HomeMy WebLinkAbout18-63 Approval of Grant for Lead Hazard Reduction Demostration and Healthy Homes Supplemtal Funds ?°13T"4,6\, Filed in Clerk's Office
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�1�b x KAREEMAH FOWLER
O R
CITY CLERK,SOUTH BEND,IN
CITY OF SOUTH BE
COMMUNITY INVESTMENT
JAMES MUELLER, EXECUTIVE DIRECTOR
October 17,2018
President Tim Scott
Members,South Bend Common Council
Dear President Scott and Council Members:
The resolution submitted for Council approval is for the purpose of accepting a grant award,from the Indiana
Housing and Community Development Authority(IHCDA)to address lead issues in both homeowner and rental
units in the City of South Bend.South Bend is only one of four cities to receive these funds.
The total of$528,951.00 represents a portion of the total South Bend award of$672,857.00. IHCDA awarded
funds from two different sources for the same project activity.
Lead Hazard Reduction Demonstration
and Healthy Homes Supplemental Funds $528,951.00
While each fund/award has its own regulations, processes,agreement and required resolution,the funds are
intended to work in tandem. Combined the awards allow for costs related to hazard control work, risk
assessments,inspections,clearance,staff and personnel expected to address 40 housing units.
Local and State efforts to publicize and explain the program are on-going. Pre-applications are reviewed by IHCDA
and then forwarded to the respective community.
I will present at the October 22,2018 meeting however if you have any questions prior to that time please contact
me. Thank you.
Since
ef
Pamela C. Meyer
Director
cc: K. Fowler,City Clerk
B. Palmer,Council Attorney
J. Mueller, DCI Executive Director
S. Fritzberg,Office of the Mayor
DANIEL J.BUCKENMEYER ALKEYNA ALDRIDGE PAMELA MEYER TIM CORCORAN
BUSINESS DEVELOPMENT ENGAGEMENT&ECONOMIC EMPOWERMENT NEIGHBORHOOD DEVELOPMENT PLANNING&COMMUNITY RESOURCES
EXCELLENCE I ACCOUNTABILITY I INNOVATION I INCLUSION I EMPOWERMENT ® ,
1400S County-City Building 1227 W.Jefferson Blvd.I South Bend,Indiana 46601 1 p 574.235.9371 I www.southbendin.gov
f%le
Filed in Clerk's Office
OC-T-1-"i L0181
BILL NO. 18-63 KAREEMAH FOWLER
CITY CLERK, SOUTH BEND, IN
RESOLUTION NO.
A RESOLUTION OF THE COMMON COUNCIL OF THE CITY OF SOUTH BEND,
INDIANA, TO ACCEPT A RECOVERABLE GRANT FROM THE INDIANA HOUSING
AND COMMUNITY DEVELOPMENT AUTHORITY,LEAD HAZARD REDUCTION
DEMONSTRATION GRANT AND HEALTHY HOMES SUPPLEMENTAL FUNDING
WHEREAS, the Common Council of the City of South Bend, Indiana (the "Common
Council"), is the governing body of the City of South Bend (the "City"), a municipal corporation
duly organized and existing in the State of Indiana; and
WHEREAS, the City,through its Department of Community Investment, applied for and
has received a recoverable grant from the Indiana Housing and Community Development
Authority (the "IHCDA") Lead Hazard Reduction Demonstration Grant and Healthy Homes
Supplemental Funding, in the amount of Five Hundred Twenty-Eight Thousand Nine Hundred
Fifty-One Dollars ($528,951) (the"Grant"); and
WHEREAS, the IHCDA requires the Common Council to retroactively approve the
City's application, formally accept the grant award, and appoint designees that are authorized to
act on behalf of the City with regard to the Grant, all by a resolution of a majority of its
members.
NOW, THEREFORE,BE IT RESOLVED by the Common Council of the City of
South Bend, Indiana, as follows:
SECTION I. The City is hereby retroactively authorized to apply for a recoverable grant
from the Lead Hazard Reduction Demonstration Grant and Healthy Homes Supplemental
Funding, administered by IHCDA
SECTION II. The City is hereby authorized to accept the Grant awarded to it by the
Lead Hazard Reduction Demonstration Grant and Healthy Homes Supplemental Funding,
administered by IHCDA, in accordance with the terms and conditions set forth in the Award
Agreement between IHCDA and the City, a copy of which is attached hereto as Attachment A,
and has been executed by the City through its Board of Public Works (the "Board").
SECTION III. All further applications, documents, covenants, binding real estate deeds,
instruments or writings as are necessary and/or as appropriate to consummate the recoverable
grant transaction, as acceptable to IHCDA shall be performed by the Board or individual so
authorized to act by and on behalf of the City.
SECTION IV. This Resolution shall be in full force and retroactive effect as provided in
Section I, from and after its adoption by the Common Council and approval by the Mayor.
Tim Scott, Council President
South Bend Common Council
ATTACHMENT A
AWARD AGREEMENT
i3
LEAD HAZARD REDUCTION DEMONSTRATION GRANT PROGRAM AGp• i t'Perk's Office
This is a Subaward
This is Not a Research&Development Award
CFDA#14.905 OCT 1 -7 Z018
U.S.Department of Housing and Urban Development
100%Federal Funding '
Federal Award No.FAIN: B INLHD0317-17 KAREEMAH FOWLER
Federal Award Date: March 1,2018 CITY CLERK,SOUTH BEND,IN
FFATA Activity Description: Lead Hazard Reduction
AWARD AGREEMENT NO.LD-018-003
THIS LEAD HAZARD REDUCTION DEMONSTRATION GRANT PROGRAM AGREEMENT (the
"Agreement") is made and entered into by and between the Indiana Housing and Community Development Authority(the
"IHCDA"or"Authority"),a public body corporate and politic of the State of Indiana(the"State"),and the City of South
Bend a Unit of Local Government,(the"Recipient")having a DUNS#of 074327123.
WITNESSETH:
WHEREAS, the Authority is authorized to receive, administer, and disburse funds in order to administer the
undertaking of comprehensive programs to identify and control lead-based paint hazards in eligible privately owned rental
or owner-occupied housing using Lead Hazard Reduction Demonstration Grant Program funds and Healthy Homes
Supplemental funds;and,
WHEREAS, the Recipient has applied to the Authority for an award of such funds, and the Authority desires to
approve and to allocate such funds to the Recipient for the purpose of identifying and controlling lead-based paint hazards
in eligible privately-owned rental or owner-occupied housing in Indiana;
NOW,THEREFORE,in consideration of the following mutual promises,covenants,and conditions contained herein,
and other good and valuable consideration,the sufficiency of which is hereby acknowledged,the parties agree as follows:
1. Incorporation of Recitals. The above recitals are hereby incorporated herein as though set forth in their entirety.
2. The Authority awards the Recipient the sum of Four Hundred Sixty Three Thousand and Nine Hundred Fifty
One dollars 0/100($463,951.00) (the"Award")for use by the Recipient pursuant to its application,submitted to
IHCDA on May 28, 2018 (the "Application"), exclusively for the purpose and.project outlined therein (the
Project"). A false statement in an application is grounds for denial or termination of an award and possible
punishment, as provided in 18 U.S.C. 1001. The Recipient will also receive the sum of Sixty Five Thousand
dollars 0/100 ($65,000.00) (the "Award") in Healthy Homes Supplemental Funding ("HHSF") (Additional
programmatic,statutory and regulatory requirements are attached hereto,made a part hereof,and marked"Exhibit
A"("Additional Programmatic,Statutory and Regulatory Requirements"). The Recipient has submitted a detailed
budget which has been attached to this Agreement as "Exhibit B" ("Budget"), attached hereto and made a part
hereof.
1. Representations, Warranties, and Covenants of Recipient. The Recipient hereby represents and warrants to the
Authority and covenants with the Authority that:
(a) It shall timely perform or cause to be performed all work specified in its Application;
(b) It shall not request any payment under this Agreement from IHCDA until those funds are actually needed to
pay for eligible expenses;
(c) Its request for any such payment shall be limited to the amount of expenses actually incurred by the Recipient
at that time;
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(d) It shall not expend any part of the Award for purposes other than the Project or spend more of the Award for
any class of items or activities than the amount allocated for such purposes in the appropriate line item of the
Budget,a copy of which is attached hereto,made a part hereof,and marked"Exhibit B";
•
(e) It shall,from time to time,timely and promptly do each and every act and thing that may be necessary and/or
appropriate to perform its duties and obligations under this Agreement,the Application,the IHCDA CDBG,
HOME and HTF Program Manual(the"Award Manual")the IHCDA Lead Hazard Reduction Demonstration
Grant Work Plan (the"Work Plan") and the IHCDA Lead Hazard Reduction Demonstration Grant Policies
and Procedures Manual(the"Policy and Procedures");
•
(0 It shall promptly repay IHCDA for any Lead Funds funds it utilizes for expenses that are deemed"ineligible"
by any of the following: IHCDA,HUD,24 CFR Part 35,The Residential Lead-Based Paint Hazard Reduction
Act(Title X), Lead Disclosure Rule,The EPA Renovation,Repair and Painting Rule(RRP,40 CFR 745,
especially subpart E)an audit,the Work Plan,the Policy and Procedures or the Award Manual;
(g) All work and activities authorized and/or contemplated under this Agreement,the Application,and the'Project
will be in strict obeyance,compliance,and observance of all applicable laws,rules,regulations,and executive
orders of all Federal, State,and local governments and regulatory bodies,including provisions of the Award
Manual and its application,as from time to time amended;
(h) It shall keep and,upon request,timely submit such records and reports as may be required from time to time
by the Authority or the U.S.Department of Housing and Urban Development("HUD"), which records shall
include those necessary for fair housing and equal opportunity purposes, and other records reasonably
necessary to assist the Authority in complying with 24 CFR 35
(i) It has not taken and will not take any action or permit any action that is within its control to be taken or fail to
take any action that would impair the Award or the Project. It shall timely prepare all fiscal and management
records required by the Award Manual and/or the Authority that are necessary or appropriate to effectively
administer and/or monitor the Project. It will maintain books, records, documents, and other evidence
pertaining to the Project and all costs and expenses incurred and revenues received under this Agreement in
sufficient detail to reflect all activities undertaken in connection with the Project and all costs, direct and
indirect, of labor, materials, equipment, supplies, services, and other costs of whatever nature, for which
payment is claimed under this Agreement. It shall retain all such records for the greater of three(3)years from
closeout of this Award. Records shall be retained beyond the prescribed period if any of the following occur:
(a) If any litigation, claim, or audit is started before the expiration of the 3-year period,the records must be
retained until all litigation,claims,or audit findings involving the records have been resolved and final action
taken. (b) When the Recipient is notified in writing by HUD or HUD Office of Inspector General, the
cognizant agency for indirect costs,or IHCDA to extend the retention period.(c)Records for real property and
equipment acquired with Federal funds must be retained for 3 years after final disposition. (d)Records for
program income transactions after the period of performance.In some cases the Recipient must report program
income after the period of performance.Where there is such a requirement,the retention period for the records
pertaining to the earning of the program income starts from the end of the Recipient's fiscal year in which the
program income is earned. Copies shall be furnished to the IHCDA at no cost.
(j) In accordance with 2 CFR 200.336,it will provide HUD,the Office of the Inspector General,the Comptroller
General of the United States,and IHCDA,or any of their authorized representatives,access to any documents,
papers, or other records of the Recipient which are pertinent to the Award, in order to make audits,
examinations,excerpts,and transcripts.The right also includes timely and reasonable access to the Recipient's
personnel for the purpose of interview and discussion related to such documents.
(k) It guarantees total satisfactory performance of all work contemplated by this Agreement,and it shall take any
and all action necessary including for purposes of illustration that which is requested by the Authority to
correct or otherwise cure any problems or deficiencies identified by the IHCDA during its monitoring and
evaluation;
LEAD-CITY of SOUTH BEND LD-018-003
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(1) No information or statement furnished by it to the Authority contains, and no report required to be or
otherwise delivered by it to the Authority will contain, any untrue statement of a material fact or will omit to
state a material fact necessary to make such information,statements,or reports not misleading.
2. •Term of Agreement/Period of Performance. This Agreement shall be effective as of August 31, 2018 (the
"Effective Date") and shall remain in effect until January 29,2021 ("Expiration Date") except as extended by
written consent of the parties, unless sooner terminated as provided herein. Notwithstanding the foregoing,the
Recipient must expend and disperse the entire amount of the Award within eighteen (18)months of the Effective
Date of this Agreement.
3. Payment Schedule. The Authority shall disburse to the Recipient an amount not in excess of the Award upon: (i)
request for disbursement on form"Claim Voucher" (A-12)properly executed by the Recipient;(ii)receipt of all
proper materials,receipts,and approvals provided herein,together with such other documentation as the Authority
may,from time to time, request; (iii)requested evidence that awarded funds are being expended in proportion to
expenditures of match and leverage; and (iv) appropriate assurance and/or evidence satisfactory to the Authority
that the Recipient is in full and strict compliance with this Agreement and the Project.
ii
NOTE: Any action,review, recommendation, approval, or other activity taken by or on behalf of the Authority
does not expressly or impliedly, directly or indirectly, suggest, represent, or wan'ant that the Recipient or the
Project is in compliance with applicable statutes,rules,regulations,applications,or other statements. Rather,the
Recipient acknowledges that it is solely responsible for all such matters.
4. Progress Reports. The Recipient shall submit at a minimum quarterly progress reports to the IHCDA upon request.
The report shall be in written form. The progress reports shall serve the purpose of assuring the IHCDA that work
is progressing in line with the proposal or schedule, and that completion can be reasonably assured on the
scheduled date. The report will be submitted to HUD for final approval.
5. Compliance with Laws.
(a) Any action, review, recommendation, approval, or other activity taken by or on behalf of the Authority does
not expressly,or impliedly,directly or indirectly,suggest,represent,or warrant that the Recipient or the Project
is in compliance with applicable statutes, rules, regulations, applications, or other statements. Rather, the
Recipient acknowledges that it is solely responsible for all such matters.
(b) The Recipient shall comply with all applicable federal,state and local laws,rules,regulations and ordinances,
and all provisions required thereby to be included herein are hereby incorporated by reference. The enactment
[ of any state or federal statute or the promulgation of regulations thereunder after execution of this Agreement
shall be reviewed by the IHCDA and the Recipient to determine whether the provisions of this Agreement
require formal modification.
(c) The Recipient and its agents shall abide by all ethical requirements that apply to persons who have a business
relationship with the State as set forth in IC§4-2-6 et seq.,IC§4-2-7,et.seq.and the regulations promulgated
thereunder. If the Recipient has knowledge,or would have acquired knowledge with reasonable inquiry,that a
state officer, employee, or special state appointee, as those terms are defined in IC 4-2-6-1, has a financial
interest in the Agreement,the Recipient shall ensure compliance with the disclosure requirements in IC 4-2-6-
10.5 prior to the execution of this Agreement. If the Recipient is not familiar with these ethical requirements,
the Recipient should refer any questions to the Indiana State Ethics Commission, or visit the Inspector
General's website at http://www.in.gov/ig/. If the Recipient or its agents violate any applicable ethical
standards, IHCDA may, in its sole discretion, terminate this Agreement immediately upon notice to the
Recipient. In addition,the Recipient may be subject to penalties under IC §§4-2-6, 4-2-7, 35-44.1-1-4,and
under any other applicable laws.
(d) The Recipient certifies by entering into this Agreement,that neither it nor its principal(s)is presently in arrears
in payment of its taxes,permit fees or other statutory,regulatory or judicially required payments to the State.
Further,the Recipient agrees that any payments in arrears and currently due to the State may be withheld from
payments due to the Recipient.Additionally,further payments may be withheld,delayed,or denied and/or this
LEAD-CITY of SOUTII BEND LD-018-003
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ii
II;
it
Agreement suspended until the Recipient is current in its payments and has submitted proof of such payment
to the State and the IHCDA.
(e) The Recipient warrants that it has no current or outstanding criminal,civil,or enforcement actions initiated y
the State pending, and agrees that it will immediately notify the State and the IHCDA of any such actions.
During the term of such actions,the Recipient agrees that IHCDA may delay,withhold, or deny work under
any supplement,amendment or contractual device issued pursuant to this Agreement.
(f) If a valid dispute exists as to the Recipient's Iiability or guilt in any action initiated by the State or its agencies,
and the IHCDA decides to delay,withhold,or deny funding to the Recipient,the Recipient may request that
funding be continued. The Recipient must submit,in writing,a request for review to the Indiana Department
of Administration("IDOA")following the procedures for disputes outlined herein. A determination by IDOA
shall be binding on the parties. Any payments that the IHCDA may delay,withhold,deny,or apply under this
Subsection(f)shall not be subject to penalty or interest except as permitted by IC 5-17-5.
(g) The Recipient warrants that the Recipient and its subcontractors,if any,shall obtain and maintain all required
permits,Iicenses,and approvals,and shall comply with all health,safety, and environmental statutes,rules,or
regulations in the performance of work activities for the IHCDA. Failure to do so is a material breach and
grounds for immediate termination of this Agreement and denial of further payment by the IHCDA.
(h) The Recipient hereby affirms that if it is an entity described in IC Title 23,it is properly registered and owes
no outstanding reports with the Indiana Secretary of State.
(i) As required by IC 5-22-3-7:
(1) The Recipient and any principals of the Recipient certify that(A)the Recipient,except for de minimis and
nonsystematic violations,has not violated the terms of(i)IC 24-4.7(Telephone Solicitation Of Consumers),
(ii)IC 24-5-12(Telephone Solicitations),or(iii)IC 24-5-14(Regulation of Automatic Dialing Machines)in
the previous three hundred sixty-five(365)days,even if IC 24-4.7 is preempted by Federal law; and(B)the
Recipient will not violate the terms of IC 24-4.7 for the duration of this Agreement, even if IC 24-4.7 is
preempted by Federal law.
(2) The Recipient and any principals of the Recipient certify that an affiliate or principal of the Recipient and
any agent acting on behalf of the Recipient or on behalf of an affiliate or principal of the Recipient(A)except
for de minimis and nonsystematic violations, has not violated the terms of IC 24-4.7 in the previous three
hundred sixty-five (365) days, even if IC 24-4.7 is preempted by Federal law; and (B) will not violate the
terms of IC 24-4.7 for the duration of this Grant Agreement,even if IC 24-4.7 is preempted by Federal law.
6. Limitations on Expenditures of Program Funds.
(a) The Recipient and other participants in the Program are prohibited from undertaking,committing or expending
HUD or non-HUD funds on a project or activities under this Agreement(other than activities listed at 24 CFR
58.34, 58.35(b) or 58.22(1), e.g., lead-based paint inspections, risk assessments, and housing related health
hazard assessments) until the Recipient completes an environmental review including the submission, and
HUD approval, of a Request for Release of Funds and the recipient's Environmental Certification (both on
Form HUD7015.15).
(b) Funds shall not be obligated or utilized for any activities requiring a release of funds by the State under the
Environmental Review Procedures applicable to the Lead program set forth in 24 C.F.R.Parts 50 and 58,and
any successor statute or regulation,until such release is issued in writing.
7. Termination:Cancellation of Funding.
( (a) Termination.
The Authority may immediately suspend or terminate this Agreement if the Recipient fails to comply with any
material term of the Agreement.
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.
(b) For Convenience. This Agreement may be terminated,in whole or in part,by the Authority whenever,for any
reason, the Authority determines that such termination is in the best interest of the Authority. Termination
shall be effected by delivery to the Recipient of a Termination Notice, specifying the extent to which such
termination becomes effective. The Recipient shall be compensated for completion of activities properly
performed prior to the effective date of termination. The Authority will not be liable for activities performed
after the effective date of termination.
(c) Funding Cancellation. When the Executive Director of IHCDA or the Director of the State Budget Agency
makes a written determination that funds are not available to support continuation of performance of this
Agreement, the Agreement shall automatically terminate. Any determination by the Executive Director of
IHCDA or the Director of the State Budget Agency that funds are not appropriated or otherwise available to
support continuation of performance shall be final and conclusive.
(d) Cross-Default. This Agreement may be suspended and/or terminated immediately if the Recipient has
committed fraud or has misused or misappropriated funds received under this Agreement or another agreement
between the Recipient and IHCDA. In this event IHCDA may de-obligate and/or re-distribute all or any
portion of this award to another recipient. This section shall survive the termination or expiration of this
Agreement. Further,Recipient's breach or default of other agreements or obligations related to the Project
shall constitute a material breach of this Agreement.
(e) Effect of Termination. Upon expiration or termination of this Agreement for any reason,the Recipient shall
transfer to the Authority any unexpended funds on hand and any accounts receivable attributable to the use of
the Award.
8. Insurance and Indemnification.
(a) Insurance. During the Term,the Recipient shall obtain and maintain,at its expense,with an insurer acceptable
to IHCDA, comprehensive general liability coverage,including contractual coverage,with minimum liability
limits of$500,000 per occurrence and$1,000,000 in the aggregate unless additional coverage is required by
IHCDA. The Recipient shall deliver to the IHCDA a certificate of insurance as soon as practicable upon
execution of this Agreement evidencing coverage or the IHCDA shall have the right to terminate this
Agreement immediately.
(b) Indemnification. The Recipient shall indemnify,defend,and hold harmless the IHCDA,its directors,officers,
employees, and agents of and from any and all claims, losses, damages, or expenses (including reasonable
attorneys'fees)arising out of or in any way related to(a)any breach or alleged breach by the Recipient of any
provision of this Agreement or the Application or any material inaccuracy of any representation or warrant
made by it herein,(b)any act or omission by the Recipient,its employees,agents,representatives or affiliates,
directly or indirectly, related to its performance of this Agreement constituting negligence, recklessness or
willful misconduct; and (c) any alleged failure on the part of the Recipient, its employees, agents,
representatives or affiliates to comply with any federal, state and local laws and regulations. The Authority
shall not provide such indemnification to the Recipient. This subsection shall survive the termination or
expiration of this Agreement.
9. Notice to Parties. Notice shall be deemed to have been given under this Agreement whenever any notice,
statement,or other communication shall be delivered in person,or sent via overnight delivery service maintaining
records of receipt to the address below,unless otherwise requested in writing:
(a) Notices to the Recipient shall be sent to:
City of South Bend
227 West Jefferson Avenue-Suite 1400 N
South Bend,IN 46601
Attention: IHCDA Award Administrator
(b) Notices to the IHCDA shall be sent to:
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Indiana Housing and Community Development Authority
30 South Meridian Street,Suite 900
Indianapolis,IN 46204
Attention:CDI3G
(c) With a copy to:
David Stewart,General Counsel
Indiana Housing and Community Development Authority
30 S.Meridian Street,Suite 900
Indianapolis,IN 46204
(d) Awarding Official:
IHCDA
J.Jacob Sipe,Executive Director
30 S.Meridian Street 900
Indianapolis,IN
JSipe(7a,ihcda.IN.gov
( The parties may change the foregoing notice addresses by providing notice of such change to the other party in
accordance with this Section 11.
10. Lobbying Activities. Pursuant to 5 U.S.C. § 1502 and 31 U.S.C. § 1352(and any applicable successor sections),
and any regulations promulgated thereunder, the Recipient hereby certifies that no Federally appropriated funds
have been paid or will be paid by or on behalf of the Recipient to any person for influencing or attempting to
influence an officer or employee of any agency,a member of Congress,an officer or employee of Congress,or an
employee of a member of Congress, in connection with the awarding of any Federal contract, the making of any
Federal award,the making of any Federal loan,the entering into of any cooperative agreement,and the extension,
continuation, renewal, amendment to, or modification of any Federal contract, award, loan, or cooperative
agreement. If any funds other than Federally appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency,a member of Congress,an officer or
employee of Congress, or an employee of a member of Congress, the Recipient must complete and submit
Standard Form-LLL,"Disclosure Form to Report Lobbying",in accordance with its instructions.
11. Non-Discrimination Clause. Non-Discrimination Clause. Pursuant to the Indiana Civil Rights Law, specifically
including Indiana Code§22-9-1-10,and in keeping with the purposes of the federal Civil Rights Act of 1964,the
Age Discrimination in Employment Act, and the American with Disabilities Act, the Recipient covenants that it
shall not discriminate against any employee or applicant for employment relating to this Agreement with respect to
hire, tenure, terms, conditions or privileges of employment or any matter directly or indirectly related to
iC employment because of the employee or applicant's race, age, color, religion, sex, disability, national origin,
ancestry, or status as a veteran, or any other characteristic protected by federal, state, or local law ("Protected
Characteristics"). Furthermore,the Recipient certifies compliance with applicable federal laws,regulations, and
executive orders prohibiting discrimination based on the Protected Characteristics in the provision of services. The
Recipient understands that IHCDA is a recipient of federal funds, and therefore,where applicable, the Recipient
and its subcontractors agree to comply with requisite affirmative action requirements,including reporting pursuant
to 41 CFR.Chapter 60,as amended and Section 202 of Executive Order 11246. The Recipient will be required to
document compliance with all nondiscrimination laws,executive orders,and regulations.
12. Drug-Free Workplace Certification.This clause is required by Executive Order 90-5 and applies to all individuals
and private legal entities who receive grants or contracts from State agencies.This clause was modified in 2005 to
• apply only to Recipient's employees within the State of Indiana and cannot be further modified,altered or changed.
As required by Executive Order No.90-5,April 12, 1990,issued by the Governor of Indiana,the Recipient hereby
covenants and agrees to make a good faith effort to provide and maintain a drug-free workplace. Recipient will
give written notice to IHCDA within ten(10)days after receiving actual notice that the Recipient,or an employee
of the Recipient in the State of Indiana,has been convicted of a criminal drug violation occurring in the workplace.
False certification or violation of the certification may result in sanctions including,but not limited to,suspension
of grant payments, termination of the Grant and/or debarment of grant opportunities with the State of Indiana for
up to three(3)years.
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In addition to the provisions of the above paragraphs,if the total amount set forth in this Agreement is in excess of
$25,000.00,the Recipient certifies and agrees that it will provide a drug-free workplace by:
(a) Publishing and providing to all of its employees a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the
Applicant's workplace and specifying the actions that will be taken against employees for violations of such
prohibition;and
(b)Establishing a drug-free awareness program to inform employees about(1)the dangers of drug abuse in the
workplace; (2)the Applicant's policy of maintaining a drug-free workplace;(3)any available drug counseling,
rehabilitation,and employee assistance programs;and(4)the penalties that may be imposed upon an employee
for drug abuse violation occurring in the workplace;
(c)Notifying all employees in the statement required by subparagraph(a) above that as a condition of continued
employment the employee will (1) abide by the terms of the statement; and (2) notify the employer of any
criminal drug use conviction for a violation occurring in the workplace no later than five(5)days after such a
conviction;
(d) Notifying in writing the contracting State Agency and the Indiana Department of Administration within ten
(10) days after receiving notice from an employee under subdivision (c)-(2) above, or otherwise receiving
actual notice of a conviction;
(e) Within thirty (30) days after receiving notice under subdivision(c)-(2) above of a conviction, imposing the
following sanctions or remedial measures on any employee who is convicted of drug abuse violations
ti occurring in the workplace: (1) take appropriate personnel action against the employee,up to and including
termination; or (2) require such employee to satisfactorily participate in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State or local health, law enforcement, or
other appropriate agency;and
(f) Making a good faith effort to maintain a drug-free workplace through the implementation of subparagraphs(a)
through(e)above.
13. Independent Contractor. All parties hereto,in the performance of this Agreement,will be acting in an individual
capacity and not as agents, employees,partners,joint venturers, or associates of one another. The employees of
one party shall not be deemed or construed to be the employees or agents of the other parties for any purpose
whatsoever. Except for as set forth in Section 10(b), neither party will assume liability for any injury to any
persons, or any damage to any property, arising out of the acts or omissions of the agents, employees, or
subcontractors of the other party.
14. Work Standards. The Recipient shall each execute its responsibilities by following and applying at all times the
highest professional and technical guidelines and standards. If the Authority becomes dissatisfied with the work
product of or the working relationship with those individuals assigned to perform activities pursuant to this
Agreement,the Authority may request in writing the replacement of any or all such individuals,and the Recipient
shall grant such request
15. Assurances and Certifications. The Recipient agrees to comply with the"Assurances and Certifications"set forth
in Exhibit C. Those "Assurances and Certifications" are fully incorporated herein, and made a part hereof by
reference. Any material inaccuracy of any representation or warranty contained therein shall constitute a material
breach of this Agreement,for which the Authority may terminate this Agreement. The Recipient further certifies
that it will comply with the requirements and standards of all applicable provisions in the following:
(a) Post federal award requirements in 2 CFR 200 Subpart D,Cost principles in 2 CFR 200 Subpart E,and Audit
Requirements set forth in 2 CFR 200 Subpart F;and
IE
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16. Audits. The Recipient shall submit to an audit of funds paid through this Agreement and/or an onsite monitoring
review of the Project by IHCDA or its designee.
(a) If Recipient expends$750,000 or more in federal awards during the Recipient's fiscal year it must submit
its single audit to the IHCDA within the earlier of thirty(30)days after receipt of the auditor's report(s),
or nine (9) months after the end of the audit period. The Recipient must also submit its audit to the
Federal Audit CIearinghouse.
If the Recipient expends less than $750,000 in federal awards it must submit its audited financial
statements or 990 (IRS Form 990,Return of Organization Exempt From Income Tax)to IHCDA within
the earlier of thirty(30)days after receipt of the auditor's report(s),or nine(9)months after the end of the
audit period.
(b) Any auditor performing a single or program specific audit for the Recipient must comply with 2 CFR
200.501,
(a) Sanctions: If Recipient does not adhere to the policies referenced in subparagraphs A and B of this
section,at IHCDA's sole discretion,it may take appropriate action using sanctions such as:
(1)Withholding a percentage of this funding until the audit is completed satisfactorily;
(2)Withholding or disallowing claims;
(3)Suspending all funding from any IHCDA awards until the audit is conducted;or
(4)Terminating this Agreement.
17. Federal Funding Accountability and Transparency Act of 2006 ("FFATA"). In accordance with 2 CFR
fi 200.300(b),FFATA reporting requirements will apply to any funding awarded by IHCDA under this Agreement in
the amount of $25,000 or greater. The Recipient, as a sub-recipient, must provide any information needed
pursuant to these requirements. This includes entity information,the unique identifier of the Recipient,the unique
identifier of Recipient's parent, and relevant executive compensation data, if applicable(see subsection C below
regarding executive compensation data).
A. Data Universal Numbering System(DUNS)number
Pursuant to FFATA reporting requirements and in order to receive funding under this Agreement, the Recipient
shall provide IHCDA with a valid Dun & Bradstreet ("D&B") Data Universal Numbering System ("DUNS")
number that identifies the Recipient. Accordingly, the Recipient shall register for and obtain a DUNS number
within fifteen (15) days of execution of this Agreement if it does not currently have a DUNS number. A DUNS
number may be requested from D&B by telephone (currently 866-705-5711) or the Internet (currently at
http://fedgov.dnb.com/webform).
B. System for Award Management(SAM) which is the primary registrant
The Recipient shall register in the System for Award Management ("SAM"), p' rY g
database for the U.S. Federal Government,and shall enter any information required by FFATA into the SAM,
update the information at least annually after the initial registration,and maintain its status in the SAM through the
Expiration Date of this Agreement. Information regarding the process to register in the SAM can be obtained at
https://www.sam.gov/portal/public/SAM/.
C. Federal Awardee Performance and Integrity Information System(FAPIIS)
The Recipient shall register in the Federal Awardee Performance and Integrity Information System("FAPIIS")
which is a database to track contractor misconduct and performance. Information regarding FAPIIS can be
obtained at https://www.fapiis.gov/fapiis/index.action.
D. Executive Compensation
The Recipient shall report the names and total compensation of the five(5) most highly compensated officers of
Recipient in SAM if the Recipient in the preceding fiscal year received eighty percent(80%)or more of its annual
gross revenues from Federal contracts and Federal financial assistance (as defined at 2 CFR 170.320) and
$25,000,000 or more in annual gross revenues from Federal contracts and federal financial assistance(as defined at
2 CFR 170.320); and if the public does not have access to this information about the compensation of the senior
LEAD-CITY of SOUTH BEND LD-018-003
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executives of the entity through periodic reports filed under section 13(a)or 15(d)of the Securities Exchange Act
of 1934(15 U.S.C.§§78m(a),78o(d))or section 6104 of the Internal Revenue Code of 1986. The Recipient may
certify that it received less than eighty percent (80%) of annual gross revenues from the federal government,
received less than $25,000,000 of its annual gross revenues from the federal government, already provides
executive compensation to the Securities Exchange Commission, or meets the Internal Revenue Code exemption,
and will not be required to submit executive compensation data into the SAM under FFATA, provided,that the
Recipient shall still register and submit the other data requested.
18. Indirect Cost Rate. According to 2 CFR 200.414(f), the Recipient may charge a de minimis rate of 10% of
modified total direct costs(MTDC). As described in 2 CFR 200.403,Factors affecting allowability of costs,costs
must be consistently charged as either indirect or direct costs, but may not be double charged or inconsistently
charged as both. If chosen,this methodology once elected must be used consistently for all Federal awards until
such time as the Recipient chooses to negotiate a rate,which the Recipient may apply to do at any time,
A proposal to establish a cost allocation plan or an indirect (F&A) cost rate, whether submitted to a Federal
cognizant agency for indirect costs or maintained on file by the Recipient,must be certified by the Recipient using
the Certificate of Cost Allocation Plan or Certificate of Indirect Costs as set forth in Appendices III through VII,
and Appendix IX in 2 CFR part 200. The certificate must be signed on behalf of the Recipient by an individual at
a level no lower than vice president or chief financial officer of the Recipient.
19. Employment Eligibility Verification. As required by IC §22-5-1.7, the Contractor swears or affirms under the
penalties of perjury that the Contractor does not knowingly employ an unauthorized alien.
The Contractor further agrees that:
The Contractor shall not knowingly employ or contract with an unauthorized alien.The Contractor shall not retain
an employee or contract with a person that the Contractor subsequently learns is an unauthorized alien.
20. Governing Law. This Agreement shall be construed and governed in accordance with the laws of the State of
Indiana.
21. Headings. The headings and subheadings herein are for the convenience of the parties hereto and shall have no
legal effect upon the construction of this Agreement.
22. Non-Waiver. No waiver, forbearance, or failure by any party of its right to enforce any provision of this
Agreement shall constitute a waiver or estoppel of such party's right to enforce such provision in the future.
23. Publicity. The parties shall cooperate with respect to all public statements regarding the subject matter of this
Agreement. The parties agree that any publicity release or other public reference, including but not limited to
media releases and informational pamphlets relating to the Project and any services funded under this Agreement,
will clearly state that all activities and services are provided without regard to race, age, color, religion, sex,
disability,national origin,ancestry,or status as a veteran.
j-.
24. Severability. The invalidity of any provision of this Agreement shall not invalidate the remaining provisions of this
Agreement.
r:.
25. Exhibits. Exhibits A,I3,C are attached hereto are fully incorporated herein
26. Order of Precedence. Any inconsistency or ambiguity in this Agreement shall be resolved by giving precedence in
the following order:(1)the Agreement,(2)the Exhibits prepared by the IHCDA,(3)the Award Manual/Policy and
Procedure,Workplan,(4)the Application,and(5)the Exhibits prepared by the Recipient.
LEAD-CITY of SOUTH BEND Page 19 -003
` LD-018-003
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Non-Collusion and Acceptance
The undersigned attests,subject to the penalties for perjury,that the undersigned is the Recipient,or that the undersigned is
the properly authorized representative,agent,member or officer of the Recipient.Further,to the undersigned's knowledge,
neither the undersigned nor any other member, employee, representative, agent or officer of the Recipient, directly or
indirectly,has entered into or been offered any sum of money or other consideration for the execution of this Agreement
other than that which appears upon the face hereof. Furthermore, if the undersigned has knowledge that a state
officer,employee,or special state appointee,as those terms are defined in IC 4-2-6-1,has a financial interest in the
Agreement,the Recipient attests to compliance with the disclosure requirements in IC 4-2-6-10.5.
In Witness Whereof, Recipient and IHCDA have, through their duly authorized representatives, entered into this
Agreement. The parties, having read and understood the foregoing terms of this Agreement, do by their respective
signatures dated below hereby agree to the terms thereof.
City of South Bend APPIZOVED Indiana Housing and Community Development Authority:
beard of Public 't oxke B
By: y;
Printed Name: Printed Name: J.Jacob Sipe
Title: L!k -' Title:Executive Director
Alga-Date: j aurora
Date:
14.1\AIIIRO,
Grant Number LD-018-003r4Le, ,Kier
CFDA Number 14.905 ,, '
•
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•
EXHIBIT A
ADDITIONAL PROGRAMMATIC,STATUTORY AND REGULATORY REQUIREMENTS
g4
Agreement Number: LD-018-003
Recipient: City of South Bend
Funding Source/Activity Type: LHRD
The award recipient is bound by the contents of the Indiana Housing and Community Development Authority's
(IHCDA's)Lead Hazard Demonstration Grant application package,Manual,, Red Notices,FAQs,the Recipient's
approved application, and any other IHCDA policy, directives, or memoranda that may be published from time to
time.
AGREEMENT EXECUTION
The recipient must execute and return this Agreement to the Indiana Housing and Community Development Authority •
(IHCDA)no later than October 1,2018.
HEALTH HOMES SUPPLEMENTAL FUNDS
Healthy Homes Supplemental funds are intended for use in units where LHRD funds are used. Healthy Homes
Supplemental funds may be used only in homes also receiving HUD-funded lead hazard control work(interim controls or
abatement).The Recipient must use an assessment/inspection tool that assesses for all 29 hazards identified in the Healthy
Homes Rating System(HHRS)for assessing,prioritizing and repairing the identified health and safety hazards within those
units. Healthy Homes Supplemental funds may not be used to pay for salary or fringe benefits.
RECIPIENT MUST WORK TO ACCOMPLISH THE FOLLOWING OBJECTIVES
A. Maximize the number of children under the age of six years protected from lead poisoning and the number of
housing units where lead hazards are controlled;
B. Target lead hazard control efforts in housing units where children are at greatest risk of lead poisoning,especially
children currently residing in low-income and minority families, to reduce elevated blood lead levels in children
•
under the age of six years;
C. Promote cost-effective lead hazard control methods and approaches that can be replicated, maintained, and
sustained;
D. Build local capacity to safely and effectively address lead hazards during lead hazard control and renovation,
remodeling,and maintenance activities by integrating lead-safe work practices;
E. Promote integration of this grant program with other local programs that address housing related health and safety
hazards;
F. Obligation to affirmatively further fair housing. Note that besides being an "objective" of this NOFA, the
obligation to affirmatively further fair housing is also a civil rights related program requirement;
G. Develop a comprehensive community-based approach to address lead hazards in housing by mobilizing public and
private sector resources including grassroots community-based non-profit and faith-based organizations;
H. Promote collaboration,data sharing,and targeting between health and housing departments;
I. Establish a detailed process that will facilitate lead-safe units to be affirmatively marketed,and priority given,to
families with young children;
J. Ensure to the greatest extent feasible that job training,employment,contracting,and other economic opportunities
generated by this grant will be directed to low-and very-low income persons,particularly those who are recipients
of government assistance for housing,and to businesses that provide economic opportunities to low-and very low-
income persons in the area in which the project is located.For more information,see 24 CFR 135;and
K. Further environmental justice, the fair treatment and meaningful involvement of all people within target
communities regardless of race, color, national origin, disability, or income with regarding to the development,
implementation,and enforcement of environmental laws,regulations,and policies.
LEAD-CITY of SOUTH BEND LD-018-003
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I
L. Comply with Section 504 of the Rehabilitation Act of 1973("Section 504")and its implementing regulations at 24
CFR 8,and Titles II and III of the Americans with Disabilities Act.Each of these prohibits discrimination based on
ii disability.
BLOOD LEAD TESTING
Recipient must test each child under the age of six years who resides in a housing unit that is to have lead hazard control
work done for an elevated blood lead level within six months preceding the lead hazard control work, unless the child's
parent or legal guardian chooses not to have the child tested.You must refer any child with an elevated blood lead level for
appropriate medical follow-up. The standards for blood lead testing are described in the U.S. Centers for Disease Control
and Prevention(CDC)publications Preventing Lead Poisoning in Young Children(1991), and Screening Young Children
for Lead Poisoning: Guidance for State and Local Public Health Officials(1997). See also,the CDC Response to Advisory
Committee on Childhood Lead Poisoning Prevention Recommendations in"Low Level Lead Exposure Harms Children:A
Renewed Call of Primary Prevention" (2012) available at
http://www.cdc.gov/nceh/lead/ACCLPP/CDC_Response_Lead Exposure_Recs.pd£
COMPLIANCE WITH HUD REGULATIONS AND GUIDELINES
The Recipient must conduct lead hazard evaluation and control work in compliance with HUD's Lead Safe Housing Rule,
the current HUD Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing (current HUD
guidelines;
http://portal.hud.gov/hudportal/HUD?src=/program offices/healthy_homes/]bp/hudguidelines/), and applicable federal,
state and local regulations and guidance, including, but not limited to the EPA's Renovation,Repair, and Painting (RRP)
Rule(found within 40 CFR 745;see
http://www2.epa.gov/lead/renovation-rep air-and-painting-program/).
PROHIBITED PRACTICES
The Recipient is not permitted to engage in practices prohibited under HUD's Lead Safe Housing Rule at 24 CFR 35.140,
EPA's RRP Rule at 40 CFR 745.83(a)(3),or EPA's lead abatement rule at 40 CFR 745.227(e)(6).
PROCUREMENT REQUIREMENTS
Recipient must procure all goods and services must through a competitive process. Recipients must follow federal
procurement requirements as defined in 2 CFR 200.317-326,as applicable.
CLOSEOUT
A. The Recipient must submit, no later than the Expiration Date, all financial, performance information and other
information as required by the terms and conditions this Agreement and IHCDA's Administrative Plan.
B. The closeout of a Federal award does not affect any of the following:
1. The right of IHCDA to disallow costs•and recover funds on the basis of a later audit or other review.
2. The obligation of the Recipient to return any funds due as a result of later refunds, corrections, or other
transactions including final indirect cost rate adjustments.
3. Audit requirements in subpart F of 2 CFR part 200.
4. Records retention requirements as set forth herein.
FORM OF ASSISTANCE
Homeowner:The Recipient must provide this award as a grant directly to the beneficiary.
Rental: The recipient must provide this award as a forgivable loan directly to the landlord.A lien and restrictive covenant
will be executed against every multi-family or rental property receiving LHRD grant funds.Upon occurrence of any of the
following events during the three year Affordability Period,the entire sum secured by the lien,without interest,shall be due
and payable by the property owner upon demand.Repayment may be demanded upon: (1)Transfer or conveyance of the
real estate by deed, land contract, lease, or otherwise, during the Affordability Period; (2) Commencement of foreclosure
proceedings by any mortgagee(or deed in lieu of foreclosure),within the Affordability Period;(3)Units not being used as a
residence by a qualifying tenant or not leased according to the LHRD Participation Agreement.The Recipient must execute
and record a lien and restrictive covenant agreement prepared by IHCDA.
MEANINGFUL ACCESS FOR LIMITED ENGLISH PROFICIENT PERSONS
LEAD-CITY of SOUTH BEND LD-018-003
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Persons who, as a result of national origin,do not speak English as their primary language and who have limited ability to
speak, read, write, or understand English ("limited English proficient persons" or "LEP") may be entitled to language
assistance under Title VI in order to receive a particular service, benefit,or encounter. In accordance with Title VI of the
Civil Rights Act of 1964(Title VI)and its implementing regulations,the Recipient agrees to take reasonable steps to ensure
meaningful access to activities funded with CDBG funds by LEP persons. Any of the following actions could constitute
"reasonable steps", depending on the circumstances: acquiring translators to translate vital documents, advertisements,or
notices, acquiring interpreters for face to face interviews with LEP persons, placing advertisements and notices in
newspapers that serve LEP persons, partnering with other organizations that serve LEP populations to provide
interpretation, translation, or dissemination of information regarding the project, hiring bilingual employees or volunteers
for outreach and intake activities,contracting with a telephone line interpreter service,etc.
TEMPORARY RELOCATION
Participation in the LHRD program is voluntary, so participants are not eligible for permanent relocation assistance.HUD
expects that the lead hazard control work and temporary relocation will take 10 days or less.Assisting with reasonable costs
of temporary relocation for those persons required to vacate housing while participating in this voluntary maintenance
• program for lead hazard reduction is an eligible activity. Occupants must be treated fairly and equitably, in particular,
regarding removing participation barriers created by relocation requirements if housing must be vacated while lead hazard
reduction measures are being conducted. Such tenant-occupants are entitled to receive temporary relocation assistance
where applicable pursuant to the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
(URA),42 U.S.C. §§ 4601-4655,as described in regulations at 49 CFR 24.2(a)(9)(ii)(D)and the corresponding Appendix
A to Part 24. (These regulations can be accessed from the Government Publishing Office website at
http://www.gpoaccess.gov/cfr/index.html.) Owner-occupants temporarily relocating while lead hazard reduction measures
are conducted pursuant to a program described in this NOFA are not entitled to URA relocation assistance. When tenant
occupants with physical disabilities are temporarily relocated, they must receive relocation assistance. When tenant
occupants with physical disabilities are temporarily relocated,they must be offered housing that can be approached,entered,
and used by persons with physical disabilities. For additional information on relocation requirements, see the HUD
Handbook 1378(Real Estate Acquisition and Relocation Policy and Guidance).
INELIGIBLE COSTS AND ACTIVITIES.
Recipient may not use the Awards for any of the following activities
A. Purchase of real property.
B. Purchase or lease of equipment having a per-unit cost in excess of$5,000,except for the purchase or lease of up to
two X-ray fluorescence analyzers to be used exclusively by the grant program.
C. Chelation or other medical treatment costs, including case management, related to children with elevated blood
lead levels (EBLs). Non-federal funds used to cover these costs may not be counted as part of the matching
contribution.
D. Lead hazard evaluation or control activities in public housing,project-based Section 8 housing, housing for the
elderly or persons with disabilities(except if a child under age 6 resides or is expected to reside in such a housing
unit),zero bedroom housing units,or housing built after 1977).
E. Lead hazard evaluation or control activities in housing covered by a pending or final HUD, EPA, and/or
• Department of Justice settlement agreement,consent decree,court order or other similar action regarding violation
of the Lead Disclosure Rule(24 CFR part 35,Subpart A,or the equivalent 40 CFR part 745,subpart F),or by HUD
regarding the Lead Safe Housing Rule(24 CFR part 35,subparts BR).
F. Activities that do not comply with the Coastal Barrier Resources Act(16 U.S.C.§3501).
G. Lead-hazard control or rehabilitation of a building or manufactured home that is located in an area identified by the
Federal Emergency Management Agency(FEMA)under the Flood Disaster Protection Act of 1973 (42 U.S.C. §§
4001—4128)as having special flood hazards.
H. Demolition of housing units or detached buildings.
TRAINED AND CERTIFIED PROFESSIONALS
Funded activities must be conducted by firms certified for,and persons qualified for,the activities according to 24 CFR part
35, subparts B—R (possessing certification as risk assessors, inspectors, abatement supervisors, abatement workers, or
sampling technicians(clearance inspections);or certified renovator(for workers and supervisors performing non-abatement
j work), as applicable to each scope of work. Any abatement activities conducted under this Award requires a certified
abatement firm, certified abatement supervisor, and certified abatement worker credentialing. Each certified person must
work for an appropriately certified firm,e.g.,a certified risk assessment,certified inspection,certified abatement or certified
LEAD-CITY of SOUTH BEND LD-018-003
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renovation firm, as applicable.EPA RRP certification is NOT sufficient for work under this Award that includes measures
designed to permanently eliminate lead-based paint hazards including but not limited to window and substrate remove and
replacement activities.
LEAD-BASED PAINT AND LEAD-BASED PAINT HAZARD IDENTIFICATION
A complete lead-based paint inspection and lead hazard risk assessment, including either separate reports or a combined
report are required for all properties. Presumption of the presence of lead-based paint or lead-based paint hazards is not
permitted. Paint inspections and risk assessments must follow the procedures as defined in the HUD Guidelines for the
Evaluation and Control of Lead-Based Paint Hazards in Housing and as defined by the policies of the Lead Hazard
Reduction Demonstration Grant Program. Refer to Policy Guidance 2013-01 on the OLHCHH website
http://portal.hud.gov/hudportal/HUD?src=/program offices/healthy_homes/lbp/pg for additional requirements.
OWNER NOTIFICATION
All lead-based paint testing results, summaries of lead-based paint hazard control treatments, and clearances must be
provided to the owner of the unit,together with a notice describing the owner's legal duty to disclose the results to tenants
and buyers(see 24 CFR 35.88 of the Lead Disclosure Rule).The Recipient must ensure that this information is provided in
a manner that is effective for persons with disabilities (24 CFR 8.6) and those persons with limited English proficiency
i. (LEP) will have meaningful access to it (see Executive Order 13166). Grant files must contain verifiable evidence of
providing lead hazard evaluation and control reports to owners and tenants,such as a signed and dated receipt.
TESTING
All testing, sampling and laboratory analysis for lead must comply with the Lead Safe Housing Rule and conform to the
current HUD Guidelines, the EPA lead hazard standards at 40 CFR part 745, and federal, state, or tribal regulations
developed as part of the appropriate contractor certification program, whichever is most protective of children. All
laboratory analyses conducted on paint chips,soil and/or dust samples must be performed by an environmental laboratory
recognized by EPA under the National Lead Laboratory Accreditation Program pursuant to the Toxic Substances Control
Act(15 U.S.C.2685)(See the list or laboratories at www.epa.gov/lead/nit€onal lead-laboratory-accreditation-program-Inst).
CONTROL/ELIMINATION STRATEGIES
All lead-based paint hazards identified in housing units and in common areas of multifamily housing enrolled in this grant
program must be controlled or eliminated by either of the following strategies or a combination of the two methods below
within 10 days or less:
A. 'Interim Controls
In accordance with the current HUD Guidelines, interim controls of lead-based paint hazards including lead-
contaminated dust and soil in housing must include specialized cleaning techniques to address lead dust.
fi
B. Abatement
Abatement means any set of measures designed to permanently eliminate lead-based paint hazards in accordance
with standards established by the EPA. Abatement includes the removal of lead-based paint and lead
contaminated dust, the permanent containment or encapsulation of lead-based paint,the replacement of
lead painted surfaces or fixtures, and the removal or covering of lead contaminated soil; and all
preparation, cleanup, disposal, and post-abatement clearance testing activities associated with such
measures.
j LEAD-BASED PAINT
1. The Lead-Based Paint Poisoning Prevention Act(-4846),the Residential Lead-Based Paint Hazard Reduction Act of 1992
(42 U.S.C.§§4851--4856),and implementing regulations in 24 CFR part 35,subparts A,B,H,I,K,M,R,and 40 CFR 745
apply to all housing occupied by program participants. Lead-based paint requirements apply to dwelling units built prior to
1978 that are occupied or can be occupied by families with children under six years of age, excluding zero bedroom
dwellings. Accordingly the Recipient must ensure that the following steps are being taken:
1. Provision of all prospective families with"Protect Your Family from Lead in Your Home",
2. Disclosure of known lead-based paint hazards to prospective tenants before the lease is signed,
3. Performance of a risk assessment for deteriorated paint,
4. Stabilization of deteriorated painted surfaces and performance of hazard reduction activities,
5. Notification of tenants each time such an activity is performed,
LEAD-CITY of SOUTFI BEND LD-018-003
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6, Conducting all work in accordance with HUD safe practices,
7. Maintaining records concerning paint stabilization by owners of deteriorated paint.
8. Performing clearance examinations after paint stabilization and before re-occupancy.
9. Performing ongoing lead-based paint maintenance when there is an ongoing relationship with HUD.
10. If the Recipient is notified by a public health department or other medical health care provider, or verifies
information from a source other than a public health department or medical health care provider,that a child of
less than 6 years of age, living in an HOPWA assisted unit has been identified as having an environmental
intervention blood lead level ("EIBLL"),the Recipient must complete a risk assessment of the dwelling unit.
The risk assessment must be completed in accordance with program requirements, and the result of the risk
assessment must be immediately provided to the owner of the dwelling unit.In cases where the public health
department has already completed an evaluation of the unit,this information must be provided to the owner.
11. Maintaining records of actions taken concerning a child with an EIBLL in a covered unit.
12. As part of ongoing maintenance asking each family to report deteriorated paint.
WASTE DISPOSAL
The Recipient must handle waste disposal according to the requirements of the appropriate local, state, and federal
regulatory agencies, and the HUD Guidelines. The HUD Guidelines are available at
http://portal.hud.gov/hudportal/HUD?sre=/program offices/healthy_homes/lbp/hudguidelines.
WORKER PROTECTION PROCEDURES
The Recipient must observe the procedures for worker protection established in the current HUD Guidelines,as well as the
requirements of the Occupational Health and Safety Administration (OSHA) (in particular, 29 CFR 1910.1025, Lead,
and/or 29 CFR 1926.62,Lead Exposure in Construction,as applicable),or the state or local occupational safety and health
regulations,whichever are most protective.
CITIZEN PARTICIPATION
The Recipient should use its best effort to work with all residents of affected areas, especially communities traditionally
marginalized from planning processes. In seeking public participation, the Recipient must ensure that all communications
are provided in a manner that is effective for persons with hearing, visual, and other communications-related disabilities
consistent with Section 504 of the Rehabilitation Act of 1973 and, as applicable,the Americans with Disabilities Act. In
addition,Title VI of the Civil Rights Act of 1964,42 U.S.C.2000(d)and Executive Order 13166 require that grantees take
responsible steps to ensure meaningful access to services, programs, and activities by persons with Limited English
Proficiency(LEP persons).
COMPLIANCE WITH SECTION 504 01?THE REHABILITATION ACT.
Facilities where program participants come for assistance (e.g., for intake and enrollment in the program), training or
education, must be held in facilities that are accessible to persons with disabilities in accordance with Section 504 of the
Rehabilitation Act and its implementing regulations at 24 CFR Part 8, and with Titles II and III of the Americans with
Disabilities Act,as applicable.
COOPERATION WITH RELATED RESEARCH AND EVALUATION
The Recipient must cooperate fully with any research or evaluation sponsored by HUD or another government agency
associated with this Award, including preservation of project data and records and compiling requested information in
formats provided by the researchers, evaluators or HUD. This may include the compiling of certain relevant local
demographic,dwelling unit,and participant data not contemplated in the original proposal.Participant data must be subject
to the Privacy Rule of the Health Insurance Portability and Accountability Act of 1996(HIPAA).HIPAA and the Privacy
Rule can be found at http://www.hhs.gov/ocr/privacy/.For the program in this NOFA,HUD does not expect research to be
conducted that could affect human subjects.
SECTION 3 REQUIREMENTS
Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. § 1701u) is applicable to the Award. If the
Recipient receives awards exceeding$200,000 it is required to comply with Section 3. If the Recipient plans to hire any
new employees or award contracts to carry out the Award,it must comply with the Section 3 requirements found at 24 CFR
1 135.32. Additionally, if the Recipient, any contractor, subcontractor or sub-grantee receiving contracts under the grant
totaling more than$100,000 must comply with the Section 3 requirements for any new training,hiring or sub-contracting
opportunities provided under those contracts.
LEAD-CITY of SOUTH BEND LD-018-003
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ENSURING THE PARTICIPATION OF SMALL DISADVANTAGED BUSINESS,AND WOMEN-OWNER
BUSINESS
State, local, and Indian tribal governments are required by to take all necessary affirmative steps in contracting for the
purchase of goods or services to assure that minority firms,women-owned business enterprises,and labor surplus area firms
are used whenever possible or as specified in the Program NOFAs. Nonprofit recipients of assistance(are required by 2
CFR 200321 to make positive efforts to utilize small businesses,minority-owned firms,and women's business enterprises,
and Labor Surplus Area Firms whenever possible MBE/WBE.
FAIR HOUSING
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is The Recipient must take steps to affirmatively further fair housing; and when gathering public input, planning, and
implementing housing related activities,will include participation by neighborhood organizations,community development
organizations, social service organizations, community housing development organizations, community development
organizations, and members of each affected community or neighborhood which might fall into the assistance category of
low and moderate income communities.
MODIFICATIONS
The Recipient must contact IHCDA prior to requesting an amendment or modification that affects the budget, activities,
beneficiaries,or time frame for accomplishing the proposed activities. Substantial amendments may he cause for IHCDA to
review the Application submitted to determine whether the Project is meeting is stated goals and timelines. This Agreement
may not be modified except by an instrument in writing executed by each of the parties hereto.Substantial Amendments to
the budget may have to be submitted to HUD for a final approval.
CONFIDENTIALITY
Recipient must adopt procedures to ensure that all client information is handled and maintained in a confidential manner and
in compliance with the requirements of all applicable state or federal laws,rules,and regulations,including,but not Iimited
to,those relating to the release of Social Security numbers in I.C. § 4-1-10 and the notice of'security breach provisions in
I.C.§4-1-11.
Confidential information means any individually identifiable information, whether oral or written, about the participants
who receive services and/or assistance from grantees and/or sub-recipients of the IHCDA. Employees,agents,contractors
it or others who require access to confidential client information must sign a confidentiality agreement commensurate with the
conditions set forth in this Agreement.
BONDING REQUIREMENTS
For any construction contracts or subcontracts exceeding$100,000,the following is required:
Ii a. A bid guarantee from each bidder equivalent to five percent (5%) of the bid price. The "bid guarantee" shall
consist of a firm commitment such as a bid bond,certified check,or other negotiable instrument accompanying a
bid as assurance that the bidder will, upon acceptance of his bid, execute such contractual documents as may be
required within the time specified.
b. A performance bond on the part of the contractor for one hundred percent (100%) of the contract price. A
"performance bond" is a bond executed in connection with a contract to secure fulfillment of all the contractor's
obligations under such contract.
c. A payment bond on the part of the contractor for one hundred percent(100%) of the contract price.A "payment
bond" is a bond executed in connection with a contract to assure payment as required by law of all persons
supplying labor and material in the execution of the work provided for in the contract.
d. Where bonds are required:
The bonds shall be obtained from companies holding certificates of authority as acceptable sureties pursuant to 31 CFR part
223,"Surety Companies Doing Business with the United States."
LIEN WAIVERS
For any construction contract or subcontract exceeding$100,000,the Recipient must ensure that each contractor executes a
lien waiver for all services, construction work performed, materials furnished, and equipment and fixtures furnished.
1HCDA must receive copies of any and all affidavits,indemnity agreements,lien waivers,certificates,and other documents
as requested.
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FLOOD PLAIN PROHIBITION
The Award cannot be used to rehabilitate a home where it or its land is located within the boundaries of a one hundred
(100)-year floodplain.
CONSTRUCTION SIGNAGE
If construction signage is used that mentions the names of any specific funding entities, the Indiana Housing and
Community Development Authority's name shall appear on such signage.
CONFLICT OF INTEREST POLICY
The Recipient must maintain written standards of conduct covering conflicts of interest and governing the performance of
its employees engage in the selection, award and administration of contracts. Codes of conduct must prohibit real and
apparent conflicts of interest that may arise among officers,employees,or agents;prohibit the solicitation and acceptance of
gifts or gratuities over minimal value by officers,employees,or agents for their personal benefit;and outline administrative
and disciplinary actions available to remedy violations of such standards. No employee,officer,or agent may participate in
the selection, award,or administration of a contract supported by the Award if he or she has a real or apparent conflict of
interest. Such a conflict of interest would arise when the employee,officer,or agent,any member of his or her immediate
family,his or her partner,or an organization which employs or is about to employ any of the parties indicated herein,has a
financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers,employees,
and agents of the Recipient may neither solicit nor accept gratuities,favors,or anything of monetary value from contractors
or parties to subcontracts. However, the Recipient may set standards for situations in which the financial interest is not
substantial or the gift is an unsolicited item of nominal value.The standards of conduct must provide for disciplinary actions
to be applied for violations of such standards by officers,employees,or agents of the Recipient.
If the Recipient has a parent, affiliate, or subsidiary organization that is not a state,local government, or Indian tribe,the
Recipient must also maintain written standards of conduct covering organizational conflicts of interest. Organizational
conflicts of interest means that because of relationships with a parent company, affiliate, or subsidiary organization, the
Recipient is unable or appears to be unable to be impartial in in administering the award or conducting a procurement action
involving a related organization.
The Recipient's procedures must avoid acquisition of unnecessary or duplicative items. Consideration should be given to
consolidating or breaking out procurements to obtain a more economical purchase.Where appropriate,an analysis will be
made of lease versus purchase alternatives,and any other appropriate analysis to determine the most economical approach.
CONFLICT OF INTEREST DISCLOSURE
The Recipient must disclose in writing any potential conflict of interest to IHCDA.
MANDATORY DISCLOSURE
The Recipient must disclose,in a timely manner,in writing to IHCDA all violations of Federal criminal law involving fraud,
bribery, or gratuity violations potentially affecting the Award. The Recipient's failure to make these disclosures may
subject to the Recipient to remedies of non-compliance set forth in 2 CFR 200.338, which includes suspension or
debarment.
INTERNAL CONTROLS
The Recipient must:
A. Establish and maintain effective internal control over federal funds that provides reasonable assurance that
the Recipient is managing federal funds in compliance with Federal statutes, regulations, and the terms
and conditions of the federal funding. These internal controls should be in compliance with guidance in
"Standards for Internal Control in the Federal Government" issued by the Comptroller General of the
United States or the "Internal Control Integrated Framework", issued by the Committee of Sponsoring
Organizations of the Treadway Commission(COSO).
B. Comply with Federal statutes,regulations,and the terms and conditions of federal funds.
C. Evaluate and monitor the Recipient's compliance with statutes,regulations and the terms and conditions
of the federal funds.
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D. Take prompt action when instances of noncompliance are identified including noncompliance identified in
audit findings.
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E. Take reasonable measures to safeguard protected personally identifiable information and other •
information that IHCDA or HUD designates as sensitive or the Recipient considers sensitive consistent
with applicable Federal,state,local,and tribal laws regarding privacy and obligations of confidentiality.
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EXHIBIT B
• BUDGET
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Agreement Number: DR2OR-018-003
Recipient: City of South Bend
Funding Source/Activity Type: LARD
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Budget Line-Item Total Allowable Amount Per Unit Requirements
Contract for Hazard Control Work $281,250 $10,000/unit
Risk Assessment/Inspection $41,400 $900/unit
Clearance $11,400 $285/unit
Staff Support $22,900$107,001 N/A
Personnel(Direct Labor)
. Healthy Homes Supplemental Funding $65,000 $5,000/unit
HUD Share total $528,951
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BENCHMARK SCHEDULE
SEE THE ATTACHED BENCHMARK SCHEDULE WITH THIS AWARD.
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EXHIBIT C
LEAD GRANT ASSURANCES AND CERTIFICATION
The Recipient hereby represents and warrants that:
1) It possesses legal authority to execute the proposed program.
2) Its governing body has duly adopted or passed as an official act a resolution,motion or similar action authorizing
the execution of this Agreement, including all understandings and assurances contained herein,and directing and
authorizing the person identified as the official representative of the Recipient to act in connection with this
Agreement and to provide such additional information as may be required.
3) It will comply with:
A. Title VI of the Civil Rights Act of 1964 (Public Law 88-352,42 U.S.C.2000d), which provides that no
person in the United States shall on the grounds of race, color, or national origin, be excluded from
participation in,be denied the benefits of,or be otherwise subjected to discrimination under any program
or activity for which the Recipient received Federal financial assistance. If any real property or structure
thereon is provided or improved with the aid of Federal financial assistance extended to the Recipient,this
assurance shall obligate the Recipient,or in the case of any transfer of such property, any transferee,for
the period during which the real property or structure is used for a purpose for which Federal financial
assistance is extended,or for another purpose involving the provision of similar services or benefits;
B. The Fair Housing Act(Public Law 90-284,42 U.S.C. 3601-20)administering all programs and activities
relating to housing and community development in a manner to affirmatively further fair housing in the
sale or rental of housing,the financing of housing,and the provision of brokerage services;
C. Section 109 of Title I of the Housing and Community Development Act of 1987, as amended, and the
regulations issued pursuant thereto(24 CFR 570.602),which prohibits any person from discrimination in
the sale or rental of housing, the financing of housing, or the provision of brokerage services on the
grounds of race,color,religion,sex,national origin,handicap or familial status.
D. Any prohibition against discrimination on the basis of age under the Age Discrimination Act of 1975 or
{ with respect to otherwise qualified physically disabled individuals as provided in Section 504 of the
Rehabilitation Act of 1973 shall also apply to any such program activity;
E. Executive Order 11063,as amended by Executive Order 12259 on equal opportunity in housing and non-
discrimination in the sale or rental of housing built with Federal assistance, and requiring that programs
and activities relating to housing and urban development be administered in a manner affirmatively to
further the goals of Title VIII of the Civil Rights Act of 1968;and
F. Executive Order 11246 as amended by Executive Order 11375 and 12086, and the regulations issued
pursuant thereto (24 CFR Part 130 and 41 Chapter 60 and the Indiana Code (LC. 22-9-10)), which
provides that no person shall be discriminated against on the basis of race,color,religion,sex or national
origin in all phases of employment during the performance of Federal or federally assisted construction
contracts. Contractors and subcontractors on Federal and federally assisted construction contract shall
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take affirmative action to insure fair treatment in employment, upgrading, demotion, or transfer;
recruitment or recruitment advertising;layoff or termination;rates of pay or other forms of compensation
and selection for training and apprenticeship.
4) It will comply with Section 3 of the I-Iousing and Urban Development Act of 1968, as amended,requiring 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 eligible business concerns which
are located in,or owned in substantial part by,persons residing within the unit of local government.
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5) It will establish safeguards to prohibit employees from using positions for a purpose that is or gives the appearance
of being motivated by a desire for private gain for themselves or others, particularly those with whom they have
family,business or other ties.
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6) It will comply with the provisions of the Hatch Act which limits the political activity of employees.
7) It will give the State,IHCDA,HUD and the Comptroller General,through any authorized representatives,access to
and the right to examine all records,books,papers,or documents related to the loan.
RecipientRecipient
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8) It will comply with:
A. The National Environmental Policy Act of 1969(42 U.S.C.4321)and 24 CFR 58,and in connection with
its performance of environmental assessments under the National Environmental Policy Act of 1969,
11! comply with Section 106 of the National Historic Preservation Act of 1966 (16 U.S.C. 470),Executive
I Order 11593,and the Preservation of Archaeological and Historical Data Act of 1966(U.S.C.469a-1)by:
[ 1. Consulting with the State Historic Preservation Officer to identify properties listed in or eligible
for inclusion in the National Register of Historic Places that are subject to adverse affects(see 36
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CFR 800.8)by the proposed activity;and
2. Complying with all requirements established by the State and to avoid or mitigate adverse effects
upon such properties.
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B. Executive Order 11988,Floodplain Management;
j` C. Executive Order 11990,Protection of Wetlands;
D. The Endangered Species Act of 1973,as amended,(16 U.S.C.1531);
E. The Fish and Wildlife Coordination Act of 1958,as amended,(16 U.S.C.661);
F. The Wild and Scenic Rivers Act of 1968,as amended,(16 U.S.C.300f); .
G. The Safe Drinking Water Act of 1974,as amended,(42 U.S.C.7401);
i; H. Section 401(f)of the Lead-Based Paint Poisoning Prevention Act,as amended,(42 U.S.C.4831(b));
I. The Clean Air Act of 1970,as amended,(42 U.S.C.7401);
J. The Federal Water Pollution Control Act of 1972,as amended,(33 U.S.C. 1251);
K. The Clean Water Act of 1977(Public Law 95-217);
L. The Solid Waste Disposal Act,as amended by the Resource Conservation and Recovery Act of 1976(42
U.S.C.6901);and
M. Section 202(a) of the Flood Disaster Protection Act of 1973 (42 U.S.C. 4106) as it relates to the
mandatory purchase of flood insurance for special flood hazard areas.
9) It agrees to repay to the State of Indiana any funds under this program that, as the result of a HUD or State of
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€! Indiana authorized audit,are found to have been spent in an unauthorized manner or for unauthorized activities.
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'I 10) It certifies that none of the funds being applied for will be used to substitute for any local,state,federal or private
dollars that have been committed to the project as proposed in this application.
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o 11) It certifies that pursuant to 31 U.S.C. 1352,and any regulations promulgated thereunder:
A. No federal appropriated funds have been paid or will be paid,by or on behalf of the Recipient, to any
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ii person for influencing or attempting to influence an officer or employee of any agency, a Member o
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'i Congress, an officer or employee of Congress, or an employee of any Federal grant,the making of any
Federal loan,the entering into of any cooperative, agreement, and the extension,continuation, renewal,
amendment,or modification of any Federal contract,grant,loan,or cooperative agreement.
3 B. If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress,an
11 officer or employee of Congress, or an employee of a Member of Congress in connection with the
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proposed Federal contract,grant,loan or cooperative agreement,the Recipient shall complete and submit
Standard Form-LLL,"Disclosure Form to Report Lobbying," in accordance with its instructions.
C. The Recipient shall require that the language of this certification be included in the award documents for
all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and
cooperative agreements)and that all subrecipients shall certify and disclose accordingly.
12) Recipient hereby authorizes IHCDA and its successors,affiliates,agents and assigns to utilize in any manner and at
any time, any photograph, picture or other medium (collectively "photographs")of the property covered by this
Application, without limitation, in any and all matters,publications or endeavors,commercial or noncommercial,
undertaken directly or indirectly by IHCDA at any time on or after the date of this Recipient without any limitation
whatsoever. Recipient understands that: (i)it is relinquishing any and all ownership rights in any such photograph,
picture or medium to IHCDA;and,(ii)it is relinquishing any and all legal rights that it may now or hereafter have
to,directly or indirectly,challenge,question or otherwise terminate the use of the photograph by IHCDA.
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13) Neither the Recipient nor its principals or its subcontractors is presently debarred, suspended, proposed for
debarment, declared ineligible,or voluntarily excluded by any Federal department or agency from doing business
with the Federal Government.
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