CM-08-01-011DATE: January 7, 2008
SUBJECT: City Manager Approval, January 11, 2008
ITEM: Execute a Community Development Block Grant
funding agreement in the amount of $10,980 with
Hope Alliance for shelter improvements.
Department: Planning and Community Development Department
Staff Person: Mona Ryan, Community Development Coordinator
Justification:
Low and very low income families will have improved access to domestic violence
services through Hope Alliance (formerly the Williamson County Crisis Center).
Funding:
Cost: $10,980
Source of funds: Community Development Block Grant
Outside Resources: N/A
Background Information:
Hope Alliance will purchase and install updated telephone and security equipment at
the emergency shelter to include new telephones, voicemail, transferring
capabilities, card readers and cameras.
This activity was approved by Council in the 2007-2008 Fourth Program Year Action
Plan, adopted by Resolution R -07-08-09-8G1 approved on August 09, 2007.
Public Comment:
All public notice and hearing requirements throughout the
development of the action plan have been complied with by
the City and the US Department of Housing and Urban
Development and are available for review.
THE STATE OF TEXAS
COUNTY OF WILLIAMSON §
COMMUNITY DEVELOPMENT BLOCK GRANT AGREEMENT
(B -07 -MC -48-0514)
THIS AGREEMENT, entered into this day of _,;-'L 2008 by and between the
City of Round Rock, a Texas home -rule municipality (herein called the "CITY") and Williamson
County Crisis Center d/b/a Hope Alliance (herein called "HOPE ALLIANCE").
WHEREAS, the CITY has applied for and received funds from the United States
Government under Title I of the Housing and Community Development Act of 1974, Public Law
93-383; and
WHEREAS, the CITY wishes to engage HOPE ALLIANCE to assist the CITY in
utilizing such funds;
NOW, THEREFORE, In consideration of the mutual covenants and agreements contained herein
the parties agree as follows:
SECTION I:
SCOPE OF SERVICES
1.1. Activities
HOPE ALLIANCE will be responsible for administering a Community Development Block
Grant ("CDBG") Year 2007-8 program known as the Shelter Security program in a manner
satisfactory to the CITY and consistent with any standards required as a condition of providing
these funds. Such program will include the following activities eligible under the CDBG
Program:
Program Delivery
Activity 1:
Hope Alliance will purchase and install updated telephone and security
equipment at the emergency shelter to include new telephones, voicemail,
transferring capabilities, card readers and cameras.
Activity 2: Hope Alliance will continue to provide emergency shelter to adult and
child survivors of family violence and sexual assault.
00128137.DOC
04-0(6-C. l- G l �
General Administration
The Chief Executive Officer will provide administrative oversight for the program.
1.2 National Objectives
HOPE ALLIANCE certifies that the activity carried out under this Agreement shall meet
the national objective to benefit low and moderate income persons.
1.3. Levels of Accomplishment — Goals and Performance Measures
In addition to normal administrative services required as part of this Agreement, HOPE
ALLIANCE agrees to provide the following program services:
Activities 1 and 2:
Units of Service Per Month
Total Units per Year
Shelter nights for domestic
violence survivors
667
8004
Units of Service shall be defined as night of safety .
1.4. Staffing
To undertake the activity described above and accomplish the levels of service described
above, HOPE ALLIANCE will allocate staff time in support of the program funded under this
Agreement as follows:
Title
Hrs. per Week
# of Weeks
=
Estimated Hours
CEO
10
52
=
520
imeframe: October 1, 2007 through September 30, 2008
Title
Hrs. per Week
# of Weeks
=
Estimated Hours
Shelter Director
30
52
=
1560
imetrame: October 1, 2007 through September 30, 2008
Any changes in the key personnel assigned or their general responsibilities under this program
are subject to the prior approval of the CITY.
1.5. Performance Monitoring
The CITY will monitor the performance of HOPE ALLIANCE against the goals and
performance standards required herein. Substandard performance as determined by the CITY
will constitute noncompliance with this Agreement. If action to correct such substandard
performance is not taken by HOPE ALLIANCE within thirty (30) days after being notified by
2
the CITY, contract suspension or termination procedures will be initiated in accordance with
Section V II of this Agreement.
SECTION II:
TIME OF PERFORMANCE
Services of HOPE ALLIANCE shall start on the 1st day of October, 2007 and end on
the 30 day of September, 2008. The term of this Agreement and the provisions herein shall be
extended to cover any additional time period during which HOPE ALLIANCE remains in
control of CDBG funds or other assets including program income.
SECTION III:
BUDGET
Line Item
Telephone and Security System
Amount
10,980
Any indirect costs charged must be consistent with the conditions of Paragraph 8.2 (C) of
this Agreement. In addition, CITY may require a more detailed budget breakdown than the one
contained herein, and HOPE ALLIANCE shall provide such supplementary budget information
in a timely fashion in the form and content prescribed by CITY.
SECTION IV:
PAYMENT
It is expressly agreed the total amount to be paid by the CITY under this Agreement shall
not exceed $10,980.00 Drawdowns for the payment of eligible expenses shall be made against
the line item budgets provided above and incorporated herein and in accordance with
performance. Expenses for general administration shall also be paid against the line item budgets
provided above and in accordance with performance.
Payments will be contingent upon certification of HOPE ALLIANCE's financial
management system in accordance with the standards specified in Appendix A to this
Agreement.
SECTION V:
NOTICES
Notices required by this Agreement shall be in writing and delivered via mail (postage
prepaid), commercial courier, or personal delivery or sent by facsimile or other electronic means.
Any notice delivered or sent as aforesaid shall be effective on the date of delivery or sending.
3
All notices and other written communications under this Agreement shall be addressed to the
individuals in the capacities indicated below, unless otherwise modified by subsequent written
notice.
Notices made pursuant to this Agreement shall be directed to the following
representatives:
CITY:
WILLIAMSON COUNTY CRISIS
CENTER D/B/A HOPE ALLIANCE:
Mona Ryan,
Community Development Coordinator
Patty Conner
Chief Executive Officer
City of Round Rock
301 West Bagdad, Suite 140
1011 Gattis School Road, #106
Round Rock, Texas 78664
Round Rock, Texas 78664
Telephone: 512-218-5416
Telephone: 512-255-1212
Fax: 512-341-3152
Fax: 512-255-7331
e-mail: mona(&round-rock.tx.us
e-mail: pattycwccc@yahoo.com
SECTION VI:
SPECIAL CONDITIONS
HOPE ALLIANCE shall agree to comply with the requirements of Title 24 Code of
Federal Regulations, Part 570 of the Housing and Urban Development (HUD) regulations
concerning Community Development Block Grants (CDBG) and all federal regulations and
policies issued pursuant to these regulations. HOPE ALLIANCE further agrees to utilize funds
available under this Agreement to supplement rather than supplant funds otherwise available.
SECTION VII:
GENERAL CONDITIONS
7.1. General Compliance
HOPE ALLIANCE agrees to comply with all applicable federal, state and local laws,
regulations and policies governing the funds provided under this Agreement.
7.2. Independent Contractor
It is understood and agreed that HOPE ALLIANCE is an independent contractor and
shall not be considered an employee of the CITY. HOPE ALLIANCE shall at all times remain
an independent contractor with respect to the services to be performed under this Agreement.
The CITY shall be exempt from payment of all unemployment compensation, FICA and
retirement benefits, as HOPE ALLIANCE is an independent contractor. HOPE ALLIANCE
shall not be within protection or coverage of the CITY'S Workers' Compensation insurance,
4
Health Insurance, Liability Insurance or any other Insurance that the CITY from time to time
may have in force and effect.
7.3. Hold Harmless
HOPE ALLIANCE shall indemnify, save harmless and exempt the CITY, its officers,
agents, servants, and employees from and against any and all suits, actions, legal proceedings,
claims, demands, damages, costs, expenses , attorney fees and any and all other costs or fees
incident to any work done as result of this Agreement and arising out of a willful or negligent act or
omission of HOPE ALLIANCE, its officers, agents, servants, and employees; provided, however,
that HOPE ALLIANCE shall not be liable for any suits, actions, legal proceedings, claims,
demands, damages, costs, expenses and attorneys' fees arising out of a willful or negligent act or
omission of the CITY, its officers, agents, servants and employees, or third parties.
7.4. Worker's Compensation
HOPE ALLIANCE shall provide Workers' Compensation Insurance coverage for all of its
employees involved in the performance of this Agreement.
7.5. Insurance and Bonding
HOPE ALLIANCE shall carry sufficient insurance coverage to protect contract assets from
loss due to theft, fraud and/or undue physical damage, and as a minimum shall purchase a blanket
fidelity bond covering all employees in an amount equal to cash advances from the CITY.
7.6. Amendments
The terms and conditions of this Agreement, including the attachments listed below,
constitute the entire agreement between the parties and supersedes all previous communications,
representations, or agreements, either written or oral, with respect to the subject matter hereof.
No modification or amendment to this Agreement will be binding on either party unless
acknowledged in writing by their duly authorized representatives.
Attachments:
a. Exhibit A — Self Certification Form
b. Exhibit B — Client Data / Beneficiary Report Form
c. Appendix A — OMB Circular A-122, Cost Principles for Non -Profit Organizations
d. Appendix B — OMB Circular A-133, Audits of States, Local Governments, and
Non -Profit Organizations
e. Appendix C — 24 CFR 570 CDBG Regulations Subpart C, Eligible Activities
f. Appendix D — 24 CFR 570 CDBG Regulations Subpart J, Grant Administration
g. Appendix E — 24 CFR 570 CDBG Regulations Subpart K, Other Requirements
5
7.7. Suspension or Termination
Either party may terminate this Agreement at any time by giving written notice to the
other party of such termination and specifying the effective date thereof at least thirty (30) days
before the effective date of such termination. Partial terminations of the Scope of Service in
Paragraph 1.1. above may only be undertaken with the prior approval of the CITY. In the event
of any termination for convenience, all finished or unfinished documents, data, reports or other
materials prepared by HOPE ALLIANCE under this Agreement shall, at the option of the CITY,
become property of the CITY.
The CITY may also suspend or terminate this Agreement, in whole or in part, if HOPE
ALLIANCE materially fails to comply with any term of this Agreement, which include, but are
not limited to the following:
A. Failure to comply with any of the rules, regulations or provisions referred to
herein, or such statutes, regulations, executive orders, and HUD guidelines,
policies or directives as may become applicable at any time;
B. Failure, for any reason, of HOPE ALLIANCE to fulfill in a timely and proper
manner its obligations under this Agreement;
C.
D.
Ineffective or improper use of funds provided under this Agreement; or
Submission by HOPE ALLIANCE to the CITY reports that are incorrect or
incomplete in any material respect.
The CITY may declare HOPE ALLIANCE ineligible for any further participation in
CITY contracts, in addition to other remedies as provided by law. Should HOPE ALLIANCE
fail to cure or correct such defects or failures identified by the CITY within the fifteen (15) days
after notification of deficiencies, and such breach of contract relate to a violation of federal law
or regulations which results in a demand for reimbursement from the Department of Housing and
Urban Development (HUD) or its successor, the CITY may seek reimbursement of all funds
from the CITY to HOPE ALLIANCE under this Agreement.
HOPE ALLIANCE shall not be relieved of the liability to the CITY for damages
sustained by the CITY by virtue of any breach of this Agreement by HOPE ALLIANCE and the
CITY may withhold any payments to HOPE ALLIANCE for the purpose as set out and until
such time as the exact amount of damages due the CITY from the HOPE ALLIANCE is
determined. Should the CITY become aware of any activity by HOPE ALLIANCE which would
jeopardize the CITY's position with HUD which would cause a payback of CDBG funds or other
CITY federal funds then the CITY may take appropriate action including injunctive relief against
HOPE ALLIANCE to prevent the transaction as aforesaid. The failure of the CITY to exercise
this right shall in no way constitute a waiver by the CITY to demand payment or seek any other
relief in law or in equity to which it may be justly entitled.
6
7.8. Pending Litigation
HOPE ALLIANCE agrees to inform CITY about any litigation HOPE ALLIANCE is or
becomes in involved in.
7.9. Background Checks
HOPE ALLIANCE agrees to conduct a criminal background check on all employees
working directly with youth.
SECTION VIII:
ADMINISTRATIVE REQUIREMENTS
8.1. Financial Management
A. Accounting Standards
HOPE ALLIANCE agrees to comply with 24 CFR 84.21-28 and agrees to adhere to the
accounting principles and procedures required therein, utilize adequate internal controls, and
maintain necessary source documentation for all costs incurred.
B. Cost Principles
HOPE ALLIANCE shall administer its program in conformance with OMB Circulars A-
122, "Cost Principles for Non -Profit Organizations," or A-21, "Cost Principles for Educational
Institutions," as applicable. These principles shall be applied for all costs incurred whether
charged on a direct or indirect basis.
8.2. Documentation and Record Keeping
A. Record Keeping
HOPE ALLIANCE shall maintain all records required by the federal regulations
specified in 24 CFR Part 570.506 and that are pertinent to the activities to be funded under this
Agreement. Such records shall include, but are not be limited to:
1. Records providing a full description of each activity undertaken;
2. Records demonstrating that each activity undertaken meets one of the
National Objectives of the CDBG program under 24 CFR Part 570.208;
3. Records required to determine the eligibility of activities under 24 CFR
Part 570.201 - 570.206;
4. Financial records as required by 24 CFR Part 570.502, and OMB Circular
A-110; and
5. Other records necessary to document compliance with Subpart K of 24
CFR 570.
7
B. Retention
HOPE ALLIANCE shall retain all financial records, supporting documents, statistical
records and all other records pertinent to this Agreement for a period of four (4) years after the
termination of all activities funded under this Agreement. Notwithstanding the above, if there is
litigation, claims, audits, negotiations or other actions that involve any of the records cited and
that have started before the expiration of the four-year period, then such records must be retained
until completion of the actions and resolution of all issues, or the expiration of the four-year
period, which ever occurs later.
C. Client Data
HOPE ALLIANCE shall maintain client data demonstrating client eligibility for services
provided. Such data shall include, but not be limited to, client name, address and annual
household income level as shown in Exhibit "A", attached hereto and incorporated herein. Any
other basis for determining eligibility must be approved by the CITY in advance in writing, and
description of services provided. Such information shall be made available to CITY monitors or
their designees upon request.
D. Disclosure
HOPE ALLIANCE understands that client information collected under this contract is
private and the use or disclosure of such information, when not directly connected with the
administration of the CITY's or HOPE ALLIANCE's responsibilities with respect to services
provided under this contract is prohibited by the U.S. Privacy Act of 1974 unless written consent
is obtained from such person receiving service and, in the case of a minor, that of a responsible
parent/guardian.
E. Close -Outs
HOPE ALLIANCE's obligation to the CITY shall not end until all closeout requirements
are completed. Activities during this close-out period shall include, but are not limited to:
making final payments, disposing of program assets (including the return of all unused materials,
equipment, unspent cash advances, program income balances, and receivable accounts to the
CITY), and determining custodianship of records. Not withstanding the foregoing, the terms of
this Agreement shall remain in effect during any period that HOPE ALLIANCE has control over
CDBG funds, including program income.
F. Audits & Inspections
All HOPE ALLIANCE's records with respect to any matters covered by this Agreement
shall be made available to the CITY, grantor agency, their designees or the Federal Government,
at any time during normal business hours, as often as the CITY or grantor agency deems
necessary, to audit, examine, and make excerpts or transcripts of all relevant data. Any
deficiencies noted in audit reports must be fully cleared by HOPE ALLIANCE within thirty (30)
8
days after receipt by HOPE ALLIANCE. Failure of HOPE ALLIANCE to comply with the
above audit requirements will constitute a violation of this contract and may result in the
withholding of future payments. HOPE ALLIANCE hereby agrees to have an annual agency
audit conducted in accordance with current CITY policy concerning HOPE ALLIANCE's audits
and OMB Circular A-133, attached hereto as Appendix B.
8.3. Reporting and Payment Procedures
A. Program Income
HOPE ALLIANCE shall report quarterly all program income, as defined at 24 CFR
570.504, generated by activities carried out with CDBG funds made available under this
contract. The use of program income by HOPE ALLIANCE shall comply with requirements set
forth in 24 CFR 570.504. By way of further limitations, HOPE ALLIANCE may use such
income during the contract period for activities permitted under this contract and shall reduce
requests for additional funds by the amount of any such program income balances on hand. All
unused program income shall be returned to the CITY at the end of the contract period. Any
interest earned on cash advances from the U.S. Treasury is not program income and shall be
remitted promptly to the CITY. Reporting of any such program income shall, at minimum, be
included in quarterly reports under Section VIII of this Agreement. Information on program
income provided in these reports will include, but not be limited to, summaries of program
income generated; a summary of expenditures of these funds; and a description of the use of
program income sufficient for determining eligibility of these expenses under CDBG guidelines.
B. Indirect Costs
If indirect costs are charged, HOPE ALLIANCE will develop an indirect cost allocation
plan for determining the appropriate HOPE ALLIANCE's share of administrative costs and shall
submit such plan to the CITY for approval.
C. Payment Procedures
The CITY will pay to HOPE ALLIANCE funds available under this Agreement based on
information submitted by HOPE ALLIANCE and consistent with an approved budget and CITY
policies concerning payments. With the exception of certain advances, payments will be made
for eligible expenses actually incurred by HOPE ALLIANCE, and not to exceed actual cash
requirements. Payments will be adjusted by the CITY in accordance with advance fund and
program income balances available under this contract for costs incurred by the CITY on the
behalf of HOPE ALLIANCE.
D. Progress Reports
HOPE ALLIANCE shall submit regular Quarterly Progress Reports to the CITY in the
form, content, and frequency as required by the CITY. These shall include but not be limited to
summary of expenditures, list of beneficiaries and a brief narrative of accomplishments.
9
Beneficiary reports should be submitted on Exhibit "B", attached hereto and incorporated herein
unless an alternative report is approved by CITY in advance and in writing.
E. Budgets
The CITY and the HOPE ALLIANCE may agree to revise the budget, provided in
Section III above, from time to time in accordance with existing CITY policies. Any
amendments to the budget must be approved in writing by both the CITY and HOPE
ALLIANCE.
8.4. Procurement
A. Compliance
HOPE ALLIANCE shall maintain real property inventory records, which clearly
identifies any properties purchased, improved or sold using funds provided under this
Agreement. Property retained shall continue to meet eligibility criteria and shall conform to the
"changes in use" restrictions specified in 24 CFR Parts 570.503(b)(8). All program assets
(unexpended advanced funds) shall revert to the CITY upon termination of this Agreement. The
only authorized expenditures of funds shall be salary with fringe benefits as described herein.
B. OMB Standards
HOPE ALLIANCE shall procure materials in accordance with the requirements of
Attachment 0 of OMB Circular A-110, Procurement Standards, and shall subsequently follow
Attachment N, Property Management Standards, covering utilization and disposal of property.
These requirements are referenced in 24 CFR Part 84, titled "Common Rule".
C. Travel
HOPE ALLIANCE shall obtain written approval from the CITY for any travel outside
the metropolitan area with funds provided under this Agreement. The CITY shall determine that
such travel is necessary and reasonable according to applicable standards outlined in OMB
Circular A87.
8.5. Use and Reversion of Assets
The use and disposition of real property and equipment under this Agreement shall be in
compliance with the requirements of 24 CFR Part 84 and 24 CFR 570.502, 570.503 and 570.504,
as applicable, which include but are not limited to the following:
A. HOPE ALLIANCE agrees that should it discontinue the services as provided for
herein, then HOPE ALLIANCE shall transfer to the CITY all unexpended CDBG funds on hand
and any accounts receivable attributable to the use of funds under this Agreement within ten (10)
days from the time of expiration, cancellation, or termination of services. The funds remaining
will be appropriated to eligible CDBG activities in keeping with the CITY's budgetary process.
10
B. Real property under HOPE ALLIANCE's control that was acquired or improved,
in whole or in part, with funds under this Agreement in excess of $25,000 shall be used to meet
one of the CDBG National Objectives pursuant to 24 CFR 570.208 until five (5) years after
expiration of this Agreement. If HOPE ALLIANCE fails to use CDBG-assisted real property in
a manner that meets a CDBG National Objective for the prescribed period of time, HOPE
ALLIANCE shall pay the CITY an amount equal to the current fair market value of the property
less any portion of the value attributable to expenditures of non-CDBG funds for acquisition of,
or improvement to, the property. Such payment shall constitute program income to the CITY.
HOPE ALLIANCE may retain real property acquired or improved under this Agreement after
the expiration of the five-year period.
C. In all cases in which equipment acquired, in whole or in part, with funds under
this Agreement is sold, the proceeds shall be program income (prorated to reflect the extent to
that funds received under this Agreement were used to acquire the equipment). Equipment not
needed by HOPE ALLIANCE for activities under this Agreement shall be (a) transferred to the
CITY for the CDBG program or (b) retained after compensating the CITY an amount equal to
the current fair market value of the equipment less the percentage of non-CDBG funds used to
acquire the equipment.
SECTION IX:
RELOCATION, REAL PROPERTY ACQUISITION AND ONE-FOR-ONE HOUSING
REPLACEMENT
9.1. HOPE ALLIANCE agrees to comply with (a) the Uniform Relocation Assistance and
Real Property Acquisition Policies Act of 1970, as amended (URA), and implementing
regulations at 49 CFR Part 24 and 24 CFR 570.606(b): (b) the requirements of 24 CFR
570.606(c) governing the Residential Anti -displacement and Relocation Assistance Plan under
section 104(d) of the HCD Act; and 9c) the requirements in 24 CFR 570.606(d) governing
optional relocation policies. HOPE ALLIANCE shall provide relocation assistance to displaced
persons as defined by 24 CFR 570.606(b)(2) that are displaced as a direct result of acquisition,
rehabilitation, demolition or conversion for a CDBG-assisted project. HOPE ALLIANCE also
agrees to comply with applicable CITY ordinances, resolutions and policies concerning the
displacement of persons from their residences.
SECTION X:
PERSONNEL & PARTICIPANT CONDITIONS
10.1. Civil Rights
A. Compliance
HOPE ALLIANCE agrees to comply with city and state civil rights acts and ordinances,
and with Title VI of the Civil Rights Act of 1964 as amended, Title VIII of the Civil Rights Act
11
of 1968 as amended, Section 109 of Title I of the Housing and Community Development Act of
1974, Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of
1990, the Age Discrimination Act of 1975, Executive Order 11063, and with Executive Order
11246 as amended by Executive Orders 11375, 11478, 12107 and 12086.
B. Nondiscrimination
HOPE ALLIANCE will not cause any person to be excluded from participation in,
denied the benefits of, or subjected to discrimination under any of the program's activities
receiving assistance under this Agreement based on the grounds of race, color, religion, sex,
ancestry, national origin or handicap. In order to allow the CITY to monitor non-discrimination,
HOPE ALLIANCE will at minimum maintain records regarding the race of persons or
households assisted under this contract and whether households assisted have a female head of
household.
HOPE ALLIANCE will not discriminate against any employee or applicant for
employment because of race, color, religion, sex, ancestry, national origin, or other handicap,
age, marital status, or status with regard to public assistance. HOPE ALLIANCE will take
affirmative action to insure all employment practices are free from such discrimination. Such
employment practices include but are not limited to the following: hiring, upgrading, demotion,
transfer, recruitment or recruitment advertising, layoff, termination, rates of pay or other forms
of compensation, and selection for training, including apprenticeship. HOPE ALLIANCE
agrees to post in conspicuous places, available to employees and applicants for employment,
notices to be provided by the contracting agency setting forth the provisions of this
nondiscrimination clause.
C. Land Covenants
This Agreement is subject to the requirements of Title VI of the Civil Rights Act of 1964
(P.L. 88-352) and 24 CFR 570.601 and 570.602. In regard to the sale, lease, or other transfer of
land acquired, cleared or improved with assistance provided under this Agreement, HOPE
ALLIANCE shall cause or require a covenant running with the land to be inserted in the deed or
lease for such transfer, prohibiting discrimination as herein defined, in the sale, lease or rental, or
in the use or occupancy of such land, or in any improvements erected or to be erected thereon,
providing that the CITY and the United States are beneficiaries of and entitled to enforce such
covenants. HOPE ALLIANCE, in undertaking its obligation to carry out the program assisted
hereunder, agrees to take such measures as are necessary to enforce such covenant, and will not
itself so discriminate.
D. Compliance with Section 504
HOPE ALLIANCE agrees to comply with any federal regulations issued pursuant to
compliance with Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 706) or applicable
updates which prohibits discrimination against the handicapped in any federally assisted
program. The CITY shall provide HOPE ALLIANCE with any guidelines necessary for
compliance with that portion of the regulations in force during the term of this Agreement.
12
10.2. Affirmative Action
A. Approved Plan
HOPE ALLIANCE agrees that it shall be committed to carry out pursuant to the CITY's
specifications an Affirmative Action Program in keeping with the principles as provided in
Presidents Executive Order 11246 of September 24, 1966. The CITY shall provide Affirmative
Action guidelines to HOPE ALLIANCE to assist in the formulation of such program. HOPE
ALLIANCE shall submit a plan for an Affirmative Action Program for approval prior to the
award of funds.
B. Women- and Minority -Owned Businesses (W/MBE)
HOPE ALLIANCE will use its best efforts to afford small businesses, minority business
enterprises, and women's business enterprises the maximum practicable opportunity to
participate in the performance of this Agreement. As used in this Agreement, the terms "small
business' means a business that meets the criteria set forth in section 3(a) of the Small Business
Act, as amended (15 U.S.C. 632), and "minority and women's business enterprise" means a
business at least fifty-one (51) percent owned and controlled by minority group members or
women. For the purpose of this definition, "minority group members" are Afro-Americans,
Spanish-speaking, Spanish surnamed or Spanish -heritage Americans, Asian -Americans, and
American Indians. HOPE ALLIANCE may relay on written representations by businesses
regarding their status as minority and female business enterprises in lieu of an independent
investigation.
C. Access to Records
HOPE ALLIANCE shall furnish and cause each of its own subcontractors to furnish all
information and reports required hereunder and will permit access to its books, records and
accounts by the CITY, HUD or its agent, or other authorized Federal officials for purposes of
investigation to ascertain compliance with the rules, regulations and provisions stated herein.
D. Notifications
HOPE ALLIANCE will send to each labor union or representative of workers with
which it has a collective bargaining agreement or other contract or understanding, a notice, to be
provided by the agency contracting officer, advising the labor union or worker's representative
of HOPE ALLIANCE's commitments hereunder, and shall post copies of the notice in
conspicuous places available to employees and applicants for employment.
E. Equal Employment Opportunity and Affirmative Action (EEO/AA) Statement
HOPE ALLIANCE will, in all solicitations or advertisements for employees placed by or
on behalf of HOPE ALLIANCE, state that it is an Equal Opportunity or Affirmative Action
employer.
13
F. Subcontract Provisions
HOPE ALLIANCE will include the provisions of Paragraphs X.A, Civil Rights, and B,
Affirmative Action, in every subcontract or purchase order, specifically or by reference, so that
such provisions will be binding upon each of its own subcontractors.
10.3. Employment Restrictions
A. Prohibited Activity
HOPE ALLIANCE is prohibited from using funds provided herein or personnel
employed in the administration of the program for: political activities; inherently religious
activities; lobbying; political patronage; and nepotism activities.
B. Labor Standards
HOPE ALLIANCE agrees to comply with the requirements of the Secretary of Labor in
accordance with the Davis -Bacon Act as amended, the provisions of Contract Work Hours and
Safety Standards Act as amended, the provisions of Contract Work Hours and Safety Standards
Act (40 U.S.C. 327 et seq.) and all other applicable Federal, state and local laws and regulations
pertaining to labor standards insofar as those acts apply to the performance of this Agreement.
HOPE ALLIANCE agrees to comply with the Copeland Anti -Kick Back Act (18 U.S.C. 874 et
seq.) and its implementing regulations of the U.S. Department of Labor at 29 CFR Part 5. HOPE
ALLIANCE shall maintain documentation that demonstrates compliance with hour and wage
requirements of this part. Such documentation shall be made available to the CITY for review
upon request.
HOPE ALLIANCE agrees that, except with respect to the rehabilitation or construction
of residential property containing less than eight (8) units, all contractors engaged under
contracts in excess of $2,000.00 for construction, renovation or repair work financed in whole or
in part with assistance provided under this Agreement, shall comply with Federal requirements
adopted by the CITY pertaining to such contracts and with the applicable requirements of the
regulations of the Department of Labor, under 29 CFR Parts 1, 3, 5 and 7 governing the payment
of wages and ratio of apprentices and trainees to journey workers; provided that, if wage rates
higher than those required under the regulations are imposed by state or local law, nothing
hereunder is intended to relieve HOPE ALLIANCE of its obligation, if any, to require payment
of the higher wage. HOPE ALLIANCE shall cause or require to be inserted in full, in all such
contracts subject to such regulations, provisions meeting the requirement of this paragraph.
C. "Section 3" Clause
1. Compliance
Compliance with the provisions of Section 3 of the HUD Act of 1968, as
amended, and as implemented by the regulations set forth in 24 CFR 135, and all applicable rules
and orders issued hereunder prior to the execution of this Agreement, shall be a condition of the
14
Federal financial assistance provided under this Agreement and binding upon the CITY, HOPE
ALLIANCE and any of HOPE ALLIANCE's subcontractors. Failure to fulfill these
requirements shall subject the CITY, HOPE ALLIANCE and any of HOPE ALLIANCE's
subcontractors, their successors and assigns, to those sanctions specified by the Agreement
through which Federal assistance is provided. HOPE ALLIANCE certifies and agrees that no
contractual or other disability exists that would prevent compliance with these requirements.
HOPE ALLIANCE further agrees to comply with these "Section 3" requirements
and to include the following language in all subcontracts executed under this Agreement:
"The work to be performed under this Agreement is a project assisted under a
program providing direct Federal financial assistance from HUD and is subject to
the requirements of Section 3 of the Housing and Urban Development Act of
1968, as amended (12 U.S.C. 1701). Section 3 requires that to the greatest extent
feasible opportunities for training and employment be given to low- and very low-
income residents of the project area, and that contracts for work in connection
with the project be awarded to business concerns that provide economic
opportunities for low- and very low-income persons residing in the metropolitan
area in which the project is located."
HOPE ALLIANCE further agrees to ensure that opportunities for training and
employment arising in connection with a housing rehabilitation (including reduction and
abatement of lead-based paint hazards), housing construction, or other public construction
project are given to low- and very low-income persons residing within the metropolitan area in
which the CDBG-funded project is located; where feasible, priority should be given to low -and
very law -income persons within the service area of the project or the neighborhood in which the
project is located, and to low- and very low-income participants in other HUD programs; and
award contracts for work undertaken in connection with a housing rehabilitation (including
reduction and abatement of lead-based pain hazards), housing construction, or other public
construction project to business concerns that provide economic opportunities for low -and very
low-income persons residing within the metropolitan area in which the CDBG-funded project is
located; where feasible, priority should be given to business concerns that provide economic
opportunities to low- and very low-income residents within the service area or the neighborhood
in which the project is located, and to low- and very low-income participants in other HUD
programs.
HOPE ALLIANCE certifies and agrees that no contractual or other legal
incapacity exists that would prevent compliance with these requirements.
2. Notifications
HOPE ALLIANCE agrees to send to each labor organization or representative of
workers with which it has a collective bargaining agreement or other contract or understanding,
if any, a notice advising said labor organization or worker's representative of its commitments
under this Section 3 clause and shall post copies of the notice in conspicuous places to
employees and applicants for employment or training.
15
3. Subcontracts
HOPE ALLIANCE will include this Section 3 clause in every subcontract and
will take appropriate action pursuant to the subcontract upon a finding that the subcontractor is in
violation of regulations issued by the grantor agency. HOPE ALLIANCE will not subcontract
with any entity where it has notice or knowledge that the latter has been found in violation of
regulations under 24 CFR Part 135 and will not let any subcontract unless the entity has first
provided it with a preliminary statement of ability to comply with the requirements of these
regulations.
10.4. Conduct
A. Assignability
HOPE ALLIANCE shall not assign or transfer any interest in this Agreement without the
prior written consent of the CITY.
B. Subcontracts
1. Approvals
HOPE ALLIANCE shall not enter into any subcontracts with any agency or individual in
the performance of this contract without written consent of the CITY prior to the execution of
such Agreement.
2. Monitoring of Subcontractors
HOPE ALLIANCE will monitor all subcontracted services on a regular basis to assure
contract compliance. Results of monitoring efforts shall be summarized in written reports and
supported with evidence of follow-up actions taken to correct areas of noncompliance.
3. Content
HOPE ALLIANCE shall cause all of the provisions of this contract in its entirety to be
included in and made a part of any subcontract executed in the performance of this Agreement.
4. Selection Process
HOPE ALLIANCE shall undertake to insure that all subcontracts let in the performance of this
agreement shall be awarded on a fair and open competition basis in accordance with applicable
procurement requirements. Executed copies of all subcontracts shall be forwarded to the CITY
along with documentation concerning the selection process.
16
C. Hatch Act
HOPE ALLIANCE agrees that no funds provided, nor personnel employed under this
Agreement, shall be in any way or to any extent engaged in the conduct of political activities in
violation of Chapter 15 of Title V United States Code.
D. Conflict of Interest
HOPE ALLIANCE understands and agrees to abide by the provisions of 24 CFR 84.42
and 570.611, which include, but are not limited to the following:
1. HOPE ALLIANCE shall maintain a written code or standards of conduct
that shall govern the performance of its officers, employees or agents engaged in the award and
administration of contracts supported by Federal funds.
2. No employee, officer or agent of HOPE ALLIANCE shall participate in
the selection, or in the award, or administration of, a contract supported by Federal funds if a
conflict of interest, real or apparent, would be involved.
3. No covered persons who exercise or have exercised any functions or
responsibilities with respect to CDBG-assisted activities, or who are in a position to participate
in a decision-making process or gain inside information with regard to such activities, may
obtain a financial interest in any contract, or have a financial interest in any contract, subcontract,
or agreement with respect to the CDBD-assisted activity, or with respect to the proceeds from the
CDBG-assisted activity, either for themselves or those with whom they have business or
immediate family ties, during their tenure or for a period of one (1) year thereafter.
These conflict of interest provisions apply to "covered persons" which shall include any
person who is an employee, agent, consultant, officer, or elected official of the CITY, HOPE
ALLIANCE or any designated public agencies which are receiving funds under the CDBG
Entitlement program.
E. Lobbying
HOPE ALLIANCE hereby certifies that:
1. No Federal appropriated funds have been paid or will be paid, by or on
behalf of it, to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into any cooperative agreement, and
the extension, continuation, renewal, amendment, or modification of any Federal contract, grant,
loan, or cooperative agreement;
2. If any funs 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
17
agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant, loan or cooperative
agreement, it will complete and submit Standard Form -LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions; and
3. It will require that the language of paragraph 4. 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:
4. Lobbying Certification
This certification is a material representation of a fact upon which reliance was
placed when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S.C.
Any person who fails to file the required certification shall be subject to a civil penalty of not
less than $10,000 and not more than $100,000 for each such failure.
F. Copyright
If this Agreement results in any copyrightable material or inventions, the CITY and/or
grantor agency reserves the right to royalty -free, non-exclusive and irrevocable license to
reproduce, publish or otherwise use and to authorize others to use, the work or materials for
governmental purposes.
G. Religious Organization
HOPE ALLIANCE agrees that funds provided under this Agreement will not be utilized
for inherently religious activities, such as worship, religious instruction, or proselytization; to
promote religious interests; or for the benefit of a religious organization as specified in 24 CFR
570.200(j).
SECTION XI:
ENVIRONMENTAL CONDITIONS
11.1. Air and Water
HOPE ALLIANCE agrees to comply with the following requirements insofar as they
apply to the performance of this Agreement:
A. Clean Air Act, 42 U.S.C., 7401, et seq.;
B. Federal Water Pollution Control Act, as amended, 33 U.S.C., 1251, et seq., as
amended, 1318 relating to inspection, monitoring, entry, reports, and information, as well as
18
other requirements specified in said Section 114 and Section 308, and all regulations and
guidelines issued thereunder; and
C. Environmental Protection Agency (EPA) regulations pursuant to 40 CFR Part 50,
as amended.
11.2. Flood Disaster Protection
In accordance with the requirements of the Flood Disaster Protection Act of 1973 (42
U.S.C. 4001), HOPE ALLIANCE shall assure that for activities located in an area identified by
the Federal Emergency Management Agency (FEMA) as having special flood hazards, flood
insurance under the National Flood Insurance Program is obtained and maintained as a condition
of financial assistance for acquisition or construction purposes including rehabilitation.
11.3. Lead -Based Paint
HOPE ALLIANCE agrees that any construction or rehabilitation of residential structures
with assistance provided under this Agreement shall be subject to HUD Lead -Based Paint
Regulations at 24 CFR 570.608, and 24 CFR Part 35, Subpart B. Such regulations pertain to all
CDBG-assisted housing and require that all owners, prospective owners, and tenants of
properties constructed prior to 1978 be properly notified that such properties may include lead-
based paint. Such notification shall point out the hazards of lead-based paint and explain the
symptoms, treatment and precautions that should be taken when dealing with lead-based paint
poisoning and the advisability and availability of blood lead level screening for children under
seven. The notice should also point out that if lead-based paint is found on the property,
abatement measures may be undertaken. The regulations further require that, depending on the
amount of Federal funds applied to a property, paint testing, risk assessment, treatment and/or
abatement may be conducted.
11.4. Historic Preservation
HOPE ALLIANCE agrees to comply with the Historic Preservation requirements set
forth in the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470) and the
procedures set forth in 36 CFR Part 800, Advisory Council on Historic Preservation Procedures
for Protection of Historic Properties, insofar as they apply to the performance of this agreement.
In general, this requires concurrence from the State Historic Preservation Officer for all
rehabilitation and demolition of historic properties that are fifty years old or older or that are
included on a Federal, state, or local historic property list.
19
SECTION XII:
SEVARABILITY
12.1. If any provision of this Agreement is held invalid, the remainder of the Agreement shall
not be affected thereby and all other parts of this Agreement shall nevertheless be in full force
and effect.
SECTION XIII:
SECTION HEADINGS AND SUBHEADINGS
13.1. The section headings and subheadings contained in this Agreement are included for
convenience only and shall not limit or otherwise affect the terms of this Agreement.
SECTION XIV:
WAIVER
14.1. The CITY's failure to act with respect to a breach by HOPE ALLIANCE does not waive
its right to act with respect to subsequent or similar breaches. The failure of the CITY to
exercise or enforce any right or provision shall not constitute a waiver of such right or provision.
IN WITNESS WHEREOF, this Agreement is executed as of the date first written above.
Appro e• as to form:
Steph. L. Sheets, City Attorney
CITY:
HOPE ALLIANCE:
'ty of Round Rock HOP LLIANCE-Central Texas
\\,‘ 469, /71
Name:
Title: e
AM S R. NUSE, P.E., City Manager
SARA WHITE
City Secretary
20