Purchase of Services Grant - Four Mounds HEART Program Copyright 2014
City of Dubuque Consent Items # 15.
ITEM TITLE: Purchase of Services Grant- Four Mounds HEART
Program
SUMMARY: City Manager recommending approval of a Community
Development Block Grant Agreement with Four Mounds
HEART Program for Fiscal Year 2017 to provide youth
education and training opportunities.
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Approve
ATTACHMENTS:
Description Type
Four Mounds HEART Program CDBG Grant City Manager Memo
Agreement-MVM Memo
Staff Memo Staff Memo
Grant Agreement Supporting Documentation
THE CITY OF Dubuque
DUB E i"
Masterpiece on the Mississippi 2007.2012.2013
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Four Mounds HEART CDBG Grant Agreement — FY17
DATE: August 30, 2016
Housing and Community Development Department Director Alvin Nash recommends
City Council approval of a Community Development Block Grant Agreement with Four
Mounds HEART Program for Fiscal Year 2017 in the amount of $10,000 to provide
youth education and training opportunities.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
v
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 and 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: CDBG Grant Agreement— FY17
HEART
DATE: August 24, 2016
Attached for City Council approval is the Community Development Block Grant (CDBG)
Agreement with the Four Mounds HEART program for Fiscal Year 2017. The
agreement includes attachment of the City Council goals and priorities.
The Adopted Fiscal Year 2017 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
FY 2017 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) Agreement
THIS AGREEMENT, executed on the ~ day of 2016 and entered
into by and between the City of Dubuque, Iowa (Reci.°ent), 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
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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, 2016 and shall be completed not Tater 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 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.
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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 tout least one site visit by personnel of
Recipient, or a designee of Recipient or duly authorized federal officials, for the
purpose of monitoring Subrecipient's delivery of services and
compliance with terms of the agreement and federal standards that pertain to
federally funded grant activities. Review may include accounting books and
records for financial management and documentation of program costs. The
reviewers shall have access to and the right to examine, audit, excerpt and /or
transcribe any of Subrecipient's records pertaining to all matters covered by this
Agreement. Subrecipient shall be subject to subsequent site visits to review
correction of any deficiencies in compliance.
Recipient shall monitor the performance of Subrecipient against goals and
performance standards required herein. Substandard performance as determined
by Recipient shall constitute noncompliance with this agreement. If action to
correct such substandard performance is not
taken by Subrecipient within a reasonable period of time after being
notified by Recipient, contract suspension or termination procedures shall be
initiated.
X. Termination of Agreement.
This agreement may be terminated by either party by giving the other party a
written, ninety (90) day notice of such termination or upon such other terms as
may be mutually agreeable.
If, through any cause, Agency shall fail to fulfill in a timely and proper manner its
obligations under this Agreement or if Agency shall violate any of the covenants,
agreements, or stipulations of this Agreement, City shall have the right to
terminate this Agreement by giving written notice to Agency of such termination
not less than five (5) days before the effective date of such termination.
XI. Assignability.
Agency shall not assign this Agreement or any interest in this Agreement
without prior written approval of City.
XII. Notices.
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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 Dubuq e, Iowa
Kevin irnstahl, City'Cler Roy D. Buoayor
Christine Happ Olson, Executive Director
Four Mounds Foundation
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Exhibit A
Goals & Priorities
The Dubuque 2031 Vision Statement
Dubuque 2031 is a sustainable and resilient city and an inclusive and equitable
community. Dubuque 2031 has preserved our Masterpiece on the Mississippi, has a
strong diverse economy and expanding connectivity. Our residents experience healthy
living and active lifestyles; have choices of quality, livable neighborhoods; have an
abundance of fun things to do; and are engaged in the community.
Mission Statement
Dubuque city government is progressive and financially sound with residents receiving value for
their tax dollars and achieving goals through partnerships. Dubuque city government's mission is
to deliver excellent municipal services that support urban living; contribute to an equitable,
sustainable city; plan for the community's future; and facilitate access to critical human services.
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 Organizational Goal
Financially Responsible City Government and High Performance Organization
2016 — 2018 Top Priorities (in alphabetical order):
Central Iowa Water Association: Resolution
East-West Corridor Study Implementation
Inclusive Dubuque Action Plan
Master Plan for Chaplain Schmitt Island
River Cruises Docking Facility
2016 — 2018 High Priorities (in alphabetical order):
21st Century Policing Action Plan
Citywide Flower-Planting Program
Community Health Needs Assessment Plan
Five Flags Center Study
Street Maintenance Program
Traffic Signal Synchronization Citywide
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2016 — 2018 Management Agenda (in alphabetical order):
Affirmatively Furthering Fair Housing
Arts and Culture Master Plan
C.H.A.N.G.E. Program (Comprehensive Housing Activities for Neighborhood
Growth and Enrichment
Community Security/Surveillance/Traffic Cameras Expansion
Housing Tax-Increment Financing (T.I.F.) Program
Opportunity Dubuque
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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
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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 anytime; 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.
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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
f. Financial records as required by 24 CFR Part 570.502, and 24 CFR 84.21-28: and
g. Other records necessary to document compliance with Subpart K of 24 CFR 570.
Retention
The Subrecipient shall retain all financial records, supporting documents, statistical records,and all
other records pertinent to the Agreement for a period of 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.
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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.
S. 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
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570.504. Byway 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 Recipientwill pay to the Subrecipient funds available under this agreement based upon
information submitted bythe 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
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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.
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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 complywith (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.
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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 Ad 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 Recipients
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.
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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. Accessto 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.
S. 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
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The Subrecipient will include the provisions of Paragraphs XA, 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 S.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.
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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 SubrecipienYs subrecipients and subcontractors. Failure to fulfill these requirements shall
subject the Recipient,the Subrecipient and any of the SubrecipienYs subrecipients and
subcontractors,their successors and assigns,to those sanctions specified by the Agreement
through which Federal assistance is provided.The Subrecipient certifies and agrees that no
contractual or other disability exists that would prevent compliance with these requirements.
The Subrecipient further agrees to comply with these "Section 3" requirements and to include the
following language in all subcontracts executed under this Agreement:
"The work to be performed under this Agreement is a project assisted under a program providing
direct Federal financial assistance from HUD and is subject to the requirements of Section 3 of the
Housing and Urban Development Act of 1968,as amended (12 U.S.C. 1701). Section 3 requires that
to the greatest extent feasible opportunities for training and employment be given to low-and
very low-income residents of the project area, and that contracts for work in connection with the
project be awarded to business concerns that provide economic opportunities for low-and very
low-income persons residing in the metropolitan area in which the project is located."
The Subrecipient further agrees to ensure that opportunities for training and employment arising
in connection with a housing rehabilitation (including reduction and abatement of lead-based
paint hazards), housing construction, or other public construction project are given to low-and
very low-income persons residing within the metropolitan area in which the CDBG-funded project
is located; where feasible, priority should be given to low-and very low-income persons within the
service area of the project or the neighborhood in which the project is located, and to low-and
very low-income participants in other HUD programs; and award contracts for work undertaken in
connection with a housing rehabilitation (including reduction and abatement of lead-based paint
hazards), housing construction, or other public construction project to business concerns that
provide economic opportunities for low-and very low-income persons residing within the
metropolitan area in which the CDBG-funded project is located;where feasible, priority should be
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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
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The Subrecipient agrees that no funds provided, nor personnel employed under this contract, shall
be in any way or to any extent engaged in the conduct of political activities in violation of Chapter
15 of Title V United States Code.
Conflict of Interest
The Subrecipient agrees to abide by the provisions of 24 CFR 84.42 and 570.611,which include (but
are not limited to)the following:
a. The Subrecipient shall maintain a written code or standards of conduct that shall govern the
performance of its officers, employees or agents engaged in the award and administration of
contracts supported by Federal funds.
b. No employee, officer or agent of the Subrecipient shall participate in the selection, or in the
award, or administration of, a contract supported by Federal funds if a conflict of interest, real or
apparent,would be involved.
c. No covered persons who exercise or have exercised any functions or responsibilities with respect
to CDBG-assisted activities, or who are in a position to participate in a decision-making process or
gain inside information with regard to such activities, may obtain a financial interest in any
contract, or have a financial interest in any contract,subcontract, or agreement with respect to the
CDBG-assisted activity, or with respect to the proceeds from the CDBG-assisted activity, either for
themselves or those with whom they have business or immediate family ties, during their tenure
or for a period of one (1)year thereafter. For purposes of this paragraph, a "covered person"
includes any person who is an employee, agent,consultant, officer, or elected or appointed official
of the Recipient,the Subrecipient, or any designated public agency.
Subcontracts
a. Approvals
The Subrecipient shall not enter into any subcontracts with any agency or individual in the
performance of this contract without the written consent of the Recipient prior to the execution of
such agreement.
b. Monitoring
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The Subrecipientwill 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.
S. 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 otherthan 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
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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.
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
proselytization.
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,
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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
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The Subrecipient agrees that any construction or rehabilitation of residential structures with
assistance provided under this contract shall be subject to HUD Lead Based Paint Regulations at 24
CFR 570.608, and 24 CFR Part 35 subpart B. Such regulations pertain to all CDBG assisted housing
and require that all owners, prospective owners,and tenants or properties constructed prior to
1978 be properly notified that such properties may include lead based paint. Such notification
shall point out the hazards of lead based paint and explain the symptoms,treatment and
precautions that should be taken when dealing with lead based paint poisoning and the
advisability and availability of blood lead level screening for children under seven. The notice
should also point out that if lead-based paint is found on the property, abatement measures may
be undertaken.The regulations further require that, depending on the amount of Federal funds
applied to a property, paint testing, risk assessment,treatment and/or abatement may be
conducted.
D. Historic Preservation
The Subrecipient agrees to comply with the Historic Preservation requirements set forth in the
National Historic Preservation Act of 1966,as amended (16 U.S.C. 470)and the procedures set
forth in 36 CFR, Part 800,Advisory Council on Historic Preservation Procedures for Protection of
Historic Properties, insofar as they apply to the performance of this contract.
In general,this requires concurrence from the State Historic Preservation Officer for all
rehabilitation and demolition of historic properties that are fifty years old or older or that are
included on a federal, state or local historic property list.
VI. SEVERABILITY
If any provision of this Agreement is held invalid,the remainder of the Agreement shall not be
affected thereby and all other parts of this Agreement shall nevertheless be in full force and effect.
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
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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 6, 2015 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 - $18,200 ❑ $18,201 - $30,350 ❑ $30,351 - $48,550 ❑ Above $48,550
Family Size 4 : ❑ $0 - $20,200 ❑ $20,201 - $33,700 ❑ $33,701 - $53,900 ❑ Above $53,900
Family Size 5 : ❑ $0 - $21,850 ❑ $21,851 - $36,400 ❑ $36,401 - $58,250 ❑ Above $58,250
Family Size 6 : ❑ $0 - $23,450 ❑ $23,451 - $39,100 ❑ $39,101 - $62,550 ❑ Above $62,550
Family Size 7 : ❑ $0 - $25,050 ❑ $25,051 - $41,800 ❑ $41,801 - $66,850 ❑ Above $66,850
Family Size 8 : ❑ $0 - $26,700 ❑ $26,701 - $44,500 ❑ $44,501 - $71,150 ❑ Above $71,150
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