CDBG Grant Agreement - Four Mounds HEART Program Copyright 2014
City of Dubuque Consent Items # 16.
ITEM TITLE: CDBG Grant Agreement - Four Mounds HEART Program
SUMMARY: City Manager recommending approval of the Community Development
Block Grant (CDBG) Grant Agreement with Four Mounds HEART
Program.
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Approve
ATTACHMENTS:
Description Type
❑ CDBG Grant Agreement-Four Mounds HEART Program-MVM Memo City Manager Memo
❑ Staff Memo Staff Memo
❑ Grant Agreement Supporting Documentation
THE CITY OF Dubuque
UBE I
erica .i
Masterpiece on the Mississippi 2007-2012-2013
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: CDBG Grant Agreement-FY16
Four Mounds HEART Program
DATE: July 14, 2015
The adopted Fiscal Year 2016 Community Development Block Grant Annual Action
Plan provides for a payment of$10,000 to Four Mounds HEART Program.
Housing and Community Development Department Director Alvin Nash recommends
City Council approval of the CDBG Grant Agreement with Four Mounds HEART
Program to provide youth education and training opportunities. The youth training
opportunities revitalize neighborhoods and prepare youth for educational and vocational
advancement.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Micliael C. Van Milligen
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
THE CITY OF Dubuque
UBE 111-America Cii�
Masterpiece on the Mississippi 2007-2012-2013
TO: Michael C. Van Milligen, City Manager
FROM: Alvin Nash, Housing and Community Development Department
SUBJECT: CDBG Grant Agreement— FY16
HEART
DATE: July 13, 2015
Attached for City Council approval is the Community Development Block Grant (CDBG)
Agreement with the Four Mounds HEART program for Fiscal Year 2016. The
agreement includes attachment of the City Council goals and priorities.
The Adopted Fiscal Year 2016 CDBG Annual Action Plan reflects a payment of $10,000
to assist Four Mounds HEART program. These funds are requested to provide youth
education and training opportunities. The youth training opportunities revitalize
neighborhoods and prepare youth for educational and vocational advancement. The
program is consistent with the 2016-2020 Consolidated Plan for the use of CDBG funds.
RECOMMENDATION
It is my recommendation that the City Council approves the attached CDBG Grant
Agreement with Four Mound's HEART program and authorizes the Mayor to execute
the agreement on behalf of the City.
CITY OF DUBUQUE, IOWA
AND
FOUR MOUNDS
COMMUNITY DEVELOPMENT BLOCK GRANT AGREEMENT
THIS AGREEMENT, executed on the day of , 2015 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 FOUR MOUNDS
Enrichment, 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 public services
activity Four Mounds HEART Program, providing educational
opportunity for area youth and neighborhood revitalization.
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;
Require information on family size and income so that it is evident that at
least 51 percent of the clientele are persons whose family income does not
exceed the low and moderate income limit.
IV Project Budget
The total compensation to be paid to Subrecipient by Recipient for the
services shall in no event exceed the sum of$10,000.00.
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, 2015 and shall be completed not later than June 30, 2016.
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 15 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.
iii
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
Four Mounds Foundation
HEART Program
4900 Peru Road
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
Christine Happ Olson, Executive Director
Four Mounds Foundation
Exhibit A
Dubuque
THE CTTY OF
F 11111.f
E CILD,UBUQUTADUL L
Masterpiece on the Mississippi I I I I'
20m•2012 .2013
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.
The 2029 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
iv
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
v
2014- 2016 Top Priorities:
1. Arts and Culture Master Plan
Community Goal it is under: Social/Cultural Vibrancy
Objectives for Social/Cultural Vibrancy:
• Increase the mutual understanding and knowledge of others
• Continue to become an inclusive community in which all feel welcome and included, and
leaving no one behind
• 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
•Achieve goals and desired outcomes from community engagement
• Support community partners: Third Grade Reading, Reengagement Center, Opportunity
Dubuque
• Increase civic literacy
• Increase trust in City government
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
2. Central Iowa Water Association: Direction, Funding
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 strong vibrant 24/7 residential/central business core (Dubuque Main Street Service
Area Downtown and Dubuque Millwork District) — including residential opportunities, retail and
entertainment
•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
3. City Staffing Level: Evaluation, Direction, Funding
Organizational Goal it is under: Fiscally Responsible City Government and High
Performance Organization
vi
4. Five Flags Center: Evaluation, Direction
Community Goal it is under: Partnering for a Better Dubuque
Objectives for Partnering for a Better Dubuque:
• Lobbying and advocating with Federal Government and State of Iowa and advocating 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. Inclusive Community: Action Plan
Community Goal it is under: Social/Cultural Vibrancy
Objectives for Social/Cultural Vibrancy:
• Increase the mutual understanding and knowledge of others
• Continue to become an inclusive community in which all feel welcome and included, and
leaving no one behind
• 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
•Achieve goals and desired outcomes from community engagement
• Support community partners: Third Grade Reading, Reengagement Center, Opportunity
Dubuque
• Increase civic literacy
• Increase trust in City government
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
6. Police Practices: Review Best Practices
Organizational Goal it is under: Fiscally Responsible City Government and High
Performance Organization
vii
7. Street Improvement Program: Funding
City Goal it is under: Improved Connectivity: Transportation and Telecommunication
Objectives for Improved Connectivity: Transportation and Telecommunication:
• Increase and sustain commercial air service
• Have the ability to drive the Southwest Arterial (Iowa Highway 32)
• Increase public transit 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"
• Increase availability, bandwidth and 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
2014 - 2016 High Priorities:
1. Annexation: Direction on Specific Actions
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 strong vibrant 24/7 residential/central business core (Dubuque Main Street Service
Area Downtown and Dubuque Millwork District) — including residential opportunities, retail and
entertainment
•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. Emerald Ash Borer: Policy, Program and 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
• Maintain air quality through EPA PM advance
viii
• Become a smarter city using sustainable technology for water, energy, transportation, health
and wellness, discards, community engagement— a model community for the world
• Preserve and enhance 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. Housing Code and Inspection: Review, Update/Upgrade
Community Goal it is under: Social/Cultural Vibrancy
Objectives for Social/Cultural Vibrancy:
• Increase the mutual understanding and knowledge of others
• Continue to become an inclusive community in which all feel welcome and included, and
leaving no one behind
• 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
•Achieve goals and desired outcomes from community engagement
• Support community partners: Third Grade Reading, Reengagement Center, Opportunity
Dubuque
• Increase civic literacy
• Increase trust in City government
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. Indoor Aquatic Center: Direction
City Goal it is under: Partnering for a Better Dubuque
Objectives for Partnering for a Better Dubuque:
• Lobbying and advocating with Federal Government and State of Iowa and advocating 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
ix
• 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. Port of Dubuque Park: Development
Community Goal it is under: Economic Prosperity
Objectives 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
•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 21 n century jobs in Global marketplace
• 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
6. Skate Park
Community Goal it is under: Partnering for a Better Dubuque
Objectives for Partnering for a Better Dubuque:
• Lobbying and advocating with Federal Government and State of Iowa and advocating 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
x
• 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
7. Workforce Market-Rate Housing
Community Goal it is under: Economic Prosperity
Objectives 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
•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 21 n century jobs in Global marketplace
• 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
2014-2016 Management Agenda:
ECONOMIC PROPERITY GOAL
• Dubuque Initiatives: Next Steps
• Project HOPE: Access Point, Performance Evaluation
• Port of Dubuque Marina: Performance Report, City Action
• Greater Dubuque Development Corporation: Sustainable Innovation
• Industrial Park Expansion: Land Acquisition, Infrastructure
• Smarter Sustainable Dubuque
• St. Mary's Church/School/Rectory Preservation: Involvement with Developer, Housing, City
Partnership Tax Credits/Grants
• Riverfront Lease Agreements
•Air Service Expansion: Advocacy
ENVIRONMENTAL/ECOLOGICAL INTEGRITY GOAL
• Clean Air Attainment Strategy: Draft Plan, EPA Approval
• Plastic Bag Reduction Strategy: Council Direction
• Smarter Discards: Direction
• Environmental and Sustainability Management System: ISO 15,000 Certification for Municipal
Services Center; Audit Completion
•America's River III Task Force: Funding Plan
• Green and Healthy Homes Initiative: Direction
• Iowa Economic Development Authority Community Energy Management M Program: Energy
Data Input and Training
A
• Community Climate Action and Resiliency Plan — 50% Green House Gas Reduction by 2030:
Implementation Update
• Fats/Oils/Grease (FOG) Program: Inspections
• Methane Gas Plan: Evaluation, Direction
SOCIAL/CULTURAL VIBRANCY GOAL
• City Life: Evaluation Report, Revised Version
• 3rd Grade Reading Program: New Grant, Reading Program in Summer Program Report
• Fair Housing: Impediments Analysis, Action Plan
• Police — Race Dialog: Evaluation Report, Future Direction
•Voluntary Compliance Agreement: Action Plan and Follow Up Reporting
• Surveillance Cameras: Network Design; Camera Installation; Construction Project
• Safe Community Initiative: Progress Report
• Racial Profiling: Problem Analysis, Action Plan, Evaluation Report, Meeting with "For the
People"
• Multicultural Family Center Building Expansion: Design, Construction
• Fair Housing Training (Annual)
• Intercultural Competency Program for Community: Marketing to School District, Non Profit and
Community Organizations, Businesses Train the Trainer (Annual); Ambassadors Network
quarterly; Senior High School Program Development
• Intercultural Competency Program within City Government: Recruitment and Retention,
Steering Committee
• Circles Program: Coordination
• Housing Choice Voucher Program (Section 8): Administrative Plan Submitted,
Application/Marketing Plan Implementation
PLANNED AND MANAGED GROWTH GOAL
• Central Avenue Corridor Plan: Assessment, Direction
• EPA Consent Decree Implementation: Inflow and Infiltration Program/Home Inspections
• Comprehensive Plan: Phase I Community Assessment; Phase II Community Input
• Flood Wall: Funding of Evaluation Study for Cell Protection
• Historic Preservation Program: Implementation of Annual Work Program
• Downtown Loan Program: Implementation
•Alliant Energy Plant Site: Council Decision on Acquisition
•West Third Street Reservoir Study
• Challenged Properties Acquisition: Funding, Direction
PARTNERING FOR A BETTER DUBUQUE GOAL
• Four Mounds Foundation/HEART Program City Support
• City Volunteers for Economic Opportunity Programs: Project Concern, Circles, Operation New
View, Workforce Development Intern Program
• Sister City Program: Visit to the City
• Bridges Out of Poverty Program: City Support
IMPROVED CONNECTIVITY: TRANSPORTATION AND TELECOMMUNICATIONS
• Smarter Transportation Program: Partnership with ECIA and IBM
• Traffic Signal Synchronization: Citywide, Connect with Fiber
• Marketing Air Service to Business Community: Financial Support
• East—West Corridor Study: Review
• Highway 20: 4 Laning Advocacy
• Historic Millwork District : Parking, acquisition, city funding
xii
FINANCIALLY RESPONSIBLE CITY GOVERNMENT AND HIGH PERFORMANCE
ORGANIZATION:
• Comprehensive Law Enforcement Software
• Healthcare Cost Containment: Agreement with Hospitals
• Emergency Police and Fire Dispatch Software/Training
• Disaster Preparedness and Recovery Plan: Update Evacuation Plan
• Hiring Freeze/Service Level: Direction
• City Facility Protocol and Safety
• Mobile Radio Units: Replacement
• Medic Unit: Purchase
• Effective On Line City Presence: Review, Strategy, Staffing, Guidelines
•Website Content Management (Civic Plus)
• Employee Involvement Team Engagement: Expansion
• Police Officers Recruitment and Retention
•Affordable Care Act: Analysis of Impacts, City Actions
• Records Management and Retention
• Succession Planning Process: Development
• Labor Negotiations and Contract: Police, Fire
Major Projects
ENVIRONMENTAL/ECOLOGICAL INTEGRITY GOAL
• E. B. Lyons Development
• State Revolving Fund (SRF) Green Alley Projects
• Bee Branch Project (Garfield to Comiskey)
PLANNED AND MANAGED GROWTH GOAL
• North Softening Basin Renovation Project
• Locust and Iowa Ramps: Renovation Project
PARTNERING FOR A BETTER DUBUQUE GOAL
• Miller Riverview Park
• Bunker Hill Golf Course Irrigation Improvements (1/2)
• Comiskey Park Improvements
• Northwest Arterial Trail — Bergfeld Recreation Trail Connection
IMPROVED CONNECTIVITY: TRANSPORTATION AND TELECOMMUNICATIONS
• Elm Street Reconstruction Project
• One Way— Two Way Conversion Project
•White Street Traffic Signal and Improvements Reconstruction (at 14th and 20th)
• US 20/1'remont Avenue Traffic Signal: Upgrades
•Wacker and JFK Traffic Signalization Project
•Wilbur Street Retaining Wall
• Intermodal Transportation Facility in Historic Millwork District
• North Cascade Road: Design, Property Acquisition
• Utility Extension Project to Airport: Easement, Design (11/14) Property Acquisition
• New Bus Facility (JULE)
•Airport Terminal Project
• Iowa 32 Bike/Hike Trail Phase 4
• Southwest Arterial Project: Design, Land Acquisition, Intersecting Road, Bridge
EXHIBIT C
xiii
STANDARD REQUIREMENTS
COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG) AGREEMENTS
TABLE OFCONTENTS
| GENERAL CONDITIONS
- -- - - -- - - - -- - - -- - - - -- - - - -- - - -- --1
A. General Compliance ............................................................................................................1
El Independent Contractor.......................................................................................................
C. Hold Harmless......................................................................................................................
D. Workers' Compensation.......................................................................................................
E. Insurance and Bonding ........................................................................................................1
F. Grantor Recognition.............................................................................................................
G. Amendments........................................................................................................................1
H. Suspension orTermination..................................................................................................2
|i ADMINISTRATIVE REQUIREMENTS
— -- — — -- — — — -- — — -- — — — -- — — — -- — --
A. Financial Management.........................................................................................................2
1 Accounting Standards...............................................................................................2
2. Cost Principles ..........................................................................................................2
El Documentation and Reuovdkee[ing.....................................................................................2
1 Records tobeMaintained .........................................................................................2
2. Retention...................................................................................................................2
3. Client Data..................................................................................................................3
4. Disclosure..................................................................................................................3
5. Closeouts...................................................................................................................3
0. 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
||| RELOCATION, PROPERTY ACQUISITION AND 0NE'F0R'0NEHOUSING REPLACEMENT
- -'4
|K PERSONNEL AND PARTICIPANT CONDITIONS
A. Civil Ck/i| Rights ...........................................................................................................................4
1 Compliance................................................................................................................4
:V
2. Nondiscrimination......................................................................................................5
3. Land Covenants........................................................................................................5
4. Section 504................................................................................................................5
B. Affirmative Action .................................................................................................................5
1. Approved Plan...........................................................................................................5
2. Women-Minority Businesses (W/MBE).....................................................................5
3. Access to Records ....................................................................................................6
4. Notifications...............................................................................................................6
5. Equal Employment Opportunity and Affirmative Action (EEO/AA) Statement..........6
6. Subcontract Provisions..............................................................................................6
C. Employment Restrictions .....................................................................................................6
1. Prohibited Activity......................................................................................................6
2. Labor Standards........................................................................................................6
3. "Section 3" Clause.....................................................................................................7
a. Compliance.....................................................................................................7
b. Notifications....................................................................................................7
C. Subcontracts...................................................................................................8
D. Conduct................................................................................................................................8
1. Assignability...............................................................................................................8
2. Hatch Act...................................................................................................................8
3. Conflict of Interest .....................................................................................................8
4. Subcontracts..............................................................................................................8
a. Approvals........................................................................................................8
b. Monitoring.......................................................................................................8
Content...........................................................................................................8
d. Selection Process...........................................................................................8
5. Lobbying....................................................................................................................9
6. Copyright...................................................................................................................9
7 Religious Organization..............................................................................................9
V. ENVIRONMENTAL CONDITIONS
... ...... ... ... ...... ... ... ... ...... ... ... ...... ... ... ... ...... ... ... ... ...... ... ....9
A. Air and Water.......................................................................................................................9
B. Flood Disaster Protection.....................................................................................................9
C. Lead Based Paint...............................................................................................................10
D. Historic reservation
... ... ...... ... ... ... ...... ... ... ... ...... ... ... ...... ... ... ...... ... .......... .............10
VI.
SEVERABILITY.................................................................................................
.........10
VII SECTION HEADINGS AND
SUBHEADS.........................................................................10
VIII
WAIVER..........................................................................................................
..........10
IX ENTIRE
AGREEMENT................................................................................................10
xv
EXHIBIT C
STANDARD REQUIREMENTS
COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG) AGREEMENTS
I. GENERAL CONDITIONS
A. General Compliance
The Subrecipient agrees to comply with the requirements of Title 24 Code of
Federal Regulations, Part 570 of the Housing and Urban Development
regulations concerning Community Development Block Grants (CDBG)
including subpart K of these regulations, except that (1) the Subrecipient does
not assume the recipient's environmental responsibilities described in 24 CFR
570.604 and (2) the Subrecipient does not assume the recipient's responsibility
for initiating the review process under the provisions of 24 CFR Part 52. The
Subrecipient further agrees to utilize funds available under this Agreement to
supplement rather than supplant funds otherwise available. The Subrecipient
agrees to comply with all applicable federal, state and local laws and
regulations governing the funds provided under this contract.
B. Independent Contractor
Nothing contained in this Agreement is intended to, or shall be construed in any
manner, as creating or establishing the relationship of employer/employee
between the parties. The Subrecipient shall at all times remain an independent
contractor with respect to the services to be performed under this Agreement.
The Recipient shall be exempt from payment of all Unemployment
Compensation, FICA, retirement, life and/or medical insurance and Workers'
Compensation Insurance as the Subrecipient is an independent contractor.
C. Hold Harmless
The Subrecipient shall hold harmless, defend and indemnify the Recipient from
any and all claims, actions, suits, charges and judgments whatsoever that arise
out of the Subrecipient's performance or nonperformance of the services or
subject matter called for in this Agreement.
D. Workers' Compensation
16
The Subrecipient shall provide Workers' Compensation Insurance coverage for
all employees involved in the performance of this contract.
E. Insurance and Bonding
The Subrecipient shall maintain insurance to the extent and against such
hazards and liabilities as are in keeping with the current insurance program of
Recipient.
The Subrecipient shall comply with the bonding and insurance requirements of
24 CFR 84.31 and 84.48, Bonding and Insurance.
F. Grantor Recognition
The Subrecipient shall insure recognition of the role of the Recipient in
providing services through the agreement. All activities, facilities and items
utilized pursuant to this contract shall be prominently labeled as to funding
source. In addition, the Subrecipient will include a reference to the support
provided herein in all publications made possible with funds available under
this contract.
G. Amendments
Recipient or subrecipient may amend this Agreement at any time provided that
such amendments make specific reference to this Agreement, and are
executed in writing, signed by a duly authorized representative of both
organizations and approved by the Recipient's governing body. Such
amendments shall not invalidate this Agreement, nor relieve or release
Recipient or Subrecipient from its obligations under this Agreement.
Recipient may, in its discretion, amend this Agreement to conform with federal,
state or local governmental guidelines, policies and available funding amounts,
or for other reasons. If such amendments result in a change in the funding, the
scope of services, or schedule of, the activities to be undertaken as part of this
Agreement, such modifications will be incorporated only by written amendment
signed by both Recipient and Subrecipient.
17
H. Suspension or Termination
In accordance with 24 CFR 85.43, the Recipient may suspend or terminate this
Agreement if the Subrecipient materially fails to comply with any terms of this
Agreement, which include (but are not limited to) the following: 1) Failure to comply
with any of the rules, regulations or provisions referred to herein, or such statutes,
regulations, executive orders, and HUD guidelines, policies or directives as may
become applicable at any time, 2) Failure, for any reason, of the Subrecipient to fulfill
in a timely and proper manner its obligations under this Agreement, 3) Ineffective or
improper use of funds provided under this Agreement, or 4) Submission by the
Subrecipient to the Recipient reports that are incorrect or incomplete in any material
respect.
In accordance with 24 CFR 85.44, this Agreement may also be terminated for
convenience by either the Recipient or the Subrecipient, in whole or in part, by setting
forth the reasons for such termination, the effective date, and, in the case of partial
termination, the portion to be terminated. However, if in the case of a partial
termination, the Recipient determines that the remaining portion of the award will not
accomplish the purpose for which the award was made, the Recipient may terminate
the award in its entirety.
II. ADMINISTRATIVE REQUIREMENTS
A. Financial Management
1. Accounting Standards
The Subrecipient agrees to comply with 24 CFR 84.21-28 and agrees to
adhere to the accounting principles and procedures required therein,
utilize adequate internal controls, and maintain necessary source
documentation for all costs incurred.
2. Cost Principles
The Subrecipient shall administer its program in conformance with OMB
Super Circular A-122 , "Cost Principles for Nonprofit Organizations" or A-
21, "Cost Principles for Educational Institutions" as applicable. These
principles shall be applied for all costs incurred whether charged on a
direct or indirect basis.
B. Documentation and Record Keeping
1. Records to be Maintained
The Subrecipient shall maintain all records required by the federal
regulations specified in 24 CFR Part 570.506 that are pertinent to the
18
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 determining the eligibility of activities;
d. Records required to document the acquisition, improvement, use
or disposition of real property acquired or improved with CDBG
assistance,
e. Records documenting compliance with the fair housing and equal
opportunity components of the CDBG program, and
f. Financial records as required by 24 CFR Part 570.502, and 24
CFR 84.21-28: and
g. Other records necessary to document compliance with Subpart K
of 24 CFR 570.
2. Retention
The Subrecipient shall retain all financial records, supporting documents,
statistical records, and all other records pertinent to the Agreement for a period
of five (5) years. The retention period begins on the date of the submission of the
Recipient's annual performance and evaluation report to HUD in which the
activities assisted under the Agreement are reported on for the final time.
Notwithstanding the above, if there is litigation, claims, audits, negotiations or
other actions that involve any of the records cited and that have started before
the expiration of the four-year period, then such records must be retained until
completion of the actions and resolution of all issues, or the expiration of the
four-year period, whichever occurs later.
3. Client Data
The Subrecipient shall maintain client data demonstrating client eligibility
for services provided. Such data shall include, but not be limited to client
name, address, income level or other basis for determining eligibility, and
description of services provided. Such information shall be made
available to Recipient monitors or their designees for review upon
request.
19
4. Disclosure
The Subrecipient understands that client information collected under this
contract is private and the use or disclosure of such information, when
not directly connected with the administration of the Recipient's or
Subrecipient's responsibilities with respect to services provided under
this contract, is prohibited by law unless written consent is obtained from
such person receiving service and, in the case of a minor, that of a
responsible parent/guardian.
5. Closeouts
Subrecipient obligation to the Recipient shall not end until all closeout
requirements are completed. Activities during this closeout period shall
include, but are not limited to, making final payments, disposing of
program assets (including the return of all unused materials, equipment,
unspent cash advances, program income balances, and accounts
receivable to the Recipient), and determining the custodianship of
records. 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.
6. Audits and Inspections
All Subrecipient records with respect to any matters covered by this Agreement
shall be made available to the Recipient, grantor agency, and the Comptroller
General of the United States or any of their authorized representatives, at any
time during normal business hours, as often as deemed necessary, to audit,
examine, and make excerpts or transcripts of all relevant data. Any deficiencies
noted in audit reports must be fully cleared by the Subrecipient within 30 days
after receipt by the Subrecipient. Failure of the Subrecipient to comply with the
above audit requirements will constitute a violation of this contract and may
result in the withholding of future payments. The Subrecipient hereby agrees to
have an annual agency audit conducted in accordance with current Recipient
policy concerning subrecipient audits and OMB Super Circular A-133
C. Reporting and Payment Procedures
1. Program Income
The Subrecipient shall report quarterly all program income (as defined at 24 CFR
570.500(a)) generated by activities carried out with CDBG funds made available
under this contract. The use of program income by the Subrecipient shall comply
with the requirements set forth at 24 CFR 570.504. By way of further limitations,
20
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 Recipient at the end of the contract
period. Any interest earned on cash advances from the U.S. Treasury and from
funds held in a revolving fund account is not program income and shall be
remitted promptly to the Recipient.
2. Payment Procedures
The Recipient will pay to the Subrecipient funds available under this
agreement based upon information submitted by the Subrecipient and
consistent with any approved budget and Recipient policy concerning
payments. With the exception of certain advances, payments will be
made for eligible expenses actually incurred by the Subrecipient, and not
to exceed actual cash requirements. Payments will be adjusted by the
Recipient in accordance with advance fund and program income
balances available in Subrecipient accounts. In addition, the Recipient
reserves the right to liquidate funds available under this contract for costs
incurred by the Recipient on behalf of the Subrecipient.
3. Indirect Costs
If indirect costs are charged, the Subrecipient will develop an indirect
cost allocation plan for determining the appropriate Subrecipient's share
of administrative costs and shall submit such plan to the Recipient for
approval, in a form specified by the Recipient.
4. Progress Reports
The Subrecipient shall submit quarterly Activity Progress Reports to the
Recipient in the form and content as required by the Recipient.
D. Procurement
1. Compliance
The Subrecipient shall comply with current Recipient policy concerning
the purchase of equipment and shall maintain inventory records of all
nonexpendable personal property as defined by such policy as may be
procured with funds provided herein. All program assets (unexpended
21
program income, property, equipment, etc.) shall revert to the Recipient
upon termination of this Agreement.
2. OMB Standards
Unless specified otherwise within this agreement, the Subrecipient shall procure
all materials, property, or services in accordance with the requirements of 24
CFR 84.40-48.
3. Travel
The Subrecipient shall obtain written approval from the Recipient for any
travel outside the metropolitan area to be paid for with funds provided
under this contract.
E. Use and Reversion of Assets
The use and disposition of real property and equipment under this Agreement
shall be in compliance with the requirements of 24 CFR Part 84 and 24 CFR
570.502, 570.503, and 570.504, as applicable, which include but are not limited
to the following:
1. The Subrecipient shall transfer to the Recipient any CDBG funds on hand and
any accounts receivable attributable to the use of funds under this Agreement at
the time of expiration, cancellation, or termination.
2. Real property under the Subrecipient's control that was acquired or improved,
in whole or in part, with funds under this Agreement in excess of $25,000 shall
be used to meet one of the CDBG National Objectives pursuant to 24 CFR
570.208 until five (5) years after expiration of this Agreement. If the Subrecipient
fails to use CDBG-assisted real property in a manner that meets a CDBG
National Objective for the prescribed period of time, the Subrecipient shall pay
the Recipient an amount equal to the current fair market value of the property
less any portion of the value attributable to expenditures of non-CDBG funds for
acquisition of, or improvement to, the property. Such payment shall constitute
program income to the Recipient. The Subrecipient may retain real property
acquired or improved under this Agreement after the expiration of the five-year
period.
3. In all cases in which equipment acquired, in whole or in part, with funds under
this Agreement is sold, the proceeds shall be program income (prorated to
reflect the extent to that funds received under this Agreement were used to
acquire the equipment). Equipment not needed by the Subrecipient for activities
under this Agreement shall be (a) transferred to the Recipient for the CDBG
program or (b) retained after compensating the Recipient [an amount equal to
the current fair market value of the equipment less the percentage of non-CDBG
funds used to acquire the equipment].
III. RELOCATION, PROPERTY ACQUISITION AND ONE-FOR-ONE HOUSING
REPLACEMETN
22
The Subrecipient agrees to comply with (a) the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970, as amended (URA), and
implementing regulations at 49 CFR Part 24 and 24 CFR 570.606(b), (b) the
requirements of 24 CFR 570.606(c) governing the Residential Anti-
displacement and Relocation Assistance Plan under section 104(d) of the HCD
Act, and (c) the requirements in 24 CFR 570.606(d) governing optional
relocation policies. The Subrecipient shall provide relocation assistance to
displaced persons as defined by 24 CFR 570.606(b) (2) that are displaced as a
direct result of acquisition, rehabilitation, demolition or conversion for a CDBG-
assisted project. The Subrecipient also agrees to comply with applicable
Recipient ordinances, resolutions and policies concerning the displacement of
persons from their residences.
IV. PERSONNEL AND PARTICIPANT CONDITIONS
A. Civil Rights
1. Compliance
The Subrecipient agrees to comply all federal, state and local regulations in
effect as of the date of this Agreement as they apply to federally assisted
programs and activities of the Department of Housing and Urban Development
and with Title VI of the Civil Rights Act of 1964 as amended, Title VIII of the
Civil Rights Act of 1968 as amended, Section 104(b) and Section 109 of Title I
of the Housing and Community Development Act of 1974 as amended, Section
504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of
1990, the Age Discrimination Act of 1975, Executive Order 11063, and
Executive Order 11246 as amended by Executive Orders 11375, 11478, 12107
and 12086.
2. Nondiscrimination
The Subrecipient agrees to comply with the non-discrimination in employment
and contracting opportunities laws, regulations, and executive orders
referenced in 24 CFR 570.607, as revised by Executive Order 13279. The
applicable non-discrimination provisions in Section 109 of the HCDA are still
applicable.
3. Land Covenants
This contract is subject to the requirements of Title VI of the Civil Rights Act of
1964 (P. L. 88-352) and 24 CFR 570.601 and 570.602. In regard to the sale,
lease, or other transfer of land acquired, cleared or improved with assistance
provided under this contract, the Subrecipient shall cause or require a covenant
running with the land to be inserted in the deed or lease for such transfer,
prohibiting discrimination as herein defined, in the sale, lease or rental, or in the
use or occupancy of such land, or in any improvements erected or to be erected
thereon, providing that the Recipient and the United States are beneficiaries of
and entitled to enforce such covenants. The Subrecipient, in undertaking its
obligation to carry out the program assisted hereunder, agrees to take such
measures as are necessary to enforce such covenant, and will not itself so
discriminate.
23
4. Section 504
The Subrecipient agrees to comply with all Federal regulations issued pursuant
to compliance with Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794),
which prohibits discrimination against the individuals with disabilities or
handicaps in any Federally assisted program. The Recipient shall provide the
Subrecipient with any guidelines necessary for compliance with that portion of
the regulations in force during the term of this Agreement.
B. Affirmative Action
1. Approved Plan
The Subrecipient agrees that it shall be committed to carry out pursuant to the
Recipient's specifications an Affirmative Action Program in keeping with the
principles as provided in President's Executive Order 11246 of September 24,
1966. The Recipient shall provide Affirmative Action guidelines to the
Subrecipient to assist in the formulation of such program. The Subrecipient shall
submit a plan for an Affirmative Action Program for approval prior to the award of
funds.
2. Women-Minority-Owned Businesses (W/MBE)
The Subrecipient will use its best efforts to afford small businesses, minority
business enterprises, and women's business enterprises the maximum
practicable opportunity to participate in the performance of this contract. As used
in this contract, the terms "small business" means a business that meets the
criteria set forth in section 3(a) of the Small Business Act, as amended (15
U.S.C. 632), and "minority and women's business enterprise" means a business
at least fifty-one (51) percent owned and controlled by minority group members
or women. For the purpose of this definition, "minority group members" are Afro-
Americans, Spanish-speaking, Spanish surnamed or Spanish-heritage
Americans, Asian-Americans, and American Indians. The Subrecipient may rely
on written representations by businesses regarding their status as minority and
female business enterprises in lieu of an independent investigation.
3. Access to Records
The Subrecipient shall furnish and cause each of its own subrecipients or
subcontractors to furnish all information and reports required hereunder
and will permit access to its books, records and accounts by the
Recipient, HUD or its agent, or other authorized Federal officials for
purposes of investigation to ascertain compliance with the rules,
regulations and provisions stated herein.
4. Notifications
24
The Subrecipient will send to each labor union or representative of
workers with which it has a collective bargaining agreement or other
contract or understanding, a notice, to be provided by the agency
contracting officer, advising the labor union or worker's representative of
the Subrecipient's commitments hereunder, and shall post copies in
conspicuous places available to employees and applicants for
employment.
5. Equal Employment Opportunity and Affirmative Action (EEO/AA)
Statement
The Subrecipient will, in all solicitations or advertisements for employees
placed by or on behalf of the Subrecipient, state that it is an Equal
Opportunity or Affirmative Action employer.
6. Subcontract Provisions
The Subrecipient will include the provisions of Paragraphs X A, Civil
Rights, and B, Affirmative Action, in every subcontract or purchase order,
specifically or by reference, so that such provisions will be binding upon
each of its own subrecipients or subcontractors.
C. Employment Restrictions
1. Prohibited Activity
The Subrecipient is prohibited from using funds provided herein or
personnel employed in the administration of the program for political
activities; inherently religious activities; lobbying, political patronage, and
nepotism activities.
2. Labor Standards
The Subrecipient agrees to comply with the requirements of the Secretary of
Labor in accordance with the Davis-Bacon Act as amended, the provisions of
Contract Work Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and all
other applicable Federal, state and local laws and regulations pertaining to
labor standards insofar as those acts apply to the performance of this
Agreement. The Subrecipient agrees to comply with the Copeland Anti-Kick
Back Act (18 U.S.C. 874 et seq.) and its implementing regulations of the U.S.
Department of Labor at 29 CFR Part 5. The Subrecipient shall maintain
documentation that demonstrates compliance with hour and wage requirements
25
of this part. Such documentation shall be made available to the Recipient for
review upon request.
The Subrecipient agrees that, except with respect to the rehabilitation or
construction of residential property containing less than eight (8) units, all
contractors engaged under contracts in excess of $2,000.00 for construction,
renovation or repair work financed in whole or in part with assistance provided
under this contract, shall comply with Federal requirements adopted by the
Recipient pertaining to such contracts and with the applicable requirements of
the regulations of the Department of Labor, under 29 CFR Parts 1, 3, 5 and 7
governing the payment of wages and ratio of apprentices and trainees to
journey workers, provided that, if wage rates higher than those required under
the regulations are imposed by state or local law, nothing hereunder is intended
to relieve the Subrecipient of its obligation, if any, to require payment of the
higher wage. The Subrecipient shall cause or require to be inserted in full, in all
such contracts subject to such regulations, provisions meeting the requirements
of this paragraph.
3. "Section 3" Clause
a. Compliance
Compliance with the provisions of Section 3 of the HUD Act of 1968, as
amended, and as implemented by the regulations set forth in 24 CFR
135, and all applicable rules and orders issued hereunder prior to the
execution of this contract, shall be a condition of the Federal financial
assistance provided under this contract and binding upon the Recipient,
the Subrecipient and any of the Subrecipient's subrecipients and
subcontractors. Failure to fulfill these requirements shall subject the
Recipient, the Subrecipient and any of the Subrecipient's subrecipients
and subcontractors, their successors and assigns, to those sanctions
specified by the Agreement through which Federal assistance is provided.
The Subrecipient certifies and agrees that no contractual or other
disability exists that would prevent compliance with these requirements.
The Subrecipient further agrees to comply with these "Section 3"
requirements and to include the following language in all subcontracts
executed under this Agreement:
"The work to be performed under this Agreement is a project
assisted under a program providing direct Federal financial
assistance from HUD and is subject to the requirements of
Section 3 of the Housing and Urban Development Act of 1968,
as amended (12 U.S.C. 1701). Section 3 requires that to the
greatest extent feasible opportunities for training and
employment be given to low- and very low-income residents of
the project area, and that contracts for work in connection with
the project be awarded to business concerns that provide
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
26
construction, or other public construction project are given to low- and
very low-income persons residing within the metropolitan area in which
the CDBG-funded project is located, where feasible, priority should be
given to low- and very low-income persons within the service area of the
project or the neighborhood in which the project is located, and to low-
and very low-income participants in other HUD programs, and award
contracts for work undertaken in connection with a housing rehabilitation
(including reduction and abatement of lead-based paint hazards), housing
construction, or other public construction project to business concerns
that provide economic opportunities for low- and very low-income persons
residing within the metropolitan area in which the CDBG-funded project is
located, where feasible, priority should be given to business concerns that
provide economic opportunities to low- and very low-income residents
within the service area or the neighborhood in which the project is
located, and to low- and very low-income participants in other HUD
programs.
The Subrecipient certifies and agrees that no contractual or other legal
incapacity exists that would prevent compliance with these requirements.
b. Notifications
The Subrecipient agrees to send to each labor organization or
representative of workers with which it has a collective bargaining
agreement or other contract or understanding, if any, a notice
advising said labor organization or worker's representative of its
commitments under this Section 3 clause and shall post copies of
the notice in conspicuous places available to employees and
applicants for employment or training.
C. Subcontracts
The Subrecipient will include this Section 3 clause in every
subcontract and will take appropriate action pursuant to the
subcontract upon a finding that the subcontractor is in violation of
regulations issued by the Recipient. The Subrecipient will not
subcontract with any entity where is has notice or knowledge that
the latter has been found in violation of regulations under 24 CFR
135 and will not let any subcontract unless the entity has first
provided it with a preliminary statement of ability to comply with the
requirements of these regulations.
D. Conduct
27
1. Assignability
The Subrecipient shall not assign or transfer any interest in this contract
without the prior written consent of the Recipient thereto; provided,
however, that claims for money due or to become due to the
Subrecipient from the Recipient under this contract may be assigned to a
bank, trust company or other financial institution without such approval.
Notice of any such assignment or transfer shall be furnished promptly to
the Recipient.
2. Hatch Act
The Subrecipient agrees that no funds provided, nor personnel employed
under this contract, shall be in any way or to any extent engaged in the
conduct of political activities in violation of Chapter 15 of Title V United
States Code.
3. Conflict of Interest
The Subrecipient agrees to abide by the provisions of 24 CFR 84.42 and
570.611, which include (but are not limited to) the following:
a. The Subrecipient shall maintain a written code or standards of conduct that
shall govern the performance of its officers, employees or agents engaged
in the award and administration of contracts supported by Federal funds.
b. No employee, officer or agent of the Subrecipient shall participate in the
selection, or in the award, or administration of, a contract supported by
Federal funds if a conflict of interest, real or apparent, would be involved.
c. No covered persons who exercise or have exercised any functions or
responsibilities with respect to CDBG-assisted activities, or who are in a
position to participate in a decision-making process or gain inside
information with regard to such activities, may obtain a financial interest in
any contract, or have a financial interest in any contract, subcontract, or
agreement with respect to the CDBG-assisted activity, or with respect to
the proceeds from the CDBG-assisted activity, either for themselves or
those with whom they have business or immediate family ties, during their
tenure or for a period of one (1) year thereafter. For purposes of this
paragraph, a 'covered person" includes any person who is an employee,
agent, consultant, officer, or elected or appointed official of the Recipient,
the Subrecipient, or any designated public agency.
4. Subcontracts
a. Approvals
The Subrecipient shall not enter into any subcontracts with any
agency or individual in the performance of this contract without the
28
written consent of the Recipient prior to the execution of such
agreement.
b. Monitoring
The Subrecipient will monitor all subcontracted services on a
regular basis to assure contract compliance. Results of monitoring
efforts shall be summarized in written reports and supported with
documented evidence of follow up actions taken to correct areas of
noncompliance.
C. Content
The Subrecipient shall cause all of the provisions of this contract in
its entirety to be included in and made a part of any subcontract
executed in the performance of this agreement.
d. Selection Process
The Subrecipient shall undertake to insure that all subcontracts let
in the performance of this agreement shall be awarded on a fair
and open competition basis in accordance with applicable
procurement requirements. Executed copies of all subcontracts
shall be forwarded to the Recipient along with documentation
concerning the selection process.
5. Lobbying
The Subrecipient hereby certifies that:
a. No Federal appropriated funds have been paid or will be paid, by or
on behalf of it, to any person for influencing or attempting to influence
an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal contract,
the making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement,
b. If any funds other than Federal appropriated funds have been paid or
will be paid to any person for influencing or attempting to influence an
officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress
29
in connection with this Federal contract, grant, loan, or cooperative
agreement, it will complete and submit Standard Form-LLL,
"Disclosure Form to Report Lobbying," in accordance with its
instructions, and
C. It will require that the language of paragraph (d) of this certification be
included in the award documents for all subawards at all tiers
(including subcontracts, subgrants, and contracts under grants, loans,
and cooperative agreements) and that all Subrecipients shall certify
and disclose accordingly:
d. Lobbying Certification_
This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or entering
into this transaction imposed by section 1352, title 31, U.S.C. Any
person who fails to file the required certification shall be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for
each such failure.
6. Copyright
If this contract results in any copyrightable material or inventions, the Recipient
and/or grantor agency reserves the right to royalty-free, non-exclusive and
irrevocable license to reproduce, publish or otherwise use and to authorize
others to use, the work or materials for governmental purposes.
5. Religious Organization
The Subrecipient agrees that funds provided under this Agreement will not be
utilized for inherently religious activities prohibited by 24 CFR 570.200(j), such
as worship, religious instruction, or prose lytization.
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.
30
B. Flood Disaster Protection
In accordance with the requirements of the Flood Disaster Protection Act of 1973 (42
U.S.C. 4001), the Subrecipient shall assure that for activities located in an area
identified by the Federal Emergency Management Agency (FEMA) as having special
flood hazards, flood insurance under the National Flood Insurance Program is obtained
and maintained as a condition of financial assistance for acquisition or construction
purposes (including rehabilitation).
C. Lead Based Paint
The Subrecipient agrees that any construction or rehabilitation of residential
structures with assistance provided under this contract shall be subject to HUD
Lead Based Paint Regulations at 24 CFR 570.608, and 24 CFR Part 35
subpart B. Such regulations pertain to all CDBG assisted housing and require
that all owners, prospective owners, and tenants or properties constructed prior
to 1978 be properly notified that such properties may include lead based paint.
Such notification shall point out the hazards of lead based paint and explain the
symptoms, treatment and precautions that should be taken when dealing with
lead based paint poisoning and the advisability and availability of blood lead
level screening for children under seven. The notice should also point out that
if lead-based paint is found on the property, abatement measures may be
undertaken. The regulations further require that, depending on the amount of
Federal funds applied to a property, paint testing, risk assessment, treatment
and/or abatement may be conducted.
D. Historic Preservation
The Subrecipient agrees to comply with the Historic Preservation requirements
set forth in the National Historic Preservation Act of 1966, as amended (16
U.S.C. 470) and the procedures set forth in 36 CFR, Part 800, Advisory Council
on Historic Preservation Procedures for Protection of Historic Properties,
insofar as they apply to the performance of this contract.
In general, this requires concurrence from the State Historic Preservation
Officer for all rehabilitation and demolition of historic properties that are fifty
years old or older or that are included on a federal, state or local historic
property list.
VI. SEVERABILITY
31
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 agreemen_t 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 Super Circular A-87 would
apply.
32
Exhibit D
CITY OF DUBUQUE, IOWA
INCOME GUIDELINES FOR
FINANCIAL ASSISTANCE
Income limits are defined and occasionally revised by the U.S. Department of Housing and
Urban Development's estimated median family income.
A low income person or family has a total income which falls between the fifty (50) percent
and eighty (80) percent median for the area, adjusted for size.
A very low income person, family, or household has a total income which falls between thirty
(30) and fifty (50) percent of the median income, adjusted for size, of the metropolitan area.
A 30% median income person, family or household has a total income which is between 0
and thirty (30) percent of the median income, adjusted for size, of the metropolitan area.
The maximum income limits as of March 6, 2015 for the Dubuque Metropolitan Area are as
follows:
Maximum Annual Income
1 2 3 4 5 6 7 8
Person Person Person Person Person Person Person Person
30% Limits 13900 15850 17850 19800 21400 23000 24600 26150
33
Very Low
Income 23100 26400 29700 33000 35650 38300 40950 43600
60% Limits 27720 31680 35640 39600 42780 45960 49140 52320
Low Income 37000 42250 47550 52800 57050 61250 65500 69700
F:\USERS\CDBG\CDBG\CDBG Contracts\Almost Home at St.John's\FV16 Almost Home agrmt.doc
34