National Disaster Resilience Grant - General Administrative Services Contract (ECIA) Copyright 2014
City of Dubuque Consent Items # 14.
ITEM TITLE: National Disaster Resilience Grant- General Administrative
Services Contract
SUMMARY: City Manager recommending award of a contract to East
Central Intergovernmental Association for General
Administration services to operate the Bee Branch Healthy
Homes Resiliency Program.
RESOLUTION Approving the Contract for 2016 CDBG
National Disaster Resiliency Housing Grant Administration
to East Central Intergovernmental Association
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Adopt
Resolution(s)
ATTACHMENTS:
Description Type
National Disaster Resilience Grant-ECIA General City Manager Memo
Administration - MVM Memo
Memo ECIA General Administration recommendation Staff Memo
Resolution ECIA General Administration Resolutions
ECIA General Administration Contract Supporting Documentation
Contract IEDA NDR grant 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: National Disaster Resilience Grant (NDRG) Contract Award for General
Administration Services
DATE: December 27, 2016
Housing and Community Development Department Director Alvin Nash recommends
award of a contract in an amount not to exceed of $582,648.60 to East Central
Intergovernmental Association for General Administration services to operate the Bee
Branch Healthy Homes Resiliency Program.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
ZIA-z k�4 6&-zn'
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Alvin Nash, Housing & Community Development Department Director
THE CITY OF Dubuque
AII4meric11 a City
DUBgkE r
Masterpiece on the Mississippi 2007-2012-2013
TO: Michael C Van Milligen, City Manager
FROM: Alvin Nash, Director Housing and Community Development
DATE: December 28, 2016
RE: National Disaster Resilience Grant (NDRG) Contract Award for General
Administration Services
INTRODUCTION
The purpose of this memo is for City Council to accept a recommendation from the
Housing and Community Development Department to award a contract to East Central
Intergovernmental Association (ECIA) for General Administration services to operate
the Bee Branch Healthy Homes Resiliency Program.
BACKGROUND
In March 2015, the City was part of an Iowa Economic Development Authority (IEDA)
Phase I application to the National Disaster Resilience Competition. IEDA was invited
on to Phase II, the final round of the competition. The City worked with state partners
and the Iowa Flood Center throughout the summer and fall to prepare the Phase II
application.
The competition defined a resilient community as one that is able to resist and rapidly
recover from disasters or other shocks with minimal outside assistance. Reducing
current and future risk is essential to the long-term vitality, economic well-being, and
security of all communities. By identifying future risk and vulnerabilities, resilient
recovery planning can maximize preparedness, save lives, and bring benefits to a
community long after recovery projects are complete.
In January 2016, the HUD National Disaster Resiliency Competition grant awarded the
State of Iowa $95.7 million. The City of Dubuque received $31.5 million of this award in
Disaster Resiliency funds for the Bee Branch Healthy Homes Resiliency Program and
storm water infrastructure improvements. $8.4 Million of the award will be used to repair
damages to homes of low-and moderate income residents in the targeted area of the
Bee Branch Watershed.
DISCUSSION
Dubuque's portion of the application highlighted the need to address remaining impacts
from the flooding experienced in downtown Dubuque and continued vulnerability to
future flooding.
The grant funds will help with home maintenance and renovations to decrease
environmental health and safety issues from flooding such as dampness and mold
growth, electrical hazards, and structural issues. A comprehensive "Bee Branch
Healthy Homes Resiliency Program" was outlined to help Dubuque residents meet
unmet structural needs and empower individuals to be part of the creation of more
resilient housing through onsite storm water management principles and sustainable,
healthy homes behaviors.
More specifically, Dubuque's portion of the application detailed the following
components:
Single & Multi-Unit, Rental and Owner-Occupied Residential Rehabilitations: The
proposed program includes $8.4 million for the repair of 320 housing units, including
owner-occupied homes, single-unit rentals, and small, multi-family residential units, all
within the targeted Bee Branch Watershed areas. The Program's repair projects are
expected to generate significant work for local contractors and vendors. The City's
contribution to this component of the project will be $400,000 in already budgeted Lead
and Healthy Homes Program funds.
RECOMMENDATION
ECIA serves as the only Council of Government (COG) in our region and IEDA
recommends their sole source of experience be considered in the administrative
services needed for the Bee Branch Healthy Homes Resiliency Program. Therefore it is
our recommendation that the City of Dubuque contracts with ECIA to provide
administrative services for this National Disaster Resilience Grant.
BUDGETIMPACT
The total amount awarded for the Bee Branch Healthy Homes Resiliency Program is
$8,427.665 with an additional $472,500 to help defray administrative costs to implement
the project. The budget for the Resiliency Grant is as follows:
Bee Branch Healthy Homes $8,900,165
ECIA proposed $582,648.60 for contract to administer General Administration services
to Bee Branch Healthy Homes recipients.
REQUESTED ACTION
We respectfully request City Council approve the award of contract of General
Administration services to the ECIA.
Cc: Teri Goodmann, Assistant City Manager
Crenna Brumwell, City Attorney
Resiliency Development Team
Memo prepared by Sharon Gaul, Resiliency Coordinator
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RESOLUTION NO. 6-17
A RESOLUTION OF THE CITY OF DUBUQUE APPROVING THE CONTRACT FOR 2016
CDBG NATIONAL DISASTER RESILIENCY HOUSING GRANT ADMINISTRATION TO
EAST CENTRAL INTERGOVERNMENTAL ASSOCIATION
WHEREAS, THE CITY OF DUBUQUE, Iowa is party to the Agreement creating the
East Central Intergovernmental Association (hereinafter called the ECIA) and is a member
in good standing; and
WHEREAS, THE CITY OF DUBUQUE, Iowa wishes to engage the ECIA to provide
certain technical and professional services for grant administration of the City of Dubuque's
2016 Iowa Economic Development Authority Community Development Block Grant National
Disaster Resiliency Grant (Contract #13-NDRH-001); and
WHEREAS, Articles II, III (12), and VIII (2) and (3) of the Articles of Agreement of the
East Central Intergovernmental Association gives the ECIA the authority to perform services
under consideration.
NOW, THEREFORE, BE IT RESOLVED, that the East Central Intergovernmental
Association is hereby authorized to provide staff assistance as prescribed in the attached
Contract for Services and Scope of Services.
PASSED, APPROVED, AND ADOPTED this 3rd day of January, 017.
4,
Ooy D. Buol, Mayor
ATTEST:
Trish L. Gleason, Assistant City Clerk
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CONTRACT FOR SERVICES WITH
EAST CENTRAL INTERGOVERNMENTAL ASSOCIATION
THIS CONTRACT, entered into by and between the East Central Intergovernmental Association
(hereinafter called ECIA) and under a passed and approved RESOLUTION OF DUBUQUE,
IOWA, (hereinafter called City), authorizing ECIA's assistance in carrying out this Contract and
attached Scope of Services, and approved by ECIA on January 18, 2017.
TERMS. This Contract carries the following terms.
SECTION 1. Scope of Services
ECIA shall provide and perform the necessary services required to carry out grant administration for
the general administration services segment of the 2016 Iowa Economic Development Authority
Community Development Block Grant National Disaster Resiliency Grant#13-NDRH-001 as set
out in the Scope of Services attached.
SECTION 2. Time of Performance
The services of ECIA shall commence on date of State of Iowa grant approval, and shall be
completed upon receipt of final Certificate of Completion from the State of Iowa
Commencement and completion of services as identified herein is subject to the State of Iowa being
timely provided grant approval,for said contract. The parties also acknowledge that ECIA's time of
performance and Scope of services as identified herein, may be contingent upon the actions and/or
requirements of other parties. ECIA shall not be responsible for a delay in services when said
services are contingent upon the completion or performance of services by third parties.
SECTION 3. Method of Pavment
Payment shall be due upon receipt of a monthly bill for services. The payment shall be based on the
actual costs incurred by the agency in administering the contract, including labor and overhead, all
according to OMB Circular A122. Total payment shall not exceed $582,648.60.
SECTION 4. Personnel
ECIA represents that it has, or will acquire, all personnel necessary to perform the services under
this Contract.
SECTION 5. Propertv
ECIA shall be free to acquire or use existing property, real or personal, as it deems necessary in the
performance of work under this agreement.
SECTION 6. Access to Records
ECIA,the City,the State of Iowa,the U.S. Department of Housing and Urban Development,the
Comptroller General of the United States, or any of their duly authorized representatives, shall have
access to any books, documents, papers, and records which are directly pertinent to this specific
contract,for the purpose of making audit, examinations, excerpts, and transcriptions.
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ECIA and the City shall maintain all required records for five (5)years after complete grant closeout
and all other pending matters are closed.
SECTION 7. Civil Rlehts Provisions
7.1 DISCRIMINATION IN EMPLOYMENT. The City shall not discriminate against
any qualified employee or applicant for employment because of race, color, religion, sex,
national origin, age, sexual orientation, gender identity, familial status, physical or mental
disability. The City may take affirmative action to ensure that applicants are employed
and that employees are treated without regard to their race, color, religion, sex, national
origin, age, sexual orientation, familial status, gender identity, or physical or mental
disability. Such action shall include, but may not be limited to, the following:
employment, upgrading, promotion, demotion or transfers; recruitment or recruitment
advertising; lay-off or termination; rates of pay or other forms of compensation; and
selection for training, including an apprenticeship. The City agrees to post notices setting
forth the provisions of the nondiscrimination clause in conspicuous places so as to be
available to employees Upon the State's written request, the City shall submit to the State
a copy of its affirmative action plan, containing goals and time specifications, and
accessibility plans and policies as required under Iowa Administrative Code chapter 11-
121.
7.2 CONSIDERATION FOR EMPLOYMENT. ECIA shall, in all solicitations or
advertisements for employees placed by or on behalf of the City, state that all qualified
applicants will receive consideration for employment without regard to race, color,
religion, sex, national origin, age, sexual orientation, gender identity, physical or mental
disability, or familial status.
7.3 SOLICITATION AND ADVERTISEMENT. ECIA shall list all suitable
employment openings in the State Employment Service local offices.
7.4 CIVIL RIGHTS COMPLIANCE IN EMPLOYMENT. ECIA shall comply with all
relevant provisions of the Iowa Civil Rights Act of 1965 as amended; Chapter 1913.7 and
Chapter 216, Code of Iowa, Federal Executive Order 11246, as amended; Title VI of the
U.S. Civil Rights Act of 1964 as amended (P.L. 88-42 352, U.S.C. Section 2000d et
seq.);the Fair Labor Standards Act(29 U.S.C. Section 201 et seq.); The Americans with
Disabilities Act, as applicable, (P.L. 101-336, 42 U.S.C. 12101-12213); Section 504 of
the Rehabilitation Act of 1973 as amended (P.L. 93-112, 29 U.S.C. Section 794); and the
Age Discrimination Act of 1975 as amended (42 U.S.C. Section 6101 et seq.). ECIA will
furnish all information and reports requested by the State of Iowa or required by or
pursuant to the rules and regulations thereof and will permit access to payroll and
employment records by the State of Iowa to investigate compliance with these rules and
regulations.
7.5 Program Nondiscrimination- ECIA shall conform with requirements of Title VI of the
Civil Rights Act of 1964 (P.L. 88-42 352, 42 U.S.C. 2000d et seq.) and HUD regulations
issued pursuant thereto contained in 24 CFR Part 1. No person in the United States shall,
on the basis of race, color, national origin, sex or religion or religious affiliation, be
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excluded from participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity funded in whole or in part with funds made
available through this Contract. Any prohibition against discrimination on the basis of
age under the Age Discrimination Act of 1975 (42 U.S.C. 6101 et. seq.) or with respect to
an otherwise qualified individual with a disability as provided in the Americans with
Disabilities Act, as applicable, (P.L. 101-336, 42 U.S.C. 12101-12213) or Section 504 of
the
Rehabilitation Act of 1973 (P.L. 93-112, 29 U.S.C. Section 794) shall also apply to any
such program or Project.
7.6 Fair Housing- ECIA shall comply with Title VIII of the Civil Rights Act of 1968 (42
U.S.C. 3601 et seq.), generally known as the Fair Housing Act, and with HUD
regulations found at 24 CFR Part 107, issued in compliance with Federal Executive Order
11063, as amended by Federal Executive Order 12259. The City shall also comply with
Section 109, Title I of the Housing and Community Development Act of 1974, as
amended (42 U.S.0 5309).
7.7 SECTION 3 COMPLIANCE. ECIA shall comply with provisions for training,
employment, and contracting in accordance with 24 CFR Part 135, Section 3 of the
Housing and Urban Development Act of 1968 (12 U.S.C. 1701u). All Section 3 covered
contracts shall include the following clause (referred to as the Section 3 Clause):
A. The work to be performed under this contract is subject to the requirements of
Section 3 of the Housing and Urban Development Act of 1968, as amended, 12
U.S.C. 1701u (Section 3 Clause). The purpose of Section 3 Clause is to ensure
that employment and other economic opportunities generated by HUD assistance
or HUD-assisted projects covered by Section 3 Clause, shall, to the greatest extent
feasible, be directed to low- and very low-income persons, particularly persons
who are recipients of HUD assistance for housing.
B. The parties to this contract agree to comply with HUD's regulations in 24 CFR
Part 135, which implement Section 3 (Clause). As evidenced by their execution of
this contract,the parties to this contract certify that they are under no contractual
or other impediment that would prevent them from complying with the Part 135
regulations.
C. ECIA agrees to send to each labor organization or representative of workers
with which ECIA has a collective bargaining agreement or other understanding, if
any, a notice advising the labor organization or workers' representative of ECIA's
commitments under this Section 3 Clause, and will post copies of the notice in
conspicuous places at the work site where both employees and applicants for
training and employment positions can see the notice. The notice shall describe
the Section 3 Clause preference, shall set forth minimum number and job titles
subject to hire, availability of apprenticeship and training positions, the
qualifications for each; and the name and location of the person(s)taking
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applications for each of the positions; and the anticipated date the work shall
begin.
D. The ECIA agrees to include this Section 3 Clause in every subcontract subject
to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate
action, as provided in an applicable provision of the subcontract or in this Section
3 Clause, upon a finding that the subcontractor is in violation of the regulations in
24 CFR Part 135. The ECIA will not subcontract with any subcontractor where
ECIA has notice or knowledge that the subcontractor has been found in violation
of the regulations in 24 CFR Part 135.
E. CIA will certify that any vacant employment positions, including training
positions,that are filled (1) after the ECIA is selected but before the contract is
executed, and (2) with persons other than those to whom the regulations of 24
CFR Part 135 require employment opportunities to be directed, were not filled to
circumvent ECIA's obligations under 24 CFR Part 135.
F. Noncompliance with HUD's regulations in 24 CFR Part 135 may result in
sanctions, termination of this contract for default, and debarment or suspension
from future HUD assisted contracts.
G. With respect to work performed in connection with Section 3 Clause covered
Indian Housing Assistance, Section 7(b) of the Indian Self-Determination and
Education Assistance Act(25 U.S.C. 450e) also applies to the work to be
performed under this contract. Section 7(b) requires that to the greatest extent
feasible (i)preference and opportunities for training and employment shall be
given to Indians, and (ii) preference in the award of contracts and subcontracts
shall be given to Indian organizations and Indian-owned Economic Enterprises.
Parties to this contract that are subject to the provisions of Section 3 Clause and
Section 7(b) agree to comply with Section 3 Clause to the maximum extent
feasible, but not in derogation of compliance with Section 7(b).
7.8 NONCOMPLIANCE WITH THE CIVIL RIGHTS LAWS. In the event of ECIA's
noncompliance with the nondiscrimination clauses of this Contract or with any of the aforesaid
rules, regulations, or requests,this Contract may be canceled,terminated, or suspended either
wholly or in part. In addition,the State of Iowa may take further action, imposing other
sanctions and invoking additional remedies as provided by the Iowa Civil Rights Act of 1965
(Chapter 216, Code of Iowa) or as otherwise provided by law.
7.9 INCLUSION IN SUBCONTRACTS. ECIA will include the provisions of the preceding
paragraphs of Section 7 in every subcontract unless exempt by the State of Iowa, and said
provisions will be binding on each subcontractor. ECIA will take such action with respect to any
subcontract as the State of Iowa may direct as a means of enforcing such provisions, including
sanctions for noncompliance. In the event the City becomes involved in or is threatened by
litigation with a subcontractor or vendor as a result of such direction by the State of Iowa, the
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City may request the State of Iowa to enter into such litigation to protect the interests of the State
of Iowa
SECTION 8. Termination by City
8.1 The City may, by thirty(30) days written notice to ECIA,terminate this contract in whole or in
part at any time:
a). For the City's convenience;
b.) For failure of ECIA to fulfill its obligations under the contract, or
c.)Because funding for the contract ceases to exist
Upon receipt of such notice, ECIA shall:
(1) immediately discontinue all services affected (unless the notice directs otherwise), and(2)
deliver to the City all data, drawings, specifications, as may have been accumulated by the ECIA in
performing this contract, whether completed or in process.
8.2 Notwithstanding the above, ECIA shall not be relieved of liability to the City for damages
sustained by the City by virtue of any breach of the contract by ECIA. The City may withhold any
and all payments to ECIA for the purpose of setoff until such time as the exact amount of damages
due the City from ECIA is determined.
8.3 If the termination is for convenience of the City or because contract funding ceases to exist,
ECIA shall be entitled to compensation for work done through the date of termination.
SECTION 9. Indemnification/Hold Harmless
ECIA agrees to indemnify and hold harmless City from and against all claims, damages, losses and
expenses, including but not limited to attorneys' fees, arising out of or resulting from performance of this
Contract, provided that such claim, damages, loss or expense is attributable to bodily injury, sickness,
disease or death, or injury to or destruction of property including loss of use resulting therefrom, but
only to the extent caused in whole or in part by negligent acts or omissions of ECIA, ECIA's
subcontractor, or anyone directly or indirectly employed by ECIA or ECIA's subcontractor or anyone
for whose acts ECIA or ECIA's subcontractor may be liable.
City agrees to indemnify and hold harmless ECIA from and against all claims, damages, losses and
expenses, including but not limited to attorneys' fees, arising out of or resulting from performance of this
Contract, provided that such claim, damages, loss or expense is attributable to bodily injury, sickness,
disease or death, or injury to or destruction of property including loss of use resulting therefrom, but
only to the extent caused in whole or in part by negligent acts or omissions of City, City's subcontractor,
or anyone directly or indirectly employed by City of City's subcontractor or anyone for whose acts City
or City's subcontractor may be liable.
SECTION 10. Termination by ECIA
ECIA may terminate this contract by thirty(30)days written notice to the City for either ECIA's
convenience or because of the City failure to comply with the laws, rules, or regulations of the U.S.
Department of Housing and Urban Development in carrying out the Community Development Block Grant
Program. The notice shall stipulate the laws, rules, or regulations that have been violated, and date ECIA
advised the City of said violation.
City will be required to pay ECIA for work done through the date of termination.
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SECTION 11. Certification Regarding Government-Wide Restriction on Lobbving.
ECIA certifies, to the best of its knowledge and belief, that:
11.1 No Federal appropriated funds have been paid or will be paid, by or on behalf of the City,
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 awarding any Federal contract, making any Federal grant, making
any Federal loan, entering into any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
11.2 If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the City shall
complete and submit Standard Form-LLL, "Disclosure Form to Report Federal Lobbying" in
accordance with its instruction.
11.3 ECIA shall require that the language 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.
11.4 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. Code. 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.
SECTION 12. Political Activity
No portion of program funds shall be used for any partisan political activity or to further the election or
defeat of any candidate for public office. Neither the program nor the funds
provided therefore, nor the personnel employed in the administration of this Contract or its
Funding Agreements, shall be in any way or to any extent, engaged in the conduct of political activities in
contravention of The Hatch Act(5 U.S.C. 15).
SECTION 13. Other Requirements
In connection with the carrying out of this agreement, ECIA agrees to comply with any and all rules and
regulations of the Iowa Economic Development Authority and the Department of Housing and Urban
Development concerning third party contracts.
In connection with the carrying out of this agreement, ECIA and City acknowledge that there may be third
part contracts which apply to said project. Should there be third party contracts which apply to this contract
for services ECIA shall be performing, City agrees to provide ECIA with notice of said third party contracts
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and copies thereof, within five (5)days of this agreement, or City's receipt thereof. Failure to do so shall
void any requirement(s)by ECIA to comply with any rules and regulations of third parties pertaining to this
project.
SECTION 14. Lead Safe Housing Regulations
In connection with the carrying out of this agreement, ECIA agrees to comply with the U.S. Department of Housing
and Urban Development Lead Safe Housing Regulations- 24 CFR Part 35, et al"Requirements for Notification,
Evaluation and Reduction of Lead-Based Paint Hazards in Federally Owned Residential Property and Housing Receiving
Federal Assistance: Final Rule."
SECTION 15: All Contracts in Excess of$100,000
In addition to the preceding provisions, contracts in excess of$100,000 shall require compliance
with the following laws and regulations:
Section 306 of the Clean Air Acts (42 U.S.C. 1857(h)).
Section 508 of the Clean Water Act(33 U.S.C. 1368).
Executive Order 11738.
EPA Regulations - 40 CFR, Part 15.
Clean Air and Water Acts - required clauses:
This clause is required in all third party contracts involving projects subject to the Clean Air Act(42
U.S.C. 1857 et seq.), the Federal Water Pollution Control Act(33 U.S.C. 1251 et seq.), and the
regulations of the Environmental Protection Agency with respect to 40 CFR Part 15, as amended. It
should also be mentioned in the bid document.
During the performance of this contract, the ECIA agrees as follows:
(1) ECIA will certify that any facility to be utilized in the performance of any nonexempt contract or
subcontract is not listed on the Excluded Party Listing System pursuant to 40 CFR 32.
(2) ECIA agrees to comply with all the requirements of Section 114 of the Clean Air Act, as
amended, (42 U.S.C. 1857c-8) and Section 308 of the Federal Water Pollution Control Act, as
amended (33 U.S.C. 1318) relating to inspection, monitoring, entry, reports, and information, as
well as all other requirements specified in said Section 114 and Section 308, and all regulations
and guidelines issued thereunder.
(3) ECIA agrees that as a condition for the award of the contract, prompt notice will be given of any
notification received from the Director, Office of Federal Activities, Environmental Protection
Agency, indicating that a facility utilized or to be utilized for the contract is under consideration
to be listed on the Excluded Party Listing System.
(4) ECIA agrees that it will include or cause to be included the criteria and
requirements in Paragraph (1)through (4) of this section in every nonexempt subcontract and
require every subcontractor to take such action as the Government may direct as a means of
enforcing such provisions. Environmental Protection Agency, indicating that a facility utilized
or to be utilized for the contract is under consideration to be listed on the Excluded Party Listing
System.
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PASSED AND APPROVED:
City of Dubuque
Date:
/40,
Roy. D. Bu4 Mayor
Attest: Kin G.
sIrTh
East Central Intergovernmental Association
Date: January 18, 2017
Chairperson or Executive Director
Attest
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Attachment A
SCOPE OF SERVICES
The East Central Intergovernmental Association (ECIA)shall assist in compliance with
requirements set forth by the Iowa Economic Development Authority(IEDA); maintenance of
required records and documents; and other required actions not specifically listed, but requested by
the local government, including, but not limited to the following activities:
I. General Activities
A. Grant Notification
1. Be responsible for knowing and complying with IEDA regulations in the
writing of the Program Schedule and any other submission to IEDA before
contract signing.
2. Assist in setting up a model for the Program Schedule assuring compliance
time and monetary limitations of grant contract.
3. Meet with City to review and assure understanding of terms and conditions
of the contract with IEDA.
B. Environmental Review
1. Complete and document Environmental Review Record.
2. Assist in publishing Notice of Finding of No Significant Effect.
3. Assist in publishing Notice of Intent to Request a Release of Funds.
4. Assist in submitting Certification of Environmental Review and Request for
Release of Funds.
5. Complete and submit environmental review for Section 106 process on
properties identified for resiliency work.
C. Program Set-Up and Intake
1. Meet with City staff to develop standards and guidelines (Administrative
Plan).
2. Compose needed forms, handbooks, etc., for program implementation.
3. Promote program for applications.
4. Qualify homes with respect to floodplain.
5. Qualify homes with respect to eligible project area.
6. Take applications and qualify applicants, present to Housing Committee for
approval.
7. Assist in selection of engineer for program by proposal method.
8. Meet with engineers to explain and coordinate scheduling of grant activities
requiring engineering.
9. Provide Davis-Bacon compliance services, if required.
10. Maintain and promote performance standards in minority participation,
services to low/moderate incomes, etc. that will help the City secure future
grants.
11. Qualify contractors for program participation.
12. Assure environmental compliance for all phases of grant.
13. Set up filing system for grant records.
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D. Possible Program Amendment
1. Identify problem with City.
2. Gather information
3. Write amendment-prepare for City approval
4. Conference with IEDA
5. Approval and implementation
6. Revise Financial and Compliance Records
C. Possible Relocation Assistance
1. Provide current and continuing information on suitable housing and
comparable business properties and locations.
2. Assure that prior to displacement, suitable and affordable housing will be
available for all displaced persons.
3. Supply information regarding housing programs, etc.
4. Provide advisory services to minimize hardship.
E. Record Keeping
1. Assist in setting up books for grant funds.
2. Assist in setting up filing system for program information maintenance.
3. Regularly monitor records
4. Assist in executing contract budget amendments.
5. Review project draws for CDBG compliance.
6. Submit project draws and reporting documents in iowagrants.
7. Monitor and report Section 3 for CDBG compliance
8. Assist in meeting with IEDA officials during site visits.
9. Prepare and present project summary for City's public hearing on status of
funded activities.
F. Program Close-Out
1. Assist auditor by providing available information for financial and
compliance audit.
2. Provide assistance to City in answering audit findings, if any.
3. Assist City in providing proof of expenditure of unaudited funds, if any.
4. Assist in preparation of closeout report.
The outline is generally specific, but some areas may have more detailed requirements implied, but
not listed. The City may request assistance from ECIA that is not specifically designated.
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IOWA ECONOMIC DEVELOPMENT AUTHORITY I �^
200 East Grand Avenue I De /L��
Des Moines,Iowa 50309 USA I Phone:515.725.3000 -
iowaeconomicdevelopment.com RCCEIVED economic development
16 OCT 13 P11 2r 02
October 11, 2016
Roy Bucl;Mayor Cfty aerk's 0ffiGe
City of Dubuque CX±u r lO [
50 West 13th St.
Second Floor
Dubuque, lA 52001
SUBJECT: Community Development Block Grant Program Disaster Recovery-National Disaster Resilience
(CDBG-NDR)Award (13-NDRH-001)
Dear Mayor Buck
I am pleased to inform you the Iowa Economic Development Authority(IEDA) has awarded City of Dubuque Community
Development Block Grant Program Disaster Recovery- National Disaster Resilience (CDBG-NDR)funds in an amount
not to exceed$8,900,165.00. IEDA has received a fine[grant award from the United States Department of Housing and
Urban Development(HUD).
Your contract with respect to this award (the"Contract")will have a start date of October 11, 2016 pending successful
contract negotiation and execution. Enclosed is the Contract between City of Dubuque and IEDA. Please review the
document thoroughly. Once signed, please return the original signed copy to Tim.Metz at IEDA. Upon receipt of your
signed contract, IEDA will execute and upload a copy to IowaGrants.gov for your records.Costs for certain activities
which were exempt from the environmental review requirements under 24 CFR Part 58.34 incurred as of January 29,
2015 are eligible for reimbursement. These costs include administration such as assisting IEDA with contract scope
and quarterly reporting, environmental review,engineering, and design.Those costs for exempt activities are eligible for
reimbursement after execution of the Contract.
No HUD Funds or non-HUD funds may be committed to the project until the applicant has secured environmental
approval from the State of Iowa, as provided in HUD regulation 24 CFR Part 58. In addition, pending environmental
approval and pursuant to 24 CFR Part 58.22(a), no grant recipient or participant in the development process, including
contractors or sub-contractors, may undertake an activity that may limit the choice of reasonable alternatives. Such
choice limiting actions include real property acquisition, conducting a competitive sealed bid process for the project,
signing a construction contract, leasing, rehabilitation, repair, demolition, conversion, and construction.
IF ANY CONDITIONS CONTAINED IN THIS LETTER ARE NOT SATISFIED IN THE SOLE DISCRETION OF IEDA,
OR THE CONTRACT IS NOT FULLY EXECUTED BY November 15, 2016, THIS AWARD OF FUNDS SHALL BE
RESCINDED,AND NO REIMBURSEMENT AVAILABLE FOR ANY COSTS INCURRED BY THE CONTRACT
RECIPIENT WITH RESPECT TO THIS AWARD, However, you may incur costs for those certain activities that are
exempt from the environmental review requirements under 24 CFR Part 58.34. These costs include administration,
environmental review, engineering,and design. Costs for exempt activities may be incurred as of the date of this letter
but cannot be reimbursed by IEDA until execution of the Contract.
If you have any questions, please contact your project manager, Ann Schmidt, at 515.725.3078 or by email at
Ann.Schmid@iowa.gov.
IEDA looks forward to working with City of Dubuque on its Community Development Block Grant Program Disaster
Recovery- National Disaster Resilience(CDBG-NDR)project once all conditions to the award have been met and the
contract is fully executed.
Sincerely, \
Durham
-Director
File: IowaGrants.gov
Govemor Terry E.Uranstad I Lt.Governor Kim Reynolds Director Debi V Durham -. -.
IOWA ECONOMIC DEVELOPMENT AUTHORITY
COMMUNITY DEVELOPMENT DIVISION
PROJECT INFORMATION
PROJECT TITLE: Community Development Block Grant Program Disaster
Recovery - National Disaster Resilience (CDBG-NDR)
Project Contract Number: 13-NDRH-001
TOTAL FEDERAL FUNDS AWARD TO RECIPIENT: $8,900,165.00
GRANT AWARD PERIOD: October 11, 2016 to September 30, 2021
FEDERAL AWARD PROJECT DESCRIPTION: Disaster Resilience Project
SUBRECIPIENT INFORMATION
AGENCY NAME: City of Dubuque
ADDRESS: 50 West 13th St.
Second Floor
Dubuque, IA 52001
DUNS#(UNIQUE ENTITY IDENTIFIER): 093105302
SUBRECIPIENT'S INDIRECT COST RATE: N/A
FEDERAL FUNDS INFORMATION
FEDERAL FUNDING ENTITY: U.S Department of Housing and Urban Development
FEDERAL PROGRAM NAME: Community Development Block Grant Program Disaster
Recovery- National Disaster Resilience (CDBG-NDR)
FEDERAL AWARD NUMBER: B-13-DS-19-0001
FEDERAL AWARD DATE: October 11, 2016
CATALOGUE OF FEDERAL DOMESTIC ASSISTANCE: 14.272
TOTAL FEDERAL AWARD AMOUNT: $96,887,177
AWARD FOR RESEARCH AND DEVELOPMENT: NO
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IOWA ECONOMIC DEVELOPMENT AUTHORITY
COMMUNITY DEVELOPMENT DIVISION INFORMATION
CONTACT PERSON: Tim Waddell
E-MAIL ADDRESS: Tim.Waddell@iowa.gov
TELEPHONE NUMBER: 515.725.3002
This information is provided as a requirement of 24 CFR 200.331 Requirements for pass-through entities.All
requirements imposed by the Federal entity and passed on to IEDA. In 'turn IEDA passes on to the subrecipient all
requirements imposed by the Federal entity and that the Federal award is used in accordance with Federal
statutes, regulations and the terms and conditions of the Federal award.
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PLEASE RETAIN AWARD LETTER AND PAGE 2 FOR YOUR FILES.
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IOWA ECONOMIC DEVELOPMENT AUTHORITY
COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG-NDR)
NATIONAL RESILIENT DISASTER RECOVERY PHASE ONE AND TWO HOUSING CONTRACT
RECIPIENT: City of Dubuque
CDBG-NDR CONTRACT NUMBER: 13-NDRH-001
START DATE: October 11;2016
AWARD AMOUNT: $8,900,165.00
DIRECT Leverage(match) $400;000
END DATE: September 30,2021
THIS COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM DISASTER RECOVERY-NATIONAL DISASTER
RESILIENCE ("CDBG-NDR")CONTRACT is made by and between the IOWA ECONOMIC DEVELOPMENT
AUTHORITY,200 East Grand Avenue,Des Moines, Iowa 50309 ("Authority"or"IEDA")and the City of Dubuque
("Recipient"),effective as of the date stated above.
WHEREAS,the Authority is designated to receive,administer,and disburse CDBG-NDR funds;and p
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WHEREAS,the Authority submitted an application to HUD for funds from the United State Department of Housing
and Urban Development under the Disaster Relief Appropriations Act,2013, Public Law 113-2,for the Community I
Development Block Grant National Disaster Resilience(CDBG-NDR)competition on behalf of the Recipient and the Recipient
agreed to abide by the application terms and conditions;and
WHEREAS,the Authority received funds under the Disaster Relief Appropriations Act 2013. (Public Law 113-2)
under the CDBG-NDR program; and
WHEREAS,the Authority desires to disburse grant funds to the Recipient for eligible purposes primarily benefiting
low and moderate income persons, eliminating slums and blight,or meeting community development needs having particular
urgency;and
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WHEREAS,the Recipient has certified to the Authority that the primary purpose for obtaining CDBG-NDR funds is to
primarily benefit low and moderate income persons,eliminate slums and blight, or meet community development needs having
a particular urgency;
NOW,THEREFORE,the Recipient accepts this grant upon the terms and conditions set forth in this Contract. In
consideration of the mutual promises contained in this Contract and other good and valuable consideration, itis agreed as
follows:
ARTICLE 1
DEFINITIONS
As used in this Contract,the following terms shall apply:
1.1 ACT. "Act"means Title I of the Housing and Community Development Act of 1974 as amended(42 U.S.C.5301 at
seq.)and the regulations now or hereafter promulgated thereunder and the guidance now or hereafter disseminated with
respect thereto.
1.2 ACTIVITY. "Activity"means the description of eligible work,services,and other accomplishments,as authorized by
Section 105 of the"Act'and as further defined in 24 CFR 570.482,as revised April 1, 1997. Activities are line items in the
budget and are found in the line items in Attachment A, `Program Description"and the Recipient's"Budget Activity'in
IowaGrants.gov account and have specific performance targets.
1.3 ALLOWABLE COSTS. "Allowable Costs"are those costs which are identified in"Budget Activity"as found in the
Recipient's IowaGrants.gov account;and consistent with Federal regulations and guidelines applicable to the CDBG-NDR
program.
1.4 APPLICATION."Application"means the application submitted by the Iowa Economic Development Authority to the
U.S. Department of Housing and Urban Development under the Disaster Relief Appropriations Act,2013, Public Law 1132,
for the Community Development Block Grant National Disaster Resilience(CDBG-NDR) competition, including the application
for National Resilient Disaster Recovery Phase ONE and TWO as approved by HUD on January 29,2016,and the Recipient
agreed to be a party to the Application and abide by the application terms and conditions.
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1.5 BUDGET. "Budget"means the"Budget Activity"as found in the Recipient's IowaGrants.gov account.
1.6 COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM(CDBG). "Community Development Block Grant
Program"means the grant program authorized by Title I of the Housing and Community Development Act of 1974, as
amended.
1.7 CONTRACT. "Contract"means this Contract and all of the notes, leases,assignments, mortgages,and similar
documents referred to in the Contract and all other instruments or documents executed by the Recipient or otherwise required
in connection with the Contract, including the CDBG-NDR National Resilient Disaster Recovery Phase ONE and TWO
Application together with any related submittal documents.
1.8 DISASTER RELIEF APPROPRIATIONS ACT,2013(PUBLIC LAW 113-2)"Disaster Relief Appropriations Act,2013
(Public Law 113-2)"means the Disaster Relief Appropriations Act,2013 (Public Law 11372)as published in the Federal
Register on January 29,2013.
1.9 END DATE. "End Date"means the date the Contract ceases to be in force and effect,unless the Contract is
terminated earlier. The Contract expires upon the occurrence of one of the following:a)the Recipient fulfills the conditions
and accomplishments agreed to herein as of the end date as stated above;or b)the Contract is terminated by the Authority
due to any default under Article 10; or c)the Contract is terminated in accordance with provisions set forth in Sections 8 and 9 p
of the General Provisions,Attachment C of this Contract. - gggtlN
1.10 FAIR MARKET VALUE. "Fair Market Value"means a value based upon the fair market value of the property to be
acquired.
1.11 GRANT. "Grant" means the award of CDBG-NDR funds to the Recipient for the purposes set forth in this Contract.
1.12 HUD. "HUD" means the U.S. Department of Housing and Urban Development. $
1.13 IOWAGRANTS.GOV."IowaGrants.gov"means Iowa's Funding Opportunity Search and Grant Management System.
This system allows you to electronically apply for and manage grants received by the state of Iowa. Persons accessing the
system for this purpose are required to register online at www.lowaGrahts.gov.
1.14 LOW AND MODERATE INCOME HOUSEHOLDS. "Low and Moderate Income Households"means those families g
earning no more than 80 percent of the higher of the median family income of the county.or the statewide nonmetropolitan
area income as determined by the latest U.S. Department of Housing and Urban Development,Section 8 income guidelines.
1.15 LOW AND MODERATE INCOME PERSON. "Low and Moderate Income Person"means a member of a low and
moderate income household as defined above.
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1.16 LOW-AND MODERATE AREA."Low and Moderate Area"means the service area identified for activities is primarily p
low/mod income. 9
1.17 NATIONAL RESILIENCE DISASTER RECOVERY PHASE ONE AND TWO. "National Resilient Disaster Recovery
Phase ONE and TWO'(NDR)means the Notice of Funding Availability for the National Resilient Disaster Recovery Phase
ONE and TWO FR-5800-N-29A2 Application Due Date: 10/2712015.
1.18 PROGRAM. "Program"means the Community Development Block Grant Program Disaster Recovery-National
Disaster Resilience("CDBG-NDR') authorized pursuant to the Program Rules.
1.19 PROGRAM INCOME. "Program Income'shall have the meaning set forth in 24 CFR 570.500(a),as modified by the
Program Rules.
1.20 PROGRAM RULES. "Program Rules"means the Act,as modified by the Disaster Relief Appropriations Act,2013
(Public Law 113-2),and the regulations now or hereafter promulgated thereunder and the guidance now or hereafter
disseminated with respect thereto including but not limited to HUD Notices published in the Federal Register on January 29,
2013,March 5,2013, November 18,2015,and December 7,2015,and any additional HUD Notices or other guidance that
may be disseminated.
1.21 PROJECT. "Project"means the totality of work,services,and activities to be performed or accomplished by the
Recipient as described in this Contract and IowaGrants.gov.
1.22 PROJECT SITE. "Project Site"means a site or sites together with any building or buildings located on a site or sites
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that are under common ownership, management,and financing and are to be assisted with funds under this Contract as a
single undertaking,and includes all activities associated with such site or sites and building or buildings.
123 RECIPIENT. "Recipient"means the entity identified above that has been selected to receive Program funds to
undertake the funded Project and agrees to comply with all applicable CDBG-NDR requirements, including those found in
Disaster Relief Appropriations Act,2013(Public Law 113-2),title I of the Housing and Community Development Act of 1974
(42 USC 5302 et seq.), the CDBG program regulations at 24 CFR part 570,the Notice of Funding Availability for HUD's
National Community Development Block Grant Resilient Disaster Recovery Allocation and any subsequent published
amendments(the CDBG-NDR NOFA),and IEDA's CDBG-NDR NOFA application. For purposes of this agreement the
"Recipient"shall also be considered to meet the definition and qualifications as a"Subrecipient"as defined in 2 CFR 200.93
and 2 CFR 200.330 and agrees to receive this"Subaward"as defined in 2 CFR 200.92.
1.24 SECURITY INSTRUMENTS. 'Security Instruments"means,collectively, those documents described in Section 4.1
hereof.
1.25 SPECIAL FLOOD HAZARD AREA. "Special Flood Hazard Area"means an area designated as a special hazard
flood area on the most recent National Flood Insurance Program map for such area.
1.26 TENANT AND OWNER-OCCUPIED INCOME VERIFICATION. `Income Verification"means the verification of the
income of each occupant of the Project Site completed in the manner as required by the Authority on forms provided by the I
Authority.
1.27 TERM OF AFFORDABILITY. `Term of Affordability"means the period of time during which the housing assisted
through this Project is rent-restricted,orthe occupants of such housing are income-qualified, as set forth in Section 5.3.
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ARTICLE 2 g
FUNDING
2.1 FUNDING SOURCE. The source of funding for the Grant is a Federal appropriation for the Program.
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2.2 RECEIPT OF FUNDS. All payments under this Contract are subject to receipt by the Authority of sufficient Federal
funds for the Program. Any termination, reduction, or delay of Program funds to the Authority shall,at the option of the
Authority;result in the termination, reduction or delay of Program funds to the Recipient
2.3 PRIOR COSTS. If any Recipient has received approval from the Authority to incur certain activities which were
exempt from the environmental review requirements under 24 CFR Part 58.34 incurred as of January 29,2016 are eligible for i
reimbursement. These costs include administration such as assisting EDA with contract scope and quarterly reporting,
design,environmental review,engineering,and planning. Those costs for exempt activities are eligible for reimbursement
after execution of the Contract. Refer to Federal Register 5936-N-01,
2.4 DISBURSEMENT OF LESS THAN THE TOTAL AWARD AMOUNT. If the total award amount has not been
requested by the Recipient within sixty(60) days after the End Date,then the Authority shall be under no obligation for further
disbursement. The Authority may allow access to funds after this time for allowable costs associated with the conduct of the
audit(s) required in Section 2.0 of the General Provisions in Attachment C to this Contract.
ARTICLE 3
TERMS OF GRANT
3.1 TIME OF PERFORMANCE. The services of the Recipient are to commence as of the Start Date and shall be
undertaken in such sequence as to assure their expeditious completion. All of the services required hereunder shall be
completed on or before the End Date.
3.2 MAXIMUM PAYMENTS. It is expressly understood and agreed that the maximum amounts to be paid to the
Recipient by the Authority for any item of work or service shall conform to the budget as presented in the"Budget Activity"as
found in the Recipienfs IowaGrants.gov account." It is further understood and agreed that the total of all payments to the
Recipient by the Authority for all work and services required under this Contract shall not exceed the Award Amount unless
modified by written amendment of this Contract as provided in Section 1.D of the General Provisions in Attachment C of this
Contract.
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3.3 ADMINISTRATION. This Contract shall be administered in accordance with all applicable State and Federal laws
and regulations now in effect and as may be amended from time to time, and including the Iowa Community Development
Block Grant Management Guide as which may be amended or changed from time to time, and which can be accessed on the
Authority's website, to the extent applicable to the Program and not in conflict with the Program Rules.
3.4 LOCAL EFFORT REQUIREMENTS. The Recipient agrees to provide local cash contribution to the Project as
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defined in the"Local"column of the budget shown in the"Budget Activity'as found in the Recipient's IowaGrants.gov account.
Expenditures above this level, necessary to complete the statement of work and services, shalt be paid with local funds.
Reports of the local funds expended shall be included in the Request for Payment/Activity Status Report specified in Article
9.1(b), "Reports".
3.5 RECAPTURE OF GRANT. Provided that compliance is satisfactorily maintained,no repayment of the Grant will be
required. If a rental Project is converted to an alternate (non-residential) use during the Term of Affordability,the Grant shall
be repaid as specified by the Authority. If an owner-occupied Project is sold or transferred during the Term of Affordability,the
Grant shall be repaid as specified by the Authority,the Recipient shall insure the Borrower shall pay the un-forgiven balance of
the Loan or the total of the net proceeds of the sale,whichever is less, and the funds returned to the Authority.
ARTICLE 4
SECURITY
4.1 SECURITY INSTRUMENTS.
(a) Rental PropertlBS: The Recipient shall ensure the execution of all appropriate Security Instruments for this
Contract in the Authority's favor,as required by the Authority, in form and substance satisfactory to the Authority. - -
The following Security Instruments shall be prepared,executed,and appropriately recordedffiled for the Contract as
applicable:
(i) Agreement for Covenants and Restrictions.
4.2 FILING. The Recipient shall file and record (as applicable)in the proper and timely manner any and all Security
Instruments noted in 4.1 above that are required by the Authority to be filed,and promptly provide the Authority with date-
stamped originals of the recorded documents.
4.3 OTHER. The Recipient shall obtain and provide to the Authority lien searches,a Title Guaranty Certificate, and the
HUD closing(Financing)statement(as applicable).
ARTICLE 5
PERFORMANCE TARGET ACHIEVEMENT
5.1 PERFORMANCE TARGETS. By the End Date,the Recipient shall have accomplished the activities and
Performance targets as described in Attachment A, 'Program Description'and as found in the Recipient's IowaGrants.gov
account and as further elaborated in Attachment B, National Resilient Disaster Recovery Phase ONE and TWO Application.
5.2 CALCULATION OF PROJECT COMPLETION. The Authority has the final authority to assess whether the Recipient
has met their performance targets at the End Date. The Authority shall determine completion according to the performance
targets set forth in Attachment A,'Program Description'and as found in the Recipient's IowaGrants.gov account. The
Authority reserves the right to monitor and measure at any time during and after the Contract term the achievement of the
performance targets.
5.3 AFFORDABILITY REQUIREMENTS During the Term of Affordability,any units assisted with funds pursuant to this
Contract shall maintain the following (collectively,the"Affordability Requirements'):
(a) Maximum Income: In order to qualify under the National Objective of benefitting Low and Moderate Income
Persons, occupants must be eligible as defined per Attachment D, "Bee Branch Healthy Homes Resiliency Program
Guidelines''.
Noncompliance with the Affordability Requirements shall constitute cause for IEDA to seek immediate repayment of funds
awarded by IEDA for the Project. _
54 ENFORCEMENT PROVISIONS.The following means of enforcement shall apply to each identified form of Project
assistance, and shall be binding on the Recipient when the contract is executed for that type of assistance. Additional
provisions may be included as a part of the contract.
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(a) RENTAL HOUSING Any rental housing property assisted with Program funds shall have placed upon it
recorded fmancial security instruments insuring compliance with the occupancy restriction and the rent restrictions
with the effective term of said instrument.
5.5 PROPERTY STANDARDS. All housing assisted with Program funds shall be maintained throughout the applicable
Term of Affordability in compliance with any applicable state and local housing standards,laws and codes of the Recipient,as
affected by the Project location.
5.6 AFFIRMATIVE MARKETING. The Recipient shall comply with the affirmative marketing responsibilities as set forth
In 24 CFR 92.351 and the Program Rules.
5.7 INCOME CERTIFICATIONS. The Recipient shall maintain records of each Tenant and Owner-Occupied Income
Verification to be completed at the time of the CDBG-NDR investment in the property. Owner-occupied households will only
be income verified once,at the time of application, prior to CDBG-NDR investment in the property. Rental tenants will be
income verified at the time of CDBG-NDR investment in the property, and for the Term of Affordability,any new tenant,as a
result of a new lease or change in lease,will be income verified at the fime of occupancy.
ARTICLE 6
USE OF FUNDS
6.1 GENERAL. The Recipient shall perform in a satisfactory and proper manner,as determined by the Authority,the
work and services as written and described in the Recipient's approved Attachment A,"Program Description"and as found in
the Recipient's IowaGrants.gov account,and Attachment B, National Resilient Disaster Recovery Phase ONE and TWO
Application. . . _..._. _
6.2 PROGRAM INCOME. Unless otherwise agreed to in a signed amendment to this Contract,proceeds generated from
the use of CDBG-NDR funds are considered program income when the total amount of any CDBG-NDR program income
received by the Recipient in a fiscal year exceeds$35,000,at which time the entire$35,000 and excess are considered
program income. Prior to the End Date,all program income shall be expended prior to requesting additional CDBG-NDR
funds. Program income received by the Recipient after the End Date shall be returned to the Authority unless the Recipient
has submitted, and the Authority has approved,a re-use plan. Any CDBG-NDR proceeds derived from an approved
Revolving Loan Fund are considered program income, regardless of the amount received in any year.
6.3 BUDGET REVISIONS. Budget revisions shall be subject to approval of the Authority through the Contract
amendment process. Budget line item decreases that would lower the Recipient's performance level required under this
Contract must be first approved by the Authority through the amendment process. In no instance shall a budget revision result
in total costs exceeding the total Contract amount. Budget revisions shall be compatible with the terms of this Contract and be
of such a nature as to qualify as an allowable cost. Budget revisions requested during the final ninety(90)days of the
Contract period will be approved by the Authority only if it determines that the revisions are necessary to complete all activities.
The Authority retains the right to amend this contract to reduce the award amount when necessary to achieve an equitable
distribution of funds for all areas of the state,
6.4 PROHIBITION ON USE OF FUNDS. The funds provided under this Contract shall not be used for activities
reimbursable by or far which funds are made available by the Federal Emergency Management Agency or the Army Corps of
Engineers. The funds may be used as matching requirement,share or contribution for any other Federal program when used
to carry out an eligible CDBG-NDR activity as authorized by HUD. In addition, no funds provided under this Contract may be
used for the purchase of equipment or other personal property.
6.5 ADMINISTRATIVE COST LIMITATIONS. Federal funds used for reasonable administrative costs, as allowed under
Federal and State regulations,shall be limited as specified in the"Budget Activity"as found in the Recipient's IowaGrants.gov
account. Program Income received by the Recipient during the Contract period is subject to the two percent(2%)
administrative cost limitation. Total administrative costs(Federal)on the Project shall not exceed the amount as found in
'Budget Activity". Project delivery costs allocable to a Project site including but not limited to acquisition and environmental j
review activities are not included in administrative costs for purposes of this section.
6.6 DUPLICATION OF BENEFITS. 42 U.S.C.5155 provides that any federal agency administering any program
providing financial assistance to persons, business concems or ether entities suffering losses as a result of a major disaster or
emergency,shall assure that no such person, business concern,or any other entity will receive such assistance with respect
to any part of such loss as to which it has received financial assistance under any other federal program or from insurance or
any other source(the"Duplication of Benefits Rules"). The Recipient covenants to comply with the Duplication of Benefits
Rules and to report any information with respect to the Duplication of Benefits Rules to IEDA as a condition to disbursements
under this Contract.
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6.7 COMPLIANCE WITH PROGRAM RULES. All activities conducted and services performed pursuant to this Contract
shall be conducted and performed in compliance with the Program Rules.
6.8 DISASTER RELIEF REQUIREMENT. Use of all funds pursuant to this Contract shall be for necessary expenses
related to disaster relief,long-term recovery and restoration of infrastructure,housing and economic revitalization in areas
covered by the declarations of major disasters declared under Title IV of the Robert T.Stafford Disaster Relief and Emergency
Act(42 U.S.C., Section 5721 at Seq.)in 2011,2012,and 2013.
6.9 SPECIAL FLOOD HAZARD AREA. No funds under this Project shall be expended with respect to property located
in a Special Flood Hazard Area or equivalent in FEMA's most recent and current data source unless it also ensures that the
action is designed or modified to minimize harm to or within the floodplain in accordance with Executive Order 11988and24
CFR part 55.
6.10 FAIR MARKET VALUE. The Fair Market Value of any property purchased pursuant to this Contract shall be derived
from a methodology that results in a reasonable determination of the fair market value of such property. The use of such
methodology shall be subject to the prior written approval of IEDA. If such methodology is determined by use of appraisals,
any such appraisals shall comply with the appraisal requirements of the URA at 49 CFR 24.103.
6.11 FLOOD INSURANCE REQUIREMENTS. The following requirements shall apply to this Contract:
(a) No funds under this Contract may be used for repair, replacement or restoration for damage
to any personal,
residential or commercial property if that person at any time has received federal flood disaster assistance that was
conditional on the person first having obtained flood insurance under applicable federal law and the person has
subsequently failed to obtain and maintain flood insurance as required under applicable federal law on such property
as described in Attachment D,`Bee Branch Healthy Homes Resiliency Program Guidelines"as applicable. j
(b) For purposes of this section, the term"Federal disaster relief assistance"applies to HUD or other federal
assistance for disaster relief in"flood disaster areas"and the term"flood disaster area"has the meaning given such
term in Section 582(d)(2)of the National Flood insurance Reform Act of 1994,as amended,and includes an area
receiving a presidential declaration of a major disaster or emergency as a result of flood conditions.
ARTICLE 7
CONDITIONS TO DISBURSEMENT OF FUNDS
Unless and until the following conditions have been satisfied,the Authority shall be under no obligation to disburse to the
Recipient any amounts under this Contract:
7.1 CONTRACT EXECUTED. The Contract shall have been properly executed and,where required,acknowledged.
7.2 COMPLIANCE WITH ENVIRONMENTAL AND HISTORIC PRESERVATION REQUIREMENTS.
Funds shall not be released under this Contract for non-exempt activities until the Recipient has satisfied the environmental
review and release of funds requirements set forth in 24 CFR Part 58,"Environmental Review Procedures for the Community
Development Block Grant Program",and summarized in the Iowa Community Development Block Grant Management Guide,
each to the extent applicable to the Program and not in conflict with the Program Rules. In addition,construction contracts for
non-exempt activities shall not be executed and construction shall not begin prior to providing the Authority with documentation
of the Recipient's compliance with Section 106 of the National Historic Preservation Act and 36 CFR Part 800,"Protection of
Historic Properties." The Recipient shall comply with any Programmatic Agreement between the Iowa Economic Development
Authority and the Iowa State Historic Preservation Office,applicable to any activities included in this contract. The Recipient
shall comply with any lead agency agreement between FEMA and IEDA applicable to any activity included in this contract. If a
property is located in an area designated as a special flood hazard area on the most current flood advisory maps of the
Federal Emergency Management Agency(FEMA), additional environmental review must be performed that complies with the
requirements of 24 CFR Part 55 and Executive Order 11988.
7.3 FINANCIAL COMMITMENTS. The Recipient shall have submitted a firm written commitment from each source of
funds to the Project identified in the"Budget Activity'as found in the Recipient's IowaGrants.gov account". Each agreement
shall include the amount,terms, estimated time of contributions, and conditions of the financial commitment,as well as any
schedules. These commitments must be in a form and amount acceptable to the Authority. 1
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7.4 PERMITS AND LICENSES. The Authority reserves the right to withhold funds until the Authority has reviewed and
approved all documents, such as permits or licenses from other local, state or federal agencies,which may be required prior to
Project commencement.
7.5 EXCESSIVE FORCE POLICY. The Authority, prior to release of funds under this Contract, shall review and approve
the Recipient's policy on protecting individuals engaged in nonvblent civil rights demonstrations from the use of excessive
force by law enforcement agencies within its jurisdiction, and enforcing state and local laws against physically barring entrance
to or exit from a facility or location which is the subject of such nonviolent civil rights demonstrations within its jurisdiction,
consistent with the provisions of Section 906 of the National Affordable Housing Act of 1990 and Subsection 104(1)of the
Housing and Community Development Act of 1974, as amended. I
7.6 RESIDENTIAL ANTI/DISPLACEMENT AND RELOCATION ASSISTANCE PLAN APPROVAL The Authority, prior
to release of funds under this Contract,shall review and approve the Recipient's Residential Anti/Displacement and Relocation
Assistance Plan, consistent with the requirements of Section 104(d)of the Housing and Community Development Act of 1974,
as amended.
7.7 RECORDING. The Recipient shall have properly recorded in the appropriate office of the Recorder of Deeds and/or
the Secretary of State any mortgage,security agreement,financing statement,covenants and restrictions,or similar document
required by the Authority under this Contract,with all recording charges paid.
7.8 ADMINISTRATIVE PLAN. The Recipient shall establish a written Administrative Plan that is consistent with the 9
approved Application and in compliance with the Housing Fund Administrative Rules and the required elements of the
Authority's model of the Owner-Occupied Rehabilitation Administrative Plan(as applicable). The release of housing funds
shall be contingent upon the Authority's receipt of the Administrative Plan. The Authority reserves the right to withhold funding a
if it determines that the Recipient's Administrative Plan is not adequate to ensure the operation of the activity in compliance
with the state and Federal requirements.
7.9 SUB-RECIPIENT AGREEMENT. Prior to release of funds under this Contract and prior to the Recipient entering into
a Sub-Recipient Agreement for the administration of this award,the Recipient shall seek and obtain the Authority's review and
approval of the Recipient's proposed Sub-Recipient Agreement(as applicable).
ARTICLE 8
REPRESENTATIONS AND WARRANTIES OF RECIPIENT
To induce the Authority to make the Grant referred to in this Contract,the Recipient represents,covenants and warrants that:
8.1 AUTHORITY. The Recipient is duty authorized and empowered to execute and deliver the Contract. All action on
the Recipient's part,such as appropriate resolution of its governing board for the execution and delivery of the Contract, has
been effectively taken. I
8.2 FINANCIAL INFORMATION. All financial statements and related materials concerning the Project that have been
provided to the Authority are true and correct in all material respects and completely and accurately represent the subject
matter thereof as of the Start Date of the statements and related materials,and no material adverse change has occurred
since that date.
8.3 CLAIMS AND PROCEEDINGS. There are no actions, lawsuits or proceedings pending or,to the knowledge of the
Recipient,threatened against the Recipient affecting in any manner whatsoever their rights to execute this Contract or the
ability of the Recipient to comply with the obligations of this Contract. There are no actions, lawsuits or proceedings at law or
in equity, or before any governmental or administrative authority pending or,to the knowledge of the Recipient,threatened
against or affecting the Recipient or any property involved in the Project.
8.4 PRIOR AGREEMENTS, The Recipient has not entered into any verbal or written contracts,agreements,or
arrangements of any kind,which are inconsistent with the Contract.
8.5 START DATE. The covenants,warranties and representations of this Article are made as of the Start Date of this
Contract and shall be deemed to be renewed and restated by the Recipient at the time of each advance or request for
disbursement of funds.
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ARTICLE 9
COVENANTS OF THE RECIPIENT
9.1 AFFIRMATIVE COVENANTS. Until the Project has been closed out,audited,and approved by IEDA,the Recipient
covenants with IEDA that:
(a) WORK AND SERVICES. The Recipient shall perform work and services detailed in the Attachment A,
Program Description"and the"Budget Activity"as found in the Recipient's IowaGrants.gov account of the Contract
by the End Date.
(b) REPORTS. The Recipient shall prepare,review and sign the requests and reports as specified below in the
form and content specified by the Authority. The Recipient shall review all reimbursement requests and
verify that claimed expenditures are allowable costs. The Recipient shall maintain documentation adequate
to support the claimed costs. The Recipient shall submit Request for Payment at least quarterly for each
"Budget Activity".
REPORT DUE DATE
1. Request for Payment At least every three(3)months
2. Activity Status Reports: Housing beneficiary and As units are completed
unit data, entered on statewide online system,as
-. specified by IEDA.
3. Section 3 Report(f applicable) Submitted annually
4. Updates to the Applicant/Recipient Disclosure As needed due to changes
Report(HUD Disclosure Form 2880) j
5. Outcome Value reported—Annually As specified by IEDA
6. Final request for Payment/Status Report Within 30 days of End Date
7. Single Audit Form (required) Within 30 days of receipt
8. Audit Reports (if applicable) Within 30 days of audit completion
9. Deliverables As specified in Attachment A,"Program Description"
10. Other reports as required by the Authority and As needed
the Program Rules
(c) RECORDS. The Recipient shall maintain books, records,documents and other evidence pertaining to all
costs and expenses incurred and revenues received under this Contract in sufficient detail to reflect all costs,direct
and indirect,of labor, materials,equipment,supplies, services and other costs and expenses of whatever nature,for
which payment is claimed under this Contract, including all costs of acquisition. The Recipient shall maintain all
records of Tenant Income Verifications. The Recipient shall maintain books, records and documents in sufficient
detail to demonstrate compliance with the Contract and shall maintain these materials for a period of five(5)years
beyond the date upon which the final audit of the Project is accepted by IEDA or December 31,2026,whichever is
later. Records for non-expendable property acquired under this Contract shall be retained for a five(5)year period
after the final disposition of property. Records shall be retained beyond the prescribed period if any litigation or audit
is begun or if a claim is instituted involving the Grant or agreement covered by the records. In these instances,the
records shall be retained until the litigation,audit or claim has been finally resolved.
(d) ACCESS TO RECORDS/INSPECTIONS. The Recipient shall,without prior notice and at any time, permit
HUD or its representatives,the General Accounting Office or its representatives,and the Authority, its representatives
or the State Auditor to examine, audit and/or copy(i)any plans and work details pertaining to the Project, (ii)all of the
Recipient's books, records and accounts,and(iii)all other documentation or materials related to this Project;the
Recipient shall provide proper facilities for making such examination and/or inspection.
(e) USE OF GRANT FUNDS. The Recipient shall expend funds received under the Contract only for the
purposes and activities described in the CDBG-NDR National Resilient Disaster Recovery Phase ONE and TWO
Application,this Contract,the"Budget Activity"as found in the Recipient's IowaGrants.gov account,and as approved
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by the Authority.
(f) DOCUMENTATION. The Recipient shall deliver to IEDA,upon request, (i)copies of all contracts or I
agreements relating to the Project, (ii)invoices, receipts,statements or vouchers relating to the Project, (iii)a list of all
unpaid bills for labor and materials in connection with the Project,and(iv)budgets and revisions showing estimated
Project costs and funds required at any given time to complete and pay for the Project.
(g) NOTICE OF PROCEEDINGS. The Recipient shall promptly notify IEDA of the initiation of any claims,
lawsuits or proceedings brought against the Recipient. I
(h) INDEMNIFICATION. The Recipient shall indemnify and hold harmless the Authority, its officers and
employees from and against any and all losses in connection with the Project. In addition,the Recipient shall 3
indemnify and hold harmless the Authority,its officers and employees,from and against any and all losses,accruing 1
or resulting from any and all claims subcontractors,laborers and any other person,firm or corporation furnishing or
supplying work,services, materials or supplies in connection with the performance of this Contract,and from any and
all claims and losses accruing or resulting to any person,firm or corporation who may be injured or damaged by the
Recipient in the performance of this Contract(singularly,a"Vendor"and,collectively,`Vendors' including but not
limited to claims under worker's compensation acts,claims of damages because of bodily injury including personal
injury,sickness or disease, death,injury to or destruction of tangible property inducting but not limited to loss of use
therefrom,and from claims arising out of negligent errors,omissions or acts of the Recipient. The Recipient shall
require that any subrecipient or Vendor provide such indemnification to the Authority in addition to the indemnification
provided by the Recipient.
(i) NOTICE TO AUTHORITY. In the event the Recipient becomes aware of any material alteration in the
Project, initiation of any investigation or proceeding involving the Project,or any other similar occurrence,the ',
Recipient shall promptly notify the Authority. 3
9
Q) CERTIFICATIONS. The Recipient certifies and assures that the Project will be conducted and administered
in compliance with all applicable Federal and State laws, regulations and orders. Certain statutes are expressly
made applicable to activities assisted under the Act by the Act itself,while other laws not referred to in the Act may be
applicable to such activities by their own terms. The Recipient certifies and assures compliance with the applicable
orders, laws and implementing regulations,including but not limited to,the following,as modified by the Program
Rules,all as may hereafter be modified or amended:
() Financial Management guidelines issued by the U.S. Office of Management and Budget,OMB 2
CFR part 200,subpart E.
(ii) Title I of the Housing and Community Development Act of 1974 as amended(42 U.S.C.5301 at
seq.);and regulations which implement these laws.
(ii) Title VI of the Civil Rights Act of 1964 as amended (Public Law 88-352;42 U.S.C.2000d at seq.);
Title VII I of the Civil Rights Ad of 1968 as amended (Public Law 90-284;42 U.S.C.3601 at seq.);the Iowa
Civil Rights Act of 1965; Chapter 196.7,Code of Iowa, and Iowa Executive Order#34, dated July 22, 1988;
Iowa Code Chapter 216, Presidential Executive Order 11063,as amended by Executive Order 12259;
Presidential Executive Order 11246, as amended by Presidential Executive Order 11375;Section 504 of the
Vocational Rehabilitation Act of 1973 as amended(29 U.S.C.794);the.Age Discrimination Act of 1975 as
amended (42 U.S.C.6101 at seq.);the Americans with Disabilities Act,as applicable, (P. L. 101-336,42
U.S.C. 12101-12213);and related Civil Rights and Equal Opportunity statutes; and regulations which
implement these laws.
(iv) Fair Housing Act, Public Law 90-284. The Fair Housing Act is part of Title VIII of the Civil Rights
Act of 1968 as amended(42 U.S.C.3601 at seq.); Section 109 of the Title I of the Housing and Community
Development Act of 1974, as amended;Section 3 of the Housing and Urban Development Act of 1968 as
amended(12 U.S.C. 1701u);and regulations which implement these laws. 1
z
(v) Department of Housing and Urban Development regulations goveming the CDBG program,24
Code of Federal Regulations, Part 570.
(vi) Section 102 of the Department of Housing and Urban Development Reform Act of 1989(P.L.
101-235),and implementing regulations.
(vii) Requirements for the Notification, Evaluation,and Reduction of Lead-Based Paint Hazards in
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Federally Owned Residential Property and Housing Receiving Federal Assistance; Final Rule(24 CFR Part
35, et a[.) .); Lead Based Paint Poisoning Prevention Act(42 U.S.C.4821 -4846), as amended,and
implementing regulations.
(viii) Davis-Bacon Act, as amended(40 U.S.C.276a-276a-5),where applicable under Section 110 of
the Housing and Community Development Act of 1974,as amended; Contract Work Hours and Safety
Standards Act(40 U.S.C. 327 at seq.); the Copeland Anti-Kickback Act(18 U.S.C.874);and regulations
which implement these laws.
(ix) National Environmental Policy Act of 1969 and implementing regulations.
(x) Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended,
(URA)(42 U.S.C.4601 -4655)and implementing regulations;Section 104(d)of the Housing and Community
Development Act of 1974, as amended,governing the residential anti-displacement and relocation
assistance plan;and Section 105(a)(11)of the Housing and Community Development Act of 1974,as
amended,governing optional relocation assistance. V
(A) Financial and Program Management guidelines issued by the Iowa Economic Development 7
Authority;the CDBG Management Guide and the IEDA Audit Guide. 9y
(xiii) Government-wide Restriction on Lobbying Certification[Section 319 of Public Law 101-121]and
implementing regulations.
(xiii) Fair Labor Standards Act and implementing regulations. --
()iv) Hatch Act(regarding political partisan activity and federally funded activities)and implementing
regulations.
(xiv) Citizen participation, hearing and access to information requirements found under sections
104(a)(2)and 104(a)(3)of Title I of the Housing and Community Development Act of 1974,as amended.
(xvi) Subsection 104(1)of Title I of the Housing and Community Development Act of 1974,as amended,
regarding the prohibition of the use of excessive force in nonviolent civil rights demonstrations and the
enforcement of state and local laws on barring entrance to or exit from facilities subject to such
demonstrations.
(xviii) Drug-Free Workplace Act.
(k) MAINTENANCE OF PROJECT PROPERTY AND INSURANCE. The following provision shall apply to the
project as appropriate. The Recipient and any subrecipient shall maintain the Project property in good repair and
condition, ordinary wear and tear excepted,and shall not suffer or commit waste or damage upon the Project
property. The Recipient or subrecipient shall pay for and maintain insurance as is customary in its industry. This
insurance shall be in an amount not fess than the full insurable value of the Project property. The subrecipient shall
name the Recipient and Authority as mortgagees and/or an additional loss payees,as appropriate. The Recipient
shall name the Authority as a mortgagee and/or an additional loss payee, as appropriate. The Recipient or
subrecipient shall maintain copies of the policies as appropriate.
9.2 NEGATIVE COVENANTS. During the Contract term the Recipient covenants with the Authority that it shall not,
without the prior written disclosure to and prior written consent of the Authority, directly or indirectly:
(a)' ASSIGNMENT. Assign its rights and responsibilities under this Contract.
(c) ADMINISTRATION. Discontinue administration activities under the Contract.
ARTICLE 10
DEFAULT AND REMEDIES
10.1 EVENTS OF DEFAULT. The following shall constitute Events of Default under this Contract:
(a) MATERIAL MISREPRESENTATION. If at any time any representation,warranty or statement made or
furnished to the Authority by,or on behalf of the Recipient in connection with this Contract or to induce the Authority
to make the Grant to the Recipient shall be determined by the Authority to be incorrect,false, misleading or
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erroneous in any material respect when made or furnished and shall not have been remedied to the Authority's
satisfaction within thirty(30)days after written notice by the Authority is given to the Recipient.
(b) NONCOMPLIANCE. If there is a failure by the Recipient to comply with any of the covenants,terms or
conditions contained in this Contract.
(c) END DATE. If the Project, in the sole judgment of the Authority, is not completed on or before the End Date.
(d) MISSPENDING. If the Recipient expends Grant proceeds for purposes not described in the CDBG-NDR
National Resilient Disaster Recovery Phase ONE and TWO application,this Contract, or as authorized by the
Authority.
(e) INSURANCE. If loss,theft,damage, or destruction of any substantial portion of the property of the
Recipient occurs for which there is either no insurance coverage or for which, in the opinion of the Authority,there is
insufficient insurance coverage.
(f) LACK OF AFFORDABILITY. If the Recipient,fails to maintain affordability of the Project,as set forth in
Section 5.3,for the Term of Affordability.
Y
(g) BUSINESS CHANGES. If there is a material change in the ownership,structure or control of the Recipient
which occurs without the prior written disclosure to and if required,written permission of the Authority.
(h) ABANDONMENT. If the Recipient abandons the Property(ies) assisted under the Contract.
(i) INSECURITY. If the Authority in good faith deems itself insecure and reasonably believes,after
consideration of all the facts and circumstances then existing,that the satisfaction of the obligations under this !
Contract, or the performance of or observance of the covenants in this Contract, or the value of its collateral is or will
be materially impaired.
Q) FAILURE TO PROVIDE ENFORCEMENT. If the Recipient has failed to provide an appropriate means of
enforcement for a Project.
10.2 NOTICE OF DEFAULT. In the event of default, IEDA shall issue a written notice of default providing therein a fifteen
(15) day period in which the Recipient shall have an opportunity to cure, provided that cure is possible and feasible.
10.3 REMEDIES UPON DEFAULT. If,after opportunity to cure,the default remains, IEDA shall have the right,in addition
to any rights and remedies available to it,to do one or more of the following:
(a) exercise any remedy provided by law,
(b) require immediate repayment of up to the full amount of funds disbursed to the Recipient under this Contract
plus interest.
10.4 FAILURE TO MEET PERFORMANCE TARGETS. If the Recipient is determined by the Authority to be in default of
this Contract due to meeting less than one hundred percent(100%)of its Performance Targets,the Authority may require full
repayment of the Grant or,at its discretion,the Authority may require partial repayment of the Grant which allows partial credit
for the performance targets which have been met,or the Authority may require other remedies that the Authority determines to
be appropriate. Performance targets include income targeting and affordability requirements as required by Federal law and
regulation. .
ARTICLE 11
INCORPORATED DOCUMENTS
11.1 DOCUMENTS INCORPORATED BY REFERENCE. The Recipient shall comply with the terms and conditions of the
following documents that are hereby incorporated by reference:
(a) Attachment A,"Program Description"and the"Budget Activity"as found in the Recipient's IowaGrants.gov
account.
(b) Attachment B,"CDBG-NDR National Resilient Disaster Recovery Phase ONE and TWO Application"as
found on the Authority's website at www.iowaeconomicdevelopment.com/Community/NDR.
(c) Attachment C,"CDBG Program General Provisions,"dated February 24,2016.
(d) "Iowa Community Development Block Grant Management Guide",as found on the Authority's website at
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www.iowaeconomiodevelopment.com/Community/CDBG.
(e) Future HUD Guidance related to reporting program metrics and long-term commitments as stated in Iowa's
NOR Phase Two application as applicable.To be found on the Authority's website at
www.lowaeconomiodeveloi)ment.com/CommunWCDBO when made available by HUD.
(f) Attachment D, "Bee Branch Healthy Homes Resiliency Program Guidelines'.
11.2 ORDER OF PRIORITY. In the event of a conflict between documents of this Contract,the following order of priority
shall govem:
(a) Articles 1 through 12 herein.
(b) Attachment C, "CDBG Program General Provisions,"dated February 24,2016-
(c) Attachment A, "Program Description'and the"Budget Activity'as found in the Recipient's IowaGrants.gov
account.
(d) Attachment B, `CDBG-NDR National Resilient Disaster Recovery Phase ONE and TWO Application"as
found on the Authority's website at www.iowaeGonomicdevelopment.com/Community/NDR.
(e) "Iowa Community Development Block Grant Management Guide',as found on the Authority's website at
www.lowaeconomiedevelopment.com/Communftv/CDBG.
(f) Future HUD Guidance related to reporting program metrics and long-term commitments as stated in Iowa's
NDR Phase Two application as applicable.To be found on the Authority's website at
www.iowaeconomicdevelopment.com/Community/CDBG when made available by HUD.
(g) Attachment D,`Bee Branch Healthy Homes Resiliency Program Guidelines'.
11.3 SUPERSEDING AUTHORITY. Notwithstanding-any provision herein to the contrary, in the event-any-provision of
this Contract, including any Attachments,conflicts with any of the Program Rules, each conflicting provision shall be of no
force and effect,and the Program Rules shall apply in lieu thereof as though fully set forth herein.
ARTICLE 12
MISCELLANEOUS pti
12.1 LIMIT ON PROCEEDS OF ON HAND. The Recipient shall request funds only as needed and shall not have more g
than five hundred dollars($500.00)of proceeds of the Grant,including earned interest,on hand for a period of longer than ten
(10)working days, after which time any surplus amount shall be returned to the Authority. 8
12.2 BINDING EFFECT. This Contract shall be binding upon and shall inure to the benefit of the Authority and Recipient
and their respective successors, legal representatives and assigns. The obligations,covenants,warranties,
acknowledgments,waivers,agreements,terms, provisions,and conditions of this Contract shall be jointly and severally
enforceable against the parties to this Contract.
12.3 SURVIVAL OF CONTRACT. If any portion of this Contract is held to be invalid or unenforceable,the remainder shall
be valid and enforceable. The provisions of this Contract shall survive the execution of all instruments herein mentioned and
shall continue in full force until the Project is completed as determined by the Authority.
12.4 GOVERNING LAW. This Contract shall be interpreted in accordance with the laws of the State of Iowa,and any
action relating to the Contract shall only be commenced in the Iowa District Court for Polk County or the United States District
Court for the Southern District of Iowa.
12.5 NOTICES. Whenever this Contract requires or permits any funding request, notice, report,or written request by one
party to another, it shall be in delivered through IowaGrants.gov.Alternately the Authority may rely on the United States Mail
as the Authority deems appropriate.Any such notice given hereunder shall be deemed delivered upon the earlier of actual
receipt or Nvo(2) business days after posting. The Authority may rely on the address of the Recipient set forth heretofore,as I
modified from time to time,as being the address of the Recipient. I
12.6 WAIVERS. No waiver by the Authority of any default hereunder shall operate as a waiver of any other default or of
the same default on any future occasion. No delay on the part of the Authority in exercising any right or remedy hereunder
shall operate as a waiver thereof. No single or partial exercise of any right or remedy by the Authority shall preclude future
exercise thereof or the exercise of any other right or remedy.
12.7 LIMITATION. It is agreed by the Recipient that the Authority shall not, under any circumstances, be obligated
financially under this Contract except to disburse funds according to the terms of the Contract.
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12.8 HEADINGS. The headings in this Contract are intended solely for convenience of reference and shall be given no
effect in the construction and interpretation of this Contract.
12.9 INTEGRATION. This Contract contains the entire understanding between the Recipient and the Authority and any
representations that may have been made before or a'terthe signing of this Contract,which are not contained herein,are
nonbinding,void and of no effect. None of the parties has relied on any such prior representation in entering into this Contract.
12.10 COUNTERPARTS. This Contract may be executed in any number of counterparts,each of which shall be deemed to
be an original,but all of which together shall constitute but one and the same instrument.
12.11 IOWAGRANTS.GOV.The Authority reserves the right to require the Recipient to utilize the IowaGrants.gov system
to conduct business associated with this Contract.
12.13 TIME IS OF THE ESSENCE. Time is of the essence with respect to the performance of the terms of the Contract
and Related Documents.
IN WITNESS WHEREOF,the parties have executed this Contract as of the START DATE first stated.
RECIPIENT: City of Dubuque
BY:
Roy Buol, Mayor
50 West 13th St. S
Second Floor
Dubuque, IA 52001 -
3
3
IOWA ECONOMIC DEVELOPMENT AUTHORITY: "
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BY: j
Timothy R.Waddell, Division Administrator 3
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ATTACHMENTA f
"PROGRAM DESCRIPTION"
The following"Program Description'is incorporated into the recipient's iowaGrants.gov account. Cost projections and tasks
per quarter considered a starting point.Future modifications to be requested through IowaGrants.gov.
City of Dubuque Housing
(971-01) Rehab: Single-Unit Residential Deliverables
Homeowner Rehabilitation 188#of units
(733-01) Rehab: Single-Unit Residential 28#of units
Rental Residential
Rehabilitation 77
(734-01) Rehab: Multi-Unit Residential 104#of units
Multi-Family Housing
w
c
The City of Dubuque experienced severe flooding in July 2011, causing substantial damage, especially in the
historic Bee Branch Creek Watershed. The Bee Branch Healthy Homes Resiliency Program addresses unmet
recovery needs from the 2011 flooding event. g
✓ 79�
. :'�.,. ' .—.«K tCb,"� I ¢2 ,":':;, i�� . - R'r 4 e'.`t,'�� �,:• �:� � 'f. A,m:�'Y
(311-01) Economic Stabilize the property values of the homes w th installed resiliency measures.
Documented through annual repo ting of home values, due to IEDA by October 15 of
each year. j
(311-02) Environmental Reduce the number of asthma related visits to school nurse in elementary schools in the
project area. Due to IEDA by December 3181 of each year.
(311-03) Resilience 320 homes with resiliency measures installed such as foundation repairs, mold and
mildew remediation, sump pumps and others to advance the seven principles of a
healthy home. Documented on claims as homes are competed.
(311-04) Social Home advocates provide educational material and work with residents to complete 107
resiliency surveys. Documented on claims as consultations are completed.
(971-01) Rehab: Single-Unit Residential $4,951,253
- Homeowner Rehabilitation
(733-01) Rehab: Single-Unit Residential Rental $737,421
- Residential Rehabilitation
(734-01) Rehab: Mufti-Unit Residential $2,738,991 i
- Multi-Family Housing
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Quarter 1
Units Budget Expenses
Admin Qtrly Expenses $ 12,434
Units completed this Qtr 0 Program Cost per Quarter $ -
Lead/HH Leverage Projects 0 Lead/HH Leverage Dollars $ -
Units Completed To Date 0 Total Expenditures to Date $ 12,434
Quarter 2
Units Budget Expenses
Admin Qtrly Expenses $ 12,434
Units completed this Qtr 1 Program Cost per Quarter $ 26,337
Lead/HH Leverage Projects 1 Lead/HH Leverage Dollars $ 16,000
Units Completed To Date 1 Total Expenditures to Date $ 67,205
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Quarter 3
Units Budget Expenses i
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 6 Program Cost per Quarter $ 158,022
Lead/HH Leverage Projects 2 Lead/HH Leverage Dollars $ 32,000
Units Completed To Date 7 Total Expenditures to Date $ 282,096
Quarter 4
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 20 Program Cost per Quarter $ 526,740
Lead/HH Leverage Projects 4 Lead/HH Leverage Dollars $ 64,000
Units Completed To Date 27 Total Expenditures to Date $ 897,704
Quarters
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 25 Program Cost per Quarter $ 658,425
Lead/HH Leverage Projects 4 Lead/HH Leverage Dollars $ 64,000
Units Completed To Date 52 Total Expenditures to Date $ 1,644,997 I
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Quarter 6
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 15 Program Cost per Quarter $ 395,055
Lead/HH Leverage Projects 3 Lead/HH Leverage Dollars $ 48,000
Units Completed To Date 67 Total Expenditures to Date $ 2,112,921
Quarter
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 10 Program Cost per Quarter $ 263,370
Lead/HH Leverage Projects 1 Lead/HH Leverage Dollars $ 16,000
Units Completed To Date 77 Total Expenditures to Date $ 2,417,159
1g1g1g�
Quarter
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 20 Program Cost per Quarter $ 526,740
Lead/HH Leverage Projects 4 Lead/HH Leverage Dollars $ 64,000
Units Completed To Date 97 Total Expenditures to Date $ 3,032,768
Quarter
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 25 Program Cost per Quarter $ 658,425
Lead/HH Leverage Projects 3 Lead/HH Leverage Dollars $ 48,000
Units Completed To Date 122 Total Expenditures to Date $ 3,764,061
Quarter 10
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 15 Program Cost per Quarter $ 395,055 #
Lead/HH Leverage Projects 3 Lead/HH Leverage Dollars $ 48,000
Units Completed To Date 137 Total Expenditures to Date $ 4,231,984
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Quarter 11
Units Budget Expenses
Admin Qtdy Expenses $ 24,868
Units completed this Qtr 10 Program Cost per Quarter $ 263,370
Lead/HH Leverage Projects 0 Lead/HH Leverage Dollars $ _
Units Completed To Date 147 Total Expenditures to Date $ 4,520,223
Quarter 12
Units Budget Expenses
Admin Qtrly Expenses $ 24,868 PPP
Units completed this Qtr 14 Program Cost per Quarter $ 368,718
Lead/HH Leverage Projects 0 Lead/HH Leverage Dollars $ _
Units Completed To Date 161 Total Expenditures to Date $ 4,913 809
Quarter la
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 20 Program Cost per Quarter $ 526,740
Lead/HH Leverage Projects 0 Lead/HH Leverage Dollars $
Units Completed To Date 181 Total Expenditures to Date $ 5,465,418
Quarter 14
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 20 Program Cost per Quarter $ 526,740
Lead/HH Leverage Projects 0 Lead/HH Leverage Dollars $ _
Units Completed To Date 201 Total Expenditures to Date $ 6,017,026
Quarter 15
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 20 Program Cost per Quarter $ 526,740
Lead/HH Leverage Projects 0 Lead/HH Leverage Dollars $ -
Units Completed To Date 221 Total Expenditures to Date $ 6,568,635
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Contract Number 13-NDRH-001
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t
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E
Quarter 16
a
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 20 Program Cost per Quarter $ 526,740
Lead/HH Leverage Projects 0 Lead/HH Leverage Dollars $ -
Units Completed To Date 241 Total Expenditures to Date $ 7,120,243
Quarter 17
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 25 Program Cost per Quarter $ 658,425
Lead/HH Leverage Projects 0 Lead/HH Leverage Dollars $ -
Units Completed To Date 266 Total Expenditures to Date $ 7,803,536
3
Quarter 18
Units Budget Expenses k
Admin Qtrly Expenses $ 24,868 4p
Units completed this Qtr 23 Program Cost per Quarter $ 605,751
Lead/HH Leverage Projects 0 Lead/HH Leverage Dollars $ -
Units Completed To Date 289 Total Expenditures to Date $ 8,434,156
Quarter 19
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 31 Program Cost per Quarter $ 816,272
Lead/HH Leverage Projects 0 LeadlHH Leverage Dollars $ -
Units Completed To Date 320 Total Expenditures to Date $ 9,275,296
Quarter 20
Units Budget Expenses
Admin Qtrly Expenses $ 24,868
Units completed this Qtr 0 Program Cost per Quarter $ -
Lead/HH Leverage Projects 0 Lead/HH Leverage Dollars $ -
Units Completed To Date 320 Total Expenditures to Date $ 9,300,165
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Contract Number 13-NDRH-001
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ATTACHMENT C
GENERAL PROVISIONS
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
October 4,2016
1.0 AMENDMENT.
(a) WRITING REQUIRED. The Contract may only be amended through written prior approval of the Authority
through IowaGrants.gov. Examples of situations where amendments are required include extensions for completion
of Project activities, changes to the Project including,but not limited to,alteration of existing approved activities or
inclusion of new activities.
(b) UNILATERAL MODIFICATION. Notwithstanding paragraph"a"above,the Authority may unilaterally modify
the Contract at will in order to accommodate any change in the Act or any change in the interpretation of the Act or
any applicable Federal, State or local laws,regulations. rules or policies.A copy of such unilateral modification will be
given to the Recipient as an amendment to this Contract.
(c) AUTHORITY REVIEW. The Authority will consider whether an amendment request is so substantial as to
necessitate reevaluating the Authority's original funding decision on the Project. An amendment will be denied if it
substantially alters the circumstances under which the Project funding was originally approved or if it conflicts with the
Program Rules.
2.0 AUDIT REQUIREMENTS.
(a) SINGLE AUDIT. The Recipient shall ensure that an audit is performed in accordance with the Single Audit
Act Amendment of 1996;OMB 2 CFR part 200,subpart E;and OMB 2 CFR part 200,subpart F,as applicable,and
the Iowa CID BG Management Guide.
(b) ADDITIONAL AUDIT. As a condition of the grant to the Recipient,the Authority reserves the right to require
the Recipient to submit to a post Project completion audit and review in addition to the audit required above.
3.0 COMPLIANCE WITH LAWS AND REGULATIONS. The Recipient shall comply with all applicable State and Federal
laws, rules, ordinances, regulations and orders including all Federal laws and regulations described in 24 CFR subpart K.
4.0 UNALLOWABLE COSTS. If the Authority determines at any time,whether through monitoring, audit,closeout
procedures or by other means or process,that the Recipient has expended funds which are unallowable,the Recipient will be
notified of the questioned costs and given an opportunity to justify questioned costs prior to the Authority's final determination
of the disallowance of costs. Appeals of any determinations will be handled in accordance with the provisions of Chapter 17A, 9
Iowa Code. If it is the Authority's final determination that costs previously paid by the Authority are unallowable under the
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terms of the Contract,the expenditures will be disallowed and the Recipient shall repay to the Authority any and all disallowed
costs. Real property under the Recipient's control in excess of$25,000 and equipment that was acquired or improved in 9
whole or in part with CDBG-NDR funds shall be used to meet one of the National Objectives pursuant to 24 CFR 570.208 until I
five(5)years after expiration of the Agreement. if Recipient fails to use CDBG-NDR assisted real property that meets a
National Objective during the five (5)year period the Recipient shall pay IEDA an amount equal to the current fair market value
of the property less any portion of the value attributable to expenditures of non-CDBG-NDR funds for acquisition or
improvement to the real property.
5.0 PROGRAM INCOME. All program income, as defined in 2 CFR part 200,subpart E and 24 CFR 570.489,shall be
added to the Project"Budget Activity"and used tofurther eligible Project objectives as defined in the Contract and the"Budget
Activity"in the CDBG-NDR Application. Program income not used to further Project objectives will be deducted from the total
Project"Budget Activity"for the purpose of determining the amount of reimbursable costs under the Contract. In cases of
dispute, final decisions regarding the definition or disposition of program income shall be made by the Authority.
6.0 INTEREST EARNED. To the extent that interest is earned on advances of CDBG-NDR funds,this interest shall be
returned to the Authority,except that the Recipient may keep interest amounts of up to$100 per year for administrative
expenses.
7.0 SUSPENSION. When the Recipient has failed to comply with the Contract,award conditions or standards,the
Authority may,on reasonable notice to the Recipient,suspend the Contract and withhold future payments,or prohibit the
Recipient from incurring additional obligations of CDBG-NDR funds. Suspension may continue until the Recipient completes
the corrective action as required by the Authority.The Authority may allow such necessary and proper costs which the
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Recipient could not reasonably avoid during the period of suspension provided the Authority concludes that such costs meet
the provisions of HUD regulations issued pursuant to OMB 2 CFR part 200,subpart E. {{
8.0 TERMINATION.
(a) FOR CAUSE. The Authority may terminate the Contract in whole,or in part,whenever the Authority
determines that the Recipient has failed to comply with the terms and conditions of the Contract.
(b) FOR CONVENIENCE. The Parties may terminate the Contract in whole, or in part,when all parties agree
that the continuation of the Project would not produce beneficial results commensurate with the future disbursement
of funds.
(c) DUE TO REDUCTION OR TERMINATION OF CDBG-NDR FUNDING. At the discretion of the Authority,
the Contract may be terminated in whole,or in part, if there is a reduction or termination of CDBG-NDR Federal block
grant funds to the State. i
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9.0 PROCEDURES UPON TERMINATION.
(a) NOTICE. The Authority shall provide written notice to the Recipient of the decision to terminate,the
reason(s)for the termination, and the effective date of the termination. If there is a partial termination due to a
reduction in funding,the notice will set forth the change in funding and the changes in the approved"Budget Activity".
The Recipient shall not incur new obligations beyond the effective date and shall cancel as many outstanding
obligations as possible. The Authority's share of noncancellable obligations which the Authority determines were
properly incurred prior to notice of cancellation will be allowable costs. 1
(b) RIGHTS IN PRODUCTS. All finished and unfinished documents,data, reports or other material prepared by
the Recipient under the Contract shall,at the Authoritys option, become the property of the Authority. X11
3
(c) RETURN OF FUNDS. The Recipient shall return to the Authority all unencumbered funds within one week
of receipt of the notice of termination.Any costs previously paid by the Authority which are subsequently determined
to be unallowable through audit,monitoring,or closeout procedures,shall be returned to the Authority within thirty(30)
days of the disallowance.
10.0 ENFORCEMENT EXPENSES. The Recipient shall pay upon demand any and all reasonable fees and expenses of
the Authority,including the fees and expenses of its attorneys, experts and agents, in connection with the exercise or i
enforcement of any of the rights of the Authority under this Contract.
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11.0 INDEMNIFICATION. The Recipient shall indemnify and hold harmless the Authority,its officers and employees,from
and against any and all losses,accruing or resulting from any and all claims subcontractors, laborers and any other person,
firm or corporation furnishing or supplying work,services,materials or supplies in connection with the performance of this fff
Contract,and from any and all claims and losses accruing or resulting to any person,firm or corporation who may be injured or I
damaged by the Recipient in the performance of this Contract.
12.0 CONFLICT OF INTEREST.
(a) GENERAL. Except for the use of CDBG-NDR funds to pay salaries and other related administrative or
personnel costs, no persons identified in paragraph(b) below who exercise or have exercised any functions or
responsibilities with respect to CDBG-NDR 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 personal or financial interest or
benefit from a CDBG-NDR assisted activity or have an interest in any contract, subcontract or agreement with respect
thereto,or the proceeds thereunder,either for themselves or those with whom they have family or business ties,
during their tenure or for one year thereafter.
(b) PERSONS COVERED. The conflict of interest provisions described above apply to any person who is an
employee,agent, consultant, officer,or elected or appointed official of the Recipient, or of any designated public
agencies, or subrecipients which are receiving CDBG-NDR funds.
(c) CONFLICTS OF INTEREST. Chapter 68B, Code of Iowa,the"Iowa Public Officials Act',shall be adhered
to by the Recipient, its officials and employees.
13.0 USE OF DEBARRED SUSPENDED,OR INELIGIBLE CONTRACTORS OR SUBRECIPIENTS. CDBG-NDR funds
shall not be used directly or indirectly to employ, award contracts to, or otherwise engage the service of,or fund any contractor
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or subrecipient during any period of debarment,suspension, or placement in ineligible status under the provisions of 24 CFR
Part 24 or any applicable law or regulation of the Department of Labor.
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14.0 CIVIL RIGHTS.
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(a) DISCRIMINATION IN EMPLOYMENT. The Recipient shall not discriminate against any qualified employee 1
or applicant for employment because of race, color,religion,sex, national origin,age,sexual orientation,gender
identity,familial status, physical or mental disability. The Recipient may take affirmative action to ensure that
applicants are employed and that employees are treated without regard to their race,color, religion, sex, national
origin, age,sexual orientation,familial status, gender identity,or physical or mental disability. Such action shall
include, but may not be limited to,the following:employment, upgrading, promotion,demotion or transfers; j
recruitment or recruitment advertising;lay-off or termination; rates of pay or other forms of compensation;and
selection for training, including an apprenticeship. The Recipient agrees to post notices setting forth the provisions of
the nondiscrimination clause in conspicuous places so as to be available to employees.Upon the State's written t
request,the Recipient shall submit to the State a copy of its affirmative action plan, containing goals and time Q
specifications,and accessibility plans and policies as required under Iowa Administrative Code chapter 11-121.
(b) CONSIDERATION FOR EMPLOYMENT. The Recipient shall, in all solicitations or advertisements for
employees placed by or on behalf of the Recipient,state that all qualified applicants will receive consideration for
employment without regard to race,color, religion,sex,national origin,age,sexual orientation,gender identity,
physical or mental disability,or familial status.
(c) SOLICITATION AND ADVERTISEMENT. The Recipient shall list all suitable employment openings in the
State Employment Service local offices.
(d) CIVIL RIGHTS COMPLIANCE IN EMPLOYMENT. The Recipient shall comply with all relevant provisions of
the Iowa Civil Rights Act of 1965 as amended; Chapter 198.7 and Chapter 216, Code of Iowa; Federal Executive 3
Order 11246, as amended; Title VI of the U.S.Civil Rights Act of 1964 as amended(42 U.S.C.Section 2000d et
seq.);the Fair Labor Standards Act(29 U.S.C. Section 201 at seq.);The Americans with Disabilities Act,as
applicable, (P.L.101336,42 U.S.C. 12101-12213);Section 504 of the Rehabilitation Act of 1973 as amended(29
U.S.C.Section 794);and the Age Discrimination Act of 1975 as amended(42 U.S.C. Section 6101 at seq.). The
Recipient will fumish all information and reports requested by the State of Iowa or required by or pursuant to the rules
and regulations thereof and will permit access to payroll and employment records by the State of Iowa to investigate
compliance with these rules and regulations.
(e) CERTIFICATION REGARDING GOVERNMENT-WIDE RESTRICTION ON LOBBYING. The Recipient
certifies,to the best of his or her knowledge and belief,that:
() No Federal appropriated funds have been paid or will be paid, by or on behalf of the Recipient,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
awarding any Federal contract, making any Federal grant, making any Federal loan,entering into any
cooperative agreement,and the extension,continuation, renewal, amendment,or modification of any
Federal contract,grant, loan,or cooperative agreement.
(ii) If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency,a Member of Congress,an
officer or employee,or an employee of a Member of Congress in connection with this Federal contract,
grant,loan,or cooperative agreement,the Recipient shall complete and submit Standard Form-LLL,
"Disclosure Form to Report Federal Lobbying"in accordance with its instruction.
(iii) The Recipient shall require that the language 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.
(iv) 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. Code. 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.
(f) PROGRAM NONDISCRIMINATION. The Recipient shall conform with requirements of Title VI of the Civil
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Rights Act of 1964 (42 U.S.C.2000d at seq.)and HUD regulations issued pursuant thereto contained in 24 CFR Part
1. No person in the United States shall,on the basis of race, color, national origin,sex or religion or religious I
affiliation, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any B
program or activity funded in whole or in part with funds made available through this Contract. Any prohibition
against discrimination on the basis of age under the Age Discrimination Act of 1975(42 U.S.C.6101 et. seq.)or with
respect to an otherwise qualified individual with a disability as provided in the Americans with Disabilities Act,as
applicable, (P.L. 101 336,42 U.S.C. 12101 12213)or Section 504 of the Rehabilitation Act of 1973(29 U.S.C.
Section 794)shall also apply to any such program or Project. I
(g) FAIR HOUSING. The Recipient shall comply with Title VIII of the Civil Rights Act of 1968(42 U.S.C.3601 at
seq.),generally known as the Fair Housing Act,and with HUD regulations found at 24 CFR Part 107,issued in
compliance with Federal Executive Order 11063,as amended by Federal Executive Order 12259. The recipient shall
also comply with Section 109,Title I of the Housing and Community Development Act of 1974,as amended.
(h) SECTION 3 COMPLIANCE. The Recipient shall comply with provisions for training,employment,and
contracting in accordance with 24 CFR part 135, Section 3 of the Housing and Urban Development Act of 1968 (12
U.S.C. 1701 u). All section 3 covered contracts shall include the following clause(referred to as the section 3 clause):
A.The work to be performed under this contract is subject to the requirements of section 3 of the Housing
and Urban Development Act of 1968, as amended, 12 U.S.C. 1701 u(section 3).The purpose of section 3 is
to ensure that employment and other economic opportunities generated by HUD assistance or HUD-
assisted projects covered by section 3, shall,to the greatest extent feasible,be directed to low-and very
low-income persons,particularly persons who are recipients of HUD assistance for housing.
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B.The parties to this contract agree to comply with HUD's regulations in 24 CFR part 135,which implement
section 3.As evidenced by their execution of this contract,the parties to this contract certify that they are
under no contractual or other impediment that would prevent them from complying with the part 135
regulations.
C.The contractor agrees to send to each labor organization or representative of workers with which the
contractor has a collective bargaining agreement or other understanding,if any,a notice advising the labor
organization or workers' representative of the contractor's commitments under this section 3 clause, and will
post copies of the notice in conspicuous places at the work site where both employees and applicants for
training and employment positions can see the notice.The notice shall describe the section 3 preference,
shall set forth minimum number and job titles subject to hire,availability of apprenticeship and training
positions,the qualifications for each; and the name and location of the person(s)taking applications for each
of the positions;and the anticipated date the work shall begin.
D.The contractor agrees to include this section 3 clause in every subcontract subject to compliance with
regulations in 24 CFR part 135,and agrees to take appropriate action,as provided in an applicable provision
of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in violation of the
regulations in 24 CFR part 135.The contractor will not subcontract with any subcontractor where the
contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in
24 CFR part 135.
E.The contractor will certify that any vacant employment positions, including training positions,that are filled
(1) after the contractor is selected but before the contract is executed,and(2)with persons other than those
to whom the regulations of 24 CFR part 135 require employment opportunities to be directed,were not filled
to circumvent the contractor's obligations under 24 CFR part 135.
i
F. Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions,termination of this
contract for default, and debarment or suspension from future HUD assisted contracts.
G.With respect to work performed in connection with section 3 covered Indian housing assistance,section
7(b)of the Indian Self-Determination and Education Assistance Act(25 U.S.C.450e)also applies to the
work to be performed under this contract. Section 7(b)requires that to the greatest extent feasible(i)
preference and opportunities for training and employment shall be given to Indians,and (ii)preference in the
award of contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic
Enterprises. Parties to this contract that are subject to the provisions of section 3 and section 7(b)agree to
comply with section 3 to the maximum extent feasible, but not in derogation of compliance with section 7(b).
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(i) NONCOMPLIANCE WITH THE CIVIL RIGHTS LAWS. In the event of the Recipient's noncompliance with
the nondiscrimination clauses of this Contract or with any of the aforesaid rules, regulations,or requests,this
Contract may be canceled,terminated, or suspended either wholly or in part. In addition,the State of Iowa may take
further action, imposing other sanctions and invoking additional remedies as provided by the Iowa Civil Rights Act of
1965(Chapter 216, Code of Iowa)or as otherwise provided by law.
Q) INCLUSION IN SUBCONTRACTS. The Recipient will include the provisions of the preceding paragraphs of
Section 14 in every subcontract unless exempt by the State of Iowa,and said provisions will be binding on each
subcontractor. The Recipient will take such action with respect to any subcontract as the State of Iowa may direct as
a means of enforcing such provisions,including sanctions for noncompliance. In the event the Recipient becomes
involved in or is threatened by litigation with a subcontractor or vendor as a result of such direction by the State of
Iowa,the Recipient may request the State of Iowa to enter into such litigation to protect the interests of the State of 7
Iowa.
15.0 POLITICAL ACTIVITY. No portion of program funds shall be used for any partisan political activity or to further the
election or defeat of any candidate for public office. Neither the program nor the funds provided therefore,nor the personnel
employed in the administration of this Contract,shall be in any way or to any extent engaged in the conduct of political
activities in contravention of The Hatch Act(5 U.S.C. 15).
16.0 LIMIT ON RECOVERY OF CAPITAL COSTS. The Recipient will not attempt to recover any capital costs of public
improvements assisted in whole or part under this Contract by assessing any amount against properties owned and occupied
by persons of low and moderate income, including any fee charged or assessment made as a condition of obtaining access to
such public improvements, unless(i)funds received under this Contract are used to pay the proportion of such fee or u
assessment that relates to the capital.costs of such public improvements that are financed from revenue sourcesother than 3
under Title I of the Housing and Community Development Act of 1974,as amended,or(ii)for purposes of assessing any
amount against properties owned and occupied by persons of low and moderate income who are not persons of very low
income,the Recipient has certified to the Authority that it lacks sufficient funds received under Title I of the Housing and
Community Development Act of 1974, as amended,to comply with the requirements of clause(i)above.
17.0 FEDERAL GOVERNMENT RIGHTS. If all or a portion of the funding used to pay for the Deliverables is being
provided through a grant from the Federal Government, Contractor acknowledges and agrees that pursuant to applicable
federal laws, regulations,circulars and bulletins,the awarding agency of the Federal Government reserves certain rights
including,without limitation a royalty-free, non-exclusive and irrevocable license to reproduce, publish or otherwise use,and to
authorize others to use,for Federal Government purposes,the Deliverables developed under this Contract and the copyright
in and to such Deliverables.
18.0 IOWA ECONOMIC DEVELOPMENT AUTHORITY FRAUD AND WASTE POLICY. The Authority has zero tolerance
for the commission or concealment of acts of fraud,waste,or abuse.Allegations of such acts will be investigated and pursued
to their logical conclusion,including legal action where warranted.
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Contract Number 13-NDRH-001
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ATTACHMENT D - 1
Bee Branch Healthy Homes Resiliency Program Guidelines -
CDBG-NDR(National Disaster Resiliency)Funds
Program Overview:
• The Bee Branch Healthy Homes Resiliency Program(BBHHRP) is designed to support residential properties with
flood damage from the 2011 storms in the low to moderate income areas of Dubuque that are strategically aligned
with and extending to and from the Bee Branch Creek Restoration Project, in accordance with the application for and
award of HUD National Disaster Resiliency Funds.
• The BBHHRP is eligible for NDR funding as a result of the presidentially declared Disaster DR-4018, Severe Storms
and Flooding with an Incident Period of July 27-29,2011.
• All activities funded through this program shall comply with these guidelines,the City of Dubuque's Administrative 9
Plan and IEDA's Management Guide and any other guidance provided by IEDA.
• Participating properties will be located within the Flood Resiliency Eligible Area (see attached map),will be flood
impacted, and will be determined eligible to participate by the City of Dubuque.The City of Dubuque's Administrative
Plan will provide a written description of the Flood Resiliency Eligible Area in the form of neighborhood name or
streets boarding the area.
• For the purposes of this program,a"Disaster Assisted Unit"shall be defined as a residential unit occupied by a
household,either single family as a single unit, or multiple units included in a multi-family complex.The unit must be
eligible to participate in the BBHHRP, must be located within the eligible area,and must be occupied by an LMI
qualifying household or at least 51%of LMI qualifying households in a rental complex. The owner of the property
(either single family owner occupied or landlord)is not required to have been the owner of record at the time of the
2011 disaster, as all rehabilitation need will be documented as of 2016,all repair work will be completed in a way that
both recovers the unit(s)from disaster impact and makes the units)more resilient against future flooding,and all 4•
invested funds will be secured by a lien on the property documenting the terms of the forgivable loan.
• The form of assistance shall be limited to forgivable loans.All construction costs associated with a unit will be
protected in the form of a mortgage lien on the property in the amount of the expended construction expenses(loan
amount)for repair/rehabilitation/resiliency improvements.The mortgage lien shall include the covenants and
restrictions as established by these guidelines and the Administrative Plan and shall be enforced for the term of the '
loan—five years from the date of filing. Forgivable loans under this activity must be 5-year receding.Receding
equally 20% per year after the mortgage lien is filed. Payback of CDBG-NDRC funds remaining,or the total of the net
proceeds of the sale,whichever is less,will be required if the assisted property owner sells,vacates,or abandons the
property any time within the 5 year period, unless such transfer or sale meets the requirements of these guidelines
specific to Rental Rehab(activities 733&734).
• All activities undertaken must meet the CDBG National Objective of LMH Housing Repair/Rehabilitation activities will
benefit only low and moderate income(UMI)persons or households(at or below 80%of median family income).The
City of Dubuque will develop application materials for residents to qualify to participate in the program through their .
Administration Plan.
• No benefits to structures located within the 100-year floodplain will be allowed, unless the activity meets all HUD
environmental requirements, all applicable flood mitigation design standards,and the property is insured by Federal
Flood Insurance.24 CFR 58.6. applies to buildings renovated in a 100 yearfloodplain. Such buildings must maintain
flood insurance on the property. Section 102(a)of the Flood Disaster Protection Act of 1973(42 U.S.C.4106),
requires that recipients of financial assistance maintain flood insurance.The rule for loans included in that section
applies to deferred payment loans, i.e.flood insurance is to be maintained for the full term of the loan.The City shall,
through their Administrative Plan, establish a procedure for assisting applicants with an understanding of the potential
cost of Flood Insurance prior to participating in the program.
All units to be rehabilitated must be both financially and structurally feasible to rehabilitate.The City of Dubuque shall !
establish parameters for making this determination in their Administrative Plan.
• For purposes of the CDBG-NDR funds,all technical services related costs(also known as soft costs;carrying costs;
direct administration costs)will be considered as"proiect delivery costs'. Project delivery costs,although
administrative in nature, must be considered as project costs attributable to each housing unit within the housing j
activities undertaken per unWaddress and accounted for in this manner. Overall, project delivery costs need to be
reasonable, documented and cannot exceed$15,000 per housing unit.All project delivery costs must be supported
with backup documentation to justify their expenditure. Project Delivery may include:
c Site Specific Environmental Review,such as Section 106 documentation
c Relocation Expenditures per unit as applicable
c Lead testing and Lead hazard control
c City of Dubuque Staff time for inspecting participating units,developing work scopes,
o Home Advocate
o Intake Verification of applicants
o Lien Development and Filing
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Administration expenses are all expenses associated with the implementation of the BBHHRP as a whole, including overall
environmental review and publications,developing application materials and program procedures, office supplies,office
space, etc.These expenses are NOT considered project delivery and should be drawn out of admin(Activity 18 1)funding and
not program funding.
• While there is no specific funding cap for construction activities,the CDBG-NDR funds are subject to the
requirements of the Federal Lead Safe Housing regulations,impacting all dwelling units that were constructed prior to
January 1, 1978. This will limit rehabilitation hard costs at an amount not-to-exceed$24,999 in federal funds(CDBG-
NDR and/or HUD Healthy Homes)in order to work under Lead Safe Interim Controls, unless the property qualifies for
an exemption under 24CFR35.115 or the contractor implements full lead abatement in accordance with the Federal
Lead Safe Housing regulations.
• It is the IEDA's goal to utilize the CDBG-NDR funds in a manner that results in green-rehab sustainable structures for
all rehab/resiliency work.All project must utilize the HUD CPD Green Building Checklist as enhanced by IEDA.
• No duplication of benefits(DOB)will be allowed. Prior to assisting properties, IEDA will need to determine and verify
any monies received from any other federal or state financial resources providing disaster recovery funding and any
insurance settlement payments provided to the rental property owner,and adjust the CDBG-NDR amount and project
scope accordingly. For additional information about DOB, See IEDA provided DOB Guidance.
Reporting:
• The CDBG-NDR program requires the documentation of Outcome Values associated with this rehabilitation program.
The City of Dubuque will document through lowagrants.gov completion of the following annual reports:
o Environmental Outcome Value will be documented through an annual reporting of the number of asthma
- - - - cases documented through the-schools:-Orrorbefore December�31sl-of-each reporting-year;-beginning in-
2017,the City of Dubuque will upload to iowagrants.gov a summary report including the name of each -
school included in the analysis,the student population of each school for that school year,and the number
of asthma cases reported.
o Economic Outcome Value will be documented through an annual reporting of the assessed value of all
properties participating in the CDBG-NDR program. On the 1 bt of October of each reporting year, IEDA will g
send the City of Dubuque a report including all properties that were completed within the reporting year,
ending September 30t"of each year,and the baseline 2016 property value collected through
iowagrants.gov. The City will then provide the current property value at the time of reporting,and upload the
report no later than October 15�.
Single Family Owner Occupied Resiliency Rehab(Activity 971),
• Eligible property owners will be income.qualified to ensure that the persons or households receiving the benefit of
Resiliency Rehab/Repair are qualified at or below the CDBG Median Income Levels for 80%of median family income
(MFI). pp
• Assistance to owner occupied single family homes will be limited to forgivable loans. Forgivable loans under this !
activity must be at least 5-year receding. Receding equally 20%per year after the mortgage lien is filed.Forgivable E
loans must be secured as a mortgage lien on the assisted property. Payback of CDBG-NDRC funds remaining,or the
total of the net proceeds of the sale,whichever is less,will be required if the assisted property owner sells,vacates,
rents or abandons the property any time within the 5 year period.
• Beneficiaries of this activity must be the owner of record of the property to be assisted (ownership type is limited to
fee simple title or 99-year leasehold ownership). Land sales contracts are not typically eligible, however such
contracts may be reviewed on a case-by-case basis by IEDA and the City of Dubuque.
• Housing repair/rehabilitation assistance is allowed only orrthe beneficiary's primary residence.The City of Dubuque
shall document eligibility.
Rental Resiliency Rehab(Activity 733&734)'
• Rental Rehabilitation is limited to projects of 12 units or fewer. m cases of properties with eight units or more, Davis-
Bacon regulations will be followed.
• This activity is available only to rental property owners that agree to comply with all federal,state and local
requirements(including, but not limited to:these guidelines;the forgivable mortgage lien and agreement for
covenants and restrictions for rental rehabilitation; Fair Housing and Equal Opportunity requirements;accessibility for
persons with disabilities; procurement and contracting requirements;local rental housing codes and requirements;
etc.).
• Eligible properties within proposed projects will be limited to those that are entirely(100%) residential rental units. No
mixed-use types of properties will be eligible under this activity.
• Assistance to rental single or multi-family will be limited to forgivable loans. Forgivable loans under this activity,must
be 5-year receding. Receding equally 20%per year after the mortgage lien is filed. Payback of CDBG-NDRC funds
remaining, or the total of the net proceeds of the sale,whichever is less,will be required if the assisted property
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Document Prepared By:Ann Schmidt CDBG NDR Housing Contract Format !
Revised October 2016
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Contract Number 13-NDRH-001
Page 26 of 26
owner sells,vacates,or abandons the property any time within the 5 year period. Upon mutual agreement and
consent between the IEDA,the recipient and the originally assisted rental property owner,the assisted rental project
may be sold or transferred without the remaining amount of the loan repaid, but, only if the purchaser agrees to
continue with the terms of the forgivable loan agreemert and the covenants and restrictions,to complete the
remainder of the five-year term of the loan.
• CDBG National Objective-All assisted rental properties must meet the national objective of"Primarily benefits
persons of low and moderate income—Housing". Effectively,this means that at least 51%of the units in an assisted
property must be occupied by persons or households whose incomes are at or below 80%of the area median income 1
limits(LMI)for the term of the loan.
o In a one unit project—the one unit must be made available to and occupied by a LMI tenant.
c In a two unit project—one of the two units must be made available to and occupied by a LMI tenant.
o Projects of three or more units—51%of all units in the project(rounded up to the nearest whole number)
must be made available to and occupied by a LMI tenant(e.g.,in a four unit project,three units must be
made available to and occupied by LMI tenants).
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Document Prepared By:Ann Schmidt CDBG NOR Housing Contract Format
Revised October 2016
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