Purch of Services Hills & Dales Senior Prog.
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MEMORANDUM
June 9, 2006
TO:
The Honorable Mayor and City Council Members
FROM:
Michael Van Milligen, City Manager
SUBJECT: Purchase of Service Agreement - FY06 and FY 07
Hills and Dales for Senior Programs
Hills and Dales took over the senior services previously provided by the Dubuque
Area lifeTime Center as of June 1, 2006. The senior programs will now be
provided at the same location but thru this new entity.
Hills and Dales is, therefore, requesting the remaining $2,083 of the FY 2006
CDBG grant be transferred to them to provide for the provision of senior services
beginning June 1, 2006. In addition, they request the $25,000 of FY 2007 CDBG
grant funds also be transferred to Hills and Dales.
Housing and Community Development Director David Harris is requesting
approval of the attached resolution and agreement to rescind the FY 2006
Dubuque Area lifeTime Center CDBG grant, which transfers the remaining
balance to Hills and Dales for educational, recreational and social programs for
senior citizens and approval of the FY 2007 agreement transferring funds of
$25,000 to Hills and Dales.
I concur with the recommendation and respectfully request Mayor and City
Council approval. 11 L/ ~
(2 i.J ~~)ql
Michael C. Van Milligen
MCVM/ksf
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Dawn Lang, Budget Director
David Harris, Housing and Community Development Director
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DUB E
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MEMORANDUM
June 9, 2006
TO:
FROM:
Mich~. Van Milligen, City Manager
David Harris, Housing and Community Development Department
SUBJECT: Purchase of Service Agreement - FY06 and FY 07
Hills and Dales for Senior Programs
INTRODUCTION
The City Council approved Community Development Block Grant funding of
$25,000 for the Senior Center for FY 2006 and FY 2007. City Community
Development Block Grant (CDBG) funding for operating costs enables the
agency to continue to provide educational, recreational and social programs to
senior citizens.
The purpose of this memorandum is to request the City Council's approval of the
attached resolution and amendment to rescind the FY 2006 Dubuque Area
Lifetime Center CDBG grant and transfer the balance, and the FY 2007 CDBG
funds, to Hills and Dales for the same services.
BACKGROUND
Hills and Dales has taken over the senior services previously provided by the
Dubuque Area lifeTime Center as of June 1, 2006. The senior programs will
now be provided at the same location but thru this new entity.
Hills and Dales is requesting that the remaining $2,083 of the FY 2006 CDBG
grant be transferred to them to provide for the provision of senior services
beginning June 1, 2006. In addition, they request the $25,000 of FY 2007 CDBG
grant funds also be transferred to Hills and Dales.
On June 8, 2006 the Community Development Advisory Commission, by a vote
of 4-1, approved the transfer of the FY 06 and FY 07 funds to Hills and Dales for
the senior programs.
cr Hills ~"I?,~~~~.... d"'
L i v f ,\
Mr. Michael Van Milligen
City Manager, City of Dubuque
50 West 13th Street
Dubuque,IA 52001-4864
Mailing Address
1011 Davis Street
Dubuque, IA 52001-1397
Administrative Offices
(563) 556.7878
(563) 557.3822 (fax)
Dear Mike,
Hills & Dales, a local non-profit organization, respectfully requests the Dubuque City
Council to allow Hills & Dales to be a sub-recipient of the remaining 2006 block grant
allocated to Dubuque Area Lifetime Center. Hills. & Dales also respectfully requests the
Dubuque City Council to grant Hills & Dales the same sub. recipient status for the 2007
block grant budgeted for the Dubuque Area Lifetime Center, in the sum of$25,000.00.
Residential Center
(563) 584.2276
(563) 556-1859 (fax)
Community
Services Center
Hills & Dales was contacted by the Dubuque Lifetime Center Board of Directors to consider
the opportunity to assume the programs and services that had been offered by the Dubuque
Area Lifetime Center. The Lifetime Board is taking action to dissolve the corporation and
voted to have Hills & Dales assume the Dubuque Area Lifetime Center's programs and
services effective June 1,2006. The Hills & Dales Board of Directors accepted this proposal
at the board meeting held on May 22, 2006.
(563) 585.0560
(563) 585-0561 (fax)
Web Address
www.hillsdales.org
Hills & Dales' vision for the Stoneman Road property is one of a multitude of various
Human Service programs functioning at the premise. Hills & Dales intends to offer elderly
services at that location and to enhance the programs for the elderly. We have successfully
submitted our application to offer congregate meals through the Scenic Valley Agency on
Aging programs. We will begin this service on June 5th at the Stoneman Road site. We will
work closely with the staff to assure a seamless transition for those who have come to depend
on the Dubuque Area Lifetime Center as a hub of activity and social connection.
E~mail
hdcdc@mchsLcom
Executive Director
Marilyn Althoff
We will continue to offer our Vocational, Day Habilitation and Respite services and
programs in the location of the building currently utilized.
Board of Directors
President:
Eric Foy
The funding requested will be used to support operations of the center which includes staff
wages, supplies, phone and other allocated utility costs of the space. The continued support
of the council will allow beneficial services and programs for the elderly (Q continue. Hills
& Dales has submitted this request to the Community Development Advisory Commission
on May 30, 2006.
Vice President:
John Markham
Secretary/Treasurer:
Keith Bibelhausen
We look forward to partnering with the City of Dubuque in assuring the success of the
philosophy and vision for services to the elderly within the community. I am available at
563-556-7878 to answer any additional questions you may have.
Sincerely,
Directors:
David Fritz
Jean Gantz
Charles Giese
Tom Kane
john Knox
Al Krueger
Judy Lochner
Jan Powers
Pete Schilling
jimWeber
Katrina Wilberding
r~rJrdt6/
Marilyn Althoff
Executive Director
MAltkp
"{Jills {'-;-' Dales is dcJiultcd to
/r)t>ti/Hn,gjullivcs Jor individuals Ivirh disujn!itiJ:s .
Foundress/Retired:
Elaine Barwick
.
RESOLUTION NO. 235-06
RESCINDING THE DUBUQUE AREA LIFETIME CENTER COMMUNITY DEVELOPMENT
BLOCK GRANT AGREEMENT FOR SENIOR PROGRAM AND SERVICES BETWEEN
THE DUBUQUE AREA LIFETIME CENTER AND THE CITY OF DUBUQUE,
AUTHORIZING THE CITY MANAGER TO NEGOTIATE A COMMUNITY DEVELOPMENT
BLOCK GRANT AGREEMENT BETWEEN THE CITY OF DUBUQUE AND HILLS &
DALES, AND AUTHORIZING THE TRANSFER OF THE FUNDS BALANCE FOR THE
SENIOR PROGRAM AND SERVICES TO HILLS & DALES
Whereas, the City of Dubuque awarded the Dubuque Area Lifetime Center $25,000
in Community Development Block Grant (CDBG) funds for the senior programs and
services pursuant to the Community Development Block Grant Agreement dated July 1,
2005 between the City of Dubuque and the Dubuque Area lifeTime Center; and
Whereas, the Dubuque Area lifeTime Center has dissolved and Hills & Dales has
assumed the programs and services of Dubuque Area Life Time Center effective June 1,
2006; and
Whereas, Hills & Dales has requested the balance of the CDBG grant be transferred
to Hills & Dales to provide the same services; and
Whereas, the Community Development Advisory Commission has approved the
request at its June 8, 2006 meeting; and
Whereas, City Council has determined that the transfer of funds is in the best
interests of the City of Dubuque.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, AS FOLLOWS:
Section 1. The Community Development Block Grant Agreement dated July 1, 2005
between the City of Dubuque and the Dubuque Area LifeTime Center for senior services
and programs is hereby rescinded and the remaining CDBG funds allocated for such
services and programs under such Agreement shall be allocated to Hills & Dales for such
services and programs, subject to the execution of an agreement between the City of
Dubuque and Hills & Dales for such services and programs.
Section 2. The City Manager be and he is hereby authorized to develop and
execute a grant agreement between the City of Dubuque and Hills & Dales in the
amount of $2083 in accordance with the program guidelines and regulations of the
Community Development Block Grant Program for the senior programs and services
commencing June 1, 2006.
Section 3. Upon execution of an agreement, the City Manager is hereby
authorized and directed to disburse program funds in support of said project in
accordance with the terms and conditions established in the agreement.
Passed, approved and adopted this 19th day of June, 2006.
Roy D. Buol
Mayor
Attest:
Jeanne F. Schneider, CMC
City Clerk
COMMUNITY DEVELOPMENT BLOCK GRANT AGREEMENT
FOR
FY 06 SENIOR PROGRAM AND SERVICES
BETWEEN
CITY OF DUBUQUE, IOWA
AND
HILLS AND DALES
THIS AGREEMENT, dated for reference purposes the _ day of June 2006 is made and
entered into by and between the City of Dubuque, Iowa, (Recipient) a municipal
corporation organized and existing under the laws of the State of Iowa and Hills and Dales
(Subrecipient), with its principal place of business in Dubuque, Iowa.
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, Subrecipient is willing to provide such service to Recipient upon the terms
and conditions set forth herein.
Whereas, the City Council has approved the transfer of funds from the Community
Development Block Grant (CDBG) agreement previously awarded to the Dubuque Area
lifeTime Center for the provision of senior programs and services to the Subrecipient; and
Whereas, the Recipient wishes to engage the Subrecipient to assist the City of
Dubuque in utilizing such funds through use of a CDBG funds.
NOW THEREFORE, in consideration of the premises and respective covenants,
agreements and representations hereinafter set forth, the parties agree as follows:
I. Scope of Service:
Subrecipient shall:
a. Provide the services to eligible residents of the City of Dubuque in a
manner satisfactory to Recipient and consistent with any standards
required as a condition of providing these funds. Such program will
include the following activities eligible under the Community
Development Block Grant Program: Operating costs for providing
educational, recreational and social programs and services to elderly
persons.
In the event of a conflict between such Subrecipient's proposals and
the provisions hereto attached, that provision which in the opinion of
Recipient provides the greatest benefit to Recipient shall prevail.
Failure of Subrecipient to provide any of the services proposed shall
be deemed a material breach of this Agreement.
II. 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 clientele (elderly persons) who are generally presumed to be principally
low-moderate income persons. Requires reporting information on ethnic
origin, elderly status and female head of household status for participants
served.
III. Project Budget
The total compensation to be paid to Subrecipient by Recipient for the
services shall in no event exceed the sum of $2,083.
Any indirect costs charged must be consistent with the conditions of Section
II (C)(3) of attached Exhibit A, Standard Requirements. In addition, the
Recipient may require a more detailed budget breakdown, and the
Subrecipient shall provide such supplementary budget information in a timely
fashion in the form and content prescribed by the Recipient. The Recipient
and the 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
June 1, 2006 and must be completed not later than June 30, 2006.
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 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 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 under this contract shall not exceed the amount
stipulated in Section III of this Agreement. Such amount will be paid
upon written request on the Request for Payment form, with proof
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satisfactory to Recipient of expenses. Drawdowns for payment of
eligible expenses are reimbursement only and shall be made against
budgeted items only.
B. Payment shall be supported by documentation provided by
Subrecipient of costs incurred for services provided pursuant to this
Agreement.
C. Payments may 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 the Recipient.
VII. Insurance.
At the time of execution of this Agreement, Subrecipient shall provide the
Recipeint copies of the Subrecipient's Insurance Certificates showing
general liability, automobile liability, and workers compensation insurance
coverage to the satisfaction of the Recipient for the term of this Agreement.
VIII. Reporting and Monitoring.
Subrecipient shall submit to the Recipient a quarterly written report detailing
its activities by the 15th of July, 2006.
Subrecipient shall submit a measurable performance outcome for the funded
activity when submitting the quarterly report, as follows: Provide elderly
persons with access to social programs and services for the purpose of
creating 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 officials of federal
government, for the purpose of monitoring Sub recipient'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 lor 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
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Subrecipient within a reasonable period of time after being notified by
Recipient, contract suspension or termination procedures shall be initiated
IX. DISCRIMINATION
In carrying the services under this Agreement, Agency shall not discriminate
against any employee or applicant for employment because of race, creed,
color, sex, age, national origin, religion, sexual orientation, or disability.
Agency shall take affirmative action to ensure that applicants for employment
are employed and that employees are treated during employment without
regard to race, creed, color, sex, age, national origin, religion, sexual
orientation, or disability. Such action shall include, but not be limited to, the
following: employment, upgrading, demotion or transfer; recruitment or
recruitment advertising; layoff or termination; rates of payor other forms of
compensation; and selection for training, including apprenticeship. Agency
assures that all qualified applicants will receive consideration for employment
without regard to race, creed, color, sex, age, national origin, religion, sexual
orientation, or disability.
Agency agrees and will undertake whatever affirmative measures are
necessary so that no person shall be excluded from participation in, be
denied the benefits of, or be subjected to discrimination under any program
or activities funded in whole or in part with any of the funds made available to
Agency under the terms of this Agreement because of race, color, creed,
religion, sex, national origin, age, sexual orientation, or disability.
X. ASSIGNABILITY
Agency shall not assign or transfer any interest in this Agreement without the
prior written approval from of City.
XI. Notices.
Communication and details concerning this contract shall be directed to the
following contract representatives:
Recipient
Aggie Tauke
Community Development Specialist
Housing and Community Development
1805 Central
Dubuque, Iowa 52001
Subrecipient
Attention:
Marilyn Althoff
Hills and Dales
1011 Davis
Dubuque, IA 52001
4
IN WITNESS WHEREOF, the parties have executed this contract, with the referenced
attachment Exhibit A, as of the date first written above.
Witnessed
City of Dubuque, Iowa
Jeanne F. Schneider, City Clerk
Roy D. Buol, Mayor
Date:
Date:
Hills and Dales
Marilyn Althoff, Director
Date:
F:\Users\ATAUKE\CDBG\CDBG Contracts\Oub lifeTime Center\06 Hills and Dales CDBG.LifeTime.doc
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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..................................................................... ..................................... ...2
G. Amendments.................... ............ ............ ........... ....2
H. Suspension or Termination. .................................... ................. ................................... ....2
II.
ADMINISTRATIVE REQUiREMENTS........... ......................... ................................. 3
A. Financial Management........................................................................................................... 3
1. Accounting Standards.......................................... ................................3
2. Cost Principles ............................................. ..................... ..........3
B. Documentation and Record keeping ............ ................................. ...............3
1. Records to be Maintained ................................................. ...................... ......3
2. Retention......................................................... ............ ..............................................4
3. Client Data ..... ..................... ............ .......................................................................4
4. Disclosure...................................................................................................................4
5. Properly Records .................................... ........................................4
6. National Objectives..................................................................................................... 4
7. Closeouts ................................................. ............ .............................. 7
8. Audits and Inspections ........................................................................................5
C. Reporting and Payment Procedures..................... ............. .............................................. ...5
1. Program Income .................................................... ........................................5
2. Payment Procedures... ...................... ............... ................................5
3. Indirect Costs.......... .................................. ...........................................................6
4. Progress Reports .................................... ..................................... ................6
D. Procurement ..................... ............................ ............. ............. ..................................6
1. Compliance ............ ..................... ...................................... .......................................6
2. OMB Standards.. ...................................................... ...............................6
3. Travel........... ................................ ...........................................................6
III.
RELOCATION, ACQUISITION AND DISPLACEMENT
.......6
IV.
PERSONNEL AND PARTICIPANT CONDITIONS .......... ................. .......7
A. Civil Rights................... ........................................ ............. ............ ........7
1. Compliance ............... ....................... ................................ 7
2. Nondiscrimination. ............................................................. ........................................7
3. Section 504................................................................. ................................. ............ 7
B. Affirmative Action.... ............ ............. ..........................8
1. Approved Plan.... ....................................... ................................... .......8
2. W/MBE............. ............ ............. ...........8
3. Access to Records ............ ............ ......................... .......8
4. Notifications............... ........................................... ............................................... .....8
5. EEO/AA Statement ..... ..................................................................... ........9
6. Subcontract Provisions .......................................... ............................................... ....9
C. Employment Restrictions ................................................................................. ..........9
1. Prohibited Activity.................................................................... ...9
V.
2. OSHA... ......................................................... ............ ..........9
3. Labor Standards..... ............................................. ............ .............................9
4. "Section 3" Clause ....... ............ ...................... ....................... ........................ .......10
a. Compliance .............. ................................ .................................... ...10
b. Notifications............. ............. ............ ............ ............. .............11
c. Subcontracts .......... .............. ............ ........................ ..............11
D. Conduct... ........................ ............ ............ ..11
1. Assignability........ .............. ............. ....................... ...............11
2. Hatch Act............. .................................. ............ .......................... ..............11
3. Conflict of Interest.... ........................ ...................... .................................... ...........11
4. Subcontracts.. ............. ............................................... ............. .......12
a. Approvals................................................... .......................................12
b. Monitoring...................................................... .......................... ............ ........12
Content............ .............. ............. ..............................12
d. Selection Process.. ........................ ............ ......................................12
5. Religious Organization.. ............ ............ ........... ............ ............ ..............12
6. Lobbying...... .............. ............ ............ ....................................... ....14
ENVIRONMENTAL CONDITIONS ............. ............ ............ ............ .......................... .....13
A. Air and Water................................................. ................................... ...............13
B. Lead Based Paint........... ............................................................ ...................................13
C. Historic Preservation........... .............................................................. .................................13
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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.
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 provide the Recipient copies of the Subrecipient's Insurance
Certificates showing general liability, automobile liability and workers
compensation insurance coverage to the satisfaction of the Recipient for the temn
of this Agreement.
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 this 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, and
signed by a duly authorized representative of both organizations. Substantial amendments
shall be approved by the Community Development Advisory Commission. 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
Either party may terminate this contract at any time by giving written notice to the other
party of such termination and specifying the effective date thereof at least thirty (30) days
before the effective date of such termination. Partial termination of the Scope of Service in
Paragraph 1 of the Agreement may only be undertaken with the prior written approval of
Recipient. In the event of any termination for convenience, all finished or unfinished
documents, data, studies, surveys, maps, models, photographs, reports or other materials
prepared by Subrecipient under this Agreement shall, at the option of the Recipient,
become the property of the Recipient, and Subrecipient shall be entitled to receive just and
equitable compensation for any satisfactory work completed on such documents or
material prior to the termination but in no event shall Subrecipient receive more than the
amount specified in Paragraph II.
Recipient may also suspend or terminate this Agreement, in whole or in part, if
Subrecipient materially fails to comply with any term of this Agreement, or with any of the
rules, regulations or provisions referred to herein; and the Recipient may declare the
Subrecipient ineligible for any further participation in Recipient contracts, in addition to
other remedies as provided by law. In the event there is probable cause to believe the
Subrecipient is in noncompliance with any applicable rules or regulations, the Recipient
may withhold up to fifteen (15) percent of said contract funds until such time as the
Subrecipient is found to be in compliance by the Recipient, or is otherwise adjudicated to
be in compliance.
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 and
effective internal financial controls, and maintain necessary source documentation
for all costs incurred.
2. Cost Principles
The Subrecipient shall administer its program in conformance with OMS Circular A-
122, "Cost Principles for Nonprofit Organizations" or A-21 , "Cost Principles for
Educational Institutions" as applicable; [and 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"] for all costs incurred whether charged on a direct or indirect
basis.
2
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, and 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.
g. Other records necessary to document compliance with Subpart K of 24 CFR
570.
2. Retention
The Subrecipient shall retain all records pertinent to expenditures incurred under
this contract for a period of four (4) years after the termination of all activities funded
under this Agreement. The retention period begins on the date of the submission of
the grantee's annual performance and evaluation report to HUD in which the
activities assisted under the Agreement are reported on for the final time. Records
for non-expendable property acquired with funds under this contract shall be
retained for five (5) years after final disposition of such property. 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 three-year
period, then such records must be retained until completion of the actions and
resolution of all issues, or the expiration of the five-year period, whichever occurs
later.
3. Client Data
The Subrecipient shall maintain client data demonstrating client eligibility for
services provided. Such data shall include, but not be limited to client name,
address, income level or other basis for determining eligibility, and description of
services provided. Such information shall be made available to Recipient monitors
or their designees for review upon request.
4. Disclosure
The Subrecipient understands that client information collected under this contract is
private and the use or disclosure of such information, when not directly connected
with the administration of the Recipient's or Subrecipient's responsibilities with
respect to services provided under this contract, is prohibited by law unless written
consent is obtained from such person receiving service and, in the case of a minor,
that of a responsible parent/guardian.
5. Property Records
The Subrecipient shall maintain real property inventory records that clearly identify
properties purchased, improved or sold. Properties retained shall continue to meet
eligibility criteria and shall conform to the "changes in use" restrictions specified in
24 CFR Part 570.503(b) (8).
6. National Objectives
3
The Subrecipient agrees to maintain documentation that demonstrates that the
activities carried out with funds provided under this contract meet one or more of the
COBG program's national objectives - (1) benefit low/moderate income persons, (2)
aid in the prevention or elimination of slum or blights, and (3) meet community
development needs having a particular urgency - as defined in 24 CFR Part
570.208.
7. 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
supplies and equipment in excess of $5000, unspent cash advances, program income
balances, and receivable accounts 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 COBG funds, including
program income.
8. Audits and Inspections
All Subrecipient records with respect to any matters covered by this Agreement shall be
made available to the Grantee, grantor agency, and the Comptroller General of the
United States or any of their authorized representatives, at any time during normal
business hours, as often as deemed necessary, to audit, examine, and make excerpts
or transcripts of all relevant data. Any deficiencies noted in audit reports must be fully
cleared by the Subrecipient within 30 days after receipt by the Subrecipient. Failure of
the Subrecipientto 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
Grantee policy concerning subrecipient audits and OMB Circular A-133.
C. Reporting and Payment Procedures
1. Program Income
The Subrecipientshall report all program income (as defined at 24 CFR 570.500(a))
generated by activities carried out with COBG 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 balance on hand. All unexpended program income shall be
returned to the Grantee 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 Grantee.
2. Payment Procedures
The Recipient will pay to the Subrecipient funds available under this contract 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. 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
4
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 (Attachment E) to
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 unless addressed under
another agreement as provided or continued for use for CDBG eligible activities.
2. OMB Standards
The Subrecipient shall procure materials and services in accordance with the
requirements of 24 CFR 84.40-48, Procurement Standards and shall subsequently
include Appendix A, in contracts awarded.
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.
III. RELOCATION, ACQUISITION AND DISPLACEMENT
The Subrecipient agrees to comply with 9a) the Uniform Relocation Assistance and
Real Property Acquisition Policies Act of 1970, as amended (URA), and
implementing regulations at 49 CDR 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 Grantee ordinance, resolutions
and policies concerning the displacement of persons from their residences.
IV. PERSONNEL AND PARTICIPANT CONDITIONS
A Civil Rights
1. Compliance
The Subrecipient shall comply with all federal 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 including, but not limited to Title VI
of the Civil Right Act of 1964 as amended, Title VIII of the Civil Rights Act of 1968 as
amended, Section 104 (b) and Section 109 otTitle I of the Housing and Community
Development Act of 1974, 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. Recipient shall furnish, upon written
5
request of the Subrecipient, copies of said regulations as provided by the
Department of Housing and Urban Development.
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. Section 504
The Subrecipient agrees to comply with any federal regulations issued pursuant to
compliance with Section 504 of the Rehabilitation Act of 1973, (29 U.s.C. 794)
which prohibits discrimination against 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 contract.
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 formation of such program. The Subrecipient shall submit a plan for an
Affirmative Action Program for approval prior to the award of funds.
2. W/MBE
The Subrecipient will use its best efforts to afford minority and women owned
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 I 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 Subrecipients 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.
6
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 IV 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 inherently religious
activities; lobbying, political patronage, and nepotism activities.
2. OSHA
Where employees are engaged in activities not covered under the Occupational
Safety and Health Act of 1970, they shall not be required or permitted to work, be
trained, or receive services in buildings or surroundings or under working conditions
which are unsanitary, hazardous or dangerous to be participants' health or safety.
3. Labor Standards
The Subrecipient agrees to comply with the requirements of the Secretary of the
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 contract. The Subrecipient
agrees to comply with the Copeland Anti-Kickback Act (18 U.S.C. 874 et seq.) and
it's 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 for construction,
renovation or repair of any building or 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
journeymen; 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.
4. "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,
7
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 Subrecipienl's subrecipients and subcontractors.. Failure to fulfill
these requirements shall subject the Recipient, the Subrecipient and any of
the Subrecipienl'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 which 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 contract 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 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 which would prevent compliance with the 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.
8
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.
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 subSubrecipient is in violation of regulations issued by the Grantor
Agency. 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
subSubrecipient has first provided it with a preliminary statement of ability to
comply with the requirements of these regulations.
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 compiiance. Results of monitoring efforts shall be
9
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. Lobbvina
The Subrecipient hereby certifies that:
a. No Federai 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 Federai 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, ioans, and cooperative
agreements) and that all Subrecipients shall certify and disclose accordingly:
d. Lobbvina 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 iess than
$10,000 and not more than $100,000 for each such failure.
6. CODvriaht
If this contract results in any copyrightable material or inventions, the Grantee and/or grantor
agency reserves the right to royaity-free, non-exciusive and irrevocable license to reproduce,
publish or otherwise use and to authorize others to use, the work or materiais for
governmental purposes.
7. Reliaious Activities
10
The Subrecipient agrees that funds provided under this Agreement will not be utilized for
inherently religious activities prohibited by 24 CFR 570.2000), such as worship, religious
instruction, or proselytization.
V. ENVIRONMENTAL CONDITIONS
A. Air, Water and Solid Waste
The Subrecipient agrees to comply with the following regulations insofar as they apply to
the performance of this contract:
Clean Air Act, 42 U.S.C., 7401, et seq.
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.
Environmental Protection Agency (EPA) regulations pursuant to 40 CFR, Part 50, as
amended.
The Safe Drinking Water Act of 1974 (42 U.S.C 201,300(1) et seq., and 21 U.S.C. 349) as
amended
National Environmental Policy Act of 1969
HUD Environmental Review Procedures (24 CFR, Part 58).
42,U.S.C. 6901 et seq., 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 iead 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 might 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.
C. 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.
11
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.
F:IUsers'ATAUKEICDBGICDBG ContractslDub lifeTime Centerl06 Hiils and Dales CDBG.LifeTime.doc
12
COMMUNITY DEVELOPMENT BLOCK GRANT AGREEMENT
FOR
FY 07 SENIOR PROGRAM AND SERVICES
BETWEEN
HILLS AND DALES
AND
CITY OF DUBUQUE, IOWA
THIS AGREEMENT, dated for reference purposes the _ day of July 2006 is made
and entered into by and between the City of Dubuque, Iowa, (Recipient) a municipal
corporation organized and existing under the laws of the State of Iowa and Hills and
Dales, 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, Subrecipient is willing to provide such service to Recipient upon the
terms and conditions set forth herein.
NOW THEREFORE, the parties hereto agree as follows:
1. Scope of Service:
Subrecipient shall:
a. Provide the services to eligible residents of the City of Dubuque in a
manner satisfactory to Recipient and consistent with any standards
required as a condition of providing these funds. Such program will
include the following activities eligible under the Community
Development Block Grant Program: Operating costs for providing
educational, recreational and social programs to elderly persons.
In the event of a conflict between such Subrecipient's proposals
and the provisions hereto attached, that provision which in the
opinion of Recipient provides the greatest benefit to Recipient shall
prevail. Failure of Subrecipient to provide any of the services
proposed shall be deemed a material breach of this Agreement.
2. 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 clientele (elderly persons) who are
generally presumed to be principally low-moderate income
persons. Requires reporting information on ethnic origin,
elderly status, and female head of household status for
participants served.
1
3. Project Budget
The total compensation to be paid to Subrecipient by Recipient for the
services shall in no event exceed the sum of $25,000.
Any indirect costs charged must be consistent with the conditions of
Section II (C)(3) of attached Exhibit A, Standard Requirements. In
addition, the Recipient may require a more detailed budget breakdown,
and the Subrecipient shall provide such supplementary budget information
in a timely fashion in the form and content prescribed by the Recipient.
The Recipient and the Subrecipient must approve any amendments to this
budget in writing.
4. Dates of Commencement and Completion:
The services to be provided under this Agreement shall be commenced on
the above stated date and must be completed not later than June 30,
2007. 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.
5. 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 herein attached and a part of this
agreement.
6. Payment
a) It is expressly agreed and understood that the total amount to be
paid by Recipient under this contract shall not exceed the amount
stipulated 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 and shall be
made against budgeted items only.
b) Payment shall be supported by documentation provided by
Subrecipient of costs incurred for services provided pursuant to this
Agreement.
c) Payments may 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 the Recipient.
2
7. Insurance.
At the time of execution of this Agreement by the Subrecipient,
Subrecipient shall provide the Recipeint copies of the Subrecipient's
Insurance Certificates showing general liability, automobile liability, and
workers compensation insurance coverage to the satisfaction of the
Recipient for the term of this Agreement.
8. 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: Provide
elderly persons with access to social programs and services for the
purpose of creating 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 officials of federal
government, 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 lor 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
9. Discrimination
In carrying the services under this Agreement, Agency shall not
discriminate against any employee or applicant for employment because
of race, creed, color, sex, age, national origin, religion, sexual orientation,
or disability. Agency shall take affirmative action to ensure that applicants
for employment are employed and that employees are treated during
employment without regard to race, creed, color, sex, age, national origin,
religion, sexual orientation, or disability. Such action shall include, but not
be limited to, the following: employment, upgrading, demotion or transfer;
recruitment or recruitment advertising; layoff or termination; rates of payor
other forms of compensation; and selection for training, including
apprenticeship. Agency assures that all qualified applicants will receive
3
consideration for employment without regard to race, creed, color, sex,
age, national origin, religion, sexual orientation, or disability.
Agency agrees and will undertake whatever affirmative measures are
necessary so that no person shall be excluded from participation in, be
denied the benefits of, or be subjected to discrimination under any
program or activities funded in whole or in part with any of the funds made
available to Agency under the terms of this Agreement because of race,
color, creed, religion, sex, national origin, age, sexual orientation, or
disability.
10. Assianabilitv
Agency shall not assign or transfer any interest in this Agreement without
the prior written approval from of City.
11. Notices.
Communication and details concerning this contract shall be directed to
the following contract representatives:
Recipient
Aggie Tauke
Community Development Specialist
Housing and Community Development
1805 Central
Dubuque, Iowa 52001
Subrecipient
Attention:
Marilyn Althoff
Hills and Dales
1011 Davis
Dubuque, IA 52001
IN WITNESS WHEREOF, the parties have executed this contract, with the referenced
attachment Exhibit A, as of the date first written above.
Witnessed
City of Dubuque, Iowa
Roy D. Buol, Mayor
Jeanne F. Schneider, City Clerk
Date:
Date:
Hills and Dales
Marilyn Althoff, Director
Date:
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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. Property Records. ............. ....................................................... ............... ................3
6. National Objectives... ............. .................................................. ................... ..........3
7. Closeouts .................................. ..... ......................................... ........ ..................... ....3
8. Maintenance of Records and Right to Inspect .......................... ................ ...............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
III.
RELOCATION, ACQUISITION AND DISPLACEMENT
...........................4
IV.
PERSONNEL AND PARTICIPANT CONDITIONS ........ ............ ............. ..............4
A. Civil Rights ......................................................... .............. ............. .........4
1. Compliance ................................... ....................... .............. ............. ...........4
2. Nondiscrimination. .............. ....................... ............. ............ .............5
3. Section 504. ............. ............. ............ ............. .......................5
B. Affirmative Action ............................................ ............... ........... ............ .........5
1. Approved Plan ................... ............ ............. .............. ............. .....................5
2. W/MBE....................................... ............................................... ................................5
3. Access to Records...................... ................................................... ...........................5
4. Notifications .............. ...................... ............ ............... ....................5
5. EEO/AA Statement.................................................................. ..................................5
6. Subcontract Provisions ................ .............. ............................... ........5
C. Employment Restrictions.............................. ..................... ............. .................. .................5
1. Prohibited Activity............ ...................... .......... ........ ............. .....5
2. OSHA.... .......... ............................. ........... .......... ..................6
3. Labor Standards ....... .......... ........ ............. ........... .........................6
4. "Section 3" Clause ...................... .............. ......... ............ ..................6
a. Compliance. ............. ......... ........... ............. ..................6
b. Notifications..................................... ......... ............ . ...............6
c. Subcontracts ........ ............ .......... ............ ............... ....6
D. Conduct.. ............ ............ .......... ................................. .....................7
1. Assignability............ .................... ............ ........... .............. .......7
2. Hatch Act .................. ................................ ............. ........... ...... .... 7
3. Conflict of Interest........ ........... ......... .......... ..... ..... ........ ........7
4. Subcontracts ............. ............ ...................... ........... .............. .......7
a. Approvals ........ ............ ......... ........... ........... ............ .......7
b. Monitoring ....... ................................ ............ ............. ......7
Content.. .............................................................. .................. ...................7
d. Selection Process ........ ......... ............. ............. .........7
5. Religious Organization. ........... ........... ........... ...............................8
V.
ENVIRONMENTAL CONDITIONS......... ......... .......... ...................... ............8
A. Air and Water... .......................... ......... ......... .......................................8
B. Lead Based Paint ... ......... .......... ............ .......... ......8
C. Historic Preservation........ ........... ......... ............. ............. ............... ..................8
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) and all federal regulations and policies issued
pursuant to these regulations. The Subreciplent 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 OMB Circular A-
110, Bonding and Insurance.
F. Grantor Recognition
The Subreclpient shall insure recognition of the role of the Recipient in providing services through
the contract. 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. 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
Either party may terminate this contract at any time by giving written notice to the other party of
such termination and specifying the effective date thereof at least thirty (30) days before the
effective date of such termination. Partial termination of the Scope of Service in Paragraph 1 of
the Agreement may only be undertaken with the prior written approval of Recipient. In the event
of any termination for convenience, all finished or unfinished documents, data, studies, surveys,
maps, models, photographs, reports or other materials prepared by Subrecipient under this
Agreement shall, at the option of the Recipient, become the property of the Recipient, and
Subrecipient shall be entitled to receive just and equitable compensation for any satisfactory work
completed on such documents or material prior to the termination but in no event shall
Subrecipient receive more than the amount specified in Paragraph II.
Recipient may aiso suspend or terminate this Agreement, in whole or in part, if Subrecipient
materially fails to comply with any term of this Agreement, or with any of the rules, regulations or
provisions referred to herein; and the Recipient may declare the Subrecipient ineligible for any
further participation in Recipient contracts, in addition to other remedies as provided by law. In
the event there is probable cause to beiieve the Subrecipient is in noncompliance with any
appiicable ruies or regulations, the Recipient may withhold up to fifteen (15) percent of said
contract funds until such time as the Subrecipient is found to be in compiiance by the Recipient,
or is otherwise adjudicated to be in compliance.
II, ADMINISTRATIVE REQUIREMENTS
A. Financial Management
1. Accounting Standards
The Subrecipient agrees to comply with OMB Circular A-110 and agrees to adhere to the
accounting principles and procedures required therein, utilize adequate and effective
internal financial controls, and maintain necessary source documentation for all costs
incurred.
2. Cost Principies
The Subrecipient shall administer its program in conformance with OMB Circular A-122,
"Cost Principles for Nonprofit Organizations" or A-21, "Cost Principies for Educational
Institutions" as applicable; [and if the Subrecipient is a governmentai or quasi-
governmental agency, the appiicabie sections of 24 CFR Part 85, "Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments"]
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, and that are pertinent to the activities to be funded under this
Agreement. Such records shall inciude 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
reai 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. Financiai records as required by 24 CFR Part 570.502, and OMB Circular A-110.
g. Other records necessary to document compliance with Subpart K of 24 CFR 570.
2. Retention
The Subrecipient shall retain all records pertinent to expenditures incurred under this
contract for a period of five (5) years after the termination of all activities funded under this
Agreement. Records for non-expendable property acquired with funds under this contract
shall be retained for three (3) years after final disposition of such property. Notwithstanding
2
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 three-year period,
then such records must be retained until completion of the actions and resolution of all
issues, or the expiration of the three-year period, whichever occurs later.
3. Client Data
The Subrecipient shall maintain client data demonstrating client eligibility for services
provided. Such data shall include, but not be limited to client name, address, income level
or other basis for determining eligibility, and description of services provided. Such
information shall be made available to Recipient monitors or their designees for review
upon request.
4. Disclosure
The Subrecipient understands that client information collected under this contract is
private and the use or disclosure of such information, when not directly connected with the
administration of the Recipient's or Subrecipient's responsibilities with respect to services
provided under this contract, is prohibited by law unless written consent is obtained from
such person receiving service and, in the case of a minor, that of a responsible
parent/guardian.
5 Property Records
The Subrecipient shall maintain property inventory records that clearly identify items
purchased or sold.
6. National Objectives
The Subrecipient agrees to maintain documentation that demonstrates that the activities
carried out with funds provided under this contract meet one or more of the CDBG
program's national objectives - (1) benefit low/moderate income persons, (2) aid in the
prevention or elimination of slum or blights, and (3) meet community development needs
having a particular urgency - as defined in 24 CFR Part 570.208.
7. 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 receivable
accounts to the Recipient, and determining the custodianship of records).
8. Maintenance of Records and Right to Inspect.
Subrecipient will keep and maintain books, records and other documents relating directly
to the receipt and disbursement of loan funds and job creation for a period of three years;
and any duly authorized independent accounting representative of Recipient, or the
Comptroller General of the United States, shall at all reasonable times have access to and
the right to inspect, copy, audit and examine all such books and other documents of
Subrecipient pertaining to the project until the completion of all closeout procedures
respecting Recipient's loan and the final settlement and conclusion of all issues arising out
of said loan.
C. Reporting and Payment Procedures
1. Program Income
Except as specified below, Subrecipient will pay to Recipient all program income earned
prior to or received following termination of this Agreement. Program income may be
retained by Subrecipient if utilized for qualifying project expenses.
2. Payment Procedures
The Recipient will pay to the Subrecipient funds available under this contract 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. Payments will be
adjusted by the Recipient in accordance with advance fund and program income balances
3
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 Subrecipienl'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.
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 unless addressed under another agreement as
provided or continued for use for CDSG eligible activities.
2. OMS Standards
The Subrecipient shall procure materials in accordance with the requirements of
Attachment 0 of OMS Circular A-110, Procurement Standards and shall subsequently
follow Attachment N, Property Management Standards, as modified by 24 CFR.502 (b)(6)
covering utilization and disposal of property.
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.
III. RELOCATION, ACQUISITION AND DISPLACEMENT
The Subrecipient agrees to comply with 24 CFR 570.606 relating to the acquisition and
disposition of all real property utilizing grant funds, and to the displacement of persons,
families, individuals, businesses, nonprofit organizations and farms occurring as a direct
result of any acquisition of real property utilizing grant funds. The Subrecipient agrees to
comply with applicable Recipient ordinances, resolutions and policies concerning
displacement of individuals from their residences.
IV. PERSONNEL AND PARTICIPANT CONDITIONS
A. Civil Rights
1. Compliance
The Subrecipient shall comply with all federal 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 including, but not limited to Title VI of the Civil Right
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 (42 U.S.C. 5309) Section 504 of the Rehabilitation Act of 1973, as amended (29
U.S.C. 794), the Americans with Disabilities Act of 1990, the Age Discrimination Act of
1975, Executive Order 11063, and with Executive Order 11246 as amended by Executive
Orders 11375 and 12086. Recipient shall furnish, upon written request of the
Subrecipient, copies of said regulations as provided by the Department of Housing and
Urban Development.
2. Nondiscrimination.
In carrying out the project, Subrecipient shall not discriminate against any employee or
applicant for employment because of race, color, creed, religion, ancestry, national origin,
sex, age or disability or other handicap, marital/familial status, or status with regard to
4
public assistance. The Subrecipient will take affirmative action to insure that all
employment practices are free from such discrimination. Such employment practices
include, but not be limited to, the following: hiring, upgrading, demotion, transfer;
recruitment or recruitment advertising; layoff or termination; rate of payor other forms of
compensation; and selection for training, including apprenticeship. Subrecipient shall post
in a conspicuous place, available to employees and applicants for employment, notices to
be provided by Recipient setting forth the provisions of this nondiscrimination clause.
3. Section 504
The Subrecipient agrees to comply with any federal regulations issued pursuant to
compliance with Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. 706) which
prohibits discrimination against the handicapped 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 contract.
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, 1965. The Recipient shall provide
Affirmative Action guidelines to the Subrecipient to assist in the formation of such program.
The Subrecipient shall submit a plan for an Affirmative Action Program for approval prior to
the award of funds.
2. W/MBE
The Subrecipient will use its best efforts to afford minority and women owned business
enterprises the maximum practicable opportunity to participate in the performance of this
contract. As used in this contract, the term "minority and female 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
African Americans, Spanish speaking, Spanish surnamed or Spanish heritage Americans,
Asian Americans and American Indians. The Subrecipient may rely on written
representations by Subrecipients 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. 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 Subrecipient or vendor.
5
C. Employment Restrictions
1. Prohibited Activity
The Subrecipient is prohibited from using funds provided herein or personnel empioyed in
the administration of the program for political activities; sectarian, or religious activities;
lobbying, political patronage, and nepotism activities.
2. OSHA
Where employees are engaged in activities not covered under the Occupational Safety
and Health Act of 1970, they shall not be required or permitted to work, be trained, or
receive services in buildings or surroundings or under working conditions which are
unsanitary, hazardous or dangerous to be participants' health or safety.
3. Labor Standards
The Subrecipient agrees to comply with the requirements of the Secretary of the Labor in
accordance with the Davis-Bacon Act as amended, the provisions of Contract Work Hours,
the Safety Standards Act, the Copeland "Anti-Kickback" Act (40 U.S.C. 276,327-333) 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 contract. 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 designed for residential use for less than eight (8) households, all
contractors engaged under contracts in excess of $2,000 for construction, renovation or
repair of any building or 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 3, 1, 5 and 7 governing the payment of wages and ratio of
apprentices and trainees to journeymen; 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.
4. "Section 3" Clause
a. Compliance
Compliance with the provisions of Section 3, the regulations set forth in 24 CFR
135, and all applicabie 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
subSubrecipients. Failure to fulfill these requirements shall subject the Recipient,
the Subrecipient and any subSubrecipients, 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
which 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 contract 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 Deveiopment 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 lower income residents of the
project area and contracts for work in connection with the project be awarded to
business concerns which are located in, or owned in substantial part, by persons
residing in the area of the project."
6
The Subrecipient certifies and agrees that no contractual or other disability exists
which would prevent compliance with the 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
subSubrecipient is in violation of regulations issued by the Grantor Agency. The
Subrecipient will not subcontract with any subSubrecipient 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 subSubrecipient 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 ex1ent 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 570.611 with respect to
conflicts of interest, and covenants that it presently has no financial interest and shall not
acquire any financial interest, direct or indirect, which would conflict in any manner or
degree with the performance of services required under this contract. The Subrecipient
further covenants that in the performance of this contract no person having such a
financial interest shall be employed or retained by the Subrecipient hereunder. These
conflict of interest provisions apply to any person who is an employee, agent, consultant,
officer or elected official or appointed official of the Recipient, or of any designated public
agencies or subrecipients which are receiving funds under the CDBG Entitlement
program.
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
7
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. Executed copies of all subcontracts shall be forwarded to the Recipient
along with documentation concerning the selection process.
5. Religious Organization
The Subrecipient agrees that funds provided under this contract will not be utilized for
religious activities, to promote religious interests, or for the benefit of a religious
organization in accordance with the federal regulations specified in 24 CFR 570.2000).
V. ENVIRONMENTAL CONDITIONS
A. Air, Water and Solid Waste
The Subrecipient agrees to comply with the following regulations insofar as they apply to the
performance of this contract:
Clean Air Act, 42 U.S. C., 7401, ET seq.
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.
Environmental Protection Agency (EPA) regulations pursuant to 40 CFR, Part 50, as amended.
The Safe Drinking Water Act of 1974 (42 U.S.C. 201, 300(f) et seq., and 21 U.S.C. 349) as
amended
National Environmental Policy Act of 1969
HUD Environmental Review Procedures (24 CFR, Part 58).
42,U.S.C. 6901 et seq., as amended
B. 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. Such regulations pertain to all HUD 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.
C. 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 generai, 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.
8