Contracted Services Agreement - Hills and Dales Senior Center Lifetime Program Copyright 2014
City of Dubuque Consent Items # 24.
ITEM TITLE: Contracted Services Agreement- Hills and Dales Senior
Center Lifetime Program
SUMMARY: City Manager recommending approval of the Contracted
Service Agreement with Hills and Dales Senior Center
Lifetime Program for Fiscal Year 2017.
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Approve
ATTACHMENTS:
Description Type
Hills and Dales Senior Center Contracted Service City Manager Memo
Agreement-MVM Memo
Staff Memo Staff Memo
Contract 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: Contracted Service Agreement — FY 17
Hills and Dales Senior Center Lifetime Program
DATE: June 10, 2016
Housing and Community Development Department Director Alvin Nash recommends
City Council approval of the Contracted Service Agreement with Hills and Dales Senior
Center Lifetime Program.
The adopted Fiscal Year 2017 City Community Development Block Grant Annual Action
Plan provides for the payment of $18,200 to the Hills and Dales Senior Center Lifetime
Program to provide educational, recreational and social programs to senior citizens at
3505 Stoneman Road.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Alvin Nash, Housing & Community Development Department Director
THE CITY OF Dubuque
AII-America City
DUBgkE 1
Masterpiece on the Mississippi 2007-2012-2013
TO: Michael C. Van Milligen, City Manager
FROM: Alvin Nash, Housing and Community Development Department
SUBJECT. Contracted Service Agreement — FY17
Hills and Dales Senior Center Lifetime Program
DATE: June 9, 2016
The adopted Fiscal Year 2017 City Community Development Block Grant (CDBG)
Annual Action Plan provides for the payment of $18,200 for the Hills and Dales Senior
Center Lifetime Program. This program provides educational, recreational and social
programs to senior citizens at 3505 Stoneman Road. The agreement includes
reference to the City Councils goals and priorities.
RECOMMENDATION
It is recommended that the City Council approve the attached Contracted Service
Agreement with Hills and Dales for the Senior Center Lifetime Program, and authorize
the Mayor to execute the contract on behalf of the City when the HUD CDBG funding
agreement has been authorized.
F:\USERS\CDBG\CDBG\CDBG Contracts\Hills&Dales LifeTime Center\2017TY17 CDBG Hills Dales Sen Cntr MVM memo.doc
CITY OF DUBUQUE, IOWA
AND
HILLS AND DALES
FY 2017 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) Agreement
THIS AGREEMENT, executed on theday of 2016 is entered into by
and between the City of Dubuque, Iowa, a munic •al cor•oration organized and existing
under the laws of the State of Iowa (Recipient) and Hill and Dales, with its principal
place of business in Dubuque, Iowa (Subrecipient).
Whereas, Recipient is a participating city in the Community Development Block
Grant (CDBG) Program of the United States Department of Housing and Urban
Development; and
Whereas, Recipient wishes to engage Subrecipient to assist Recipient in
providing services to low -and moderate- income persons.
NOW THEREFORE, in consideration of the premises and respective covenants,
agreements and representations hereinafter set forth, the parties agree as follows:
I. SCOPE OF SERVICES:
Subrecipient shall:
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 the Hills
and Dales Lifetime program to provide educational, recreational
and social programs to elderly persons.
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. The 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,
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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 (elderly persons) who are generally presumed to be
principally low -moderate income persons; and requires reporting
information on ethnic origin, elderly 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 $18,200 for the program as
described in Section 1.
Any indirect costs charged must be consistent with the conditions of
Section II (C) (3) of the attached Exhibit 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. The
Recipient and 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, 2016 and shall be completed not later than June 30, 2017.
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 and Income Guidelines in Exhibit D
herein attached and a part of this agreement.
VII. Payment
a. It is expressly agreed and understood that the total amount to be
paid by Recipient to Subrecipient under this Agreement shall not
exceed the amount stated in Section III of this Agreement. Such
amount shall constitute complete compensation for all services to
be rendered, including expenses for the operation of the physical
structure and the cost in providing staff to deliver homeless
services. Such amount shall be paid upon written request on the
Request for Payment form, with proof satisfactory to the recipient of
expenses. Drawdowns for payment of eligible expenses are
reimbursement only.
b. Payment shall be supported by documentation provided by
Subrecipient of costs incurred for services provided pursuant to this
Agreement.
c. Payments are be contingent upon certification of Subrecipient's
financial management system in accordance with the standards
specified in OMB Super 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 to Recipient copies of Subrecipient's insurance certificates
showing general liability, automobile liability, and workers compensation
insurance coverage to the satisfaction of Recipient for the term of this
Agreement.
IX. Reporting and Monitoring.
Subrecipient shall render to Recipient a quarterly written report detailing
its activities, number of persons provide emergency shelter. Quarterly
reports shall be submitted no later than the 15th of the month in October,
January, April and July.
Subrecipient shall submit a measurable performance outcome for the
funded activity when submitting the quarterly report, as follows:
The program shall provide homeless persons with access to affordable
housing, in the form of emergency shelter, which assist in providing
decent affordable housing to low and moderate income populations.
Subrecipient shall be subject to at least one site visit by personnel of
Recipient, or a designee of Recipient or duly authorized federal officials,
for the purpose of monitoring Subrecipient's delivery of services and
compliance with terms of the agreement and federal standards that
pertain to federally funded grant activities. Income verification of the
participants as provided on the Participant Report, if applicable, shall be
provided for review at the time of monitoring. Review may include
accounting books and records for financial management and
documentation of program costs. The reviewers shall have access to and
the right to examine, audit, excerpt and /or transcribe any of
Subrecipient's records pertaining to all matters covered by this
Agreement. Subrecipient shall be subject to subsequent site visits to
review correction of any deficiencies in compliance.
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Recipient shall monitor the performance of Subrecipient against goals and
performance standards required herein. Substandard performance as
determined by Recipient shall constitute noncompliance with this
agreement. If action to correct such substandard performance is not
taken by Subrecipient within a reasonable period of time after being
notified by Recipient, contract suspension or termination procedures shall
be initiated
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. Notices
Communication and details concerning this Agreement shall be directed
to the following agreement representatives:
XII.
Recipient
Community Development Specialist
Housing and Community Development
350 West 6th Street Suite 312
Dubuque, Iowa 52001
Subrecipient
Marilyn Althoff
Hills and Dales
1011 Davis
Dubuque, IA 52001
Assignability
Agency shall not assign this Agreement or any interest in this Agreement
without prior written approval of City.
IN WITNESS WHEREOF, the parties have executed this contract with the referenced
attachment Exhibit A, B, C and D as of the date first written above.
Witness:
„Or A,
Kevin Firnstahl, City Cork Roy D. B
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Hills and Dales
Marilyn Althoff, Executive Director
EXHIBIT A
Dubuque
THE CITY of AMmedca City S U S T A I N A B L E
DUB &TE I I L DUBUQUE
viable linable equitable
Masterpiece on the Mississippi
2007 •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 Dubuque 2030 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 city government and citizens getting
services and value for their tax dollar.
Five-Year Community Goals for a Sustainable Dubuque
-Economic Prosperity
-Environmental Integrity
-Social/Cultural Vibrancy
Five-Year City Goals
-Planned and Managed Growth
-Partnering for a Better Dubuque
-Improved Connectivity: Transportation and Telecommunications
Five-Year Organizational Goal
-Financially Responsible City Government and High Performance Organization
2015 — 2017 Top Priorities (in alphabetical order):
1) East-West Corridor Study Implementation
City Goal: Improved Connectivity
Key Issues:
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• Property acquisition
• Environmental assessment
• Funding for design and construction of roundabouts
2015-2017 Actions:
• Complete preliminary design and identify property acquisition parameters
• Maintain corridor preservation ordinance
• Development of a plan including prioritization of locations and capital improvement
funding options
2) Environmental Stewardship Commission (Community Resiliency Commission)
Community Goal: Environmental/Ecological Integrity
Key Issues:
• Purpose and role of commission
• Determine process for community engagement, size and diverse representation of
community
• Staff support and funding
2015-2017 Actions:
• City Council approval of process to transition to new commission format
• Comprehensive community engagement effort to define purpose and role of
commission and to recruit candidates
3) Historic Millwork District Parking (470 spaces)
City Goal: Improved Connectivity
Key Issues:
• Land acquisition
• Funding
2015-2017 Actions:
• Opening of new intermodal facility
• Property acquisition for construction of surface parking lots
• Funding strategy for design and construction of surface parking lots
4) Inclusive Dubuque Action Plan
Community Goal: Social/Cultural Vibrancy
Key Issues:
• Community engagement process on development of action plan for priority areas
• City role as a partner in implementation of action plan
2015-2017 Actions:
• Completion and analysis of Equity Profile assessment
• Development and implementation of Equity Profile Action Plan
• Quarterly reporting on implementation of Action Plan
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5) Street Maintenance Program
City Goal: Improved Connectivity
Key Issues:
• Evaluate existing service level targets
• Funding to restore or expand service level targets
2015-2017 Actions:
• Review current program, assess condition of completed areas, and evaluate
community needs
• Development of a strategy including prioritization of locations and budget options to
maintain or increase service level
2015 — 2017 High Priorities (in alphabetical order):
1) Central Iowa Water Association
City Goal: Planned and Managed Growth
Key Issues:
• Annexation
• Funding
• Water Infrastructure
2015-2017 Actions:
• Research and prepare response to litigation
• Policy decisions on water extensions, annexation, and funding
2) City Economic Development
Community Goal: Economic Prosperity
Key Issues:
• Review staffing levels and partners
• Funding
• Goals and performance expectations
2015-2017 Actions:
• Identify partnership opportunities
• Develop strategic plan including funding
3) Citywide Flower-Planting Program
City Goal: Partnering for a Better Dubuque
Key Issues:
• Policy on use of volunteers
• Policy of location(s) for existing or new plantings and type of plant (annual vs.
perennial)
• Funding and hiring freeze
• Ongoing operation and maintenance costs
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2015-2017 Actions:
• Review current activities and assess community needs
• Development of a strategy including: prioritization of locations, plantings and
staffing vs. volunteer needs and budget recommendations
4) Comprehensive Plan
City Goal: Planned and Managed Growth
Key Issues:
• Funding
• Community assessment and input process
2015-2017 Actions:
• Research alternative staffing and consultant options for development of process
and creation of a new 20-year plan
• City Council direction on process and funding recommendations
5) Debt Reduction Policy
Organizational Goal: Financially Responsible City Government and High
Performance Organization
Key Issues:
• Education for general public and for city staff
• Continued implementation of strategic debt reduction
2015-2017 Actions:
• Review and assessment of existing debt-reduction strategy
• Development of a policy for evaluating future use of debt for projects including:
prioritization of capital projects and capital project assistance programs, project
timing, and budget recommendations
6) Methane Gas Plan
Community Goal: Environmental/Ecological Integrity
Key Issues:
• Identify opportunities for methane gas reuse in city operations including BioCNG
• Development agreement for methane gas reuse
2015-2017 Actions:
• Develop cost/benefit analysis and policy for city vehicle conversion to BioCNG
• Negotiate agreement with private sector for methane gas reuse at Landfill and
Water & Resource Recovery Center including capital investment requirements
7) Surveillance Camera Funding
Community Goal: Social/Cultural Vibrancy
Key Issues:
• Evaluate types of cameras for future purchase
• Funding and location of additional cameras
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• Use and storage of data and information
2015-2017 Actions:
• Identify areas and phasing plan for installation of additional cameras, including
access to existing or new fiber-optic connections
• Direction on funding for additional cameras and increased video storage capacity
2015 — 2017 Management Agenda (in alphabetical order):
1) Greater Dubuque Development Corporation: Sustainable Innovation
Community Goal: Economic Prosperity
Key Issues:
• Alternative energy options including bio compressed natural gas and hydropower
• IBM Smarter Cities partnership next phase
2015-2017 Actions:
• Council direction on agreement for use of bio compressed natural gas
• Analysis of hydropower opportunities
• IBM partnership agreement for workforce development and open data
2) Industrial Park Development
Community Goal: Economic Prosperity
Key Issues:
• Actions
• Funding
2015-2017 Actions:
• Develop budget options
• City Council direction on budget and timeline
3) National Incident/Event Report
Community Goal: Social/Cultural Vibrancy
Key Issues:
• Community engagement
• Community preparedness
2015-2017 Actions:
• Community engagement effort to identify issues
• Review other city and federal reports to develop local best practices
• Prepare report with local options and recommendations
4) Skate Park
City Goal: Partnering for a Better Dubuque
Key Issues:
• Location and scope of project
2015-2017 Actions:
• Contract for evaluation, design and site location
• Initiate private fundraising effort
5) Police: Review Best Practices
Organizational Goal: Financially Responsible City Government and High
Performance Organization
Key Issues:
• Community engagement
• Community preparedness
2015-2017 Actions:
• Review 21 st Century National Police Report to identify best practices and analyze
opportunities for Dubuque
• Prepare action plan with options for City Council review and direction
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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
The Subrecipient shall provide Workers' Compensation Insurance coverage for all employees involved in the
performance of this contract.
E. Insurance and Bonding
The Subrecipient shall maintain insurance to the extent and against such hazards and liabilities as are in
keeping with the current insurance program of Recipient
The Subrecipient shall comply with the bonding and insurance requirements of 24 CFR 84.31 and 84.48,
Bonding and Insurance.
F. Grantor Recognition
The Subrecipient shall insure recognition of the role of the Recipient in providing services through the
agreement. All activities,facilities and items utilized pursuant to this contract shall be prominently labeled as
to funding source. In addition,the Subrecipient will include a reference to the support provided herein in all
publications made possible with funds available under this contract.
G. Amendments
Recipient or subrecipient may amend this Agreement at any time provided that such amendments make
specific reference to this Agreement,and are executed in writing,signed by a duly authorized representative
of both organizations and approved by the Recipient's governing body. Such amendments shall not
invalidate this Agreement,nor relieve or release Recipient or Subrecipient from its obligations under this
Agreement.
Recipient may,in its discretion,amend this Agreement to conform with federal,state or local governmental
guidelines,policies and available funding amounts,or for other reasons. If such amendments result in a
change in the funding,the scope of services,or schedule of,the activities to be undertaken as part of this
Agreement,such modifications will be incorporated only by written amendment signed by both Recipient and
Subrecipient.
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H. Suspension or Termination
In accordance with 24 CFR 85.43,the Recipient may suspend or terminate this Agreement if the Subrecipient
materially fails to comply with any terms of this Agreement,which include(but are not limited to)the
following: 1) Failure to comply with any of the rules,regulations or provisions referred to herein,or such
statutes,regulations,executive orders,and HUD guidelines,policies or directives as may become applicable at
any time;2)Failure,for any reason,of the Subrecipient to fulfill in a timely and proper manner its
obligations under this Agreement;3)Ineffective or improper use of funds provided under this Agreement; or
4) Submission by the Subrecipient to the Recipient reports that are incorrect or incomplete in any material
respect.
In accordance with 24 CFR 85.44,this Agreement may also be terminated for convenience by either the
Recipient or the Subrecipient,in whole or in part,by setting forth the reasons for such termination,the
effective date,and,in the case of partial termination,the portion to be terminated.However,if in the case of a
partial termination,the Recipient determines that the remaining portion of the award will not accomplish the
purpose for which the award was made,the Recipient may terminate the award in its entirety.
II. ADMINISTRATIVE REQUIREMENTS
A. Financial Management
1. Accounting Standards
The Subrecipient agrees to comply with 24 CFR 84.21-28 and agrees to adhere to the accounting principles
and procedures required therein,utilize adequate internal controls,and maintain necessary source
documentation for all costs incurred.
2. Cost Principles
The Subrecipient shall administer its program in conformance with OMB Circular A-122, "Cost Principles
for Nonprofit Organizations" or A-21, "Cost Principles for Educational Institutions" as applicable. These
principles shall be applied for all costs incurred whether charged on a direct or indirect basis.
Documentation and Record Keeping
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 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
I. 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 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. ClientData
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,
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and description of services provided. Such information shall be made available to Recipient monitors or their
designees for review upon request.
4. Disclosure
The Subrecipient understands that client information collected under this contract is private and the use or
disclosure of such information,when not directly connected with the administration of the Recipient's or
Subrecipient's responsibilities with respect to services provided under this contract,is prohibited by law
unless written consent is obtained from such person receiving service and,in the case of a minor,that of a
responsible parent/guardian.
5. Closeouts
Subrecipient obligation to the Recipient shall not end until all closeout requirements are completed. Activities
during this closeout period shall include,but are not limited to,making final payments,disposing of program
assets(including the return of all unused materials,equipment,unspent cash advances,program income
balances,and accounts receivable to the Recipient),and determining the custodianship of records.
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 Circular A-133
C. Reporting and Payment Procedures
1. Program Income
The Subrecipient shall report quarterly all program income(as defined at 24 CFR 570.500(a)) generated by
activities carried out with CDBG funds made available under this contract. The use of program income by
the Subrecipient shall comply with the requirements set forth at 24 CFR 570.504. By way of further
limitations,the Subrecipient may use such income during the contract period for activities permitted under
this contract and shall reduce requests for additional funds by the amount of any such program income
balances on hand.All unexpended program income shall be returned to the Recipient at the end of the
contract period.Any interest earned on cash advances from the U.S. Treasury and from funds held in a
revolving fund account is not program income and shall be remitted promptly to the Recipient.
2. Payment Procedures
The Recipient will pay to the Subrecipient funds available under this agreement based upon information
submitted by the Subrecipient and consistent with any approved budget and Recipient policy concerning
payments. With the exception of certain advances,payments will be made for eligible expenses actually
incurred by the Subrecipient,and not to exceed actual cash requirements. Payments will be adjusted by the
Recipient in accordance with advance fund and program income balances available in Subrecipient accounts.
In addition,the Recipient reserves the right to liquidate funds available under this contract for costs
incurred by the Recipient on behalf of the Subrecipient
3. Indirect Costs
If indirect costs are charged,the Subrecipient will develop an indirect cost allocation plan for determining the
appropriate Subrecipient's share of administrative costs and shall submit such plan to the Recipient for
approval,in a form specified by the Recipient
4. Progress Reports
The Subrecipient shall submit quarterly Activity Progress Reports to the Recipient in the form and content as
required by the Recipient.
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D. Procurement
1. Compliance
The Subrecipient shall comply with current Recipient policy concerning the purchase of equipment and shall
maintain inventory records of all nonexpendable personal property as defined by such policy as may be
procured with funds provided herein. All program assets(unexpended program income,property,
equipment,etc.) shall revert to the Recipient upon termination of this Agreement.
2. OMB Standards
Unless specified otherwise within this agreement,the Subrecipient shall procure all materials,property,or
services in accordance with the requirements of 24 CFR 84.40-48.
3. Travel
The Subrecipient shall obtain written approval from the Recipient for any travel outside the metropolitan
area to be paid for with funds provided under this contract
E. Use and Reversion of Assets
The use and disposition of real property and equipment under this Agreement shall be in compliance with the
requirements of 24 CFR Part 84 and 24 CFR 570.502,570.503,and 570.504,as applicable,which include but
are not limited to the following:
1. The Subrecipient shall transfer to the Recipient any CDBG funds on hand and any accounts receivable
attributable to the use of funds under this Agreement at the time of expiration,cancellation,or termination.
2.Real property under the Subrecipient's control that was acquired or improved,in whole or in part,with
funds under this Agreement in excess of$25,000 shall be used to meet one of the CDBG National Objectives
pursuant to 24 CFR 570.208 until five(5)years after expiration of this Agreement If the Subrecipient fails to
use CDBG-assisted real property in a manner that meets a CDBG National Objective for the prescribed
period of time,the Subrecipient shall pay the Recipient an amount equal to the current fair market value of
the property less any portion of the value attributable to expenditures of non-CDBG funds for acquisition of,
or improvement to,the property. Such payment shall constitute program income to the Recipient The
Subrecipient may retain real property acquired or improved under this Agreement after the expiration of the
five-year period.
3.In all cases in which equipment acquired,in whole or in part,with funds under this Agreement is sold,the
proceeds shall be program income(prorated to reflect the extent to that funds received under this Agreement
were used to acquire the equipment). Equipment not needed by the Subrecipient for activities under this
Agreement shall be(a)transferred to the Recipient for the CDBG program or(b)retained after
compensating the Recipient[an amount equal to the current fair market value of the equipment less the
percentage of non-CDBG funds used to acquire the equipment].
III. RELOCATION,PROPERTY ACQUISITION AND ONE-FOR-ONE HOUSING REPLACEMETN
The Subrecipient agrees to comply with(a)the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970,as amended(URA),and implementing regulations at 49 CFR Part 24 and 24 CFR
570.606(b); (b)the requirements of 24 CFR 570.606(c)governing the Residential Anti-displacement and
Relocation Assistance Plan under section 104(d)of the HCD Act; and(c)the requirements in 24 CFR
570.606(d) governing optional relocation policies. The Subrecipient shall provide relocation assistance 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
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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.
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(WIMBE)
The Subrecipient will use its best efforts to afford small businesses,minority business enterprises,and
women's business enterprises the maximum practicable opportunity to participate in the performance of this
contract As used in this contract,the terms"small business" means a business that meets the criteria set forth
in section 3(a)of the Small Business Act,as amended(15 U.S.C. 632),and"minority and women's business
enterprise" means a business at least fifty-one(51)percent owned and controlled by minority group members
or women. For the purpose of this definition,"minority group members" are Afro-Americans,Spanish-
speaking,Spanish surnamed or Spanish-heritage Americans,Asian-Americans,and American Indians. The
Subrecipient may rely on written representations by businesses regarding their status as minority and female
business enterprises in lieu of an independent investigation.
3. Access to Records
The Subrecipient shall furnish and cause each of its own subrecipients or subcontractors to furnish all
information and reports required hereunder and will permit access to its books,records and accounts by the
Recipient,HUD or its agent,or other authorized Federal officials for purposes of investigation to ascertain
compliance with the rules,regulations and provisions stated herein.
4. Notifications
The Subrecipient will send to each labor union or representative of workers with which it has a collective
bargaining agreement or other contract or understanding,a notice,to be provided by the agency contracting
officer,advising the labor union or worker's representative of the Subrecipient's commitments hereunder,
and shall post copies in conspicuous places available to employees and applicants for employment
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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.
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; explicitly religious activities; lobbying,political patronage,and
nepotism activities.
2. Labor Standards
The Subrecipient agrees to comply with the requirements of the Secretary of Labor in accordance with the
Davis-Bacon Act as amended,the provisions of Contract Work Hours and Safety Standards Act(40 U.S.C.
327 et seq.) and all other applicable Federal,state and local laws and regulations pertaining to labor
standards insofar as those acts apply to the performance of this Agreement The Subrecipient agrees to
comply with the Copeland Anti-Kick Back Act(18 U.S.C. 874 et seq.) and its implementing regulations of the
U.S.Department of Labor at 29 CFR Part 5. The Subrecipient shall maintain documentation that
demonstrates compliance with hour and wage requirements of this part Such documentation shall be made
available to the Recipient for review upon request.
The Subrecipient agrees that,except with respect to the rehabilitation or construction of residential property
containing less than eight(8)units,all contractors engaged under contracts in excess of$2,000.00 for
construction,renovation or repair work financed in whole or in part with assistance provided under this
contract,shall comply with Federal requirements adopted by the Recipient pertaining to such contracts and
with the applicable requirements of the regulations of the Department of Labor,under 29 CFR Parts 1,3,5
and 7 governing the payment of wages and ratio of apprentices and trainees to journey workers; provided
that,if wage rates higher than those required under the regulations are imposed by state or local law,nothing
hereunder is intended to relieve the Subrecipient of its obligation,if any,to require payment of the higher
wage. The Subrecipient shall cause or require to be inserted in full,in all such contracts subject to such
regulations,provisions meeting the requirements of this paragraph.
3. "Section 3" Clause
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
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provide economic opportunities for low-and very low-income persons residing in the metropolitan area in
which the project is located."
The Subrecipient further agrees to ensure that opportunities for training and employment arising in
connection with a housing rehabilitation(including reduction and abatement of lead-based paint hazards),
housing construction,or other public construction project are given to low-and very low-income persons
residing within the metropolitan area in which the CDBG-funded project is located; where feasible,priority
should be given to low-and very low-income persons within the service area of the project or the
neighborhood in which the project is located,and to low-and very low-income participants in other HUD
programs; and award contracts for work undertaken in connection with a housing rehabilitation(including
reduction and abatement of lead-based paint hazards),housing construction,or other public construction
project to business concerns that provide economic opportunities for low- and very low-income persons
residing within the metropolitan area in which the CDBG-funded project is located; where feasible,priority
should be given to business concerns that provide economic opportunities to low- and very low-income
residents within the service area or the neighborhood in which the project is located,and to low- and very
low-income participants in other HUD programs.
The Subrecipient certifies and agrees that no contractual or other legal incapacity exists that would prevent
compliance with these requirements.
b. Notifications
The Subrecipient agrees to send to each labor organization or representative of workers with which it has a
collective bargaining agreement or other contract or understanding,if any,a notice advising said labor
organization or worker's representative of its commitments under this Section 3 clause and shall post copies
of the notice in conspicuous places available to employees and applicants for employment or training.
C. Subcontracts
The Subrecipient will include this Section 3 clause in every subcontract and will take appropriate action
pursuant to the subcontract upon a finding that the subcontractor is in violation of regulations issued by the
Recipient. The Subrecipient will not subcontract with any entity where is has notice or knowledge that the
latter has been found in violation of regulations under 24 CFR 135 and will not let any subcontract unless the
entity has first provided it with a preliminary statement of ability to comply with the requirements of these
regulations.
D. Conduct
1. Assignability
The Subrecipient shall not assign or transfer any interest in this contract without the prior written consent of
the Recipient thereto; provided,however,that claims for money due or to become due to the Subrecipient
from the Recipient under this contract may be assigned to a bank,trust company or other financial institution
without such approval. Notice of any such assignment or transfer shall be furnished promptly to the
Recipient.
2. Hatch Act
The Subrecipient agrees that no funds provided,nor personnel employed under this contract,shall be in any
way or to any extent engaged in the conduct of political activities in violation of Chapter 15 of Title V United
States Code.
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
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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 CDBGassisted activity,or with
respect to the proceeds from the CDBGassisted 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
it. Selection Process
The Subrecipient shall undertake to insure that all subcontracts let in the performance of this agreement shall
be awarded on a fair and open competition basis in accordance with applicable procurement requirements.
Executed copies of all subcontracts shall be forwarded to the Recipient along with documentation concerning
the selection process.
5. Lobbying
The Subrecipient hereby certifies that:
a. No Federal appropriated funds have been paid or will be paid,by or on behalf of it,to any person for
influencing or attempting to influence an officer or employee of any agency,a Member of Congress,an officer
or employee of Congress,or an employee of a Member of Congress in connection with the awarding of any
Federal contract,the making of any Federal grant,the making of any Federal loan,the entering into of any
cooperative agreement,and the extension,continuation,renewal,amendment,or modification of any Federal
contract,grant,loan,or cooperative agreement;
b. If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency,a Member of Congress,an officer
or employee of Congress,or an employee of a Member of Congress in connection with this Federal contract,
grant,loan,or cooperative agreement,it will complete and submit Standard Form-LLL,"Disclosure Form to
Report Lobbying," in accordance with its instructions; and
C. It will require that the language of paragraph(d) of this certification be included in the award
documents for all subawards at all tiers(including subcontracts,subgrants,and contracts under grants,
loans,and cooperative agreements) and that all Subrecipients shall certify and disclose accordingly:
it. 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.
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7. Religious Organization
The Subrecipient agrees that funds provided under this Agreement will not be utilized for explicitly religious
activities prohibited by 24 CFR 570.2000),such as worship,religious instruction,or proselytizatiion.
The organization may not discriminate against a beneficiary or prospective beneficiary based on religion,a
religious belief,a refusal to hold a religious belief,or a refusal to attend or participate in a religious practice;
The organization may not require a beneficiary to attend or participate in any explicitly religious activities
that are offered by the organization,and any participation by the beneficiaries in those activities must be
purely voluntary;
The organization must separate in time or location any privately funded explicitly religious activities from
activities supported by direct Federal financial assistance;
If a beneficiary or prospective beneficiary objects to the religious character of the organization,the
organization will undertake reasonable efforts to identify and refer the beneficiary to an alternative provider
to which the beneficiary has no such objection; and
A beneficiary or prospective beneficiary may report violations of these protections,including any denials of
services or benefits,to the Federal agency or intermediary administering the program.
V. ENVIRONMENTAL CONDITIONS
Air and Water
1. The Subrecipient agrees to comply with the following regulations insofar as they
apply to the performance of this contract:
2. Clean Air Act,42 U.S.C.,7401,ET seq.
3. Federal Water Pollution Control Act,as amended,33 U.S.C. 1251,et seq.,as
amended 1318 relating to inspection,monitoring,entry,reports and information,as well as other
requirements specified in said Section 114 and Section 308,and all regulations and guidelines issued
hereunder.
4. Environmental Protection Agency(EPA)regulations pursuant to 40 CFR,Part 50,
as amended.
B. Flood Disaster Protection
In accordance with the requirements of the Flood Disaster Protection Act of 1973 (42 U.S.C. 4001),the
Subrecipient shall assure that for activities located in an area identified by the Federal Emergency
Management Agency(FEMA) as having special flood hazards,flood insurance under the National Flood
Insurance Program is obtained and maintained as a condition of financial assistance for acquisition or
construction purposes(including rehabilitation).
C. Lead Based Paint
The Subrecipient agrees that any construction or rehabilitation of residential structures with assistance
provided under this contract shall be subject to HUD Lead Based Paint Regulations at 24 CFR 570.608,and
24 CFR Part 35 subpart B. Such regulations pertain to all CDBG assisted housing and require that all
owners,prospective owners,and tenants or properties constructed prior to 1978 be properly notified that
such properties may include lead based paint Such notification shall point out the hazards of lead based
paint and explain the symptoms,treatment and precautions that should be taken when dealing with lead
based paint poisoning and the advisability and availability of blood lead level screening for children under
seven. The notice should also point out that if lead-based paint is found on the property,abatement measures
may be undertaken. The regulations further require that,depending on the amount of Federal funds applied
to a property,paint testing,risk assessment,treatment and/or abatement may be conducted.
D. Historic Preservation
The Subrecipient agrees to comply with the Historic Preservation requirements set forth in the National
Historic Preservation Act of 1966,as amended(16 U.S.C. 470) and the procedures set forth in 36 CFR,Part
800,Advisory Council on Historic Preservation Procedures for Protection of Historic Properties,insofar as
they apply to the performance of this contract
In general,this requires concurrence from the State Historic Preservation Officer for all rehabilitation and
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demolition of historic properties that are fifty years old or older or that are included on a federal,state or
local historic property list.
VI. SEVERABILITY
If any provision of this Agreement is held invalid,the remainder of the Agreement shall not be affected
thereby and all other parts of this Agreement shall nevertheless be in full force and effect.
VII. SECTION HEADINGS AND SUBHEADINGS
The section headings and subheadings contained in this Agreement are included for convenience only and
shall not limit or otherwise affect the terms of this Agreement.
VIII. WAIVER
The Recipient's failure to act with respect to a breach by the Subrecipient does not waive its right to act with
respect to subsequent or similar breaches. The failure of the Recipient to exercise or enforce any right or
provision shall not constitute a waiver of such right or provision.
IX. ENTIRE AGREEMENT
This agreement constitutes the entire agreement between the Recipient and the Subrecipient for the use of
funds received under this Agreement and it supersedes all prior or contemporaneous communications and
proposals,whether electronic,oral,or written between the Recipient and the Subrecipient with respect to this
Agreement.
NOTE: For the above sections,if the Subrecipient is a governmental or quasi-governmental agency,the
applicable sections of 24 CFR Part 85,"Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments," and OMB Circular A-87 would apply.
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Exhibit 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 2016 for the Dubuque Metropolitan Area are as follows:
Maximum Annual Income
Income Limits for Dubuque
(Effective 3/28/2016)
30%AMI 50%AMI 80%AMI Over 80%AMI
Family Size 1 : ❑ $0 - $14,150 ❑ $14,151 - $23,600 ❑ $23,601 - $37,750 ❑ Above $37,750
Family Size 2 : ❑ $0 - $16,200 ❑ $16,201 - $27,000 ❑ $27,001 - $43,150 ❑ Above $43,150
Family Size 3 : ❑ $0 - $20,160 ❑ $20,161 - $30,350 ❑ $30,351 - $48,550 ❑ Above $48,550
Family Size 4 : ❑ $0 - $24,300 ❑ $24,301 - $33,700 ❑ $33,701 - $53,900 ❑ Above $53,900
Family Size 5 : ❑ $0 - $28,440 ❑ $28,441 - $36,400 ❑ $36,401 - $58,250 ❑ Above $58,250
Family Size 6 : ❑ $0 - $32,580 ❑ $32,581 - $39,100 ❑ $39,101 - $62,550 ❑ Above $62,550
Family Size 7 : ❑ $0 - $36,730 ❑ $36,731 - $41,800 ❑ $41,801 - $66,850 ❑ Above $66,850
Family Size 8 : ❑ $0 - $40,890 ❑ $40,891 - $44,500 ❑ $44,501 - $71,150 ❑ Above $71,150
F:WSERS\CDBG\CDBG\CDBG Contracts\Project Concern\15 POSG Project Concern Info Resources
Referral agrmt.doc
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