Approvals 8
b. Monitoring 8
Content 8
d. Selection Process 8
5. Lobbying 9
6. Copyright 9
7 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
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.
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
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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.
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
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and the use or disclosure of such information, when not directly connected with the
administration of the Recipients or Subrecipients responsibilities with respect to services
provided under this contract, is prohibited by law unless written consent is obtained from such
person receiving service and, in the case of a minor, that of a responsible parent/guardian.
Closeouts
Subrecipient obligation to the Recipient shall not end until all closeout requirements are
completed. Activities during this closeout period shall include, but are not limited to, making
final payments, disposing of program assets (including the return of all unused materials,
equipment, unspent cash advances, program income balances, and accounts receivable to
the Recipient), and determining the custodianship of records. 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.
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
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(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 Tess the percentage of non -CDBG funds used to acquire the
equipment].
III. RELOCATION, PROPERTY ACQUISITION AND ONE - FOR -ONE HOUSING REPLACEMETN
The Subrecipient agrees to comply with (a) the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended (URA), and implementing regulations at 49 CFR
Part 24 and 24 CFR 570.606(b); (b) the requirements of 24 CFR 570.606(c) governing the
Residential Anti - displacement and Relocation Assistance Plan under section 104(d) of the HCD
Act; and (c) the requirements in 24 CFR 570.606(d) governing optional relocation policies.The
Subrecipient shall provide relocation assistance to displaced persons as defined by 24 CFR
570.606(b)(2) that are displaced as a direct result of acquisition, rehabilitation, demolition or
conversion for a CDBG- assisted project. The Subrecipient also agrees to comply with applicable
Recipient ordinances, resolutions and policies concerning the displacement of persons from their
residences.
IV. PERSONNEL AND PARTICIPANT CONDITIONS
A. Civil Rights
1. Compliance
The Subrecipient agrees to comply all federal, state and local regulations in effect as of the date
of this Agreement as they apply to federally assisted programs and activities of the Department
of Housing and Urban Development and with Title VI of the Civil Rights Act of 1964 as amended,
Title VIII of the Civil Rights Act of 1968 as amended, Section 104(b) and Section 109 of Title 1 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.
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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 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
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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.
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
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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 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.
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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.
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
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31, U.S.C. Any person who fails to file the required certification shall be subject to a
civil penalty of not Tess 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).
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.
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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.
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:
Family Size
1
2
3
4
5
6
7
8 or more
Maximum
30 % Median
Income
$0 - $13,400
$0 - $15,300
$0 - $17,200
$0- $19,100
$0 - $20,650
$0 - $22,200
$0 - $23,700
$0 - $25,250
Annual Income
Very Low Income -
(50%)
$13,401- $22,300
$15,301 - $25,500
$17,201 - $28,700
$19,101 - $31,850
$20,651 - $34,400
$22,201 - $36,950
$23,701 - $39,500
$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
F: \USERS\ATAUKE \CDBG \CDBG Contracts \Washington Tool Library\12 Wash Tool Library agrmt.doc