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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 1 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. 2 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. 3 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 4 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 5 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 6 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 7 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. 8 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. 9 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. 10 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 11 570.504. 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 12 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. 13 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. 14 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. 15 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 16 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. 17 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 18 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 19 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 20 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 21 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, 22 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 23 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 24 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. 25 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 26