HomeMy WebLinkAbout8th Street Sewer Separation Project Disaster Recovery #2 Grant DR2-09-155 AGREEMENT FOR PROFESSIONAL SERVICES
City of Jeffersonville Sewer Board
8 Street Sewer Separation Project
DR2 -09 -155
Disaster Recovery #2 Grant
St
THIS AGREEMENT, made this ot, day of , 2011, by and between the City of
Jeffersonville Sewer Board (hereinafter referred to as t e "City "), and River Hills Economic Development
District and Regional Planning Commission (hereinafter referred to as the "Administrator) is hereinafter
referred to as "Contract" or "Agreement ".
WITNESSETH: The City has received a Disaster Recovery #2 Fund Grant (hereinafter called "DR #2" Grant)
from the Indiana Office of Community and Rural Affairs (IOCRA) and desires to have professional assistance
with the administration of said grant.
THEREFORE: The City and the Administrator, for consideration stated herein, mutually agree on the following
• contingent on final release of grant funds by IOCRA.
SECTION 1. SCOPE OF WORK
The following is a description of the services to be provided by the Administrator for this project.
1.1 Environmental Review: Provide technical assistance as necessary for Environmental Assessment
and Review Record with all related processes and Public Notices. Will coordinate and arrange for
any outside studies, with cost responsibilities to the City such as archaeological reconnaissance,
determined necessary through Release of Funds.
1.2 Grant Agreements: Assist in execution of the grant agreement between the City and the Indiana
Office of Community and Rural Affairs.
1.3 Financial Management: Concerning the use, flow, and obtaining of funds in accordance with the
grant agreement: assist the City in setting up and use of the following elements of financial
management in conformance with Indiana Office of Community and Rural Affairs Financial
Management guidelines and requirements; including as applicable;
a. Assist the City with development of record keeping systems during project implementation
through close-out phases of the program including recommendations for financial system
design and implementation. general management of system, coordination and evaluation, all
other financial activities as needed or desired by the City
b. Assist the City Clerk- Treasurer in establishing and maintaining bookkeeping systems for the
duration of the project
c. Assist with the letter of credit establishment and use; draw down preparation and procedures;
Federal Cash Control Register maintenance; cash forecasting; Contracts Obligation Control;
Contract Expenditure Ledger; Program Chart of Accounts; Modified Accrual Accounting
Records
d. Establish and maintain project files
e. All project reports i.e. interim and final
f. Attend all Indiana Office of Community and Rural Affairs monitoring visits and preparation of
response to any and all findings, as appropriate
g. Assist City with all Minority Business Enterprise/Women's Business Enterprise requirements
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h. Coordination conceming all relevant bid documents pertaining to the grant funded portion of
the project
Arrange a pre -bid conference, if necessary, and supply all necessary documents pertaining to
the pre -bid conference to contractors
1.4 Procurement: Assist the City with all procurement needs and requirements as set forth by the Indiana
Office of Community and Rural Affairs.
1.5 Labor: Assist the City in all aspects of meeting Labor Standards requirements.
1.6 Civil Rights: Assist the City in complying with all Civil Rights requirements and documentation of
compliance Including:
a. Advising the City of all applicable requirements including all laws, regulations and Executive
Orders
b. Assisting the City in documenting all Civil Rights policies and procedures in the area of
employment, project benefits, and contracts
1.7 Procurement of Material Suooliers: Assist with all administrative aspects of equipment purchase.
including coordinating with suppliers and other necessary entities and all related elements.
1.8 Program Monitoring: Advise the City Mayor or his designee as to the use of the program monitoring
check -list and assist in taking necessary corrective action identified as a result of the monitoring.
1.9 Program Close Out and Audit:
a. Advise on proper close out procedures and processes
b. Assist in completing close out package including Cumulative Cost Report, Status of Federal
Cash Statement and Property Inventory
c. Assist in completing Grantee Performance Report at time close out package is complete
d. Assist with preparation for independent audit
e. Assist with all other related close out and audit elements, as necessary
1.10 Miscellaneous Elements:
a. Provide assistance to the City in any other elements of federal compliance for project from
start of project through close out, not related to scope change or excluded above
b. Project files will be available for a period of three (3) years after close out for questions
monitoring of project activities
SECTION 2. CLIENT RESPONSIBILITIES
2.1 The City shall designate a local contact with respect to the work to be performed under this
Agreement, to coordinate, as necessary, with all project administrators, the Administrator and the City
as it relates to IOCRA established fund de- obligation milestones.
Contact Name(s) Contact Phone #(s)
2.2 The local contact shall maintain, coordinate and inform the City and all project administrators of
progress related to all de•obligation milestone activities.
2.3 The City shall be informed of all IOCRA de-obligation milestones in the implementation of t grant
and shall enforce responsible administrator to meet the deadlines mandated by the IOCRAto assure
a successful and timely project schedule.
2.4 The City shall not incur costs or execute any contracts without prior written IOCRA approval to incur
such costs for activities funded in whole or in part with non -local funds.
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2.5 The City shall provide the Administrator with copies of all invoices/claims for payment prior to
payment. This will ensure proper recording of the invoices/claims and it will also ensure that the
invoices /claims are true and correct and eligible costs in accordance with the grant funds and line
items within the grant agreement.
2.6 The City or the local representative shall immediately inform the Administrator of any potential change
in the project scope when such change is an apparent possibility.
2.7 'The City shall keep the financial records and all files as developed by Administrator. The grant
recipient will then be responsible for maintaining the record keeping system developed by the
Administrator and also shall keep files containing all oopiesrdocuments provided by the Administrator
or otherwise related to the project.
SECTION 3. CONTRACT PRICE
3.1 The City shall pay the Administrator for performance of services as outlined in Section 1. Billing shall
be submitted to the City Clerk - Treasurer in accordancewith the terms of this Agreement Such billing
will be verified by the City and processed for payment in the usual manner in accordance with the
policies and procedures of the City Clerk- Treasurer and the Indiana State Board of Accounts. The
timing of billings shall be consistent with the schedule in the IOCRA grant agreement or the actual
project schedule. The Administrator agrees to complete the required services for the following:
Grant Administration $ 29,149.00
Labor Standards S 5,000.00
Environmental Review $ 3.000.00
TOTAL $ 37,149.00
A fixed fee "not to exceed" contract of $37.149.00
3.2 Additional Services of the Administrator. Upon any change in the scope of the project, differing from
the approved Disaster Recovery #2 Fund (DR#2) Grant application, the Administrator shall be
informed promptly and the Administrator and the City shall discuss /negotiate the additional cost due to
the Administrator related to the change in the scope of work.
SECTION 4. TIME FOR PERFORMANCE
4.1 This Agreement shall be effective as of the date hereof and shall remain in effect until the expiration
date of the grant. All activities shall be complete as of this date unless an extension is approved by
the City and the IOCRA, in which case the contract shall be extended until the modified expiration
date.
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SECTION 5. CONTRACT
This Agreement, together with other documents as enumerated below, form the Contract between the parties
hereto:
5.1 Non - Collusion Affidavit (Appendix I)
5.2 Federal and State Third -Party Contract Provisions (Appendix II)
IN WITNESS HEREOF, the parties have caused this AGREEMENT to be executed in two (2) original copies
on this date first above written:
CITY :
City of Jeffersonville Sewer Board
500 Quartermaster Court
Jeffersonville, Indiana 47130
BY: a
Thomas R. a • r
ATTEST: 'Z' U.✓- �t�tt�
Pegg PI ilder, Clerk- Treasurer
ADMINISTRATOR:
River Hills EDD & RPC
300 Spring Street, Suite 2A
�/ / Jeffersonville, Indiana 47130
BY: f( (; '
William H. Graham, Chairman
ATTEST:
JI Saegesser, E utive Director
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Appendix I
City of Jeffersonville Sewer Board
2011
NON- COLLUSION AFFIDAVIT
State of Indiana
City of Jeffersonville Sewer Board
William H. Graham, being first duly sworn, deposes and says that'.
1. He /she is an officer of River Hills Economic Development District, the Administrator that has
submitted the this Contract;
2. He /she is fully informed respecting the preparation and contents of the Contract and of all
pertinent circumstances respecting such;
3. Such Contract is genuine and not collusive or a sham proposal;
4. Neither the said Administrator nor any of its officers, partners, owners, agents,
representatives, employees, or parties in interest, including this affiant, has in any way
colluded, conspired, connived, or agreed, directly or indirectly, with any other bidders, firm or
person to submit a collusive or sham proposal in connection with such Contract, or has in any
manner, directly or indirectly, sought by unlawful agreement or collusion or communication or
conference with any other administrator, firm or person, to fix the price or prices in the
Administrative services contract or of any other administrator or Administrator, or to fix any
overhead, profit, or cost element of the contract price or the contract price of another
Administrator, or to secure through any collusion, conspiracy, connivance, or unlawful
agreement any advantage against the City of Jeffersonville or any person interested in the
proposed Contract.
5. The price or prices quoted herein are fair and proper and are not tainted by any collusion,
conspiracy, connivance, or unlawful agreement in the part of the Administrator or any part of
its agents, representatives, owners, employees arties o including this affiant.
DATE: L I f ), 1 (�' BY: .t_Lr'.
1
William G
TITLE: Chairman
•
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Appendix 11
FEDERAL AND STATE THIRD -PARTY CONTRACT PROVISIONS
(Revised 119d97)
CDBG- ASSISTED PROFESSIONAL SERVICES CONTRACTS
(Required by Title 24 of the Code of the Federal Register as well as other selected contract provisions
required by the Indiana Office of Community and Rural Affairs for CDBG- asststed grantslactidties )
The following Federal Regulations, Contract Provisions and Clauses are incorporated into this agreement in
their entirety. and made an integral part hereof.
1. Equal Employment Opportunity (Executive Order 11248 dated 9124165, as amended by Executive
Order 11375 dated 10113167):
The administrator hereby agrees that it will incorporate or cause to be incorporated into any contract for
professional services, or modification thereof, as defined in the regulations of the Secretary of Labor at 41
CFR Chapter 60, which is paid for in whole or in part with funds obtained from the federal govemment or
borrowed on the credit of the federal government pursuant to a grant, contract, loan insurance or
guarantee or undertaken pursuant to any federal program involving such grant, contract, loan insurance or
guarantee, the following equal opportunity clause:
During the performance of this contract, the administrator agrees as follows:
A. The administrator %rill not discriminate against any employee or applicant for employment because of
race, color, religion, sex or national origin. The administrator will take affirmative action to ensure that
applicants are employed, and that employees are treated during employment without regard to their
race, color, religion, sex or national origin. Such action shall include. but not be limited to the
following: employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff
or termination: rate of pay or other forms of compensation; and selection for training, including
apprenticeship. The administrator agrees to post in conspicuous places, available to employees and
applicants for employment. notices to be provided setting forth the provisions of this
nondiscrimination.
B. The administrator will, in all solicitations or advertisements for employees placed by or on behalf of
the administrator. state that all qualified applicants will receive considerations for employment without
regard to race, color, religion, sex or national origin.
C. The administrator will send to each labor union or representative of workers with which he has a
collective bargaining agreement or other contract or understanding, a notice to be provided advising
the said labor union or workers' representatives of the administrator's commitments under this
section, and shall post copies of the notice in conspicuous places available to employees and
applicants for employment.
D. The administrator will comply with all provisions of Executive Order 11246 of September24, 1965, as
amended by Executive Order 11375, and with the rules, regulations and relevant orders of the
Secretary of Labor.
E. The administrator will furnish all information and reports required by Executive Order 11246 of
September 24, 1965 and by rules, regulations, and orders of the Secretary of Labor, or pursuant
thereto, and will permit access to his books, records and accounts by the administering agency and
the Secretary of Labor for purposes of investigation to ascertain compliance with such rules,
regulations and orders.
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F. In the event of the administrator's non-compliance with the nondiscrimination clauses of this contract
or with any of the said rules, regulations or orders, this contract may be canceled, terminated or
suspended in whole or in part and the administrator may be declared ineligible for further government
contracts or federally assisted construction contracts in accordance with procedures authorized in
Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and
remedies invoked as provided in Executive .Order 11246 of September 24, 1965, or by rule,
regulations. or order of the Secretary of Labor. or as otherwise provided by law.
G. The administrator will include the portion of the sentence immediately preceding paragraph A and the
provisions of paragraphs A through G in every subcontract or purchase order unless exempted by
rules, regulations. or orders of the Secretary of Labor issued pursuant to Section 204 of Executive
Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor
or vendor. The administrator will take such action with respect to any subcontract or purchase order
as the administering agency may direct as a means of enforcing such provisions, including sanctions
for non-compliance: Provided, however, that in the event a administrator becomes involved in, or is
threatened with, litigation with a subcontractor or vendor as a result of such direction by the
administering agency the administrator may request the United States to enter into such litigation to
protect the interests of the United States.
H. The administrator further agrees that it will be bound by the above equal opportunity clause with
respect to its own employment practices when it participates in federally assisted construction work:
Provided, that if the applicant so participating is a state or Iocal govemment, the above equal
opportunity clause is not applicable to any agency, instrument or subdivision of such govemment
which does not participate in work on or under the contract.
I. The administrator agrees that it will assist and cooperate actively with the administering agency and
the Secretary of Labor in obtaining the compliance of administrators and subcontractors with the
equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that
it will furnish the administering agency and the Secretary of Labor such information as they may
require for the supervision of such compliance, and that it will otherwise assist the administering
agency in the discharge of the agency's primary responsibility for securing compliance.
J. The administrator further agrees that it will refrain from entering into any oontract or contract
modification subject to Executive Order 11246 of September 24, 1965, with a administrator debarred
from, or who has not demonstrated eligibility for, government contracts and federally assisted
construction contracts pursuant to the executive order and will carry out such sanctions and penalties
for violation of the equal opportunity clause as may be imposed upon administrators and
subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of
the executive order. In addition, the applicant agrees that if it fails or refuses to comply with these
undertakings. the administering agency may take any or all of the following actions: Cancel, terminate
or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending
any further assistance to the applicant under the program with respect to which the failure or refund
occurred until satisfactory assurance of future compliance has been received from such applicant;
and refer the case to the Department of Justice for appropriate proceedings.
2. Minority and Women Business Enterprise Policy (Indiana Office of Community and RuralAffairs):
The administrator agrees to ensure that disadvantaged business enterprises as defined in 49 CFR Part 23
have the maximum opportunity to participate in the performance of contracts and subcontracts financed in
whole or in part with Federal funds provided under this agreement. In this regard all recipients or
administrators shall take all necessary and reasonable steps in accordance with 49 CFR Part 23 to ensure
that disadvantaged business enterprises have the maximum opportunity to compete for and perform
contracts. The administrator shall not discriminate on the basis of race, color. national origin, or sex in
the award and performance of this contract. The administrator shall establish and pursue a 10% goal for
participation in the proceeds of this contract.
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During the performance of this contract, the administrator agrees to comply with Executive Order 12138
entitled 'Women Business Enterprise Policy" which includes, but is not limited to, creating or supporting
new programs responsive to the special needs of women business enterprises, establishing incentives to
promote business or business - related opportunities of women business enterprises, collecting and
disseminating information in support of women business enterprise in ensuring to women business
enterprises knowledge of any ready access to business - related services and resources:, .
3. Compliance in the Provision of Training. Employment and Business Opportunities:
A. The work to be performed under this contract is on a project assisted under a program providing
direct federal financial assistance from the Department of Housing and Urban Development through
the Indiana Office of Community and Rural Affairs and is subject to the requirements of Section 3 of
the Housing and Urban Development Act of 1968, as amended, 12 USC,1701u. Section 3 requires
that to the greatest extent feasible, opportunities for training and employment be given to lower
income residents of the project area and contracts for work in connection with the project be awarded
to business concerns which are located in, or owned in substantial part by persons residing in the
area of the project.
B. The parties to this contract will comply with the provisions of said Section 3 and the regulations issued
pursuant thereto by the Secretary of Housing and Urban Development set forth in 24 CFR 135. and all
applicable rules and orders of the Department issued thereunder prior to the execution of this
contract. The parties to this contract certify and agree that they are under no contractual or other
disability which would prevent them from complying with these requirements. .
C. Compliance with the provisions of Section 3, the regulations set forth in 24 CFR Part 135, and all
applicable rules and orders of the Department issued hereunder prior to the execution of the
contract, shall be a condition of the federal financial assistance provided to the project, binding upon
the applicant or recipient for such assistance, its successors and assigns. Failure to fulfill these
requirements shall subject the applicant or recipient, its administrators and subcontractors, its
successors and assigns to those sanctions specified by the grant or loan agreement or contract
through which federal assistance is provided, and to such sanctions as are specified by 24 CFR Part
135.
4. Title Vi Civil Rights Act of 1964:
During the performance of this contract, the administrator, for itself, its assignees and successors in
interest (hereinafter referred to as the "administrator"), agrees as follows:
A. The administrator, with regard to the work performed by it during the contract. shall not discriminate
on the grounds of race, color, sex or national origin in the selection and retention of subcontractors,
including procurements of materials and leases of equipment. The administrator shall not participate
either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including
employment practices.
B. In all solicitations either by competitive bidding or negotiation made by the administrator for work to be
performed under a subcontract, including procurements of materials or leases of equipment, each
potential sub - contractor or supplier shall be notified by the administrator of the administrator's
obligations under this contract and the regulations relative to nondiscrimination on the grounds of
race, color, sex, or national origin.
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C. The administrator shall provide all information and reports required by the Regulations or directives
issued pursuant thereto, and shall permit access to its books, records, accounts, their sources of
information and its facilities as may be determined by the Indiana Office of Community and Rural
Affairs or the United States Department of Housing and Urban Development to be pertinent to
ascertain compliance with such regulations, orders and instructions. Where any information is
required or a administrator in the exclusive possession of another who fails or refuses to furnish this
information, the administrator shall so certify to the awarding agency, the Indiana Office of Community
and Rural Affairs, or the United States Department of Housing and Urban Development, as
appropriate, and shall set forth what efforts it has made to obtain the information.
D. In the event of the administrators noncompliance with the nondiscrimination provisions of this
contract, the Indiana Office of Community and Rural Affairs or the United States Department of
Housing and Urban Development shall impose such contract sanctions as it may determine to be
appropriate, including. but not limited to:
(1) Withholding of payments to the administrator under the contract until the administrator complies;
and/or,
(2) Cancellation, termination or suspension of the contract, in whole or in part.
E. The administrator shall include the provisions of paragraph (A) through (E) in every subcontract.
including procurements of materials and leases of equipment, unless exempt by the Regulations, or
directives issued pursuant thereto. The administrator shall take such action with respect to any
subcontract or procurement as the Indiana Office of Community and Rural Affairs or the United States
Department of Housing and Urban Development may direct as a means of enforcing such provisions
including sanctions for noncompliance; provided, however, that in the event the administrator
becomes involved in, or is threatened with, litigation with a subcontractor or supplier as a result of
such direction, the administrator may request the Indiana Office of Community and Rural Affairs to
enter into such litigation to protect the interests of the State of Indiana, and, in addition, the
administrator may request the United States Department of Housing and Urban Development to
enter into such litigation to protect the interests of the United States.
5. Title VIII Civil Rights Acts of 1988 (as applicable):
The administrator shall comply with Title VIII Civil Rights Acts of 1968 which prohibits discrimination in the
sale or rental of dwellings (as defined), discrimination in the financing or housing, blockbusting, and
discriminatory advertising; and makes it unlawful to deny any person access to, or membership or
participation in, any multiple listing service or real estate broker organization for discriminatory reasons.
6. Section 109 Housing and Urban Development Act of 1974 (as applicable):
The administrator provides that no person in the United States shall on the grounds of race, color, national
origin or sex be 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 under this title.
7. Section 504 Rehabilitation Act of 1973:
A. The administrator will not discriminate against any employee or applicant for employment because of
physical or mental handicap in regard to any position for which the employee or applicant for
employment is qualified. The administrator agrees to take affirmative action to employ, advance in
employment and otherwise treat qualified handicapped individuals without discrimination based upon
their physical or mental handicap in all demotion or transfer, recruitment, advertising, layoff or
termination rates of pay or other forms of compensation, and selection for training, including
apprenticeship.
B. The administrator agrees to comply with the rules, regulations, and relevant orders of the Secretary of
Labor issued pursuant to the Act.
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C. In the event of the administrators non - compliance with the requirements of this clause, actions for
non-compliance may be taken in accordance with the rules, regulations, and relevant orders of the
Secretary of Labor issued pursuant to the Act.
13. The administrator agrees to post in conspicuous places, available to employees and applicants for
employment, notices in a form to be prescribed by the Indiana Office of Community and Rural Affairs,
provided by or through the contracting officer. Such notices shall state the administrators obligation
under the law to take affirmative action to employ and advance in employment qualified handicapped
employees and applicants for employment, and the rights of applicants and employees.
E. The administrator will notify each labor union or representative of workers with which it has a
collective bargaining agreement or other contract understanding, that the administrator is bound by
the terms of Section 504 of the Rehabilitation Act of 1973, and is committed to take affirmative action
to employ and advance in employment physically and mentally handicapped individuals.
F. The administrator will include the provisions of this clause in every subcontract or purchase order of
$2,500 or more unless exempted by rules. regulations, or orders of the Secretary issued pursuant to
Section 504 of the Act, so that such provisions will be binding upon each subcontractor with respect to
any subcontract or purchase order as the Director of the Office of Federal Contract Compliance
Programs may direct to enforce such provisions. including action for non-compliance.
8. Fair Housing Amendments Act of 19881as applicable):
The administrator shall comply with Fair Housing Amendments Act of 1988 which Amends Title VIII of the
Civil Rights Act of 1968 that prohibits discrimination on the basis of race, color, religion, sex or national
origin in the sale. rental and financing of dwellings. The 1988 Amendments Act extends coverage of the
1968 Act to persons with disabilities and families with children. In addition, the 1988 Amendments
establish certain design and construction requirements for new multi-family housing built for first
occupancy on or after March 13. 1991.
9. Age Discrimination Act of 1975:
The administrator shall comply with We Age Discrimination Act of 1975 which provides that no person, on
the basis of age shall be excluded from participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity receiving federal financial assistance.
10. Americans With Disabilities Act of 1990:
The administrator shall comply with the Americans With Disabilities Act of 1990 which provides that no
person, on the basis of handicap, shall be excluded from participation in. be denied the benefits of, or be
subjected to discrimination under any program or activity receiving federal financial assistance.
11. Certification of Non -segregated Facilities:
The administrator certifies that he/she does not maintain or provide for his/her employees any segregated
facility at any of his/her establishments, and those under his/her control. He/she certifies further that
he/she will not maintain or provide for employment segregated facilities at any of his/her establishments,
and he/she will not permit employees to perform their services at any location under his/her control where
segregated facilities are maintained. The administrator agrees that a breech of this certification is a
violation of the Equal Opportunity Clause of the contract. As used in this certification, the term
"segregated facilities" means any waiting rooms, work areas, rest rooms and wash rooms, restaurants
and other eating areas, parking lots, drinking fountains, recreation or entertainment areas, transportation
and housing facilities provided for employees which are segregated by explicit directive or in fact
segregated on the basis of race, color, religion or national origin because of habit, local custom, or
otherwise. He/she further agrees that (except where he/she has obtained identical certifications from
proposed subcontractors for specific time periods) he/she will obtain identical certification from proposed
subcontractors prior to the awards of subcontracts exceeding $10,000 which are not exempt from the
provisions of the Equal Opportunity Clause; that he/she will retain such certification in his/her files: and
that he/she will forward this notice to such proposed subcontractors (except where proposed
•
subcontractors have submitted identical certifications for specific time periods).
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12. Retention and Access Requirements For Records (24 CFR Part 85.42):
A. The administrator shall comply with Retention and Access Requirements For Records (24 CFR Part
85.42) and State of Indiana records access and retention requirements, to wit:
Financial records, supporting documents, statistical records and all other records pertinent to a grant
shall be retained for a period of five (5) years, with the following qualifications:
(1) It any litigation, claim, negotiation, audits or other action is started before the expiration of the
five -year period, the records shall be retained until all litigation, claim or audit findings involving
the records have been resolved, or the five -year period, whichever is later.
(2) Records of non-expendable property acquired with federal funds shall be retained for five years
after final disposition of such property.
(3) When records are transferred to or maintained by the federal sponsoring agency, the five -year
retention required is not applicable to the grantee.
B. The five -year retention period starts from the date of issuance of a "Certification of Completion'
respective to the grant by the Indiana Office of Community and Rural Affairs.
C. The Indiana Office of Community and Rural Affairs shall request transfer of certain records to its
custody from grantees when it is determined that the records possess long -term retention value.
However, in order to avoid duplicate record - keeping, the Indiana Office of Community and Rural
Affairs may make arrangements with grantees to retain any records that are continuously needed for
joint uses.
D. The Indiana Office of Community and Rural Affairs, the United States Department of Housing and
Urban Development. and the Comptroller General of the United States, or any of their duly authorized
representatives, shall have access to any pertinent books, documents, papers and records of grantee
and sub - grantees to make audits, examinations. excerpts and transcripts.
E. Unless otherwise required by law, Indiana Office of Community and Rural Affairs shall not place
restrictions upon grantees that will limit public access to the records of grantees that are pertinent to a
grant except when the agency can demonstrate that such records must be kept confidential and
would have been excepted from disclosure pursuant to the Freedom of Information Act (5 USC 552) if
the records had belonged to the grantor agency.
13. Conflict of Interest (24 CFR 85.36 and 24 CFR 570.611):
The administrator shall maintain a written code or standards of conduct which shall govem the
performance of their officers, employees or agents engaged in the award and administration of contracts
supported by federal funds. No employee, officer or agent of the grantee shall participate in 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. Persons covered under this section include any person who is:
(a) An employee, agent, consultant, officer, or elected or appointed official of the grantee, any
designated public agency or any sub - recipient agency that is receiving CDBG funds from the
Indiana Office of Community and Rural Affairs;
(b) Any member of his/her immediate family;
(c) His or her partner; or
(d) An organization which employs, or is about to employ, any of the above, has a financial or other
interest in the firm selected for award.
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The administrator's officers, employees or agents shall neither solicit nor accept gratuities, favors or
anything of monetary value from administrators, potential administrators, or parties to sub - agreements
funded with CDBG funds. To the extent permitted by state or local law or regulations, such standards of
conduct shall provide for penalties. sanctions. or other disciplinary actions for violations of such standards
by the grantee's officers, employees, or agents or by administrators or their agents.
No persons described in (a) through (d) above who exercise or have exercised any functions or
responsibilities with respect to CDBG-assisted activities, or who are in a position to participate in a
decision - making process or gain inside information with regard to such activities, may obtain a financial
interest in any contract, or have a financial interest in any contract. subcontract, or agreement with respect
to the CDBG-assisted activity, or with respect to the proceeds from the CDBG - assisted activity, either for
themselves or those with whom they have business or immediate family ties, during their tenure or for a
period of one (1) year thereafter.
14. RemedieslSanctions or Breach of Contract Terms:
Upon written notice, the grantee may withhold payments to the administrator if the administrator shall fail
to fulfill in a timely and proper manner its obligations to grantee under this contract, or if the administrator
shall violate any of the conditions of this contract. The grantee shall in its written notice to administrator
fully describe the nature of failure or violation by administrator, the corrective action required of
administrator, and, the grantee shall allow the administrator thirty (30) days from the date of notification to
correct such failure and/or violation. If such failure or violation is corrected by the administrator within thirty
(30) days from the date of notification, then the grantee shall process payment(s) to the administrator. If
such failure or violation is not corrected within thirty (30) days from the date of this notification. then the
grantee may proceed to terminate this contract.
15. Termination of Contract for Cause - 24 CFR 65.43 (All Contracts In Excess of 510.000):
If the administrator shall fail to fulfill in a timely and proper manner his/her obligations under this contract.
or if the administrator shall continue to violate any of the covenants, agreements, or stipulations of this
contract, following notices by the grantee and allowances for corrective actions specified in Paragraph 14
above. the grantee shall thereupon have the right to terminate this contract by giving written notice to the
administrator of such termination and specifying the effective date thereof. at least thirty (30) days before
the effective date of such termination. In such event, all finished or unfinished documents, data, studies,
surveys, drawings, maps. models, photographs and reports prepared by the administrator under this
contract shall, at the option of the grantee, become the property of the grantee and the administrator shall
be entitled to receive just and equitable compensation for any work satisfactorily completed hereunder. In
the event the administrator disputes grantee's election to terminate this contract for cause under this
paragraph, administrator may pursue equitable relief or remedy.
16. Termination for Convenience - 24 CFR 85.44 (All Contracts in Excess of 510,000):
The grantee may terminate this contract for its convenience, at any time, by giving at least thirty (30) days
notice in writing to the administrator. If the contract is terminated by the grantee as provided herein, the
grantee agrees to pay the administrator. no later than thirty (30) days following the date of the written
notice of contract termination by grantee. In such event, all finished or unfinished documents, data,
studies, surveys, drawings, maps, models, photographs and reports prepared by the administrator under
this contract shall. at the option of the grantee, become the property of the grantee and the administrator
shall be entitled to receive just and equitable compensation for any work satisfactorily completed
hereunder.
17. Changes to Contract:
The terns and conditions of this contract may be changed at any time by mutual agreement of the parties.
Such modification shall be effective upon the signing by both parties of an addendum to this contract
encompassing those changes. Where the addendum changes the compensation or time of performance,
it shall also describe the change in scope. character or complexity of the work that is the basis for the
change.
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18. Contractor to Furnish Necessary Personnel Resources:
A. The administrator represents that it has, or will secure at its own expense, all personnel required in
performing the services specified in this contract. Such personnel shall not be employees of or have,
.. as individuals, any contractual relationship with the grantee.
B. All of the services required hereunder will be performed by the administrator or under its supervision
and all personnel engaged in the work shall be fully qualified and shall be authorized or permitted
under State and Local law to perform such services.
C. With the exception of the work described as being subcontracted within the contract, if any, none of
the work or services covered by this contract shall be subcontracted without the prior approval of the
grantee. Any additional work or services subcontracted hereunder shall be specified by written
contract or agreement and shall be subject to each provision of this contract.
19. Reports and Information:
The administrator, at such times and in such forms as the grantee or the Indiana Office of Community and
Rural Affairs may require, shall fumish grantee and/or the Indiana Office of Community and Rural Affairs
such periodic reports as it may request pertaining to the work or services undertaken pursuant to this
contract, the costs and obligations incurred or to be incurred by grantee in connection therewith. and any
other matters covered by this contract.
20. Records and Audits:
The administrator shall maintain accounts and records, including personnel, property and financial
records, adequate to identify and account for all costs pertaining to this contract and such other records as
may be deemed necessary by the grantee to assure proper accounting for all funds applicable to this
contract. These records will be made available for audit purposes to the grantee or any authorized
representative, and will be retained for five years after the expiration of this contract unless permission to
destroy them is granted.
21. Copyright and Patent Rights:
No reports, maps, or other documents produced in whole or in part under this contract shall be the subject
of an application for copyright by or on behalf of the administrator. The US Department of Housing and
Urban Development, the Indiana Office of Community and Rural Affairs and the grantee shall possess all
rights to invention or discovery, as well as rights in data which may arise as a result of the administrator's
services.
22. Compliance with State and Local Laws:
The administrator specifically agrees that in performance of the services herein enumerated, administrator
and his/her employees/agents will comply with any applicable State, and Local Statutes, ordinances and
regulations at the time this agreement is executed.
23. Disclosure Reports (HUD Reform Act of 1989 - 24 CFR Part 4.11):
Section 2 of the HUD Reforn Act of 1989 requires that if the grantee receives 5200.000 or more in federal
CDBG funds during a federal fiscal year, (October 1 - September 30), a HUD disclosure report must be
completed for each contract funded in whole or in part with federal CDBG funds. A copy of all such
Disclosure Reports must be submitted by the grantee to the Grants Management Office of the Indiana
Office of Community and Rural Affairs within ten (10) days after contract execution. In order for the
grantee to comply with this federal requirement, the grantee will provide to the administrator the
prescribed format of Part IV to the HUD Disclosure Report, and the administrator agrees to furnish the
grantee a completed Part IV to the HUD Disclosure Report within seven (7) days of execution of the
agreement between administrator and grantee. Within such Part IV of the prescribed HUD Disclosure
Report, the administrator will provide the grantee with the following minimum information:
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• a. The name of all persons who are proprietors. partners, directors or officers of the administrator and
thereby have a pecuniary interest in the proceeds of the CDBG-assisted contract;
b. The social security account number of all proprietors listed in a. above, or the federal identification
number of the partnership or corporation which is subject to the CDBG- assisted contract, as
applicable;
c. The type of participation each individual named in a. above will have in the CDBG-assisted contract.
Such participation may be listed in the Part IV of the HUD Disclosure Report as "direct', or'passive ,
whichever applies to such proprietor, partner. director or officer, as applicable; and,
d. The financial interest of the named individual as set forth in a. above; such interest to be expressed in
dollar terms or in terms of percentage of ownership of the proprietorship. partnership, or corporation
which is to received federal CDBG funding under this contract.
24. Compliance with Copeland "Anti Back" Act:
In carrying out this agreement, the administrator agrees to comply with the requirements of the Copeland
"Anti-Kick Back° Act (18 USC 874) as supplemented in US Department of labor regulations 29 CFR Part
3, respective to all contracts and sub - grants for construction or repair services.
26. Compliance with Davis - Bacon Act:
In carrying out this agreement, the administrator agrees to comply with the requirements of the Davis -
Bacon Act (40 USC 276a to 276a -7) as supplemented in US Department of Labor regulations 29 CFR
Part 5, respective to construction contracts in excess of $2.000 awarded by grantees and sub - grantees.
26. Compliance with Sections 103 and 107 of the Contract Work Hours and Safety Standards Act:
In carrying out this agreement, the administrator agrees to comply with the requirements of the Contract
Work Hours and Safety Standards Act (40 USC 327 -330) as supplemented in US Department of Labor
regulations 29 CFR Part 5, respective to construction contracts in excess of $2,000 awarded by grantees
and sub - grantees. and 52,500 for other contracts which involve the employment of mechanics or laborers.
27. Compliance with Clean Air and Water Acts (applicable to all contracts over $100.000):
In carrying out this agreement, the administrator agrees to comply with the requirements of Section 306 of
the Federal Clean Air Act (42 USC 1857(h)), section 508 of the Clear Water Act (33 USC 1368).
Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR Part 15)
respective to all contracts in excess of 5100,000 awarded by grantees and sub - grantees. Such statutes
and regulations prohibit the use under non - exempt Federal contracts, grants or loans of facilities included
on the Environmental Protection Agency's List of Violating Facilities. The provision shall require reporting
of violations to the grantor agency and to the US Environmental Protection Agency.
28. Conservation:
In carrying out this agreement, the administrator agrees to comply with the requirements of mandatory
standards and policies relating to energy efficiency which are contained in the State of Indiana's energy
conservation plan issued in compliance with the federal Energy Policy and Conservation Act (PL 94 -163,
89 Statutes 871).
29. Drug - Free Workplace Reaulrements:
In carrying out this agreement, the contractor agrees to comply with the requirements of the Drug -Free
Workplace Act of 1988 (42 U.S.C. 701) and to certify that contractor will comply with drug -free workplace
requirements in accordance with the Act and with HUD rules found at 24 CFE part 24, subpart F.
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