POS Agreement_Opening Doors_Emergency & Transitional HousingTHE CITY OF
Dui
Masterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Purchase of Service Agreement - FY 2015
Opening Doors for Emergency & Transitional Housing
DATE: May 27, 2014
Dubuque
band
AI -America City
r
2007 • 2012 • 2013
The adopted Fiscal Year 2015 City Community Development Block Grant operating
budget provides for the payment of $13,005 to Opening Doors.
Housing and Community Development Department Director Alvin Nash recommends
City Council approval of the Purchase of Service Agreement with Opening Doors for
emergency and transitional housing.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
7-
Mic ael C. Van Milligen
1,,i1144 ..,
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Alvin Nash, Housing and Community Development Department Director
Jennifer Larson, Budget Director
THE CITY OF
Dui
Masterpiece on the Mississippi
TO:
FROM:
SUBJECT:
DATE:
Michael C. Van Milligen, City Manager
Alvin Nash, Housing and Community Development Department
Purchase of Service Agreement - FY15
Opening Doors for Emergency & Transitional Housing
May 23, 2014
Dubuque
bitetri
All -America City
1 r
2007 • 2012 • 2013
The adopted Fiscal Year 2015 City Community Development Block Grant (CDBG)
operating budget provides payment of $13,005 to Opening Doors for emergency and
transitional housing. The agreement includes reference the City Council's goals and
priorities.
It is recommended that the City Council approve the attached Purchase of Service
Agreement with Opening Doors for operational costs for Teresa Shelter, an emergency
shelter for 28 women and children, and Maria House, a transitional facility that houses
up to 18 women and children. Approval will authorize the Mayor to execute the contract
on behalf of the City when the HUD CDBG funding agreement has been authorized.
CITY OF DUBUQUE, IOWA
AND
OPENING DOORS
COMMUNITY DEVELOPMENT BLOCK GRANT AGREEMENT
FY 15 EMERGENCY AND TRANSITIONAL HOUSING
AND SERVICES
THIS AGREEMENT, executed on the _day of 2014 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 Opening Doors, 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 the services to Recipient set forth herein
upon the terms and conditions set forth herein.
NOW THEREFORE, the parties hereto 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 shall
include the following activities eligible under the Community Development
Block Grant Program: Operating costs for emergency and transitional
housing and services for women and children at Teresa Shelter and Maria
House.
In the event of a conflict between Subrecipient's proposals and the
provisions hereto attached, that provision which in the judgment of
Recipient provides the greatest benefit to Recipient shall prevail. Failure
of Subrecipient to provide any of the services proposed shall be deemed a
material breach of this Agreement.
b. City Council goals and priorities are attached hereto as Exhibit A.
II. City Responsibilities
City designates the City Manager, or the City Manager's designee, to act as its
representative with respect to the work to be performed under this Agreement,
and such person shall have authority to transmit instructions, receive
information, interpret and define City's policies and provide decisions in a
timely manner pertinent to the work covered by this Agreement until Agency
has been advised in writing by City that such authority has been revoked.
III. National Objective
Subrecipient certifies and maintains documentation that the activities carried out
with funds provided under this Agreement will meet the CDBG program's
National Objectives as stated:
570.208(a)(2) Activities benefiting low and moderate income persons; Benefit to
a clientele (homeless persons) who are generally presumed to be principally low -
moderate income persons; and requires reporting information on ethnic origin,
homeless status, and female head of household status for participants served.
IV Project Budget
The total compensation to be paid to Subrecipient by Recipient for the services
shall in no event exceed the sum of $13,005. See attached budget as Exhibit B.
Any indirect costs charged must be consistent with the conditions of Section II
(C)(3) of attached Exhibit C, Standard Requirements. In addition, Recipient may
require a more detailed budget breakdown, and Subrecipient shall provide such
supplementary budget information in a timely fashion in the form and content
prescribed by Recipient. Recipient and the Subrecipient must approve any
amendments to this Agreement in writing.
V. Dates of Commencement and Completion:
The services to be provided under this Agreement shall be commenced on July
1, 2014 and shall be completed not later than June 30, 2015. Recipient's right to
enforce the terms of this Agreement shall be extended to cover any additional
time during which Subrecipient remains in control of CDBG funds or other assets
including program income.
VI. Agreement Documents and Provisions
Subrecipient shall perform or arrange for the provision of services under this
Agreement in the manner and time provided herein and in accordance with the
Community Development Block Grant Program, including the Standard
Requirements in Exhibit C herein attached and made a part of this agreement.
VII. Payment
A. It is expressly agreed and understood that the total amount to be paid by
Recipient under this Agreement shall not exceed the amount stated in
Section IV. Such amount shall 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 are contingent upon certification of Subrecipient's financial
management system in accordance with the standards specified in OMB
Circular A-110, the provisions of which are available in the office of
Recipient.
VIII. Insurance.
At the time of execution of this Agreement by Subrecipient, Subrecipient shall
provide Recipient with copies of Subrecipient's insurance certificates showing
general liability, automobile liability, and workers compensation insurance
coverage to the satisfaction of Recipient for the term of this Agreement.
IX. 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 225 persons with new access to transitional and emergency housing and
services for the purpose of providing decent housing.
Subrecipient shall be subject to at least one site visit by personnel of Recipient,
or a designee of Recipient or duly authorized federal officials, for the purpose of
monitoring Subrecipient's delivery of services and compliance with terms of the
agreement and federal standards that pertain to federally funded grant activities.
Review may include accounting books and records for financial management and
documentation of program costs. The reviewers shall have access to and the
right to examine, audit, excerpt and /or transcribe any of Subrecipient's records
pertaining to all matters covered by this Agreement. Subrecipient shall be
subject to subsequent site visits to review correction of any deficiencies in
compliance.
Recipient shall monitor the performance of Subrecipient against goals and
performance standards required herein. Substandard performance as
determined by Recipient shall constitute noncompliance with this agreement. If
action to correct such substandard performance is not taken by Subrecipient
within a reasonable period of time after being notified by Recipient, contract
suspension or termination procedures shall be initiated.
X. Termination of Agreement.
This agreement may be terminated by either party by giving the other party a
written, ninety (90) day notice of such termination or upon such other terms as
may be mutually agreeable.
If, through any cause, Agency shall fail to fulfill in a timely and proper manner its
obligations under this Agreement or if Agency shall violate any of the covenants,
agreements, or stipulations of this Agreement, City shall have the right to
terminate this Agreement by giving written notice to Agency of such termination
not less than five (5) days before the effective date of such termination.
XI. Assignability.
Agency shall not assign this Agreement or any interest in this Agreement without
prior written approval of City.
XII. Notices.
Communication and details concerning this agreement shall be directed to the
following contract representatives:
Recipient
Community Development Specialist
Housing and Community Development
350 West 6th Street Suite 312
Dubuque, Iowa 52001
Subrecipient
Michelle Brown
Opening Doors
1561 Jackson
Dubuque, IA 52001
IN WITNESS WHEREOF, the parties have executed this agreement, with the referenced
attachment Exhibit A, B, C as of the date first written above.
Witnessed
City of Dubuque, Iowa
Kevin Firnstahl, City Clerk Roy D. Buol, Mayor
Opening Doors
Michelle Brown, Executive Director
E VUSERS VCDBG ACDBG ACDBG Contracts VOpening Doors V15 Opening Doors - CDBG services agrmt. doc
Exhibit A
Masterpiece on the Mississippi
Exhibit A
Dubuque
AI -America City
1
m
2007 • 2012 • 2013
SUSTAINABLE
DUBUQUE
viable • livable • equitable
The following is the official Vision & Mission Statements, Five Year City and Community
Goals, Top & High Priorities for the City of Dubuque as well as the Management Plan
and Major Projects as adopted by the Dubuque City Council at their annual goal -setting
session August 20 — 21, 2013.
The 2028 Dubuque Vision Statement
The city of Dubuque is a progressive, sustainable city with a strong diversified
economy and expanding global connections. The Dubuque community is an inclusive
community celebrating culture and heritage and has actively preserved our Masterpiece
on the Mississippi. Dubuque citizens experience healthy living and retirement through
quality, livable neighborhoods with an abundance of fun things to do; and are engaged
in the community, achieving goals through partnerships. Dubuque City government is
financially sound and is providing services with citizens getting value for their tax dollar.
Mission Statement
The City's Mission is to deliver excellent municipal services that support urban living and
a sustainable city plan for the community's future and facilitate access to critical human
services which result in financially sound government and citizens getting services and
value for their tax dollar.
Five -Year Community Goals for a Sustainable Dubuque
Economic Prosperity
Environmental/Ecological
Integrity Social/Cultural
Vibrancy
Five -Year City Goals
Planned and Managed
Growth Partnering for a
Better Dubuque
Improved Connectivity: Transportation and Telecommunications
Five -Year Organization Goal
Financially Responsible City Government and High Performance Organization
2013- 2015 Top Priorities:
1) Annexation: Direction on specific actions a) study implementation, b) corridor
to Airport
City Goal it is under: Planned and Managed Growth
Objectives for Planned and Managed Growth:
• Complete the Dubuque Millwork District as a thriving mixed use
development with residential, retail/office, entertainment — a model for
developers and other cities
Have safe, healthy neighborhoods citywide and homes with a
variety of housing options
Have a thriving Downtown with professional offices, retail,
residential and entertainment
Continue strong vibrant 24/7 residential/central business core
(Dubuque Main Street Service Area Downtown and Dubuque Millwork
District) — including residential opportunities
Annex areas consistent with the annexation policy, including City
services to annexed area
Increase the visual appeal and beauty of the city with attractive
gateways, corridors, neighborhoods, homes and businesses
Develop Washington Neighborhood as a model for other neighborhoods
Means to Residents (outcomes):
• Stable property taxes for residents and businesses
• More job opportunities for all skill levels
• Choice of livable neighborhoods
• Opportunities for our children to stay in Dubuque
• Predictable future development
• Quality services to residents in annexed area
2) Arts and Culture organizations city support: Evaluation, potential projects
review and priority, overall direction, funding level
Community Goal it is under: Social/Cultural Vibrancy
Objectives for Social/Cultural Vibrancy:
• Increase the mutual understanding, knowledge, acceptance of
others different than me
Improve Third Grade reading level
Continue to become an inclusive community in which all feel
welcome and included
Increase resident interaction using vehicles like clean up campaigns,
neighborhood picnics, new neighbor welcoming events, and other
strategies developed by residents
Become a regional hub for arts and culture
Have an efficient public health system that focuses on
prevention and wellness
Means to Residents (outcomes):
• Everyone is welcome in the Dubuque community
• Living life without fear or threats
• Equal treatment for all by City staff
City services are available for all and delivered in an equitable
and fair manner
City workforce reflecting the diversity of the community
Opportunities to experience arts and culture
3) Dubuque welcoming, inclusive community: Action plan
Community Goal it is under: Social/Cultural Vibrancy
Objectives for Social/Cultural Vibrancy:
• Increase the mutual understanding, knowledge, acceptance of
others different than me
Improve Third Grade reading level
Continue to become an inclusive community in which all feel
welcome and included
Increase resident interaction using vehicles like clean up campaigns,
neighborhood picnics, new neighbor welcoming events, and other
strategies developed by residents
Become a regional hub for arts and culture
Have an efficient public health system that focuses on
prevention and wellness
Means to Residents (outcomes):
• Everyone is welcome in the Dubuque community
• Living life without fear or threats
• Equal treatment for all by City staff
• City services are available for all and delivered in an equitable
and fair manner
City workforce reflecting the diversity of the community
Opportunities to experience arts and culture
4) Four Mounds Foundation/HEART program city support
City Goal it is under: Partnering for a Better Dubuque
Objectives for Partnering for a Better Dubuque:
• Federal and State lobbying and advocacy for Dubuque
• Partner for economic and workforce development
• Partner with education
• Partner for culture and arts
• Partner for support of families and children
• Partner for housing opportunities
• Partner for healthcare and wellness
• Partner for historic preservation
• Partner for delivery of human services — meeting the needs
of the underserved
Partner for sustainability
Increase resident engagement in the City's governance processes
Means to Residents (outcomes):
• Bigger "bang" for tax dollars
Enhanced economic development opportunities
More ownership of end products — people involved in the
process, and support outcomes
• Better access and use of facilities
• Protection of your interests
5) Management and Employee Succession Planning and Funding
Organization Goal it is under: Financially Responsible City Government
and High Performance Organization
6) Master Plan for Chaplain Schmitt Island: Development
Community Goal it is under: Economic Prosperity
Objectives for Partnering for Economic Prosperity:
Diversify the regional Dubuque economy
Retain, expand and grow local businesses, attract new businesses
and to provide a more diverse tax base and job opportunities
Have the infrastructure and amenities to support economic
development and growth: industrial/business parks, streets and utility
services, air service and housing
• Have employment opportunities for persons of all skill and education
levels
Work with Government and not-for-profit partners: Greater Dubuque
Development Corporation, Dubuque Initiatives, Washington
Neighborhood Development Corporation, Dubuque Main Street,
Dubuque Area Chamber of Commerce, ECIA, Community Foundation
of Greater Dubuque, local colleges (100 mile radius) and others for
economic prosperity
• Have a workforce prepared for 21st century jobs in Global marketplace
• Have top quality life options and job opportunities for all residents
• Embrace diverse population that support a multicultural workforce
Means to Residents (outcomes):
• Young professionals want to live here
• Our children want to return to raise their families
• More retail, service and entertainment opportunities — keeping dollars in
Dubuque
• Insulation from economic cycles through diverse businesses
• Variety of job opportunities to citizens
• Variety of education opportunities and internships for those jobs
• Entrepreneurial opportunities to start and grow your business in the
community
7) Safe Community Initiative: Monitoring, future direction, specific actions
Community Goal it is under: Social/Cultural Vibrancy
Objectives for Social/Cultural Vibrancy:
• Increase the mutual understanding, knowledge, acceptance of
others different than me
Improve Third Grade reading level
Continue to become an inclusive community in which all feel
welcome and included
Increase resident interaction using vehicles like clean up campaigns,
neighborhood picnics, new neighbor welcoming events, and other
strategies developed by residents
Become a regional hub for arts and culture
• Have an efficient public health system that focuses on
prevention and wellness
Means to Residents (outcomes):
• Everyone is welcome in the Dubuque community
• Living life without fear or threats
• Equal treatment for all by City staff
• City services are available for all and delivered in an equitable
and fair manner
City workforce reflecting the diversity of the community
Opportunities to experience arts and culture
8) Washington Neighborhood Strategy: Business attraction, HEART program,
update housing stock, homeownership, promotion, police substation
City Goal it is under: Planned and Managed Growth
Objectives for Planned and Managed Growth:
• Complete the Dubuque Millwork District as a thriving mixed use
development with residential, retail/office, entertainment — a model for
developers and other cities
Have safe, healthy neighborhoods citywide and homes with a
variety of housing options
Have a thriving Downtown with professional offices, retail,
residential and entertainment
Continue strong vibrant 24/7 residential/central business core
(Dubuque Main Street Service Area Downtown and Dubuque Millwork
District) — including residential opportunities
Annex areas consistent with the annexation policy, including City
services to annexed area
Increase the visual appeal and beauty of the city with attractive
gateways, corridors, neighborhoods, homes and businesses
Develop Washington Neighborhood as a model for other neighborhoods
Means to Residents (outcomes):
• Stable property taxes for residents and businesses
• More job opportunities for all skill levels
• Choice of livable neighborhoods
• Opportunities for our children to stay in Dubuque
• Predictable future development
• Quality services to residents in annexed area
2013 - 2015 High Priorities:
1) Bee Branch Project: Specific projects, direction, funding
Community Goal it is under: Environmental/Ecological
Integrity Objectives for Environmental/Ecological Integrity:
• Reduce the community's carbon footprint (50% by 2030)
• Reduce the potential flooding through floodplain management,
mitigation and protection
• Avoiding air quality nonattainment
• Become a smarter city using sustainable technology for water,
energy, transportation, health and wellness, community
engagement — a model community for the world
• Preserve Dubuque's natural and historic resources
• Reduce energy consumption and increase the use of alternative
energy sources
Means to Residents (outcomes):
• Protecting the natural and historic resources and environment of
Dubuque
• City government using sustainable practice in daily operations
• Healthy living environments: homes, neighborhoods and community
• Clean water and air
• Creating a more livable community
• Opportunity for a healthy life style including local food products
2) Clean Air Attainment Strategy
Community Goal it is under: Environmental/Ecological Integrity
Objectives for Environmental/Ecological Integrity:
• Reduce the community's carbon footprint (50% by 2030)
Reduce the potential flooding through floodplain management,
mitigation and protection
Avoiding air quality nonattainment
Become a smarter city using sustainable technology for water,
energy, transportation, health and wellness, community
engagement — a model community for the world
Preserve Dubuque's natural and historic resources
Reduce energy consumption and increase the use of alternative
energy sources
Means to Residents (outcomes):
• Protecting the natural and historic resources and environment of
Dubuque
• City government using sustainable practice in daily operations
• Healthy living environments: homes, neighborhoods and community
• Clean water and air
• Creating a more livable community
• Opportunity for a healthy life style including local food products
3) Greater Dubuque Development Corporation support
Community Goal it is under: Economic Prosperity
Objectives for Partnering for Economic Prosperity:
• Diversify the regional Dubuque
economy
• Retain, expand and grow local businesses, attract new businesses
and to provide a more diverse tax base and job opportunities
• Have the infrastructure and amenities to support economic
development and growth: industrial/business parks, streets and utility
services, air service and housing
Have employment opportunities for persons of all skill and education
levels
Work with Government and not-for-profit partners: Greater Dubuque
Development Corporation, Dubuque Initiatives, Washington
Neighborhood Development Corporation, Dubuque Main Street,
Dubuque Area Chamber of
Commerce, ECIA, Community Foundation of Greater Dubuque, local
colleges
(100 mile radius) and others for economic prosperity
• Have a workforce prepared for 21st century jobs in Global marketplace
• Have top quality life options and job opportunities for all residents
• Embrace diverse population that support a multicultural workforce
Means to Residents (outcomes):
• Young professionals want to live here
• Our children want to return to raise their families
• More retail, service and entertainment opportunities — keeping dollars in
Dubuque
• Insulation from economic cycles through diverse businesses
• Variety of job opportunities to citizens
• Variety of education opportunities and internships for those jobs
• Entrepreneurial opportunities to start and grow your business in the
community
4) Historic Millwork District: Development, project monitoring
City Goal it is under: Planned and Managed Growth
Objectives for Planned and Managed Growth:
• Complete the Dubuque Millwork District as a thriving mixed use
development with residential, retail/office, entertainment — a model for
developers and other cities
Have safe, healthy neighborhoods citywide and homes with a
variety of housing options
Have a thriving Downtown with professional offices, retail,
residential and entertainment
Continue strong vibrant 24/7 residential/central business core
(Dubuque Main Street Service Area Downtown and Dubuque Millwork
District) — including residential opportunities
Annex areas consistent with the annexation policy, including City
services to annexed area
Increase the visual appeal and beauty of the city with attractive
gateways, corridors, neighborhoods, homes and businesses
Develop Washington Neighborhood as a model for other neighborhoods
Means to Residents (outcomes):
• Stable property taxes for residents and businesses
• More job opportunities for all skill levels
• Choice of livable neighborhoods
• Opportunities for our children to stay in Dubuque
• Predictable future development
• Quality services to residents in annexed area
5) Indoor Aquatic Center: Direction
City Goal it is under: Partnering for a Better Dubuque
Objectives for Partnering for a Better Dubuque:
• Federal and State lobbying and advocacy for Dubuque
• Partner for economic and workforce development
• Partner with education
• Partner for culture and arts
• Partner for support of families and children
• Partner for housing opportunities
• Partner for healthcare and wellness
• Partner for historic preservation
• Partner for delivery of human services — meeting the needs
of the underserved
• Partner for sustainability
• Increase resident engagement in the City's governance processes
Means to Residents (outcomes):
Bigger "bang" for tax dollars
Enhanced economic development opportunities
More ownership of end products — people involved in the
process, and support outcomes
Better access and use of facilities
Protection of your interests
6) Riverfront Leases: Agreement
Community Goal it is under: Economic Prosperity
Objectives for Partnering for Economic Prosperity:
• Diversify the regional Dubuque economy
• Retain, expand and grow local businesses, attract new businesses
and to provide a more diverse tax base and job opportunities
• Have the infrastructure and amenities to support economic
development and growth: industrial/business parks, streets and utility
services, air service and housing
• Have employment opportunities for persons of all skill and education
levels
• Work with Government and not-for-profit partners: Greater Dubuque
Development Corporation, Dubuque Initiatives, Washington
Neighborhood Development Corporation, Dubuque Main Street,
Dubuque Area Chamber of Commerce, ECIA, Community Foundation
of Greater Dubuque, local colleges (100 mile radius) and others for
economic prosperity
• Have a workforce prepared for 21st century jobs in Global marketplace
• Have top quality life options and job opportunities for all residents
• Embrace diverse population that support a multicultural workforce
Means to Residents (outcomes):
• Young professionals want to live here
• Our children want to return to raise their families
• More retail, service and entertainment opportunities — keeping dollars in
Dubuque
• Insulation from economic cycles through diverse businesses
• Variety of job opportunities to citizens
• Variety of education opportunities and internships for those jobs
• Entrepreneurial opportunities to start and grow your business in the
community
7) Smarter City: Smart health and wellness, smart travel, smart discard
Community Goal it is under: Environmental/Ecological Integrity
Objectives for Environmental/Ecological Integrity:
• Reduce the community's carbon footprint (50% by 2030)
• Reduce the potential flooding through floodplain management,
mitigation and protection
• Avoiding air quality nonattainment
• Become a smarter city using sustainable technology for water,
energy, transportation, health and wellness, community
engagement — a model community for the world
• Preserve Dubuque's natural and historic resources
• Reduce energy consumption and increase the use of alternative energy
sources
Means to Residents
(outcomes):
• Protecting the natural and historic resources and environment of Dubuque
• City government using sustainable practice in daily operations
• Healthy living environments: homes, neighborhoods and community
• Clean water and air
• Creating a more livable community
• Opportunity for a healthy life style including local food products
8) Southwest Arterial Project: Design, land acquisition, intersecting roads
City Goal it is under: Improved Connectivity: Transportation and
Telecommunication Objectives for Improved Connectivity: Transportation and
Telecommunication:
• Increase and sustain commercial air service, including additional
provider(s)
and hub(s)
Have the ability to drive the Southwest Arterial (Iowa Highway 32)
Develop a new model for public transit with high ridership by choice
(working with ECIA)
• Develop passenger rail service to Chicago
• Develop an up-to-date, modern air terminal that appeals to air travelers
• Improve traffic flow throughout the City (East-West Corridors,
Roundabouts, Light Synchronization)
• Use "Complete Streets Concepts"
• Develop fiber optics redundancy
Means to Residents
(outcomes):
• Reduced traffic congestion and improved traffic flow
• Better conditions of streets, eliminated obstructions, and improved
visibility
• Commuting through telecommunications
• Greater economic opportunities
• Air access to multiple hubs
2013 — 2015 Manaaement Aaenda:
ECONOMIC PROPERITY GOAL
• Dubuque Initiatives: Next Step
• Workforce Market Rate Housing
• Marina Store: Operational
• Project HOPE
ENVIRONMENTAL/ECOLOGICAL INTEGRITY GOAL
• Sustainability Purchasing Policy and Procedures
• AVL for Transit
• Grand River Center Electric Meters Project
• City Operations: Sustainability Performance Measures
• Sustainable Dubuque Community Grant
• America's River III Task Force
• Plastic Bag Reduction Strategy: Implementation
• Fats/Oils/Grease: Policy, Program and Enforcement
• DMASWA 28E Agreement: Evaluation
• Community Green House Gas Plan: Implementation
SOCIAL/CULTURAL VIBRANCY GOAL
• City Workforce Diversity: Recruitment and Selection
• Territory Accountability Design: Targeted Actions
• Multi -Cultural Center Building Expansion
• Intercultural Competency Program within City Government: Self
Assessment, Training
• Intercultural Competency Program for the Community: Marketing to School
District, Nonprofit and Community Organizations, Businesses
• Police/Race Dialog
• City Life: Implementation
• Local ADA Compliance Program
• Leadership Enrichment After School Program (LEAP)
• Firefighter Internship for Recruitment of Diverse Workforce
• Racial Profiling: Problem Analysis, Action Plan
• Community Engagement Strategy: City Actions
PLANNED AND MANAGED GROWTH GOAL
Inflow and Infiltration Program/Home Inspections: EPA Consent Decree
Implementatio
n
City Comprehensive Plan: Update
Flood Wall: Funding, Evaluation, Cell Protection
Statewide Urban Design and Specification City Engineering Standards
(SUDAS) City Engineering Standards: Update
• Washington Street Row House Units: Sale
• Historic Preservation Program: Evaluation, Update
• Downtown Loan Program: Implementation
• West Third Street Reservoir Study
• Housing Choice Voucher Program
Water and Sewer Service Extension to City Residents and Businesses
PARTNERING FOR A BETTER DUBUQUE GOAL
• Parks -School Joint Projects and Services: City Actions
• City Volunteer Program: Development
• Sister City Program: Delegation to Potential City
• Veterans Memorials: Direction
• Handicap Accessiblility for Parks: Direction
• Bridges out of Poverty Program: City Support
IMPROVED CONNECTIVITY: TRANSPORTATION AND TELECOMMUNICATIONS
• Smart Transportation Program
• Traffic Signal Synchronization: Citywide
• Amtrak Train Platform (Port of Dubuque): Funding
• Roundabout: ROW Acquisition a) University/Asbury b)
Radford/Pennsylvania
• Intermodal Transportation Facility in Historic Millwork District
• Air Traffic Control Tower: Funding
FINANCIALLY RESPONSIBLE CITY GOVERNMENT AND HIGH
PERFORMANCE ORGANIZATION:
• Website Content Management (CivicPlus)
• 900 MHz Data System: Expansion
• Employee Wellness Program: Five -Year Goals, City Internet Posting
• Employee Involvement Teams: Expansion
• Healthcare Cost Containment
• Police Officer Recruitment and Retention
• Records Management and Retention
• City Hall Protocol and Safety
• New CAD Software
• Emergency Police Dispatch and Emergency Fire Dispatch
• New Fire Pumper
• Disaster Preparedness and Recovery Plan: Discussion
• Environmental Sustainability Management System (ESMS): ISO 14001
Model
Program
• Affordable Care Act: Analysis of Impacts
Major Projects:
ENVIRONMENTAL/ECOLOGICAL INTEGRITY GOAL
• SRF Green Alley Projects
• Port of Dubuque Park: Development
• City Greenhouse Project
PLANNED AND MANAGED GROWTH GOAL
• Water and Resource Recovery Center Project
• Locust and Iowa Ramps: Renovation Project
• North Softening Basin Renovation Project
PARTNERING FOR A BETTER DUBUQUE
• Comiskey Park Improvements
• Northwest Arterial Trail — Bergfeld Recreation Trail Connection
• Bunker Hill Golf Course Irrigation Improvements
IMPROVED CONNECTIVITY: TRANSPORTATION AND TELECOMMUNICATIONS
Airport Terminal Project
Elm Street Reconstruction Project
• One Way — Two Way Conversion Project
• Cedar Cross Road: Design
• Wacker and JFK Traffic Signalization Project
• North Cascade Road: Design
• White Street Traffic Signal and Improvements Reconstruction (at 14th and
20`h)
• US 20/Fremont Avenue Traffic Signal: Upgrades
• NW Arterial/Chavenelle Intersection Improvement Project
1
Exhibit B Budget
Opening Doors
Consolidated Budget
Maria House/Teresa Shelter
September 2013- August 2014
approved 8-26-13
Revenue
Unrestricted Contributions $ 266,944.00
Fundraisers $ 125,000.00
United Way $ 35,750.00
Grant Income $ 118,025.00
Interest/Investment Income $ 52,000.00
Program Fees $ 8,500.00
City and County Funding $ 27,000.00
Total Revenue $ 633,219.00
Salaries $ 445,560.00
Bene tts $ 54,420.00
Taxes and Insurance $ 22,969.00
Administrative $ 58,410.00
Ministry Services $ 5,300.00
Buildings and Grounds $ 11,100.00
Utilities $ 30,140.00
Other Expenses $ 5,320.00
Total Expenditures $ 633,219.00
2
EXHIBIT C
STANDARD REQUIREMENTS
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) AGREEMENTS
TABLE OF CONTENTS
GENERAL CONDITIONS 1
A. General Compliance 1
B. Independent Contractor 1
C. Hold Harmless 1
D. Workers' Compensation 1
E. Insurance and Bonding 1
F. Grantor Recognition 1
G. Amendments 1
H. Suspension or Termination 2
ADMINISTRATIVE REQUIREMENTS 2
A. Financial Management 2
1. Accounting Standards 2
2. Cost Principles 2
B. Documentation and Recordkeeping 2
1. Records to be Maintained 2
2. Retention 2
3. Client Data 3
4. Disclosure 3
5. Closeouts 3
6. Audits and Inspections. 3
C. Reporting and Payment Procedures 3
1. Program Income 3
2. Payment Procedures 3
3. Indirect Costs 4
4. Progress Reports 4
D. Procurement 4
1. Compliance 4
2. OMB Standards 4
3. Travel 4
E. Use and Reversion of Assets
III. RELOCATION, PROPERTY ACQUISITION AND ONE-FOR-ONE HOUSING REPLACEMENT.4
IV. PERSONNEL AND PARTICIPANT CONDITIONS 4
A. Civil Rights 4
1. Compliance 4
2. Nondiscrimination. 5
3. Land Covenants 5
4. Section 504 5
B. Affirmative Action 5
1. Approved Plan 5
2. Women -Minority Businesses (W/MBE) 5
3. Access to Records 6
4. Notifications 6
5. Equal Employment Opportunity and Affirmative Action (EEO/AA) Statement 6
6. Subcontract Provisions 6
C. Employment Restrictions 6
3
1. Prohibited Activity 6
2. Labor Standards 6
3. "Section 3" Clause 7
a. Compliance 7
b. Notifications 7
c. Subcontracts 8
Conduct 8
1. Assignability 8
2. Hatch Act 8
3. Conflict of Interest 8
4. Subcontracts 8
a. Approvals 8
b. Monitoring 8
Content 8
d. Selection Process 8
5. Lobbying 9
6. Copyright 9
7 Religious Organization 9
V. ENVIRONMENTAL CONDITIONS 9
A. Air and Water 9
B. Flood Disaster Protection 9
C. Lead Based Paint 10
D. Historic reservation..................................................................................... 10
VI. SEVERABILITY. 10
VII SECTION HEADINGS AND SUBHEADS. 10
VIIIWAIVER10
IX ENTIRE AGREEMENT.......................................................................................... 10
4
EXHIBIT C
STANDARD REQUIREMENTS
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) AGREEMENTS
GENERAL CONDITIONS
General Compliance
The Subrecipient agrees to comply with the requirements of Title 24 Code of Federal
Regulations, Part 570 of the Housing and Urban Development regulations concerning
Community Development Block Grants (CDBG) including subpart K of these regulations, except
that (1) the Subrecipient does not assume the recipient's environmental responsibilities described
in 24 CFR 570.604 and (2) the Subrecipient does not assume the recipient's responsibility for
initiating the review process under the provisions of 24 CFR Part 52. The Subrecipient further
agrees to utilize funds available under this Agreement to supplement rather than supplant funds
otherwise available. The Subrecipient agrees to comply with all applicable federal, state and local
laws and regulations governing the funds provided under this contract.
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.
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.
Workers' Compensation
The Subrecipient shall provide Workers' Compensation Insurance coverage for all employees
involved in the performance of this contract.
Insurance and Bonding
The Subrecipient shall maintain insurance to the extent and against such hazards and liabilities
as are in keeping with the current insurance program of Recipient.
The Subrecipient shall comply with the bonding and insurance requirements of 24 CFR 84.31
and 84.48, Bonding and Insurance.
Grantor Recognition
The Subrecipient shall insure recognition of the role of the Recipient in providing services through
the agreement. All activities, facilities and items utilized pursuant to this contract shall be
prominently labeled as to funding source. In addition, the Subrecipient will include a reference to
the support provided herein in all publications made possible with funds available under this
contract.
G. Amendments
Recipient or subrecipient may amend this Agreement at any time provided that such
amendments make specific reference to this Agreement, and are executed in writing, signed by a
duly authorized representative of both organizations and approved by the Recipient's governing
body. Such amendments shall not invalidate this Agreement, nor relieve or release Recipient or
Subrecipient from its obligations under this Agreement.
Recipient may, in its discretion, amend this Agreement to conform with federal, state or local
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.
1
Suspension or Termination
In accordance with 24 CFR 85.43, the Recipient may suspend or terminate this Agreement if the
Subrecipient materially fails to comply with any terms of this Agreement, which include (but are
not limited to) the following: 1) Failure to comply with any of the rules, regulations or provisions
referred to herein, or such statutes, regulations, executive orders, and HUD guidelines, policies
or directives as may become applicable at any time; 2) Failure, for any reason, of the
Subrecipient to fulfill in a timely and proper manner its obligations under this Agreement; 3)
Ineffective or improper use of funds provided under this Agreement; or 4) Submission by the
Subrecipient to the Recipient reports that are incorrect or incomplete in any material respect.
In accordance with 24 CFR 85.44, this Agreement may also be terminated for convenience by
either the Recipient or the Subrecipient, in whole or in part, by setting forth the reasons for such
termination, the effective date, and, in the case of partial termination, the portion to be
terminated. However, if in the case of a partial termination, the Recipient determines that the
remaining portion of the award will not accomplish the purpose for which the award was made,
the Recipient may terminate the award in its entirety.
II. ADMINISTRATIVE REQUIREMENTS
Financial Management
1. Accounting Standards
The Subrecipient agrees to comply with 24 CFR 84.21-28 and agrees to adhere to the
accounting principles and procedures required therein, utilize adequate internal controls,
and maintain necessary source documentation for all costs incurred.
Cost Principles
The Subrecipient shall administer its program in conformance with OMB Circular A-122,
"Cost Principles for Nonprofit Organizations" or A-21, "Cost Principles for Educational
Institutions" as applicable. These principles shall be applied for all costs incurred whether
charged on a direct or indirect basis.
Documentation and Record Keeping
1. Records to be Maintained
The Subrecipient shall maintain all records required by the federal regulations specified in
24 CFR Part 570.506, that are pertinent to the activities to be funded under this
Agreement. Such records shall include but not be limited to:
a. Records providing a full description of each activity undertaken;
b. Records demonstrating that each activity undertaken meets one of the National
Objectives of the CDBG program'
c. Records required to determine the eligibility of activities;
d. Records required to document the acquisition, improvement, use or disposition of
real property acquired or improved with CDBG assistance,
e. Records documenting compliance with the fair housing and equal opportunity
components of the CDBG program, and
f. Financial records as required by 24 CFR Part 570.502, and 24 CFR 84.21-28: and
g. Other records necessary to document compliance with Subpart K of 24 CFR 570.
Retention
The Subrecipient shall retain all financial records, supporting documents, statistical
records, and all other records pertinent to the Agreement for a period of four (4) years. The
retention period begins on the date of the submission of the Recipient's annual
performance and evaluation report to HUD in which the activities assisted under the
Agreement are reported on for the final time. Notwithstanding the above, if there is
litigation, claims, audits, negotiations or other actions that involve any of the records cited
and that have started before the expiration of the four-year period, then such records must
be retained until completion of the actions and resolution of all issues, or the expiration of
the four-year period, whichever occurs later.
2
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.
Disclosure
The Subrecipient understands that client information collected under this contract is
private and the use or disclosure of such information, when not directly connected with the
administration of the Recipient's or Subrecipient's responsibilities with respect to services
provided under this contract, is prohibited by law unless written consent is obtained from
such person receiving service and, in the case of a minor, that of a responsible
parent/guardian.
Closeouts
Subrecipient obligation to the Recipient shall not end until all closeout requirements are
completed. Activities during this closeout period shall include, but are not limited to,
making final payments, disposing of program assets (including the return of all unused
materials, equipment, unspent cash advances, program income balances, and accounts
receivable to the Recipient), and determining the custodianship of records.
Notwithstanding the foregoing, the terms of this Agreement shall remain in effect during
any period that the Subrecipient has control over CDBG funds, including program income.
Audits and Inspections
All Subrecipient records with respect to any matters covered by this Agreement shall be
made available to the Recipient, grantor agency, and the Comptroller General of the
United States or any of their authorized representatives, at any time during normal
business hours, as often as deemed necessary, to audit, examine, and make excerpts or
transcripts of all relevant data. Any deficiencies noted in audit reports must be fully
cleared by the Subrecipient within 30 days after receipt by the Subrecipient. Failure of the
Subrecipient to comply with the above audit requirements will constitute a violation of this
contract and may result in the withholding of future payments. The Subrecipient hereby
agrees to have an annual agency audit conducted in accordance with current Recipient
policy concerning subrecipient audits and OMB Circular A-133
Reporting and Payment Procedures
1. Program Income
The Subrecipient shall report quarterly all program income (as defined at 24 CFR
570.500(a)) generated by activities carried out with CDBG funds made available under this
contract. The use of program income by the Subrecipient shall comply with the
requirements set forth at 24 CFR 570.504. By way of further limitations, the Subrecipient
may use such income during the contract period for activities permitted under this contract
and shall reduce requests for additional funds by the amount of any such program income
balances on hand. All unexpended program income shall be returned to the Recipient at
the end of the contract period. Any interest earned on cash advances from the U.S.
Treasury and from funds held in a revolving fund account is not program income and shall
be remitted promptly to the Recipient.
Payment Procedures
The Recipient will pay to the Subrecipient funds available under this agreement based
upon information submitted by the Subrecipient and consistent with any approved budget
and Recipient policy concerning payments. With the exception of certain advances,
payments will be made for eligible expenses actually incurred by the Subrecipient, and not
to exceed actual cash requirements. Payments will be adjusted by the Recipient in
accordance with advance fund and program income balances available in Subrecipient
accounts. In addition, the Recipient reserves the right to liquidate funds available under
this contract for costs incurred by the Recipient on behalf of the Subrecipient.
Indirect Costs
If indirect costs are charged, the Subrecipient will develop an indirect cost allocation plan
for determining the appropriate Subrecipient's share of administrative costs and shall
submit such plan to the Recipient for approval, in a form specified by the Recipient.
Progress Reports
The Subrecipient shall submit quarterly Activity Progress Reports to the Recipient in the
form and content as required by the Recipient.
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.
OMB Standards
Unless specified otherwise within this agreement, the Subrecipient shall procure all
materials, property, or services in accordance with the requirements of 24 CFR 84.40-48.
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.
Use and Reversion of Assets
The use and disposition of real property and equipment under this Agreement shall be in
compliance with the requirements of 24 CFR Part 84 and 24 CFR 570.502, 570.503, and
570.504, as applicable, which include but are not limited to the following:
1. The Subrecipient shall transfer to the Recipient any CDBG funds on hand and any
accounts receivable attributable to the use of funds under this Agreement at the time of
expiration, cancellation, or termination.
2. Real property under the Subrecipient's control that was acquired or improved, in whole
or in part, with funds under this Agreement in excess of $25,000 shall be used to meet one
of the CDBG National Objectives pursuant to 24 CFR 570.208 until five (5) years after
expiration of this Agreement. If the Subrecipient fails to use CDBG-assisted real property
in a manner that meets a CDBG National Objective for the prescribed period of time, the
Subrecipient shall pay the Recipient an amount equal to the current fair market value of
the property less any portion of the value attributable to expenditures of non-CDBG funds
for acquisition of, or improvement to, the property. Such payment shall constitute program
income to the Recipient. The Subrecipient may retain real property acquired or improved
under this Agreement after the expiration of the five-year period.
3. In all cases in which equipment acquired, in whole or in part, with funds under this
Agreement is sold, the proceeds shall be program income (prorated to reflect the extent to
that funds received under this Agreement were used to acquire the equipment). Equipment
not needed by the Subrecipient for activities under this Agreement shall be (a) transferred
to the Recipient for the CDBG program or (b) retained after compensating the Recipient
[an amount equal to the current fair market value of the equipment less the percentage of
non-CDBG funds used to acquire the equipment].
III. RELOCATION, PROPERTY ACQUISITION AND ONE-FOR-ONE HOUSING REPLACEMETN
The Subrecipient agrees to comply with (a) the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended (URA), and implementing
regulations at 49 CFR Part 24 and 24 CFR 570.606(b); (b) the requirements of 24 CFR
570.606(c) governing the Residential Anti -displacement and Relocation Assistance Plan
under section 104(d) of the HCD Act; and (c) the requirements in 24 CFR 570.606(d)
governing optional relocation policies. The Subrecipient shall provide relocation
assistance 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-
4
assisted project. The Subrecipient also agrees to comply with applicable Recipient
ordinances, resolutions and policies concerning the displacement of persons from their
residences.
IV. PERSONNEL AND PARTICIPANT CONDITIONS
Civil Rights
1. Compliance
The Subrecipient agrees to comply all federal, state and local regulations in effect as of
the date of this Agreement as they apply to federally assisted programs and activities of
the Department of Housing and Urban Development and with Title VI of the Civil Rights
Act of 1964 as amended, Title VIII of the Civil Rights Act of 1968 as amended, Section
104(b) and Section 109 of Title I of the Housing and Community Development Act of 1974
as amended, Section 504 of the Rehabilitation Act of 1973, the Americans with
Disabilities Act of 1990, the Age Discrimination Act of 1975, Executive Order 11063, and
Executive Order 11246 as amended by Executive Orders 11375, 11478, 12107 and
12086.
Nondiscrimination
The Subrecipient agrees to comply with the non-discrimination in employment and
contracting opportunities laws, regulations, and executive orders referenced in 24 CFR
570.607, as revised by Executive Order 13279. The applicable non-discrimination
provisions in Section 109 of the HCDA are still applicable.
3. Land Covenants
This contract is subject to the requirements of Title VI of the Civil Rights Act of 1964 (P. L.
88-352) and 24 CFR 570.601 and 570.602. In regard to the sale, lease, or other transfer of
land acquired, cleared or improved with assistance provided under this contract, the
Subrecipient shall cause or require a covenant running with the land to be inserted in the
deed or lease for such transfer, prohibiting discrimination as herein defined, in the sale,
lease or rental, or in the use or occupancy of such land, or in any improvements erected or
to be erected thereon, providing that the Recipient and the United States are beneficiaries
of and entitled to enforce such covenants. The Subrecipient, in undertaking its obligation to
carry out the program assisted hereunder, agrees to take such measures as are necessary
to enforce such covenant, and will not itself so discriminate.
Section 504
The Subrecipient agrees to comply with all Federal regulations issued pursuant to
compliance with Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which
prohibits discrimination against the individuals with disabilities or handicaps in any
Federally assisted program. The Recipient shall provide the Subrecipient with any
guidelines necessary for compliance with that portion of the regulations in force during the
term of this Agreement.
Affirmative Action
1. Approved Plan
The Subrecipient agrees that it shall be committed to carry out pursuant to the Recipient's
specifications an Affirmative Action Program in keeping with the principles as provided in
President's Executive Order 11246 of September 24, 1966. The Recipient shall provide
Affirmative Action guidelines to the Subrecipient to assist in the formulation of such
program. The Subrecipient shall submit a plan for an Affirmative Action Program for
approval prior to the award of funds.
Women -Minority -Owned Businesses (W/MBE)
The Subrecipient will use its best efforts to afford small businesses, minority business
enterprises, and women's business enterprises the maximum practicable opportunity to
participate in the performance of this contract. As used in this contract, the terms "small
business" means a business that meets the criteria set forth in section 3(a) of the Small
Business Act, as amended (15 U.S.C. 632), and "minority and women's business
enterprise" means a business at least fifty-one (51) percent owned and controlled by
5
minority group members or women. For the purpose of this definition, "minority group
members" are Afro-Americans, Spanish-speaking, Spanish surnamed or Spanish -heritage
Americans, Asian -Americans, and American Indians. The Subrecipient may rely on written
representations by businesses regarding their status as minority and female business
enterprises in lieu of an independent investigation.
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.
Notifications
The Subrecipient will send to each labor union or representative of workers with which it
has a collective bargaining agreement or other contract or understanding, a notice, to be
provided by the agency contracting officer, advising the labor union or worker's
representative of the Subrecipient's commitments hereunder, and shall post copies in
conspicuous places available to employees and applicants for employment.
Equal Employment Opportunity and Affirmative Action (EEO/AA) Statement
The Subrecipient will, in all solicitations or advertisements for employees placed by or on
behalf of the Subrecipient, state that it is an Equal Opportunity or Affirmative Action
employer.
Subcontract Provisions
The Subrecipient will include the provisions of Paragraphs X A, Civil Rights, and B,
Affirmative Action, in every subcontract or purchase order, specifically or by reference, so
that such provisions will be binding upon each of its own subrecipients or subcontractors.
Employment Restrictions
1. Prohibited Activity
The Subrecipient is prohibited from using funds provided herein or personnel employed in
the administration of the program for political activities; inherently religious activities;
lobbying, political patronage, and nepotism activities.
Labor Standards
The Subrecipient agrees to comply with the requirements of the Secretary of Labor in
accordance with the Davis -Bacon Act as amended, the provisions of Contract Work
Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and all other applicable Federal,
state and local laws and regulations pertaining to labor standards insofar as those acts
apply to the performance of this Agreement. The Subrecipient agrees to comply with the
Copeland Anti -Kick Back Act (18 U.S.C. 874 et seq.) and its implementing regulations of
the U.S. Department of Labor at 29 CFR Part 5. The Subrecipient shall maintain
documentation that demonstrates compliance with hour and wage requirements of this
part. Such documentation shall be made available to the Recipient for review upon
request.
The Subrecipient agrees that, except with respect to the rehabilitation or construction of
residential property containing less than eight (8) units, all contractors engaged under
contracts in excess of $2,000.00 for construction, renovation or repair work financed in
whole or in part with assistance provided under this contract, shall comply with Federal
requirements adopted by the Recipient pertaining to such contracts and with the
applicable requirements of the regulations of the Department of Labor, under 29 CFR
Parts 1, 3, 5 and 7 governing the payment of wages and ratio of apprentices and trainees
to journey workers; provided that, if wage rates higher than those required under the
regulations are imposed by state or local law, nothing hereunder is intended to relieve the
Subrecipient of its obligation, if any, to require payment of the higher wage. The
Subrecipient shall cause or require to be inserted in full, in all such contracts subject to
such regulations, provisions meeting the requirements of this paragraph.
"Section 3" Clause
a. Compliance
Compliance with the provisions of Section 3 of the HUD Act of 1968, as amended,
and as implemented by the regulations set forth in 24 CFR 135, and all applicable
rules and orders issued hereunder prior to the execution of this contract, shall be a
condition of the Federal financial assistance provided under this contract and
binding upon the Recipient, the Subrecipient and any of the Subrecipient's
subrecipients and subcontractors. Failure to fulfill these requirements shall subject
the Recipient, the Subrecipient and any of the Subrecipient's subrecipients and
subcontractors, their successors and assigns, to those sanctions specified by the
Agreement through which Federal assistance is provided. The Subrecipient certifies
and agrees that no contractual or other disability exists that would prevent
compliance with these requirements.
The Subrecipient further agrees to comply with these "Section 3" requirements and
to include the following language in all subcontracts executed under this
Agreement:
"The work to be performed under this Agreement is a project assisted
under a program providing direct Federal financial assistance from HUD
and is subject to the requirements of Section 3 of the Housing and Urban
Development Act of 1968, as amended (12 U.S.C. 1701). Section 3
requires that to the greatest extent feasible opportunities for training and
employment be given to low- and very low-income residents of the project
area, and that contracts for work in connection with the project be awarded
to business concerns that provide economic opportunities for low- and
very low-income persons residing in the metropolitan area in which the
project is located."
The Subrecipient further agrees to ensure that opportunities for training and
employment arising in connection with a housing rehabilitation (including reduction
and abatement of lead-based paint hazards), housing construction, or other public
construction project are given to low- and very low-income persons residing within
the metropolitan area in which the CDBG-funded project is located; where feasible,
priority should be given to low- and very low-income persons within the service area
of the project or the neighborhood in which the project is located, and to low- and
very low-income participants in other HUD programs; and award contracts for work
undertaken in connection with a housing rehabilitation (including reduction and
abatement of lead-based paint hazards), housing construction, or other public
construction project to business concerns that provide economic opportunities for
low- and very low-income persons residing within the metropolitan area in which the
CDBG-funded project is located; where feasible, priority should be given to
business concerns that provide economic opportunities to low- and very low-income
residents within the service area or the neighborhood in which the project is
located, and to low- and very low-income participants in other HUD programs.
The Subrecipient certifies and agrees that no contractual or other legal incapacity
exists that would prevent compliance with these requirements.
b. Notifications
The Subrecipient agrees to send to each labor organization or representative of
workers with which it has a collective bargaining agreement or other contract or
understanding, if any, a notice advising said labor organization or worker's
representative of its commitments under this Section 3 clause and shall post copies
of the notice in conspicuous places available to employees and applicants for
employment or training.
c. Subcontracts
The Subrecipient will include this Section 3 clause in every subcontract and will
take appropriate action pursuant to the subcontract upon a finding that the
7
subcontractor is in violation of regulations issued by the Recipient. The
Subrecipient will not subcontract with any entity where is has notice or knowledge
that the latter has been found in violation of regulations under 24 CFR 135 and will
not let any subcontract unless the entity has first provided it with a preliminary
statement of ability to comply with the requirements of these regulations.
Conduct
1. Assignability
The Subrecipient shall not assign or transfer any interest in this contract without the prior
written consent of the Recipient thereto; provided, however, that claims for money due or
to become due to the Subrecipient from the Recipient under this contract may be assigned
to a bank, trust company or other financial institution without such approval. Notice of any
such assignment or transfer shall be furnished promptly to the Recipient.
Hatch Act
The Subrecipient agrees that no funds provided, nor personnel employed under this
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.
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.
Subcontracts
a. Approvals
The Subrecipient shall not enter into any subcontracts with any agency or individual
in the performance of this contract without the written consent of the Recipient prior
to the execution of such agreement.
b. Monitoring
The Subrecipient will monitor all subcontracted services on a regular basis to
assure contract compliance. Results of monitoring efforts shall be summarized in
written reports and supported with documented evidence of follow up actions taken
to correct areas of noncompliance.
c. Content
The Subrecipient shall cause all of the provisions of this contract in its entirety to be
included in and made a part of any subcontract executed in the performance of this
agreement.
d. Selection Process
The Subrecipient shall undertake to insure that all subcontracts let in the
performance of this agreement shall be awarded on a fair and open competition
basis in accordance with applicable procurement requirements. Executed copies of
8
all subcontracts shall be forwarded to the Recipient along with documentation
concerning the selection process.
Lobbying
The Subrecipient hereby certifies that:
a. No Federal appropriated funds have been paid or will be paid, by or on behalf
of it, to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with the
awarding of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement;
If any funds other than Federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with this
Federal contract, grant, loan, or cooperative agreement, it will complete and
submit Standard Form -LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions; and
c. It will require that the language of paragraph (d) of this certification be included
in the award documents for all subawards at all tiers (including subcontracts,
subgrants, and contracts under grants, loans, and cooperative agreements)
and that all Subrecipients shall certify and disclose accordingly:
d. Lobbying Certification
This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction
imposed by section 1352, title 31, U.S.C. Any person who fails to file the
required certification shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such failure.
Copyright
If this contract results in any copyrightable material or inventions, the Recipient and/or
grantor agency reserves the right to royalty -free, non-exclusive and irrevocable license to
reproduce, publish or otherwise use and to authorize others to use, the work or materials
for governmental purposes.
Religious Organization
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 and Water
1. The Subrecipient agrees to comply with the following regulations insofar as they apply to
the performance of this contract:
2. Clean Air Act, 42 U.S.C., 7401, ET seq.
3. Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251, et seq., as amended
1318 relating to inspection, monitoring, entry, reports and information, as well as other
requirements specified in said Section 114 and Section 308, and all regulations and
guidelines issued hereunder.
4. Environmental Protection Agency (EPA) regulations pursuant to 40 CFR, Part 50, as
amended.
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
9
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).
Lead Based Paint
The Subrecipient agrees that any construction or rehabilitation of residential structures with
assistance provided under this contract shall be subject to HUD Lead Based Paint Regulations at
24 CFR 570.608, and 24 CFR Part 35 subpart B. Such regulations pertain to all CDBG assisted
housing and require that all owners, prospective owners, and tenants or properties constructed
prior to 1978 be properly notified that such properties may include lead based paint. Such
notification shall point out the hazards of lead based paint and explain the symptoms, treatment
and precautions that should be taken when dealing with lead based paint poisoning and the
advisability and availability of blood lead level screening for children under seven. The notice
should also point out that if lead-based paint is found on the property, abatement measures may
be undertaken. The regulations further require that, depending on the amount of Federal funds
applied to a property, paint testing, risk assessment, treatment and/or abatement may be
conducted.
Historic Preservation
The Subrecipient agrees to comply with the Historic Preservation requirements set forth in the
National Historic Preservation Act of 1966, as amended (16 U.S.C. 470) and the procedures set
forth in 36 CFR, Part 800, Advisory Council on Historic Preservation Procedures for Protection of
Historic Properties, insofar as they apply to the performance of this contract.
In general, this requires concurrence from the State Historic Preservation Officer for all
rehabilitation and demolition of historic properties that are fifty years old or older or that are
included on a federal, state or local historic property list.
VI. SEVERABILITY
If any provision of this Agreement is held invalid, the remainder of the Agreement shall not be
affected thereby and all other parts of this Agreement shall nevertheless be in full force and
effect.
VII. SECTION HEADINGS AND SUBHEADINGS
The section headings and subheadings contained in this Agreement are included for
convenience only and shall not limit or otherwise affect the terms of this Agreement.
VIII. WAIVER
The Recipient's failure to act with respect to a breach by the Subrecipient does not waive its
right to act with respect to subsequent or similar breaches. The failure of the Recipient to
exercise or enforce any right or provision shall not constitute a waiver of such right or provision.
IX. ENTIRE AGREEMENT
This agreement constitutes the entire agreement between the Recipient and the Subrecipient
for the use of funds received under this Agreement and it supersedes all prior or
contemporaneous communications and proposals, whether electronic, oral, or written between
the Recipient and the Subrecipient with respect to this Agreement.
NOTE: For the above sections, if the Subrecipient is a governmental or quasi -governmental agency, the
applicable sections of 24 CFR Part 85, "Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments," and OMB Circular A-87 would apply.
FVUSERSVCDBGACDBG ACDBG ContractsVOpening Doors V15 Opening Doors - CDBG services agrmt doc
10