HomeMy Public PortalAbout105-2021 - I&D - Consortium Agreement - IU - Extreme Heat Preparedness in Indiana Communities Consortium Agreement
between
City of Richmond
and
The Trustees of Indiana University
This Agreement is entered into this 9th day of August , 2021 between the City of
Richmond (hereinafter referred to as SUBRECIPIENT) and the Trustees of Indiana University
(hereinafter referred to as IU).
IU has received a grant from the Office of Community and Rural Affairs (hereinafter referred to
as State), who is received federal funding from U.S. Department of Housing and Urban
Development(HUD) for the project entitled "Extreme Heat Preparedness in Indiana
Communities," Grant Number 52079. This project is under the direction of Dr. Dana Habeeb, an
IU faculty member.
In order to conduct the above project and in accordance with IU's proposal to State, IU wishes
to have SUBRECIPIENT perform certain work and/or services being within the scope of the
aforesaid project. SUBRECIPIENT has the necessary personnel and facilities to perform the
work and/or services for IU and agrees to participate in accordance with the terms below.
THEREFORE, it is agreed as follows:
1.Scope of Work
The work to be performed by SUBRECIPIENT will be in accordance with
SUBRECIPIENT's Statement of Work for the project entitled "Extreme Heat Preparedness
in Indiana Communities." The work to be conducted by SUBRECIPIENT will be under the
direction of Ian Vanness. SUBRECIPIENT's Statement of Work, attached hereto as
Attachment 1, is hereby incorporated as a part of this Agreement.
2.Period of Performance
The period of performance of this Agreement shall begin on April 1, 2021 and shall
terminate on April 30, 2023 unless changed by mutual consent of the parties by written
amendment to this Agreement. In no event shall payments be made for work done or
services performed after the termination date.
3.Consideration and Payment
A. The cost to IU for SUBRECIPIENT's performance of this Agreement shall not exceed
$121,940. A detailed budget is attached. Funding for year 1 will be kept in a
separate account from funding for year 2.
Contract No. 1.05-2021
B. IU shall reimburse SUBRECIPIENT for costs incurred under this Agreement on a
cost reimbursement basis. SUBRECIPIENT's Business Office shall send an invoice
to IU no more frequently than monthly and no less frequently than quarterly
indicating the cost incurred in the budget categories outlined in Attachment 1. The
final invoice shall be sent to IU no later than thirty(30) days after termination of this
Agreement.
C. Following the execution of this Agreement, SUBRECIPIENT will receive a Purchase
Order from IU. The Purchase Order will contain billing instructions and an address
for submission of invoices. All invoices must reference the Purchase Order number.
4.High Risk Subrecipient
Indiana is obligated by federal regulations to assess each of its subrecipient's risk
level for compliance with the terms and conditions associated with this Subaward
Agreement. Indiana has determined that Subrecipient is high risk due to either past
performance (i.e. Single Audit findings that include significant deficiencies or material
findings without adequate corrective actions). Should these conditions change, you
may appeal to Indiana to reassess this determination. Requests to reassess
Subrecipient's high risk status should be sent to the Authorized Official listed in
Attachment 3A. Attachment 4 includes mandatory instructions and sample billing
information to be used when submitting invoices and supporting documentation
which must be in a pdf format.
5.Allowable Costs and Budget
A. Funds provided and expenses incurred under this Agreement must be accounted for
in a separate account and used only for the purposes specified in this Agreement.
B. Costs incurred during the period of this Agreement shall be in accordance with the
terms of this Agreement and the budget incorporated under Attachment 1.
C. SUBRECIPIENT may not deviate from the above budget without the prior written
consent of a duly authorized representative if IU, nor shall the Project costs funded
by this Agreement and those funded by the local and/or private share be amended
without the prior written consent of IU.
D. All payment obligations shall be made in arrears in accordance with Indiana law and
State fiscal policies and procedures.
E. No expenses for travel will be reimbursed unless specifically permitted under the
scope of services or consideration provision. Expenditures made by the
SUBRECIPIENT for travel will be reimbursed at the current rate being paid by the
State. Travel expenses paid by SUBRECIPIENT can only be reimbursed in
accordance with the current State Travel Policies and Procedures as specified in
Financial Management Circular#2003-1. Out-of-state travel requests (unless
specified otherwise in an attachment to this Agreement) must be submitted at least
four(4)weeks prior to the scheduled travel date for review by the State for
availability of funds and for appropriateness per Circular guidelines.
F. The Heat Relief Coordinator position is considered a "term" position. This position
funded through this Agreement will not complete any work that would fall under the
general conduct of government.
6.Access To Records
SUBRECIPIENT shall maintain all books, documents, papers, accounting records, and
other evidence pertaining to all costs incurred under this Agreement. SUBRECIPIENT
shall make such materials available at all reasonable times during the period of
performance of the Agreement and for three (3) years from the date of final payment under
the Agreement for inspection by IU, the State, or by any other authorized representative of
state government. Copies thereof shall be furnished at no cost to IU or the State if
requested.
7.Assignment
SUBRECIPIENT binds its successors and assignees to all the terms and conditions of this
Agreement. SUBRECIPIENT shall not assign or subcontract the whole or any part of this
Agreement without IU's prior written consent.
8.Audits
A. SUBRECIPIENT shall maintain and have available for audit and inspection all
administrative and financial records, supporting documents, and all other records,
pertinent to the financial costs allocated to this Agreement for a period of three (3)
years following the termination date except that, if an audit is initiated before the
expiration of the three (3) year period, the records shall be retained until audit findings
have been resolved. The above records are subject to inspection and audit by IU or
the State, and/or their designated representatives, at all reasonable times during the
life of the grant and for three (3) years thereafter.
B. Any audit shall be conducted in accordance with IC 5-11-1, et. seq. of the Indiana
Code and audit guidelines specified by the State.
C. Any costs reimbursed by IU which are subsequently found to be disallowed under
audit shall be refunded to IU by SUBRECIPIENT.
9.Authority to Bind
The signatory for the SUBRECIPIENT represents that he/she has been duly authorized to
execute this Agreement on behalf of the SUBRECIPIENT and has obtained all necessary
or applicable approvals to make this Agreement fully binding upon the SUBRECIPIENT
when his/her signature is affixed, and certifies that this Agreement is not subject to further
acceptance by the SUBRECIPIENT when accepted by IU.
10. Compliance with Laws
A. The SUBRECIPIENT agrees to 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 rules or regulations thereunder after execution
of this Agreement shall be reviewed by the State, IU, and the SUBRECIPIENT to
determine whether the provisions of this Agreement require formal modification.
B. The SUBRECIPIENT 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 Indiana
Code §4-2-6 et seq., I.C. § 4-2-7, et. seq., the regulations promulgated thereunder,
and Executive Order 04-08, dated April 27, 2004. If the SUBRECIPIENT is not
familiar with these ethical requirements, SUBRECIPIENT should refer any questions
to the Indiana State Ethics Commission, or visit the Indiana State Ethics Commission
website at http://www.in.gov/ethics/. If the SUBRECIPIENT or its agents violate any
applicable ethical standards, the State may, in its sole discretion, terminate this
Agreement immediately upon notice to IU and/or the SUBRECIPIENT. In addition,
SUBRECIPIENT may be subject to penalties under Indiana Code § 4-2-6 and 4-2-7.
C. SUBRECIPIENT certifies by entering into this Agreement, that it is not presently in
arrears in payment of its taxes, permit fees or other statutory, regulatory or judicially
required payments to the State of Indiana. SUBRECIPIENT agrees that further
work may be withheld, delayed, or denied and/or this Agreement suspended until the
SUBRECIPIENT is current in its payments and has submitted proof of such payment
to the State.
D. SUBRECIPIENT warrants that it has no current, pending or outstanding criminal,
civil, or enforcement actions initiated by the State.
E. If a valid dispute exists as to the SUBRECIPIENT's liability or guilt in any action
initiated by the State of Indiana or its agencies, and the State decides to delay,
withhold, or deny work, SUBRECIPIENT may request that it be allowed to continue,
or receive work, without delay. SUBRECIPIENT 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.
F. SUBRECIPIENT warrants that SUBRECIPIENT and its subcontractors, if any, shall
obtain and maintain all required permits, licenses, and approvals, as well as comply
with all health, safety, and environmental statutes, rules, or regulations in the
performance of work activities for the State, or work for IU under this Agreement.
Failure to do so may be deemed a material breach of the Agreement and grounds for
immediate termination and denial of further work with the State and/or IU.
G. SUBRECIPIENT agrees that the State may confirm, at any time, that no liabilities
exist to the State of Indiana, and, if such liabilities are discovered, that State may bar
SUBRECIPIENT from contracting with the State in the future and cancel existing
'contracts.
H. As required by IC 5-22-3-7:
1) SUBRECIPIENT and any principles of SUBRECIPIENT certify that a) the
SUBRECIPIENT, 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) SUBRECIPIENT will not violate the terms of IC 24-
4.7 for the duration of the Agreement, even if IC 24-4.7 is preempted by federal law.
2) SUBRECIPIENT and any principles of SUBRECIPIENT certify that an affiliate or
principal of SUBRECIPIENT and any agent acting on behalf of SUBRECIPIENT or
on behalf of an affiliate or principal of SUBRECIPIENT: 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 the Agreement, even
if IC 24-4.7 is preempted by federal law.
11. Drug-Free Workplace Certification
If the total Grant amount set forth in this Grant Agreement is in excess of$25,000.00,
SUBRECIPIENT hereby further agrees that this Grant Agreement is expressly subject to
the terms, conditions and representations of the following Certification:
This certification is required by Executive Order No. 90-5, April 12, 1990, issued by the
Governor of Indiana. Pursuant to its delegated authority, the Indiana Department of
Administration is requiring the inclusion of this certification in all grants with and grants
from the State of Indiana in excess of$25,000.00. No award of a grant shall be made,
and no grant, purchase order or agreement, the total amount of which exceeds
$25,000.00, shall be valid, unless and until this certification has been fully executed by the
SUBRECIPIENT and made a part of the Grant Agreement as part of the Grant documents.
The SUBRECIPIENT certifies and agrees that it will provide a drug-free workplace by:
A. Publishing and providing to all of its employees a statement notifying them
employees that the unlawful manufacture, distribution, dispensing, possession or
use of a controlled substance is prohibited in the SUBRECIPIENT'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 its employees of(1) the
dangers of drug abuse in the workplace; (2) the SUBRECIPIENT'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 violations occurring in the
workplace; and
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 Grantee of any criminal drug statute
conviction for a violation occurring in the workplace no later than five (5) days
after such conviction; and
D. Notifying in writing IU and the State within ten (10) days after receiving notice
from an employee under subdivision (C)(2) above, or otherwise receiving actual
notice of such conviction; and
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 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.
12. Confidentiality of Data, Property Rights in Products, Copyright Prohibition and
Ownership of Documents and Materials
Publication and dissemination of the project results are of fundamental importance to the
State, IU and the SUBRECIPIENT. SUBRECIPIENT is free to publish in academic
journals, present at symposia, or use any results arising out of the performance of this
Agreement for its own internal instructional and research, or publication (i.e. graduate
theses and dissertations) objectives. Any publications or presentations referencing the
State and/or lU shall be made in accordance with this Article.
The parties agree that all information, data, findings, recommendations, proposals, etc. by
whatever name described and in whatever form secured, developed, written or produced
by the SUBRECIPIENT in furtherance of this Agreement shall be available to State and IU
for its use and distribution at its discretion without additional charge to State or IU. The
SUBRECIPIENT shall take such action as is necessary under law to preserve such rights
in and of the State and/or IU while such property is within the control and/or custody of the
SUBRECIPIENT. Full, immediate, and unrestricted access to the work product of the
SUBRECIPIENT during the term of this Agreement shall be available to the State and/or
1U.
Use of these materials, other than related to the Agreement performance by the
SUBRECIPIENT, that includes any reference to the State of Indiana and/or IU, without the
prior written consent of the State and/or IU, as applicable, is prohibited. For any purposes
outside those contemplated by this Agreement, and for which the State's and/or IU's
participation will be referenced, the State and/or IU shall have the right of review and
approval of the use, disclosure, and the finished product prior to its publication. All such
requests shall be made in writing and delivered to the Agency Head or their designee, or
IU, as applicable. That State and/or IU shall have sixty (60) days to review such requests
and will respond in writing to the SUBRECIPIENT.
SUBRECIPIENT and IU agree that the distribution of proceeds from any commercial
licenses for patentable or copyrightable material developed as a result of this Agreement,
other than publications and presentations outlined in the preceding paragraph, shall be
negotiated by the SUBRECIPIENT, IU and the State and shall be representative of the
inputs of each party.
13. Confidentiality of Information
SUBRECIPIENT understands and agrees that data, materials, and information disclosed
to SUBRECIPIENT may contain confidential and protected information. SUBRECIPIENT
covenants that data, material, and information gathered, based upon or disclosed to
SUBRECIPIENT for the purpose of this Agreement will not be disclosed to or discussed
with third parties without the prior written consent of IU.
The parties acknowledge that the services to be performed by SUBRECIPIENT for IU
under this Agreement may require or allow access to data, materials, and information
containing Social Security numbers or other personal information maintained by the State
and/or IU in its computer system or other records. In addition to the covenant made above
in this section and pursuant to 10 IAC 5-3-1(4), SUBRECIPIENT and IU agree to comply
with the provisions of IC 4-1-10 and IC 4-1-11.
14. Debarment and Suspension
A. SUBRECIPIENT certifies by entering into this Agreement that neither it nor its
principals nor any of its subcontractors are presently debarred, suspended, proposed
for debarment, declared ineligible or voluntarily excluded from entering into this
Agreement by any federal agency or department, agency or political subdivision of
the State of Indiana. The term "principal"for the purpose of this Agreement is
defined as an officer, director, owner, partner, key employee, or other person with
primary management or supervisory responsibilities, or a person who has a critical
influence on the substantive control over the operation of the SUBRECIPIENT.
B. SUBRECIPIENT certifies that it has verified the suspension and debarment status for
all subcontractors receiving funds under this Agreement and shall be solely
responsible for any recoupments or penalties that might arise from non-compliance.
The SUBRECIPIENT shall immediately notify the IU if any subcontractor becomes
debarred or suspended, and shall, at IU's request, take all steps required by the IU to
terminate its contractual relationship with the subcontractor for work to be performed
under this Agreement.
15. Default by IU
If IU, sixty (60) days after receipt of written notice, fails to correct or cure any breach of this
Agreement, SUBRECIPIENT may cancel and terminate this Agreement and institute the
appropriate measures to collect monies due up to and including the date of termination.
16. Disputes
Should any disputes arise with respect to this Agreement, SUBRECIPIENT and IU agree
to
act immediately to resolve such disputes. Time is of the essence in the resolution of
disputes.
SUBRECIPIENT agrees that, the existence of a dispute notwithstanding, it will continue
without delay to carry out ail its responsibilities under this Agreement that are not affected
by the dispute. Should the SUBRECIPIENT fail to continue to perform its responsibilities
regarding all non-disputed work, without delay, any additional costs incurred by 1U or
SUBRECIPIENT as a result of such failure to proceed shall be borne by the
SUBRECIPIENT, and SUBRECIPIENT shall make no claim within ten (10) working days
following notification in writing by either party of the existence of a dispute, then the
following procedure shall apply:
The parties agree to resolve such matters through submission of their dispute to the
Commissioner of the Indiana Department of Administration. The Commissioner shall
reduce a decision to writing and mail or otherwise furnish a copy thereof to the Contractor
and IU within ten (10) working days after presentation of such dispute for action. The
Commissioner's decision shall be final and conclusive unless either party mails or
otherwise furnishes to the Commissioner, within ten (10) working days after receipt of the
Commissioner's decision, a written appeal. Within ten (10) working days of receipt by the
Commissioner of a written request for appeal, the decision may be reconsidered. If no
reconsideration is provided within ten (10)working days, the parties may mutually agree to
submit the dispute to arbitration or mediation for a determination, or otherwise the dispute
may be submitted to an Indiana court of competent jurisdiction.
17. Force Majeure
In the event that either party is unable to perform any of its obligations under this
Agreement or to enjoy any of its benefits because of natural disaster or decrees of
governmental bodies not the fault of the affected party (hereinafter referred to as a "Force
Majeure Event"), the party who has been so affected shall immediately give notice to the
other party and shall do everything possible to resume performance. Upon receipt of such
notice, all obligations under this Agreement shall be immediately suspended. If the period
of nonperformance exceeds thirty(30) days from the receipt of notice of the Force Majeure
Event, the party whose ability to perform has not been so affected may, by giving written
notice, terminate this Agreement.
18. Minority and Women's Business Enterprise Compliance
SUBRECIPIENT agrees to comply fully with the provisions of 25 IAC 5 and any
participation plan that may have been submitted to the State. The following MBE's and
WBE's listed on the Minority and Women's Business Enterprises Division directory of
certified firms will be participating in this Agreement.
MBE/WBE PHONE COMPANY NAME SCOPE OF PRODUCTS and/or SERVICES UTILIZATION DATE
AMOUNT
NONE
19. Funding Cancellation
When the Director of the State Budget Agency makes a written determination that funds
are not appropriated or otherwise available to support continuation of performance of the
prime agreement to IU, the agreement between the State and IU shall be cancelled. Upon
such cancellation, IU shall notify SUBRECIPIENT and this Agreement shall also be
cancelled. A determination by the Budget Director that funds are not appropriated or
otherwise available to support continuation of performance shall be final and conclusive.
20. Governing Laws
This Agreement shall be construed in accordance with and governed by the laws of the
State of Indiana and suit, if any, must be brought in the State of Indiana.
21. Independent Contractor
Both parties hereto, in the performance of this Agreement, shall act in an individual
capacity and not as agents, employees, partners,joint venturers or associates of one
another. The employees or agents of one party shall not be deemed or construed to be
the employees or agents of the other party for any purposes whatsoever. Neither party
will assume liability for any injury (including death) to any persons, or damage to any
property arising out of the acts or omissions of the agents, employees or subcontractors of
the other party.
SUBRECIPIENT shall be responsible for providing all necessary unemployment and
workers' compensation insurance for SUBRECIPIENT's employees.
22. Nondiscrimination
Pursuant to IC 22-9-1-10 and the Civil Rights Act of 1964, SUBRECIPIENT and its
subcontractors shall not discriminate against any employee or applicant for employment in
the performance of this Agreement. SUBRECIPIENT shall not discriminate with respect to
the hire, tenure, terms, conditions or privileges of employment or any matter directly or
indirectly related to employment, because of race, color, religion, sex, disability, national
origin or ancestry. Breach of this covenant may be regarded as a material breach of
contract. SUBRECIPIENT's execution of this Agreement also signifies compliance with
applicable federal laws, regulations, and executive orders prohibiting discrimination in the
provision of services based on race, color, national origin, age, sex, disability or status as
a veteran.
SUBRECIPIENT understands that the State is the recipient of federal funds. Therefore, in
the event that federal funds are included in this Agreement, SUBRECIPIENT will comply
with the affirmative action reporting requirements of 41 CFR 60-1.7. SUBRECIPIENT
shall comply with Section 202 of Executive Order 11246, as amended, 41 CFR 60-250,
and 41 CFR 60-741, as amended, which are incorporated herein by specific reference.
Breach of this covenant may be regarded as a material breach of contract.
23. Notice To Parties
Whenever any notice, statement or other communication shall be sent to SUBRECIPIENT
or IU, it shall be sent to the following address, unless otherwise specifically advised in
writing.
A. Notices to SUBRECIPIENT shall be sent to:
•
The City of Richmond
50 N 5th Street
Richmond, IN 47374
B. Notices to IU shall be sent to:
Director, Grant Services
Office of Research Administration
Indiana University
980 Indiana Avenue, Room 2232
Indianapolis, IN 46202-2915
Invoices to IU shall be sent to: invoice@indiana.edu
24. Reports
A. Fiscal Reports- SUBRECIPIENT agrees to provide IU thirty (30) days after the
termination date of this Agreement, a statement of disbursements by budget
category for the period covered by this Agreement. This report will reflect any
unexpended funds and will be certified correct by the Chief Financial Officer, or his
designee, of SUBRECIPIENT. The report will also report matching funds provided
by SUBRECIPIENT.
B. Progress Reports-SUBRECIPIENT shall submit progress reports to IU upon
request. The report shall be oral, unless IU, upon receipt of the oral report, should
deem it necessary to have it in written form. The progress reports shall serve the
purpose of assuring IU that work is progressing in line with the schedule, and that
completion can be reasonably assured on the scheduled date.
C. Invention Reports—SUBRECIPIENT agrees to report to IU any inventions arising
from SUBRECIPIENT's performance under this Agreement.
D. Other Reports-SUBRECIPIENT further agrees to provide IU, upon request, any
information pertaining to the results, findings, or methods developed or used under
this Agreement, or any other fiscal, technical or programmatic information needed for
IU to meet its obligations to State under the prime agreement.
25. Human Subjects
During the course of this project, should the use of experimental human subjects become
involved, SUBRECIPIENT agrees to comply with the federal regulations governing the
protection of human research subjects, 45 CFR Part 46. SUBRECIPIENT will provide IU
copies of their supporting and approved materials for human experimentation conducted
under this Agreement.
26. Laboratory Animals
During the course of this project, should the use of laboratory animals become involved,
SUBRECIPIENT agrees to comply with the Laboratory Animal Welfare Act of 1966 (P.L.
89-544) as amended (P.L. 91-579, P.L. 94-279, and P.L. 99-198) 7 U.S.C. 2131 et. seq.
and the guidelines prescribed in the "Guide for the Care and Use of Laboratory Animals,"
DHHS, NIH Publication No. 86-23, and any subsequent or applicable amendment,
addendum, or revision. SUBRECIPIENT will provide IU copies of their supporting and
approved materials for use of laboratory animals under this Agreement.
27. Recombinant DNA Research
During the course of this project, should the conduct of research involving recombinant
DNA molecules become involved, SUBRECIPIENT agrees to comply with the Department
of Health and Human Services "Guidelines for Research Involving Recombinant DNA
Molecules" dated May 7, 1986, and any subsequent or applicable amendment, addendum,
or revision. SUBRECIPIENT will provide IU copies of their supporting and approved
materials for research involving recombinant DNA molecules conducted under this
Agreement.
28. Severability
The invalidity of any section, subsection, clause or provision of this Agreement shall not
affect the validity of the remaining sections, subsections, clauses or provisions of the
Agreement.
29. Taxes
Neither the State nor IU will be responsible for any taxes levied on SUBRECIPIENT as a
result of this Agreement.
30. Termination of Agreement
This Agreement may be terminated by either party providing the other party receives
written notice fifteen (15) days prior to the effective date of termination. If the termination
is initiated by IU, IU shall reimburse SUBRECIPIENT for all costs and noncancellable
commitments incurred within the budget specified in Article 4 above prior to the effective
date of such termination. In the event of default by SUBRECIPIENT of its obligations
under this Agreement, or if the termination is initiated by SUBRECIPIENT, IU shall
reimburse SUBRECIPIENT for all costs incurred within the budget specified in Article 4
above prior to the effective date of the default or termination.
31. Waiver of Rights
No right conferred on either party under this Agreement shall be deemed waived and no
breach of this Agreement excused, unless such waiver or excuse shall be in writing and
signed by the party claimed to have waived such right.
32. Travel
No expenses for travel will be reimbursed unless specifically permitted under the scope
of series or consideration provision. Expenditures made by the SUBRECIPIENT for
travel will be reimbursed at the current rate paid by State of Indiana and in accordance
with the State Travel Policies and Procedures as specified in the current Financial
Management Circular. Out-of-state travel request must be reviewed by IU for availability
of funds and for appropriateness per Circular guidelines.
33. Work Standards
SUBRECIPIENT agrees to execute its responsibilities by following and applying at all
times the highest professional and technical guidelines and standards. If IU becomes
dissatisfied with the work product of or the working relationship with those individuals
assigned to work on this Agreement, IU may request in writing the replacement of any or
all such individuals and SUBRECIPIENT shall not unreasonably deny such request.
34. Information Technology Enterprise Architecture Requirements
If the SUBRECIPIENT provides any information technology related products or services to
IU, the SUBRECIPIENT shall comply with all Indiana Office of Technology (IOT)
standards, policies and guidelines, which are online at http://iot.in.gov/architecture/. The
SUBRECIPIENT specifically agrees that all hardware, software and services provided to
or purchased by IU shall be compatible with the principles and goals contained in the
electronic and information technology accessibility standards adopted under Section 508
of the Federal Rehabilitation Act of 1973 (29 U.S.C. 794d) and IC 4-13.1-3. Any deviation
from these architecture requirements must be approved in writing by IOT in advance. IU
may terminate this Agreement if the SUBRECIPIENT fails to cure a breach of this
provision within a reasonable time.
35. Policies and Procedures
SUBRECIPIENT agrees to administer this Agreement in accordance with its established
policies and procedures, unless these policies and procedures are in violation of this
Agreement or the agency sponsoring this Agreement. In the event SUBRECIPIENT's
policies and procedures are not in accordance with this Agreement or the agency
sponsoring this agreement, SUBRECIPIENT agrees to follow the most restrictive
regulations.
36.Amendments
No alteration or variation of the terms of this Agreement shall be valid unless made in
writing and signed by the parties hereto. No oral understanding or agreement not
incorporated herein shall be binding on any of the parties hereto.
•
37. Non-Collusion and Acceptance
The undersigned attests, subject to the penalties for perjury, that he/she is the
SUBRECIPIENT, or that he/she is the properly authorized representative, agent, member or
officer of the SUBRECIPIENT, that he/she has not, nor has any other member, employee,
representative, agent or officer of the SUBRECIPIENT, directly or indirectly, to the best of the
undersigned's knowledge, entered into or offered to enter into any combination, collusion or
agreement to receive or pay, and that he/she has not received or paid, any sum of money or
other consideration for the execution of this Agreement other than that which appears upon
the face of the Agreement.
38. Employment Eligibility Verification: If applicable, the SUBRECIPIENT affirms under the
penalties of perjury that he/she it does not knowingly employ an unauthorized alien. The
SUBRECIPIENT affirms under the penalties of perjury that he/she/it has enrolled and is
participating in the E-Verify program as defined in IC 22-5-1.7-3. The SUBRECIPIENT
agrees to provide documentation to IU and/or the State that he/she/it has enrolled and is
participating in the E-Verify program. Additionally, the SUBRECIPIENT is not required to
participate if the SUBRECIPIENT is self-employed and does not employ any employees.
IU may terminate for default if the SUBRECIPIENT fails to cure a breach of this provision
no later than thirty (30) days after being notified by IU and/or the State.
39. Incorporated Documents Clauses
The following documents are hereby incorporated as part of this agreement:
Attachment 1: SUBRECIPIENT's Scope of Work and Budget.
Attachment 2: Prime award
Attachment 3: Contacts
Attachment 4: Billing instructions
(The remainder of this page is intentionally left blank.)
In Witness Whereof, SUBRECIPIENT and IU 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.
SUBRECIPIENT The Trustees of Indiana University
APOw 94.246/4. eereA,
Name:DA 0`^' Name:
Title: 0 M 4-(a rt Title: Brenda Cooper
Contract Officer
im( August 9, 2021
Date Date
Read and acknowledged:
kkill'6649
Dr. Dana.Habeeb
Principal Investigator
06/15/2021
Date
IU SUBS#8948
IU NEG#185299
ATTACHMENT 1
In Witness Whereof, SUBRECIPIENT and IU 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.
SUBRECIPIENT The Trustees of Indiana University
Name: "DH u c r Name:
Title: ,4410 Q Title:
0 24 2674
Date Date
Read and acknowledged:
Q4fl2
Dr. Dana Habeeb
Principal Investigator
06/15/2021
Date
IU SUB#8948
IU NEG#185222
ATTACHMENT 1
Extreme Heat Preparedness in Indiana Communities: Beat the Heat
Statement of Work
April 2021
This document lists the program activities and responsibilities of Richmond, IN through the Beat the
Heat program facilitated by the Indiana University Environmental Resilience Institute [ER11 and
supported by the Indiana Office of Community and Rural Affairs (OCRA).The program formally begins
May 1, 2021 and ends April 30,2023.
Program Activities and Timeline
This section provides a timeline of activities and responsibilities of Richmond, IN throughout the Beat
the Heat program. The City of Richmond understands that working with vulnerable populations will be
at the center of each phase of the project.The targeted vulnerable groups include people of color, low-
income,youth, people over the age of 65, outdoor workers,and individuals with pre-existing conditions
that make them at a higher risk of experiencing a heat-related illness.The City of Richmond commits to
completing program activities in partnership with the following local community sectors: public health
(e.g., hospitals,county health departments); municipal departments of communications, planning, •
community services,and emergency management;youth;and local community service nonprofits that • • -
support the target populations most vulnerable to extreme heat.
Ongoing Activities
May 2021—April 2023
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Attend Phase kickoff webinars
Attend educational webinars, round-robins, 1:1 support sessions
Host heat relief task force meetings
Pursue Spanish translation of community educational materials
Regularly romote program participation
Seek additional funding to implement heat relief projects
Give presentations on Richmond's Beat the Heat participation
Submit monthly invoices to ERI for eligible program expenses
• Attend Phase kickoff webinars—The City of Richmond will attend a kick-off meeting for each
phase of the program.Attendees should include the newly hired heat relief coordinator and any
relevant local government staff. Members of the Heat Relief Task Force may also choose to
attend.Since the heat relief coordinator and the Heat Relief Task Force will not yet be in place
for the Phase 1 webinar,only the local government staff in charge of the heat relief coordinator
hire and the Heat Relief Task Force appointments will be required to attend.
• Attend educational webinars, round-robins, 1:1 support sessions—The City of Richmond's heat
relief coordinator will attend all training webinars, report progress at round-robins calls,and
attend monthly 1:1 support sessions. Existing staff and Heat Relief Task Force members may
also attend. •
1
• Heat Relief Task Force meetings—The City of Richmond will host regular(at least every other
month) meetings for the Heat Relief Task Force. Members of the Task Force will provide the
heat relief coordinator with guidance as they complete project deliverables. Occasionally,Task
Force members will be asked to contribute volunteer hours to aid the completion of project
deliverables.
• Pursue Spanish translation—The City of Richmond commits to using ERI facilitated written
Spanish translation to understand the heat-related needs of Spanish-speaking residents and
assure vulnerable populations can access the resources they need to prepare for increasing
summertime temperatures.
• Regularly promote program participation—The City of Richmond will regularly promote program
participation to its community through press releases,social media posts,and other marketing
material.
• Seek additional funding to implement heat relief protects—The City of Richmond commits to
seeking additional funding, aside from what is provided by Indiana University,to implement
heat relief strategies during the Beat the Heat program.
• Give presentations on Richmond's Beat the Heat participation—The City of Richmond will give
at least two presentations on its participation in the Beat the Heat program to audiences outside
of its jurisdiction.
• Submit monthly invoices to ERI for eligible program expenses—The City of Richmond commits
to submitting monthly invoices to ERI to receive reimbursement for the full-time staff member
salary and benefits, as well as approved program costs.Total program expenses will not exceed
$121,940 over the two-year period.
Phase 1: Program Launch
May—June 2021
j:Wt"-� v w'' .,r.��"'�;. a' _ }� .mac.cyg t '���'f -v�. ,.: . x 4'';?-r . w
Announce program participation
Establish local Heat Relief Task Force
Hire full-time heat relief coordinator
• Announce program participation—The City of Richmond will distribute a press release in
partnership with OCRA and ERI.
• Establish Heat Relief Task Force—The City of Richmond will appoint youth and representatives
from health care, emergency management,and community services,and with community
members who represent target vulnerable groups, including people of color, low-income, and
outdoor workers and sport team members.The City of Richmond will add members from groups
identified as missing throughout the project.
- Hire full-time heat relief coordinator—The City of Richmond will post a position description,
recruit applicants, and complete all other activities required for hiring a term-limited,full-time
heat relief coordinator. The City of Richmond will allow ERI to participate in interviews and
candidate selection.The newly hired staff person will be employed by The City of Richmond for
two years to support Beat the Heat program participation.This position is not designed to
support typical government activities.The City of Richmond will be responsible for on-site •
2
supervision,with the heat relief coordinator reporting to the mayor or to a direct report of the
mayor, unless otherwise approved by ERI.The City of Richmond will provide office space,a
computer and phone, and other on-the-ground resources to help the newly hired staff person
be successful.
Phase 2: Community Needs Assessment
July—November 2021
� • U= #` �2 *or- ..s...:3� � '3x»u�£. �+ �;3?'^fi}F- a^X� A„$y. 1,00A r" �'""
Collect community input via:
- Focus groups
- Heat vulnerability comment survey
- Community heat management observations
Identify a heat wave weather determination process
Complete a Heat Watch Campaign
Develop a presentation of the Community Needs Assessment
• Collect community input—Leading into and during the summer of 2021,the City of Richmond,
with help from ERI,will collect information to achieve a baseline understanding of how
community members manage heat waves, heat-related illness, and heat-related deaths.
• Focus Groups—The City of Richmond will host eight,two-hour focus groups to talk with
government staff, health care professionals,and community members about how they
manage summertime high temperatures, especially during heat waves,and what
community services they take advantage of or wish they had access to. Government
staff and health professionals will be asked about existing community processes for
treating and managing residents during heatwaves. Community members invited to
participate in the focus group sessions will represent the target vulnerable populations.
Childcare(if focus groups take place in person) and translation services shall be provided
for participants, as needed.
• Heat vulnerability comment survey—The City of Richmond will conduct a heat
vulnerability survey in online and/or written format.The survey will be conducted at the
beginning of summer 2021 and again after summer 2022.The survey, based on a
template provided by ERI,will collect information on residents' knowledge of extreme
heat health risks and resources for managing extreme heat exposure, how residents
manage summertime high temperatures, especially during heat waves,and what
community services they take advantage of or wish they had access to. In addition to
recruiting responses from all residents,the City of Richmond will promote the survey
among target vulnerable populations. Richmond will offer the survey in Spanish and/or
other necessary languages.
• Community heat management observations—The City of Richmond will identify and
study three different sites in its community to observe how residents are currently
managing high heat days.Observers will visit the same locations on three different high-
heat days. Locations will be identified based on the locations of vulnerable populations
in the community.
3
• Identify a heat wave weather determination process—The City of Richmond, in partnership with
ERI and a local National Oceanic and Atmospheric Administration (NOAA) representative,will
collect data on historical highs and lows and identify weather patterns that will activate local
government and community responses to high heat events.
- Complete a Heat Watch Campaign—The City of Richmond will contract with CAPA Strategies to
produce an urban heat island map for its jurisdiction. Richmond will be responsible for
coordinating a one-day event in which volunteers drive, bike, and walk with heat sensors on pre-
designated paths to collect data the consultant will use to produce three temperature maps—
for morning, midday,and evening.The City of Richmond will participate in CAPA Strategy's
national cohort program offered through NOAA for educational purposes. Richmond will
contribute$7,500 toward the cost of the Heat Watch Campaign. Only Heat Watch Campaign
costs beyond$7,500 are eligible for reimbursement from Indiana University.
• Develop a presentation of the Community Needs Assessment—The City of Richmond,with
assistance from ERI,will aggregate and analyze data, and develop a presentation of the results
of the Community Needs Assessment.The analysis will include all information and data
collected through Phase 2, including the vulnerable population map and redlining maps created
by ERI,as well as the hospital and emergency services data obtained by ERI.The analysis will
also include the results of the Hoosier Resilience Index Readiness Assessment, previously
completed by the City of Richmond.The presentation may be in PowerPoint or a written report
format, or both. Richmond will use the results of this assessment to identify near-term heat
management projects and programs and to develop and/or enhance a Heat Wave Response
Protocol for emergency management services staff. Data will also be used to develop
educational materials, management strategies, and training programs for health professionals.
Phase 3: Heat Relief Strategy Development
December 2021—March 2022
Draft and publish Heat Management Strategy
Collect community input on draft Strategy
Publish Heat Management Strategy
Design and finalize a Heat Wave Response Protocol
• Heat Management Strategy—The City of Richmond will be responsible for drafting the Heat
Management Strategy.The Heat Management Strategy, a 10 page or less document,will
contain near-term (summer 2022)strategies the local government and community will use to
help residents manage high heat events as well as suggestions for longer-term strategies.The
strategies will be tailored to community needs and be designed to support vulnerable
populations, public health, local policy,and community design principals that improve how
residents experience high temperatures.The City of Richmond will work with ERI to publish an
informational pamphlets about the strategy in Spanish. Richmond may consider publishing the
informational pamphlet in other languages, if needed.
• Collect community input on draft strategy—The City of Richmond will host at least four public
meetings—two to collect input on potential projects to include in the Heat Management
4
Strategy and two to collect feedback on a completed draft of the Heat Management Strategy.At
least one public meeting will be dedicated to reviewing the results of the Heat Watch Campaign.
If a public meeting is hosted in person, Richmond will offer childcare services and real-time
translation services to encourage resident attendance.The City of Richmond will also explore
other opportunities to collect community input on the draft Heat Management Strategy.
• Publish Heat Management Strategy-The City of Richmond will publish the final Heat
Management Strategy as an online document and announce the document via press release,at
minimum,to the public.
• Heat Wave Response Protocol-The City of Richmond will work with its local emergency
management agencies to develop, and/or enhance any existing, response protocols that
identifies the steps the local government and community partners will take when a heat wave is
imminent.The protocol will identify the threshold for activating and deactivating the protocol,
the system for notifying the public,the vulnerable population map,strategies that are enacted
during heat waves,the responses designed to help vulnerable residents cope with extreme
temperatures,and what needs to be done to regularly evaluate the protocol and keep the
protocol up to date.
Phase 4: Heat Relief Strategy Implementation
April—October 2022
Design and distribute educational materials
Implement heat management strategies,to include:
- Vulnerable population outreach program(s)
- Training sessions for local health professionals and emergency management staff
- Investigate opportunities for suspending utility shutoffs
- Publish a list of public cooling centers
- Climate responsive design project
- Other projects identified by Richmond and the community
Draft continuity plan
• Design and distribute education materials—In partnership with ERI,the City of Richmond will
design educational materials that discuss heat exposure symptoms,tips for staying cool,and
resources for staying cool. Richmond will distribute these materials to vulnerable populations,
community organizations that work with vulnerable populations, and the general public.
Richmond will consider using local television and radio stations,the local weather station,social
media, community groups,faith leaders, and other relevant outlets to distribute materials.
Richmond will distribute educational materials in Spanish, and/or in other languages as needed.
• Implement of Heat Management Strategy—Leading up to and during the summer of 2022,the
City of Richmond will implement at least five projects and programs identified in the published
Heat Management Strategy to help residents manage hot days and nights.At minimum,the
implemented strategies should include:
• Vulnerable population outreach program—The City of Richmond will design and
implement a program that helps vulnerable populations manage high heat events.
5
• Training sessions for local health professionals and emergency management staff—The
City of Richmond will facilitate training sessions for local health professionals and
emergency management personnel that target community weaknesses identified during
data collection, as well as the basics of how heat affects people,what preexisting
conditions often lead to heat related illnesses, and where vulnerable populations are
concentrated in the community. Richmond will offer real time translation if needed
during the training.
• Investigate options to suspend utility shutoffs during heat waves—With assistance from
ERI,the City of Richmond will work with local utility companies and other entities as
appropriate to discuss options for suspending utility shutoffs during heat waves.
Richmond will also explore creating or expanding a fund to help low-income households
with their utility bills during summer months—an effort that becomes more important
as annual average temperatures increase.
• Publish a list of public cooling centers—The City of Richmond will identify locations for
and create a list of local public and private facilities that are willing to serve as cooling
centers during heat waves. Richmond will also research options for moving residents in
need of transportation to those facilities.
• Climate responsive community design proiect—While all previous implementation
strategies address residents' ability to cope with high heat events,the City of Richmond
will implement a climate responsive design project to change the urban landscape in a
way that reduces the heat felt in urban spaces—areas of the city that are significantly
higher than surrounding rural areas.
• Draft continuity plan—As the heat management programs and projects are designed,the City of
Richmond will begin drafting a continuity strategy for how the projects and programs will
continue after the heat relief coordinator's position ends.This document,likely to be 2-5 pages
in length,will include an analysis of funding needs and sources, a plan for how remaining items
in the heat management strategy can be implemented, and evaluation techniques.
Phase 5: Continuity Planning, Program Evaluation, and Wrap Up
November 2022—April 2023
Conduct heat vulnerability comment survey(round 2) •
Evaluate the results of the Heat Management Strategy
Finalize continuity plan .
• Heat vulnerability comment survey-The City of Richmond will conduct the same heat
vulnerability comment survey as was conducted during summer 2021.
• Heat Management Strategy Evaluation—The City of Richmond, in partnership with ERI,will
evaluate the success of the projects implemented from the Heat Management Strategy.
Richmond and ERI will compare the pre-and post-program hospital and emergency
management data, if available; compare the results of the two heat vulnerability comment
surveys;and identify additional metrics depending on the strategies implemented.
6
• Finalize continuity plan—The City of Richmond will review this document,drafted during Phase
4,to ensure that staff and community partners have been identified and have agreed to support
the final suite of programs past the end of the Beat the Heat Program.
7
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ATTACHMENT 2
DocuSign Envelope ID:539FFF9E-B652-4909-B31F-4F107E02FDOD
GRANT AGREEMENT
Contract#0000000000000000000052079
This Grant Agreement(this"Grant Agreement"), entered into by and between Office of
Community and Rural Affairs (the"State")and TRUSTEES OF INDIANA UNIVERSITY(the
"Grantee"), is executed pursuant to the terms and conditions set forth herein. In consideration of
those mutual undertakings and covenants, the parties agree as follows:
1. Purpose of this Grant Agreement; Funding Source. The purpose of this Grant Agreement
is to enable the State to award a Grant of$310,763.00 (the"Grant")to the Grantee for eligible
costs of the services or project(the"Project")described in Exhibits A and B of this Grant
Agreement, which are incorporated fully herein. The funds shall be used exclusively in
accordance with the provisions contained in this Grant Agreement and in conformance with
Indiana Code§4-4-9.7-6(3) establishing the authority to make this Grant, as well as any rules
adopted thereunder. The funds received by the Grantee pursuant to this Grant Agreement shall
be used only to implement the Project or provide the services in conformance with this Grant
Agreement and for no other purpose.
FUNDING SOURCE:
If Federal Funds: Program Name per Catalog of Federal Domestic Assistance (CFDA):
Community Development Block Program
CFDA# 14.219
2. Representations and Warranties of the Grantee.
A.The Grantee expressly represents and warrants to the State that it is statutorily eligible to
receive these Grant funds and that the information set forth in its Grant Application is true,
complete and accurate.The Grantee expressly agrees to promptly repay ail funds paid to it under
this Grant Agreement should it be determined either that it was ineligible to receive the funds, or it
made any material misrepresentation on its grant application.
B.The Grantee certifies by entering into this Grant Agreement that neither it nor its principals are
presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily
excluded from entering into this Grant Agreement by any federal or state department or agency.
The term "principal"for purposes of this Grant Agreement is defined as an officer, director, owner,
partner, key employee or other person with primary management or supervisory responsibilities,
or a person who has a critical influence on or substantive control over the operations of the
Grantee.
3. Implementation of and Reporting on the Project.
A. The Grantee shall implement and complete the Project in accordance with Exhibit A and with
the plans and specifications contained in its Grant Application, which is on file with the State and
is incorporated by reference. Modification of the Project shall require prior written approval of the
State.
B. The Grantee shall submit to the State written progress reports until the completion of the
Project. These reports shall be submitted on a quarterly basis and shall contain such detail of
progress or performance on the Project as is requested by the State.
4. Term. This Grant Agreement commences on April 1, 2021 and shall remain in effect through
April 30, 2023. Unless otherwise provided herein, it may be extended upon the written
agreement of the parties and as permitted by state or federal laws governing this Grant.
Page 1 of 16
DocuSlgn Envelope ID:539FFF9E-8652-4909-B31F-4F107E02FDOD
5. Grant Funding.
A. The State shall fund this Grant in the amount of$310,763.00.The approved Project Budget is
set forth as Exhibit B of this Grant Agreement, attached hereto and incorporated herein. The
Grantee shall not spend more than the amount for each line item in the Project Budget without
the prior written consent of the State, nor shall the Project costs funded by this Grant Agreement
and those funded by any local and/or private share be changed or modified without the prior
written consent of the State.
B. The disbursement of Grant funds to the Grantee shall not be made until all documentary
materials required by this Grant Agreement have been received and approved by the State and
this Grant Agreement has been fully approved by the State.
6. Payment of Claims.
A. If advance payment of all or a portion of the Grant funds is permitted by statute or regulation,
and the State agrees to provide such advance payment, advance payment shall be made only
upon submission of a proper claim setting out the intended purposes of those funds. After such
funds have been expended, Grantee shall provide State with a reconciliation of those
expenditures. Otherwise, all payments shall be made thirty five (35)days in arrears in
conformance with State fiscal policies and procedures. As required by IC §4-13-2-14.8, all
payments will be by the direct deposit by electronic funds transfer to the financial institution
designated by the Grantee in writing unless a specific waiver has been obtained from the Indiana
Auditor of State.
B. Requests for payment will be processed only upon presentation of a Claim Voucher in the form
designated by the State. Such Claim Vouchers must be submitted with the budget expenditure
report detailing disbursements of state, local and/or private funds by project budget line items.
C. The State may require evidence furnished by the Grantee that substantial progress has been
made toward completion of the Project prior to making the first payment under this Grant. All
payments are subject to the State's determination that the Grantee's performance to date
conforms with the Project as approved, notwithstanding any other provision of this Grant
Agreement.
D.A claim shall be submitted to the State within forty-five (45)calendar days upon execution of
this Grant Agreement for$161,011.00 and a second (2nd)claim shall be submitted within forty-five
(45)days of the end of year one of this Grant Agreement(March 31, 2022)for$149,752.00,
respectively. The State has the discretion, and reserves the right, to NOT pay any claims
submitted later than forty-five(45)calendar days following the milestones referenced in this
paragraph. All final claims and reports must be submitted to the State within forty-five (45)
calendar days after the expiration or termination of this agreement. Payment for claims submitted
after that time may, at the discretion of the State, be denied. If Grant funds have been advanced
and are unexpended at the time that the final claim is submitted, all such unexpended Grant
funds must be returned to the State.
E. Claims must be submitted with accompanying supportive documentation as designated by the
State. Claims submitted without supportive documentation will be returned to the Grantee and
not processed for payment. Failure to comply with the provisions of this Grant Agreement may
result in the denial of a claim for payment.
7. Project Monitoring by the State. The State may conduct on-site or off-site monitoring
reviews of the Project during the term of this Grant Agreement and for up to ninety(90)days after
it expires or is otherwise terminated. The Grantee shall extend its full cooperation and give full
access to the Project site and to relevant documentation to the State or Its authorized designees
for the purpose of determining, among other things:
Page 2 of 16
DocuSign Envelope ID:539FFF9E-B652-4909-831 F-4F107E02FDOD
A. whether Project activities are consistent with those set forth in Exhibit A, the
Grant Application, and the terms and conditions of the Grant Agreement;
B. the actual expenditure of state, local and/or private funds expended to date on
the Project is in conformity with the amounts for each Budget line item as set forth in
Exhibit B and that unpaid costs have been properly accrued;
C. that Grantee is making timely progress with the Project, and that its project
management,financial management and control systems, procurement systems and
methods, and overall performance are in conformance with the requirements set forth
in this Grant Agreement and are fully and accurately reflected in Project reports
submitted to the State.
8. Compliance with Audit and Reporting Requirements; Maintenance of Records.
A.The Grantee shall submit to an audit of funds paid through this Grant Agreement and shall
make all books, accounting records and other documents available at all reasonable times during
the term of this Grant Agreement and for a period of three (3) years after final payment for
inspection by the State or its authorized designee. Copies shall be furnished to the State at no
cost
B. If the Grantee is a "subrecipient"of federal grant funds under 2 C.F.R. 200.330, Grantee shall
arrange for a financial and compliance audit that complies with 2 C.F.R. 200.500 et seq. if
required by applicable provisions of 2 C.F.R. 200(Uniform Administrative Requirements, Cost
Principles, and Audit Requirements).
C. If the Grantee is a non-governmental unit, the Grantee shall file the Form E-1 annual financial
report required by IC§5-11-1-4.The E-1 entity annual financial report will be used to determine
audit requirements applicable to non-governmental units under IC § 5-11-1-9.Audits required
under this section must comply with the State Board of Accounts Uniform Compliance Guidelines
for Examination of Entities Receiving Financial Assistance from Governmental Sources,
https://www.in.gov/sboa/files/guidelines-examination-entities-receiving-financial-assistance-
government-sources.pdf. Guidelines for filing the annual report are included in Exhibit D
(Guidelines for Non-governmental Entities).
9. Compliance with Laws.
A.The Grantee 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 or modification of any applicable state or federal statute or the
promulgation of rules or regulations thereunder after execution of this Grant Agreement shall be
reviewed by the State and the Grantee to determine whether the provisions of this Grant
Agreement require formal modification.
B. The Grantee 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 Grantee 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
Grant,the Grantee shall ensure compliance with the disclosure requirements in IC §4-2-6-
10.5 prior to the execution of this Grant Agreement. If the Grantee is not familiar with these
ethical requirements,the Grantee should refer any questions to the Indiana State Ethics
Commission, or visit the Inspector General's website at httn://www.in.gov/ici/. If the Grantee or its
agents violate any applicable ethical standards, the State may, in its sole discretion, terminate
this Grant immediately upon notice to the Grantee. In addition, the Grantee may be subject to
penalties under IC§§4-2-6, 4-2-7, 35-44.1-1-4, and under any other applicable laws.
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C.The Grantee certifies by entering into this Grant Agreement that neither it nor its principal(s)is
presently in arrears in payment of taxes, permit fees or other statutory, regulatory or judicially
required payments to the State. The Grantee agrees that any payments currently due to the
State may be withheld from payments due to the Grantee. Additionally, payments may be
withheld,delayed, or denied and/or this Grant suspended until the Grantee is current in its
payments and has submitted proof of such payment to the State.
D. The Grantee warrants that it has no current, pending or outstanding criminal, civil,or
enforcement actions initiated by the State, and agrees that it will immediately notify the State of
any such actions. During the term of such actions, the Grantee agrees that the State may
suspend funding for the Project. If a valid dispute exists as to the Grantee's liability or guilt in any
action initiated by the State or its agencies, and the State decides to suspend funding to the
Grantee,the Grantee may submit, in writing, a request for review to the Indiana Department of
Administration (IDOA). A determination by IDOA shall be binding on the parties. Any
disbursements that the State may delay, withhold, deny, or apply under this section shall not be
subject to penalty or interest.
E.The Grantee warrants that the Grantee and any contractors performing work in connection with
the Project shall obtain and maintain all required permits, licenses, registrations, and approvals,
and shall comply with all health, safety, and environmental statutes, rules, or regulations in the
performance of work activities for the State. Failure to do so may be deemed a material breach
of this Grant Agreement and grounds for immediate termination and denial of grant opportunities
with the State.
F.The Grantee affirms that, if it is an entity described in IC Title 23, it is properly registered and
owes no outstanding reports to the Indiana Secretary of State.
G. As required by IC§5-22-3-7:
(1)The Grantee and any principals of the Grantee certify that:
(A)the Grantee, 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 Grantee 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.
(2)The Grantee and any principals of the Grantee certify that an affiliate
or principal of the Grantee and any agent acting on behalf of the Grantee or on
behalf of an affiliate or principal of the Grantee,except for de minimis and
nonsystematic violations,
(A)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.
10. Debarment and Suspension.
A. The Grantee certifies by entering into this Grant Agreement that it is not presently debarred,
suspended, proposed for debarment, declared ineligible or voluntarily excluded from entering into
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this Grant by any federal agency or by any department, agency or political subdivision of the
State. The term "principal"for purposes of this Grant Agreement means an officer, director, owner, •
partner, key employee or other person with primary management or supervisory responsibilities,
or a person who has a critical influence on or substantive control over the operations of the
Grantee.
B. The Grantee certifies that it has verified the suspension and debarment status for all
subcontractors receiving funds under this Grant Agreement and shall be solely responsible for
any recoupments or penalties that might arise from non-compliance.The Grantee shall
immediately notify the State if any subcontractor becomes debarred or suspended, and shall, at
the State's request, take all steps required by the State to terminate its contractual relationship
with the subcontractor for work to be performed under this Grant Agreement.
11. Drug-Free Workplace Certification. As required by Executive Order No. 90-5,April 12,
1990, issued by the Governor of Indiana,the Grantee hereby covenants and agrees to make a
good faith effort to provide and maintain a drug-free workplace. Grantee will give written notice to
the State within ten (10) days after receiving actual notice that the Grantee, or an employee of the
Grantee 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.
In addition to the provisions of the above paragraphs, if the total amount set forth in this Grant
Agreement is in excess of$25,000.00, the Grantee certifies and agrees that it will provide a drug-
free workplace by:
A. Publishing and providing to all of its employees a statement notifying them that
the unlawful manufacture, distribution, dispensing, possession or use of a controlled
substance is prohibited in the Grantee'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 its employees of: (1)the
dangers of drug abuse in the workplace; (2)the Grantee'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 violations occurring in the workplace; and
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 Grantee of any criminal drug statute conviction for a
violation occurring in the workplace no later than five (5)days after such conviction;
and
D. Notifying in writing the State within ten (10)days after receiving notice from an
employee under subdivision (C)(2)above, or otherwise receiving actual notice of
such conviction; and
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 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
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F. Making a good faith effort to maintain a drug-free workplace through the
implementation of subparagraphs (A)through (E)above.
12. Employment Eligibility Verification. As required by IC§22-5-1.7, the Grantee hereby
swears or affirms under the penalties of perjury that:
A. The Grantee has enrolled and is participating in the E-Verify program;
B. The Grantee has provided documentation to the State that it has enrolled and is
participating in the E-Verify program;
C. The Grantee does not knowingly employ an unauthorized alien.
D. The Grantee shall require its contractors who perform work under this Grant
Agreement to certify to Grantee that the contractor does not knowingly employ or
contract with an unauthorized alien and that the contractor has enrolled and is
participating in the E-Verify program. The Grantee shall maintain this certification
throughout the duration of the term of a contract with a contractor.
The State may terminate for default if the Grantee fails to cure a breach of this provision no later
than thirty(30)days after being notified by the State.
13. Funding Cancellation.As required by Financial Management Circular 2007-1 and IC§5-
22-17-5,when the Director of the State Budget Agency makes a written determination that funds
are not appropriated or otherwise available to support continuation of performance of this Grant
Agreement, it shall be canceled. A determination by 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.
14. Governing Law. This Grant Agreement shall be governed, construed, and enforced in
accordance with the laws of the State of Indiana, without regard to its conflict of laws rules. Suit, if
any, must be brought in the State of Indiana.
15. Information Technology Accessibility Standards. Any information technology related
products or services purchased, used or maintained through this Grant must be compatible with
the principles and goals contained in the Electronic and Information Technology Accessibility
Standards adopted by the Architectural and Transportation Barriers Compliance Board under
Section 508 of the federal Rehabilitation Act of 1973. (29 U.S.C. §794d), as amended. The
- federal Electronic and Information Technology Accessibility Standards can be found at:
http://www.access-board.gov/508.htm.
16. Insurance. The Grantee shall maintain insurance with coverages and in such amount as
may be required by the State or as provided in its Grant Application.
17. Nondiscrimination. Pursuant to the Indiana Civil Rights Law, specifically IC§ 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 Americans with Disabilities Act,the Grantee covenants that it shall not
discriminate against any employee or applicant for employment relating to this Grant with respect
to the hire,tenure,terms, conditions or privileges of employment or any matter directly or
indirectly related to employment, because of the employee or applicant's: race, color, national
origin, religion, sex, age, disability, ancestry, status as a veteran, or any other characteristic
protected by federal,state, or local law("Protected Characteristics"). Furthermore, Grantee
certifies compliance with applicable federal laws, regulations, and executive orders prohibiting
discrimination based on the Protected Characteristics in the provision of services.
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The Grantee understands that the State is a recipient of federal funds, and therefore, where
applicable, Grantee and any subcontractors shall comply with requisite affirmative action
requirements, including reporting, pursuant to 41 CFR Chapter 60, as amended, and Section 202
of Executive Order 11246 as amended by Executive Order 13672.
18. Notice to Parties. Whenever any notice, statement or other communication is required
under this Grant, it will be sent by E-mail or first class U.S. mail service to the following addresses,
unless otherwise specifically advised.
A. Notices to the State shall be sent to:
Matthew Crouch, Deputy Director
Office of Community and Rural Affairs
1 North Capitol Avenue, Suite 600
Indianapolis, IN 46204
B. Notices to the Grantee shall be sent to:
Trustees of Indiana University
Attn: Director of Grant Services
Office of Research Administration
509 East 3rd Street
Bloomington, IN 47401-3654
(317)278-3473
ivawardiu.edu
As required by IC §4-13-2-14.8, payments to the Grantee shall be made via electronic funds
transfer in accordance with instructions filed by the Grantee with the Indiana Auditor of State.
19. Order of Precedence; Incorporation by Reference. Any inconsistency or ambiguity in this
Grant Agreement shall be resolved by giving precedence in the following order: (1)requirements
imposed by applicable federal or state law, including those identified in paragraph 24, below, (2)
this Grant Agreement, (3) Exhibits prepared by the State, and (4) Exhibits prepared by Grantee.
All of the foregoing are incorporated fully herein by reference.
20. Public Record. The Contractor acknowledges that the State will not treat this Grant as
containing confidential information, and will post this Grant on the transparency portal as required
by Executive Order 05-07 and IC §5-14-3.5-2. Use by the public of the information contained in
this Grant shall not be considered an act of the State.
21. Termination for Breach.
A. Failure to complete the Project and expend State, local and/or private funds in accordance with
this Grant Agreement may be considered a material breach, and shall entitle the State to suspend
grant payments, and to suspend the Grantee's participation in State grant programs until such
time as all material breaches are cured to the State's satisfaction.
B.The expenditure of State or federal funds other than in conformance with the Project or the
Budget may be deemed a breach.The Grantee explicitly covenants that it shall promptly repay to
the State all funds not spent in conformance with this Grant Agreement.
22. Termination for Convenience. Unless prohibited by a statute or regulation relating to the
award of the Grant, this Grant Agreement may be terminated, in whole or in part, by the State
whenever,for any reason, the State determines that such termination is in the best interest of the
State.Termination shall be effected by delivery to the Grantee of a Termination Notice, specifying
the extent to which such termination becomes effective.The Grantee shall be compensated for
completion of the Project properly done prior to the effective date of termination. The State will
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not be liable for work on the Project performed after the effective date of termination. In no case
shall total payment made to the Grantee exceed the original grant.
23. Travel. No expenses for travel will be reimbursed unless specifically authorized by this
.Grant.
24. Federal and State Third-Party Contract Provisions. If part of this Grant involves the
payment of federal funds,the Grantee and, if applicable, its contractors shall comply with the
federal provisions attached as Exhibit C and incorporated fully herein.
25. Provision Applicable to Grants with tax-funded State Educational Institutions:
"Separateness" of the Parties. The State acknowledges and agrees that because of the unique
nature of State Educational Institutions,the duties and responsibilities of the State Educational
Institution in these Standard Conditions for Grants are specific to the department or unit of the
State Educational Institution.The existence or status of any one contract or grant between the
State and the State Educational Institution shall have no impact on the execution or performance
of any other contract or grant and shall not form the basis for termination of any other contract or
grant by either party.
26. State Boilerplate Affirmation Clause. I swear or affirm under the penalties of perjury that I
have not altered, modified, changed or deleted the State's standard contract clauses (as
contained in the 2021 OAG/IDOA Professional Services Contract Manual or the 2021 SCM
Template)in any way except as follows:
6. Payment of Claims. Subparagraph (D) modified by the parties.
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Non-Collusion, Acceptance
The undersigned attests, subject to the penalties for perjury, that the undersigned is the Grantee,
or that the undersigned is the properly authorized representative, agent, member or officer of the
Grantee. Further, to the undersigned's knowledge, neither the undersigned nor any other
member, employee, representative, agent or officer of the Grantee, directly or indirectly, has
entered into or been offered any sum of money or other consideration for the execution of this
Grant 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 Grant, the Grantee
attests to compliance with the disclosure requirements in IC§4-2-6-10.5.
Agreement to Use Electronic Signatures
I agree, and it is my intent, to sign this Contract by accessing State of Indiana Supplier Portal
using the secure password assigned to me and by electronically submitting this Contract to the
State of Indiana. I understand that my signing and submitting this Contract in this fashion is the
legal equivalent of having placed my handwritten signature on the submitted Contract and this
affirmation. I understand and agree that by electronically signing and submitting this Contract in
this fashion I am affirming to the truth of the information contained therein. I understand that this
Contract will not become binding on the State until it has been approved by the Department of
Administration,the State Budget Agency, and the Office of the Attorney General,which approvals
will be posted on the Active Contracts Database:
httbs://fs.gmis.in.qov/psp/quest/SUPPLIER/ERP/c/SOI CUSTOM APPS.SOI PUBLIC CNTRCT
S.GBL
In Witness Whereof,the Grantee and the State have, through their duly authorized
representatives, entered into this Grant Agreement. The parties, having read and understood the
foregoing terms of this Grant Agreement, do by their respective signatures dated below agree to
the terms thereof.rTr s,s nla ana University EGagfe mmunity and Rural Affairs
B Wit. r. B �- CJ
,
FBF588493885404... D30048C2D31C440...
Title: Contract officer Title: Executive Director
Date: 4/14/2021 1 14:15 EDT Date: 4/14/2021 1 16:49 EDT
Electronically Approved by:
Department of Administration
By: (for)
Lesley A.Crane,Commissioner
Electronically Approved by: Electronically Approved as to Form and Legality by:
State Budget Agency Office of the Attorney General
By: (for) By: (for)
Zachary Q.Jackson,Director Theodore E.Rokita,Attorney General •
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EXHIBIT A
Project Description
Program Title:
Extreme Heat Preparedness in Indiana Communities
Program Support: $42,966
•Call for Applications—ERI will work with OCRA to launch the Extreme Heat Preparedness
Cohort Call for Applications. ERI and OCRA will complete a joint press release to announce the
program,write a one-pager describing the program, and will co-host a webinar for interested
applicants. Representatives for each organization will review the applicants and select the
finalists.
• Hiring ERI Graduate Student—ERI will post a position and hire an IU graduate student, or well-
qualified undergraduate student,to support the program.
• Hiring Local Government Extreme Heat Management Coordinators—ERI will work with
participating local governments to recruit applicants for their extreme heat management
coordinators. ERI will participate in interviews and candidate selection, as well.
• Program Kick-off Webinars and Program Prep—To launch the program, ERI will host a kick-off
meeting with the participating local governments in advance of posting the extreme heat
management coordinator positions. ERI will host another kick-of meeting once the new hires are
in place. These kick-off meetings will guide participants on the steps they need to take to get
started.
• Program Announcement Press Releases—ERI will release a press release in partnership with
OCRA to announce the program and its participants. ERI will also draft and provide template
press releases to the local governments to announce their participation in the program.
• Program Marketing Materials Development and Distribution—ER1 will develop template radio
spot language, social media posts,flyers, and other marketing materials to help participating
communities spread the word about their efforts.
• Local Heat Map Press Releases—ERI, in partnership with the heat mapping consultant,will
draft and provide template press releases to the local governments to announce and show the
results of the local urban heat maps(described in more detail below).
•Training Webinars—Throughout the 2-year program, ERI will host approximately 30 training
webinars and round-robins to facilitate peer-to-peer collaboration and content knowledge
development.Webinars and strategy sessions will be open to the extreme heat management
coordinator, as well as existing staff and Heat Management Task Force members.
•One-on-One Technical Assistance—ERI will provide approximately 45 hours of one-on-one
strategy sessions to each community.
Community Oversight: $21,099
• Extreme Heat Management Task Force—Local government staff and the extreme heat
management coordinator at each participating community,with support from their administrations,
will establish an Extreme Heat Management Task Force. This advisory group will initially be
staffed with representatives from health care, emergency management, and community services,
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and with community members who represent target vulnerable groups. ERI will encourage the
Task Forces to add members from groups identified as missing throughout the project.
•Youth Extreme Heat Management Task Force-Local governments staff and the extreme heat
management coordinator at each participating community,with support from their administrations,
will establish a Youth Extreme Heat Management Task Force.This advisory group will initially be
staffed with representatives from middle and high schools in the area and will include
representation of target vulnerable groups, including people of color, low-income, and outdoor
workers and sport team members. ERI will encourage the Task Forces to add members from
groups identified as missing throughout the project.
• Extreme Heat Management Task Force Meetings—Over the course of approximately 12
meetings for each Task Force, members will provide the extreme heat management coordinator
with guidance as they complete project deliverables. Occasionally, Task Force Members will be
asked to contribute volunteer hours to aid the completion of project deliverables. ERI will
recommend that,following the end of this grant, the Task Forces evaluate the success of the
project deliverables annually.
Community Needs Assessment: $76,951
• Hoosier Resilience Index(HRI) Readiness Assessment—Completion, Analysis, and Results
Presentation and Report—Each local government will complete the HRI Readiness Assessment
in Fall 2021 and identify and prioritize next step actions. Upon completion of the assessment, ERI
will work with local government staff and the extreme heat management coordinator to identify
tangible actions from the assessment that can be implemented to contribute to improved heat
management.
• Population Heat Management Data Collection,Analysis, Presentation—Leading into and during
the summer of 2021, each participating community, with help from the ERI support team,will
collect information to achieve a baseline understanding of how community members manage
heat waves, heat-related illness, and heat-related deaths.
• Focus Groups—Each community will host eight,two-hour focus groups to talk with government
staff, health care professionals, and community members about how they manage summertime
high temperatures, especially during heat waves, and what community services they take
advantage of or wish they had access to. Government staff and health professionals will be asked
about existing community processes for treating and managing residents during heatwaves.
Community members invited to participate in the focus group sessions will represent the target
vulnerable populations. Childcare and translation services will be provided for participants.
• Heat Vulnerability Comment Survey—Each local government will conduct a heat vulnerability
survey, in an online and written format.The survey will be conducted at the beginning of summer
2021 and again after summer 2022.The purpose of the survey is to collect information on
residents' knowledge of extreme heat health risks and resources for managing extreme heat
exposure, how residents manage summertime high temperatures, especially during heat waves,
and what community services they take advantage of or wish they had access to. The survey will
be written by ERI in partnership with the local governments. In addition to recruiting responses
from all residents, the local government will promote the survey among target vulnerable
populations and outdoor workers. ERI will facilitate translation services to offer the survey in
Spanish and/or other necessary languages.
• Hospital and Emergency Management Services Data—With the assistance of the ERI support
team, each local government will collect data on mortality records, outpatient and inpatient
hospital visits, and emergency ambulance calls before, during, and after extreme heat events.
• Community Heat Management Observations—Each local government will identify and study
three different sites in their communities to observe how residents are currently managing high
heat days. Observers will visit the same locations on three different high-heat days. Locations will
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be identified based on the locations of vulnerable populations in the community.
•Vulnerable Population Map—ERI will create a GIS map of vulnerable populations for each
participating community using information from the American Community Survey. This map will
be used as an overlay on the local heat map.
• Local Heat Island Map and Analysis—An outside consultant will produce an urban heat island
map for each participating community. The local governments will be responsible for coordinating
a one-day event in which volunteers drive, bike, and walk with heat sensors on pre-designated
paths to collect the data the consultant will use to produce the map. ERI staff will attend in person,
if possible,to assist with the coordination.The map will show temperatures throughout the
community at three time-periods on a high-heat day.
• Heat Wave Risk Weather Determination—Each local government, in partnership with their local
NOAA representative and the ERI support team,will collect data on historical highs and lows and
identify weather patterns that will activate local government and community responses to high
heat events.
• Compilation, Analysis, and Presentation of Community Needs Assessment—Participating local
governments,with assistance from the ERI support team,will aggregate, analyze, and present
the results of the community needs assessment. This assessment will be used to identify near-
term heat management projects and programs and to develop a Heat Wave Response Protocol
for emergency management services staff. Data will also be used to develop educational
materials, management strategies, and training programs for health professionals.
Heat Management Strategy Development: $39,997
• Public Meetings—Participating local governments will host at least four public meetings—two to
collect input on strategies and two to collect feedback on the draft strategy. ERI will attend at
least one public meeting in person, if possible.The local government will provide childcare
services and real-time translation services to encourage resident attendance.The public
meetings will be held virtually if the pandemic situation requires it.
• Heat Management Strategy—The heat management strategy, a 10 page or less document,will
contain near-term (3—5 years)strategies the local government and community will use to help
residents manage high heat events.The strategies will be tailored to community needs and be
designed to support vulnerable populations, public health, local policy, and community design
principals that improve how residents experience high temperatures. ERI will provide written
translation.services to publish informational pamphlets about the strategy in two languages.
Heat Management Strategy Implementation: $107,920
• Education Materials Development and Distribution—In partnership with the ERI support team,
participants will design educational materials that discuss heat exposure symptoms, tips for
staying cool, and resources for staying cool. Targeted audiences with include vulnerable
populations, community organizations that work with vulnerable populations, outdoor workers,
and the general public. Distribution mechanisms will include local television and radio stations,
the local weather station,social media, community groups,faith leaders, and other relevant
outlets. Since many of the materials will be the same from community to community, ERI will
provide written translation services and ensure that the materials can be used by other
communities across the state.
•Vulnerable Population Outreach Program —Each local government will design and implement a
program that helps vulnerable populations manage high heat events. One such program could be
a network neighbor care system of staff and volunteers who work to ensure that key vulnerable
populations receive pre-alert warnings and are regularly checked up on during extreme events.
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The focus could be on homeless populations, socially isolated households, and or individuals with
ailments that make them more susceptible to heat-related illness or mortality.
• Local Health Professional and Emergency Management Staff Training —The local government
will facilitate training sessions for local health professionals and emergency management
personnel that targets community weaknesses identified during data collection, as well as the
basics of how heat affects people, what preexisting conditions often lead to heat related illnesses,
and where vulnerable populations are concentrated in the community. Local governments will
offer real time translation if needed during the training. ERI will attend at least one training in
person, if possible.
• Investigation of Options to Suspend Utility Shutoffs during Heat Waves—Access to air
conditioning is one way to prevent heat-related illness, especially among vulnerable populations.
With assistance from the ERI support team, each local government will work with local utility
companies and other entities as appropriate to discuss options for suspending utility shutoffs
during heat waves. The local government will explore creating or expanding a fund to help low-
income households with their utility bills during summer months—an effort that becomes more
important as annual average temperatures increase.
• List of Public Cooling Centers and Transportation Plans—Participants will identify and create a •
list of local public and private facilities that are willing to serve as cooling centers during heat
waves and identify options for moving residents in need of transportation to those facilities.
• Heat Wave Response Protocol-Participants will work with their local emergency management
agencies to develop a response protocol that identifies the steps the local government and
community partners will take when a heat wave is imminent.The protocol will identify the
threshold for activating and deactivating the protocol, the system for notifying the public, the
vulnerable population map, strategies that are enacted during heat waves, the responses
designed to help vulnerable residents cope with extreme temperatures, and what needs to be
done to regularly evaluate the protocol and keep the protocol up to date.
• Climate Responsive Community Design Projects—While all previous implementation strategies
address residents' ability to cope with high heat events, this deliverable will prompt local
governments to identify ways to change the urban landscape to reduce urban heat islands, areas
of city or town that are significantly higher than surrounding rural areas. Example projects could
include tree plantings designed to shade asphalt,concrete, and other impermeable surfaces;
adding light-colored surface coatings to parking lots; and promoting the use of light-colored
roofing material. Projects will prioritize neighborhoods with high concentrations of vulnerable
residents.
Continuity Planning and Wrap Up: $21,920
• Program Continuity Strategy—As the heat management programs and projects are designed,
each local government will begin drafting a continuity strategy for how the projects and programs
will continue after the extreme heat management coordinator's position ends. The strategy will
include an analysis of funding needs and sources, a plan for how remaining items in the heat
management strategy can be implemented, and evaluation techniques.The local government will
review the strategy after the implementation phase to ensure that staff and community partners
have been identified and have agreed to support the final suite of programs implemented through
this grant.
• Program Evaluation—The local government, in partnership with the ERI support team will use
(and modify, depending on data availability)a set of evaluation metrics to track the progress of
the program. Further details are located in the Program Evaluation section, below.
Page 13 of 16
DocuSign Envelope ID:539FFF9E-B652-4909-B31F-4F107E02FDOD
EXHIBIT B
Project Budget
Program Costs Pre-Year 1 Year 1 (5/1/21- Year 2 (5/1/22- Total
(4/1/21-4/30/21) 4/30/22) 4/30/23)
Salaries $1,334 $23,796 $23,796 $48,927 _
Fringe Benefits $365 $5,176 $5,176 $10,717
General $0 $5,340 $1,900 $7,240
Expenses &
Travel
Sub Awards
Community#1 $62,500 $59,440 $121,940
Sub Award
Community#2 $62,500 $59,440 $121,940
Sub Award
TOTALS $1,699 $159,312 $149,752 $310,763
Page 14 of 16
DocuSign Envelope ID:539FFF9E-B652-4909-B31 F-4F107E02FDOD
EXHIBIT C
Federal and State Third-Party Contract Provisions
OCRA Policies Regarding CDBG
1. REQUIREMENTS/CRITERIA FOR CDBG GRANT CLOSEOUT.
Federal regulations state that a CDBG grant is not considered "closed" until all of the following
criteria are met[24 CFR 570.509(a)]:
A. All costs to be paid with CDBG funds have been incurred with the exception of
final close-out expenses (final audit expenses, if any) and any pre-approved
contingent liabilities.
B. The work to be assisted with CDBG funds has been completed.
C. All responsibilities of the Grant Recipient under the grant agreement and
applicable laws/regulations have been carried out satisfactorily; these include:
a. attainment of one (1)of the three (3)national goals of the CDBG
program [low-and-moderate income benefit, or elimination of slum and
blighted conditions, or addressing an urgent need/imminent threat to
health and safety];
b. specified project goals have been attained (e.g.job-creation goals have
been met, both total jobs and those for low-and-moderate income
persons); and
c. all CDBG payments have been audited in compliance with the Single
Audit Act requirements at 2 CFR part 200, with all audit findings and
disallowance's resolved.
Page 15 of 16
DocuSign Envelope ID:539FFF9E-13652-4909-B31 F-4F107E02FDOD
Exhibit D
Annual Financial Report for Non-governmental Entities
Guidelines for filing the annual financial report:
1. Filing an annual financial report called an Entity Annual Report(E-1)is required by IC 5-11-1-
4. This is done through Gateway which is an on-line electronic submission process.
a. There is no filing fee to do this.
b. This is in addition to the similarly titled Business Entity Report required by the Indiana
Secretary of State.
c. The E-1 electronical submission site is found at https://gateway.ifionline.orq/looin.aspx
d. The Gateway User Guide is found at https://qateway.ifionline.org/userauides/Elquide
e. The State Board of Accounts may request documentation to support the information
presented on the E-1.
f. Login credentials for filing the E-1 and-additional information can be obtained using the
notforprofit(o�sboa.in.cov email address.
2. A tutorial on completing Form E-1 online is available at
https://www.voutube.com/watch?time continue=87&v=nPDgtPcdUcs
3. Based on the level of government financial assistance received, an audit may be required by
IC 5-11-1-9.
Page 16 of 16
Subaward Number:
Attachment 3A
18948
Pass-Through Entity(PTE)Contacts
PTE Information
Entity Name: !Trustees of Indiana University
Legal Address: Office of Research Administration
509 E 3rd Street
Bloomington, IN 47401-3654
_
Website: I http://www.researchadmin.iu.edu/
PTE Contacts
u.edu.
co i
Central Email: orares_..._ �a .. . _ ...... _._. .. .
Principal Investigator Name: I Dr. Dana Habeeb
Email: rdhabeeb@indiana.edu _ Telephone Number: I
Administrative Contact Name: Research Contracting _
Email: Fbrencoop@iu.edu Telephone Number: 812-855-0516
COI Contact email (if different to above): col indiana edu
Financial Contact Name: 'Accounts Payable, Indiana University
Email: ivaphelp@iu.edu Telephone Number 812-855-4004
Email invoices?®Yes 0 No Invoice email (if different):I invoice@iu.edu
Authorized Official Name: I Steven Allen Martin, Associate Vice President for Research Administration
Email: rugs@indiana.edu Telephone Number: 11812-855 0516
PI Address:
Indiana University Department of Informatics
Informatics East 261, 919 E. 10th Street
Bloomington, IN 47408
Administrative Address:
Office of Research Administration
509 E 3rd Street
Bloomington, IN 47401-3654
Invoice Address:
Accounts Payable, Indiana University
PO Box 4527
Scranton, PA 18505
Attachment 3B Subaward Number:
Subrecipient Contacts 8948
Subrecipient Information for FFATA reporting
Entity's DUNS Name: I City of Richmond
35 _.
EIN No.: -6001174 Institution Type: Local Government
DUNS: -Currently registered in SAM.gov: 0 Yes ® No
072050461 Exempt from reporting executive compensation:®X Yes No(if no,complete 3Bpg2)
Parent DUNS: 1 072050461 - This section for U.S. Entities: Zip Code Look-up
Place of Performance Address Congressional District 16 Zip Code+4: 1 47374-4247
City of Richmond
50 North 5th Street
Richmond, IN 47374
Subrecipient Contacts
Central Email: I NA
Website: www.richmondindiana.gov
Principal Investigator Name: I Ian Vanness
nchmondindiana. ov Telephone Number I (765)983-7217
Email: ivanness
Administrative Contact Name: I Beth Fields
Email: bfields@richmondindiana.gov_ Telephone Number I (765)983-7211
Financial Contact Name: I Emily Palmer
Email: I epalmer@richmondindiana.gov Telephone Number i (765)983-7218
Invoice/Payment Email:
Authorized Official Name: I Dave Snow
Email: dsnow@richmondindiana.gov Telephone Number: (765)983-7207
Legal Address:
City of Richmond
50 North 5th Street
Richmond, IN 47374
Administrative Address:
City of Richmond
50 North 5th Street
Richmond, IN 47374
Payment Address:
City of Richmond
50 North 5th Street
Richmond, IN 47374
Attachment 3B Page 2 Subaward Number:
Research Subaward Agreement 8948
Highest Compensated Officers
Subrecipient
Entity Name:
PI Name:
Highest Compensated Officers
The names and total compensation of the five most highly compensated officers of the entity(ies) must be listed if
the entity in the preceding fiscal year received 80 percent or more of its annual gross revenues in
Federal awards; and $25,000,000 or more in annual gross revenues from Federal awards; and the public does
not have access to this information about the compensation of the senior 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. See FFATA § 2(b)(1) Internal Revenue
Code of 1986.
Officer 1 Name:
Officer 1 Compensation:
Officer 2 Name:
Officer 2 Compensation:
Officer 3 Name:
Officer 3 Compensation:
Officer 4 Name:
Officer 4 Compensation:
Officer 5 Name:
Officer 5 Compensation:
FOP 3B.2 Sept 2017
Attachment 4
High-Risk Billing Requirements
Expenditures submitted for payment must be reported using the Subrecipient Invoice template provided.
Invoicing requirements: The Subrecipient Invoice template includes the elements required for a complete
invoice submission when billing Indiana University. The invoice must contain invoice number, invoice
date, invoice period, purchase order number, current and cumulative costs (including cost share),
verification and authorized representative signature. Costs must be reported by the expense categories
delineated in the approved budget of the subaward agreement. If applicable, foreign costs must be
converted to U.S. dollars using a currency exchange rate on the last day of the invoice billing period or an
average rate for the invoice period. Provide supporting documentation of the rate(s) and date(s) with
invoice submission. A recommended website for currency conversion is https://www.xe.com/
currencycharts/.
A Detailed Transaction Listing and Labor Detail are also required with every invoice. Examples and the
type of information requested as supporting documentation for charges billed to Indiana University are
provided below. If the supporting documentation is in a language other than English, a translated copy of
the documentation is also required at the time of invoice submission.
It is expected that the subrecipient will invoice for allowable costs not more often than monthly and not
less frequently than quarterly. See 3.B. Consideration and Payment of the subaward agreement.
Access to records: Consistent with the requirements of the subaward agreement and §200.336,
supporting documentation may be requested by Indiana University to verify the allowability of
expenditures invoiced under this subaward. Any such documentation requested by Indiana University
must be provided within 14 calendar days of request or may result in disallowance of expenditures.
Typical financial documentation requested may include, but is not limited to:
Salary or appointment letters
Payroll verification records (example provided below)
Receipts for any individual transaction
Effective 10/15/20
EXAMPLE DETAILED TRANSACTIONS LISTING
,Fiscal' Grant Account Expense Document' Description of Financial • Transaction Transaction •
Year !Grant Account_ Name Classification Code Expense Name i Number i Document Amount i Date
2018 : 4684723 NIH j 4035 . LAB SUPPLIES i 36211629 GENSCRIPT USA 1$ 28.00 3/10/2018
2018 4684724 NIH 5500 , INDIRECT COST 20168310 CHG 53.500%on 4035(35) ;$ 14.98 i 3/10/2018 :
2018 4684725 • NIH 5501 INDIRECT COST 20180310 CHG 53.500%on 4035(35) $ .0,70 i 3/10/2018
2018 4684726 NIH 4002 ANIMAL CARE 36262304 FEB LAB ANIMAL CHARGES :$ 3,330.22i 3/11/2018 ;
•2018, 4684727 NIH 5373 PUBL PAPER 36490584 1 Dartmouth Journal Services:$ 1,170.00 j 3/18/2018
2018 4684728 NIH 2O00 ACAD SALRY j M11033115 i NORMAL PAYROLL ACTIVITY i$ 8,518.44 i. 3/24/2018
2018 4684729 NIH 5625 FRNG BEN CST j M11033115 NORMAL PAYROLL ACTIVITY j$ 15,367.40 j 3/24/2018
2018 i 4684730 NIH 1 5760 FICA M110331151 NORMAL PAYROLL ACTIVITY i$ 588.62 1 3/24/2018
:2018 4684731 NIH 5772 RETIRE EXPN 1M11033115j NORMAL PAYROLL ACTIVITY;$ 1,230.92: 3/24/2018 ;
COLUMN NAME GENERAL DESCRIPTION
1. Fiscal Year 1. Fiscal Year*
2. Grant Account 2. Grant Account Number*
3. Grant Account Name 3. Grant Account Name
4. Expense Classification Code 4. Expense Code*
5. Expense Name 5. Expense Name*
6. Document Number 6. Document Number(unique identifier)*
7. Description of Financial Document 7. Description of Expense*
8. Transaction Amount 8. Transaction Amount*
9. Transaction Date 9. Transaction Date*
*REQUIRED FIELDS
EXAMPLE LABOR DETAIL
• i • CALCULATED •
ID PERIOD FISCAL FISCAL, HOURS or SALARY BENEFIT • DOCUMENT
PERSON i NUMBER OBJ CD END DATE : YR .PERIOD. EFFORT% : AMOUNT AMOUNT . NUMBER
Employee Name j000X0XXXX, 2000 ; 1/31/2018, 2018 7 168.00, $3,041.70, $ 1,189.30;PL/Mo4012918
Employee Name 00oXXXXXX 2000 1/31/2018 2018 7 _ 75%,$2,659.85;$ 1,040.00;PL/M04012918
i
**TOTAL FOR:4684723 I 218.40 $5,701.55 ; $ 2,229.31;
•
COLUMN NAME GENERAL DESCRIPTION
1. Person 1. Employee*
2. ID Number 2. Institutional Employee ID Number
3. Obj Code 3. Expense Code*
4. Period End Date 4. Pay Period*
5. Fiscal Yr 5. Fiscal Year
6. Fiscal Period 6. Month
7. Hours or Effort% 7. Hours Worked or Effort%*
8. Salary Amount 8. Salary Amount*
9. Calculated Benefit Amount 9. Benefit Amount*
10. Document Number 10. Document Number(unique identifier)*
*REQUIRED FIELDS
Effective 10/15/20
Sample of Payroll Verification Records
The guidelines below are potential examples for payroll verification.
The regulations call for payroll verification for each employee charging salaries to federally funded sponsored
research subawards from Indiana University.
One of the following methods is recommended:
METHOD A(After the fact)
1. The institution must have a record of the total institutional base pay(normal salary)for regular work
activities for each individual and must be able to provide this information to Indiana University upon
request.
Example:Annual Employee Appointment/Salary Letter
2. The institutional payroll records must accurately segregate employee pay among the employee's various
work activities and funding sources(accounts).
3. A periodic report(at least annually)of employee activity must be compiled and verified against
institutional payroll records.This employee activity report must be signed(or electronically approved)and
dated by a person with suitable means of verification that any salaries charged to federally funded research
agreements are commensurate with the employee work performed. An example is provided below.
Fiscal Account Object Employee Total
Year Number Code Name Charge July Aug Sept Oct Nov Dec
2018 1284200 2000 John Doe 6,750 1,125 1,125 1,125 1,125 1,125 1,125
2018 4183204 2000 John Doe 1,500 250 250 250 250 250 250
2018 1184220 2000 John Doe 6,750 1,125 1,125 1,125 _ 1,125 1,125 1,125
Signed by: someone with suitable means of verification Date:
Effective 10/15/20
METHOD B(Time cards)
1. The institution must have a record of the total institutional base pay(normal salary)for regular work activities
for each individual and must be able to provide this information to Indiana University upon request.
Example:Annual Employee Appointment/Salary Letter
2. The timecard must record the hours worked on each federal award and non-federal account,and must be
signed and dated by the employee and their supervisor.The timesheet must record ail hours worked by the
individual for the week. Below is a sample of a timesheet that could be used.The total hours worked on the IU
project must equal what is recorded on the invoice to Indiana University.
Weekly Timesheet
Week Ending: December 28,2018
Employee name: John Doe Employee ID: 123456
Date Project name IN OUT Total hours
12/27/18 Project 1 8:00 11:00 3
12/27/18 lU project 11:00 12:00 1
12/27/18 Project 3 1:00 5:00 4
12/28/18 Project 1 8:00 12:00 4
12/28/18 Project I 1:00 5:00 4
Employee signature: John Doe Date: 01/04/19
Supervisor signature: Supervisor Date: 01/04/19
Effective 10/15/20
SUBRECIPIENT INVOICE
Remit Payment To:
Subrecipient Name: Invoice Number:
Subrecipient Address: Invoice Date:
PO Number:
Sponsor:
Indiana University Project Title:
IU Accounts Payable
400 E.7th Street,Room 021 Subaward PI Name:
Bloomington,IN 47405-3003
Email invoice to: invoice@indiana.edu Project Dates: Start: End:
Subaward Number:
Award Amount: Check if Final Invoice
Invoice Period: to
Expense Categories Current Cumulative Cost Share Cost Share Cumulative
Personnel/Salary
Fringe
Domestic Travel
Foreign Travel
Materials and Supplies
Consultants
Equipment
Total Direct Costs $o.00 $o.ao $a.00 $o.00
Indirect Cost @ 0.0
TOTAL $a.00 S o.ao $o.00 $0.00
By signing this report,I certify to the best of my knowledge and belief that the report is true,complete,and accurate,and the
expenditures,disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the
Federal award. I am aware that any false,fictitious,or fraudulent information,or omission of any material fact, may subject me to
criminal,civil or administrative penalties for fraud,false statements,false claims or otherwise(U.S.Code Title 18,Section 1001 and
Title 31,Sections 3729-3730 and 3801-3812).
Verify the following statements are true(use check box):
A Detailed Transaction Listing is attached to this invoice ❑
A Labor Detail is attached to this invoice ❑
Invoice billing period is not greater than three months ❑
Exchange rate was calculated using the last day of the invoice billing period(if applicable) ❑
Subrecipient authorized representative title Subrecipient authorized signature and date
Phone number Email address
Effective: 7/01/19 Link to Form; EfiatlFortn t?rinf Forrtt