HomeMy Public PortalAbout004-2009 - COR - Capital Access Inc - Application Administrative ServicesContract for Consulting and Grant Administration
By and between the
CITY OF RICHMOND, INDIANA
And
CAPITAL ACCESS, INC.
THIS CONTRACT, entered into as of the _19th day of _March , 2009, referred to as
Contract Number 4-2009, by and between the City of Richmond, Indiana, (hereinafter referred to
as Richmond) and Capital Access, Inc., 237 Tasker Street, Suite 200, Philadelphia,
Pennsylvania 19148 (hereinafter referred to as Consultant).
WHEREAS, Richmond wishes to enter into a grant agreement with the Indiana Housing and
Community Development Authority (IHCDA) under provisions of the Housing and Economic
Recovery Act (HERA) of 2008, (the Act);
WHEREAS, pursuant to such a grant agreement, Richmond is undertaking certain activities
(hereinafter referred to as Application Administrative Services) necessary for the planning and
implementation of the Neighborhood Stabilization Program (NSP) through the IHCDA projects
situated in Richmond;
WHEREAS, a certain Request for Proposals dated November 24, 2008, has been made
available for inspection by Richmond, is on file in the office of the Department of Metropolitan
Development of Richmond, and is hereby incorporated by reference and made a part of this
Agreement. Consultant agrees to abide by the same;
WHEREAS, the response of Consultant to said Request for Proposals is attached hereto as
Exhibit A, which Exhibit was received December 11, 2008, consists of forty-seven (47) pages, and is
hereby incorporated by reference and made a part of this Agreement; and
WHEREAS, Richmond desires to engage Consultant to render certain assistance in
connection with such undertakings in Richmond.
NOW, THEREFORE, the parties hereto do mutually agree as follows:
1. Scope of Services,
Consultant shall perform all necessary services under this contract in connection with and
respecting Richmond, shall do, perform, and carry out, in a satisfactory and proper manner,
as determined by Richmond, the following Application Administrative Services:
A. Consultant will perform research on the current status of potential NSP housing,
including foreclosures in the City of Richmond, Indiana, and will complete an
Implementation Strategy in accordance with Exhibit A of this Agreement.
B. Consultant will complete a grant intent letter for submission to the IHCDA in
accordance with Exhibit A of this Agreement.
Contract 4-2009
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C. Consultant will conduct with the City of Richmond the required IHCDA Allocation Site
Visit between February 8 — 14, 2009, in accordance with Exhibit A of this Agreement.
D. Consultant will draft, finalize and submit the IHCDA Application and any federal
requirements by March 13, 2009, in accordance with Exhibit A of this Agreement.
E. Consultant will complete all other aspects of the IHCDA Neighborhood Stabilization
Program requirements of administration in accordance with Exhibit A of this Agreement.
2. Time of Performance.
The Application Administrative Services of Consultant are to commence upon execution of
this contract. The services shall be undertaken and completed in such sequence as to assure
the expeditious completion of the application process; but in any event all of the services
required hereunder shall be completed in a timely manner as required by Indiana Housing
and Community Development Authority.
Compensation.
The compensation under this contract shall be paid through initial grant funds provided by
Indiana Housing and Community Development Authority, and shall not exceed a total
amount of Thirty Thousand Dollars and No Cents ($30,000.00). Richmond is not obligated
to pay compensation with their city budget funds. Richmond is not responsible for any
compensation to Consultant, unless Richmond has been awarded the grant, regardless
of Consultant's expenditure and efforts in obtaining such grant. Subject to a receipt of a
requisition for payment from Consultant and amount requisitioned is in conformance with
terms of this contract, Richmond and Consultant hereby agree that the fees paid to
Consultant will be in the following manner:
A. NSP RFP Preparation Compensation.
Consultant shall be paid a sum not to exceed fee of $10,000.00 for all services
related to the preparation of the necessary documents for NSP RFP Documentation
Preparation as required in the IHCDA grant agreement and as set forth in Exhibit A.
The fee includes the project management cost, bookkeeping, salaries, supplies and all
general overhead expenses, such as phone, travel costs, insurance, and postage. The
attached rate schedule (see Exhibit A) shall be used in computing the actual cost.
B. NSP Implementation Strategy Compensation.
Consultant shall be paid a sum not to exceed fee of $20,000.00 for all services
related to the NSP Implementation Strategy as set forth in Exhibit A. The fee
includes, but is not limited to, the project management cost, bookkeeping, salaries,
supplies and all general overhead expenses, such as, phone, travel cost, insurance,
and postage. The attached rate schedule (see Exhibit A) shall be used in computing
the actual cost.
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The above fee payment schedules include all costs to be incurred by Consultant
during the Application Administrative Services Phase as provided by this Agreement
and Exhibit A. Upon depletion of the earmarked funds for administrative preparation
Consultant will curtail the submission of claims and will continue to complete the
application process, at no additional cost to Richmond, until the application process
has been completed in its entirety.
4. Responsibility.
At all times, Richmond, including all its Departments, is legally responsible for the
execution of the grant agreement with Indiana Housing and Community Development
Authority.
Modification.
Richmond may, from time to time, request changes in the Scope of Services, Section 1 of
this contract with Consultant to be performed hereunder. Such changes, including any
increase or decrease in the amount of Consultant's compensation, which are mutually agreed
upon by and between Richmond and Consultant, shall be incorporated in written addenda to
this Contract. Consultant may request a change in the maximum amount payable by
Richmond in the event that said maximum amount does not provide just compensation for
services provided hereunder, however, Richmond shall be under no obligation to agree to a
request in the change in the maximum amount payable. Any changes in the maximum
amount payable by Richmond which are mutually agreed upon by and between Richmond
and Consultant shall be incorporated in written addenda to this Contract.
6. Personnel and Status of Consultant.
Consultant represents that it has, or will secure all personnel required in the performance
and execution of services under this contract. All services required hereunder will be
performed by Consultant and all personnel engaged in the work shall be fully qualified and
shall be authorized or permitted under State and Local Law to perform such services.
Consultant shall be deemed to be an independent contractor and is not an employee or agent
of the City of Richmond. Consultant shall provide, at its own expense, competent
supervision of the work.
7. Assignability. _
Consultant shall not assign any interest of this Contract, nor transfer any interest in the same
(whether by assignment or notation), without prior written consent of Richmond thereto and
any such assignment without prior written consent shall be void; provided however, that
claims for money by Consultant from Richmond under this Contract may be assigned to a
bank, trust company, or other financial institutions without such approval from Richmond.
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8. Findings Confidential.
All of the reports, information, data, etc. prepared or assembled by Consultant under the
Contract, are confidential and Consultant agrees that they shall not be made available to any
individual or organization without prior written approval of Richmond.
9. Copyright.
No report, maps, or other documents produced in whole or in part under this Contract shall be
the subject of an application for copyright by or on behalf of Consultant.
10. Compliance with Local Laws.
Consultant shall comply with all applicable laws, ordinances and code of the State and Local
governments.
11. Term of Agreement.
This Agreement shall become effective when signed by all parties and shall continue in effect
until completion of the project.
12. Termination.
Notwithstanding the term of this Agreement, Richmond may terminate this Agreement in
whole or in part, for cause, at any time by giving at least five (5) working days written notice
specifying the effective date and the reasons for termination which shall include but not be
limited to the following:
a. failure, for any reason of Consultant to fulfill in a timely and proper manner its
obligations under this Agreement;
b. submission by Consultant to the City of reports that are incorrect or incomplete in
any material respect;
c. ineffective or improper use of funds provided under this Agreement; or
d. suspension or termination of the grant funding to the City under which this
Agreement is made;
In the event of such termination, Richmond shall be required to make payment for all work
performed prior to the effective date by Contractor, but shall be relieved of any other responsibility
herein. In the event of a termination of this contract by either Consultant or Richmond, Consultant
shall turn over to Richmond, in a timely manner, all records and documents relating to this Contract.
This Agreement may also be terminated by either Richmond or Consultant, in whole or in part, by
mutual Agreement setting forth the reasons for such termination, the effective date, and in the case of
partial termination, the portion to be terminated.
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Indemnification and Insurance.
Consultant agrees to obtain insurance and to indemnify Richmond for any damage or injury
to person or property or any other claims which may arise from Consultant's conduct or
performance of this Agreement, either intentionally or negligently; provided, however, that
nothing contained in this Agreement shall be construed as rendering Consultant liable for
acts of Richmond, its officers, agents, or employees. Consultant shall as a prerequisite to
this Agreement, purchase and thereafter maintain such insurance as will protect it from the
claims set forth below which may arise out of or result from Consultant's operations under
this Agreement, whether such operations by Consultant or by any sub -contractors or by
anyone directly or indirectly employed by any of them, or by anyone for whose acts
Consultant may be held responsible.
Coverage Limits
A. Professional malpractice and/or errors 500,000 per occurrence
and omissions insurance 500,000 aggregate
Compliance With Worker's Compensation Law.
Consultant agrees and acknowledges that it is an independent contractor and will not seek
Worker's Compensation coverage from Richmond in the event that one of Consultant's
agents, employees or contractors is injured while performing the terms of this Agreement.
Consultant further acknowledges that it will comply with Indiana Worker's Compensation
law. If Consultant is an out of state employer and therefore subject to another state's
worker's compensation law, Consultant may choose to comply with all provisions of their
home state's worker's compensation law.
Prohibition Against Discrimination.
1. That in the hiring of employees for the performance of work under this
Agreement of any subcontract hereunder, Consultant, any subcontractor, or any
person acting on behalf of Consultant or any sub -contractor, shall not discriminate
by reason of race, religion, color, sex, national origin or ancestry against any citizen
of the State of Indiana who is qualified and available to perform the work to which
the employment relates;
2. That Consultant, any sub -contractor, or any person action on behalf of
Consultant or any sub -contractor shall in no manner discriminate against or
intimidate any employee hired for the performance of work under this Agreement on
account of race, religion, color, sex, national origin or ancestry;
3. That there may be deducted from the amount payable to Consultant by
Richmond under this Agreement, a penalty of five dollars ($5.00) for each person for
each calendar day during which such person was discriminated against or intimidated
in violation of the provisions of the Agreement; and
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4. That this Agreement may be canceled or terminated by Richmond and all
money due or to become due hereunder may be forfeited, for a second or any
subsequent violation of the terms or conditions of this section of the Agreement.
C. Violation of the terms or conditions of this Agreement relating to discrimination or
intimidation shall be considered a material breach of this Agreement.
15. Release of Liability.
Consultant hereby agrees to release and hold harmless Richmond and all officers,
employees, or agents of the same from all liability for negligence which may arise in the
course of Consultant's performance of its obligations pursuant to this Agreement.
16. Choice of Law and Venue.
This Agreement shall be controlled by Indiana law and shall be binding upon the parties,
their successors and assigns.
This Agreement may be simultaneously executed in several counterparts, each of which shall
be an original and all of which shall constitute but one and the same instrument.
The parties hereto submit to venue and jurisdiction of the courts of Wayne County, Indiana,
and suit arising under this Contract, if any, must be filed in said courts. The parties
specifically agree that no arbitration or mediation shall be required prior to the
commencement of legal proceedings in said Courts.
17. Any person executing this Contract in a representative capacity hereby warrants that he has
been duly authorized by his or her principal to execute this Contract.
18. In the event of any breach of this Agreement by Consultant, and in addition to any other
damages or remedies, Consultant shall be liable for all costs incurred by Richmond due to
the enforcement of this Agreement, including but not limited to Richmond's reasonable
attorney's fees, whether or not suit is filed.
19. In the event that an ambiguity or question of intent or a need for interpretation of this
Agreement arises, this Agreement shall be construed as if drafted jointly by the parties, and
no presumption or burden of proof shall arise favoring or disfavoring any party by virtue of
the authorship of any of the provisions of this Agreement.
20. Equal Opportunity Clause, Executive Order 11246.
During the performances of this Contract, Consultant agrees as follows:
a) Consultant will not discriminate against any employee or applicant for
employment because of race, creed, sex, color, or national origin. Consultant will
take affirmative action to ensure that applicants are employed, and that employees are
treated during employment, without regard to race, creed, sex, color, or national
origin. Such action shall include, but not be limited to, the following: employment,
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upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or
termination; rate of pay or other forms of compensation; and selection for training,
including apprenticeship. Consultant agrees to post in conspicuous places
information to be available as set forth in the below provisions of this
nondiscrimination clause.
b) Consultant will, in all solicitations or advertisements for employees placed by or
on behalf of Consultant, state that all qualified applicants will receive considerations
for employment without regard to race, religion, color, sex, national origin or
handicap.
c) Consultant will comply with all provisions of Executive Order 11246 of
September 24, 1965, and of the rules, regulations and relevant orders of the Secretary
of Labor.
d) Consultant will furnish all information and reports required by Executive Order
11246 of September 24, 1965 and by rules, regulations, and orders of the Secretary of
Labor, or pursuant thereto, and will permit access to his books, records and accounts
by the administering agency and the Secretary of Labor for purposes of investigation
to ascertain compliance with such rules, regulations and orders.
e) In the event of Consultant's non-compliance with the nondiscrimination clauses
of this contract or with any of the said rules, regulations or orders, this contract may
be canceled, terminated or suspended in whole or in part and Consultant may be
declared ineligible for further government contracts or federally assisted construction
contracts in accordance with procedures authorized in Executive Order 11246 of
September 24, 1965, and such other sanctions may be imposed and remedies invoked
as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations,
or order of the Secretary of Labor, or as otherwise provided by law.
f) Consultant will include the portion of the sentence immediately preceding
paragraph `a' and the provisions of paragraphs `a' through `g' in every subcontract or
purchase order unless exempted by rules, regulations, or orders of the Secretary of
Labor issued pursuant to section 204 of Executive Order 11246 of September 24,
1965, so that such provisions will be binding upon each subcontractor or vendor.
Consultant will take such action with respect to any subcontract or purchase order as
the administering agency may direct a means of enforcing such provisions, including
sanctions for non-compliance: Provided, however, that in the event Consultant
becomes involved in, or is threatened with, litigation with a subcontractor or vendor
as a result of such Consultant may request the United States to enter into such
litigation to protect the interests of the United States.
Richmond further agrees that it will be bound by the above equal opportunity clause
with respect to its own employment practices when it participates in federally assisted
construction work: provided, that if
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Richmond so participating is a state or local government, the above equal
opportunity clause not applicable to any agency, instrument or subdivisions of such
government which does not participate in work on or under contract.
Richmond agrees that it will assist and cooperate actively with the administering
agency and the Secretary of Labor in obtaining the compliance of contractors and
subcontractors with the equal opportunity clause and the rules, regulations, and
relevant orders of the Secretary of Labor, that it will furnish the administering agency
and the Secretary of Labor such information as they may require for the supervision
of such compliance, and that it will otherwise assist the administering agency in the
discharge of the agency's primary responsibility for securing compliance.
Richmond further agrees that it will refrain from entering into any contract or
contract modification subject to Executive Order 11246 of September 24, 1965, with
a contractor debarred from, or who has not demonstrated eligibility for, government
contract and federally assisted construction contracts pursuant to the executive order
and will carry out such sanctions and penalties for violation of the equal opportunity
clause as may be imposed upon contractors and subcontractors by the administering
agency or the Secretary of Labor pursuant to Part II, Subpart D of the executive
order. In addition, Richmond agrees that if it fails or refuses to comply with these
undertakings, the administering agency may take any or all of the following actions;
cancel, terminate or extending any further assistance to the applicant under the
program with respect to which the failure or refund occurred until satisfactory
assurance of future compliance has been received from such applicant; and refer the
case to the Department of Justice for appropriate proceedings.
Standard Federal Equal Employment Opportunity
Construction Contract Specifications
(Executive Order 11246)
(A) As used in these specifications:
a. "Covered area" means the geographical area described in the
solicitation from which this contract resulted;
b. "Director" means Director, Office of Federal Contract Compliance
Programs, U.S. Department of Labor, or any person to whom the
Director delegates authority;
C. "Employer identification number" means the federal Social Security
number used on the employer's quarterly federal tax return, U.S.
Treasury Department Form-941.
d. "Minority" includes:
i. Black (all persons having origins in any of the black African
racial groups not of Hispanic origin);
ii. Hispanic (all persons of Mexican, Puerto Rican, Cuban,
Central or South American or other Spanish culture or origin,
regardless of race);
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In. Asian and Pacific Islander (all persons having origins in any
of the original peoples of the Far East, Southeast Asia the
Indian subcontinent, or the Pacific Islands); and
iv. American Indian or Alaskan Native (all persons having
origins in any of the original peoples of North American and
maintaining identifiable trivial affiliations through
membership and participation or community identification).
(B) Whenever Consultant or any subcontractor at any tier, subcontracts a portion
of the work involving any construction trade, it shall physically include in
each subcontract in excess of $10,000.00 the provisions of these
specifications and the notice which is set forth in the solicitations from which
this contract resulted.
(C) If Consultant is participating (pursuant to 41 CFR 60-4.5) in a Hometown
Plan approved by the U.S. Department of Labor in the covered area either
individually or through an association, its affirmative action obligations on all
work in the plan area (including goals and timetables) shall be in accordance
with that plan for those trades which have unions participating in the plan.
Contractors must be able to demonstrate their participation in and compliance
with the provisions of any such Hometown Plan. Each contractor or
subcontractor participating in an approved plan is individually required to
comply with its obligations under the EEO clause, and to make a good faith
effort to achieve each goal under the plan in each trade in which it has
employees. The overall good faith performance by other contractors or
subcontractors toward a goal in an approved plan does not excuse any
covered contractor's or subcontractor's failure to take good faith efforts to
achieve the plan goals and timetables.
(D) Consultant shall implement the specific affirmative action standards
provided in paragraphs 7a through p of these specifications. The goals set
forth in the solicitation from which this contract resulted are expressed as
percentages of the total hours of employment and training of minority and
female utilization the contractor should reasonably be able to achieve in each
construction trade in which it has employees in the covered area. Consultant
is expected to make substantially uniform progress toward its goals in each
craft during the period specified.
(E) Neither the provisions of any collective bargaining agreement, nor the failure
by a union with whom Consultant has a collective bargaining agreement, to
refer either minorities or women shall excuse the contractor's obligations
under these specifications, Executive Order 11246, or the regulations
promulgated pursuant thereof.
(F) In order for the non -working training hours of apprentices and trainees to be
counted in meeting the goals, such apprentices and trainees must be employed
by Consultant during the training period. Consultant must also have made a
commitment to employ the apprentices and trainees at the completion of their
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training, subject to the availability of employment opportunities. Trainees
must be pursuant to training programs approved by the U.S. Department of
Labor.
(G) Consultant shall take specific affirmative actions to ensure equal
employment opportunity. The evaluation of Consultant's compliance with
these specifications shall be based upon its effort to achieve maximum results
from its actions. Consultant shall document these efforts fully, and shall
implement affirmative action steps at least as extensive as the following:
1. Ensure and maintain a working environment free of harassment,
intimidation, and coercion at all sites and in all facilities where employees
are assigned to work. Consultant where possible, will assign two or
more women to each construction project. Consultant shall specifically
ensure that all foremen, superintendents and other on -site supervisor
personnel are aware of and carry out Consultant's obligation to maintain
such a working environment, with specific attention to minority or female
individuals working at such sites or in such facilities.
2. Establish and maintain a current list of minority and female recruitment
sources. Provide written notification to minority and female recruitment
sources and to community organizations when Consultant or its unions
have employment opportunities available and maintain a record of the
organization's responses.
3. Maintain a current file of the names, addresses and telephone numbers of
each minority and female off -the -street applicant and minority or female
referral from a union, a recruitment source or community organization
and of what action was taken with respect to each such individual. If
such individual was sent to the union hiring hall for referral and was not
referred back to Consultant by the union, or if referred, not employed by
Consultant, this shall be documented in the file with the reason therefore;
along with whatever additional actions Consultant may have taken.
4. Provide immediate written notification to the director when the union or
unions with which Consultant has a collective bargaining agreement has
not referred to Consultant a minority person or woman sent by
Consultant or when Consultant has other information that the union
referral process has impeded Consultant's efforts to meet its obligations.
5. Develop on-the-job training opportunities and/or participate in training
programs for the area which expressly include minorities and women,
including upgrading programs and apprenticeship and trainee programs
relevant to Consultant's employment needs, especially those programs
funded or approved by the Department of Labor. Consultant shall
provide notice of these programs to the sources complied under 7b above.
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6. Disseminate Consultant's EEO policy by providing notice of the policy
to unions and training programs and requesting their cooperation in
assisting Consultant in meeting its EEO obligations; by including it in
any policy manual and collective bargaining agreement; by publicizing it
in the company newspaper, annual report, etc.; by specific review of the
policy with all management personnel and with all minority and female
employees at least once a year; and by posting the company EEO policy
on bulletin boards accessible to all employees at each locations where
construction work is performed.
7. Review, at least annually, the Consultant's EEO policy and affirmative
action obligations under these specifications with all employees having
any responsibility for hiring, assignment, layoff, termination or other
employment decisions including specific review of these items with on -
site supervisory personnel such as superintendents, general foremen, etc.,
prior to the initiation of construction work at any job site. A written
record shall be made and maintained identifying the time and place of
these meetings, persons attending, subject matter discussed and
disposition of the subject matter.
8. Disseminate the Consultant's EEO policy externally by including it in
any advertising in the news media, specifically including minority and
female news media and providing written notification to and discussing
Consultant's EEO policy with other contractors and subcontractors with
whom Consultant does or anticipates doing business.
9. Direct its recruitment efforts, both oral and written, to minority, female
and community organizations, to schools with minority and female
students and to minority and female recruitment and training
organizations serving Consultant's recruitment area and employment
needs. Not later than one month prior to the date for the acceptance of
applications for apprenticeship or other training by any recruitment
source, Consultant shall send written notification to organizations such
as the above, describing the openings, screening procedures and tests to
be used in the selection process.
10. Encourage present minority and female employees to recruit other
minority persons and women, and where reasonable, provide after school,
summer and vacation employment to minority and female youth both on
the site and in other areas of the Consultant's work force.
11. Validate all test and other selection requirements where there is an
obligation to do so under 41 CFR Part 60-3.
12. Conduct, at least annually, an inventory and evaluation at least of all
minority and female personnel for promotional opportunities and
encourage these employees to seek or to prepare for, through appropriated
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training, etc., such opportunities and encourage these employees to see or
the prepare for, through appropriate training, etc., such opportunities.
13. Ensure that seniority practices, job classifications, work assignments and
other personnel practices, do not have a discriminatory effect by
continually monitoring all personnel and employment related activities to
ensure that the EEO policy and Consultant's obligations under these
specifications are being met.
14. Ensure that all facilities and company activities are non -segregated except
that separate or single -user toilet and necessary changing facilities shall
be provided to assure privacy between the sexes.
15. Document and maintain a record of all solicitations of offers for
subcontracts from minority and female construction contractors and
suppliers, including circulation of solicitations to minority and female
contractor associations and other business associations.
16. Conduct a review, at least annually, of all supervisors' adherence to and
performance under the Consultant's EEO policies and affirmative action
obligations.
17. *Covered construction contractors performing contract in geographical
areas where they do not have a federal or federally assisted construction
contract shall apply the minority and female goals established for the
geographical area where the contract is being performed. Goals are
published periodically in the Federal Register in notice form and such
notices may be obtained from any office of Federal Contractor
Compliance Programs Office or from federal procurement contracting
officers. * Proposed Rule
(H) Contractors are encouraged to participate in voluntary associations, which assist
in fulfilling one or more of their affirmative action obligations (7a through q).
The efforts of contractor associations, joint contractor -union, contractor -
community, or other similar group of which the contractor is a member and
participant, may be asserted as fulfilling any one or more of its obligations
under 7a through q of these specifications provided that the contractor actively
participates in the group, makes every effort to assure that the group has a
positive impact on the employment of minorities and women in the industry,
ensures that the concrete benefits of the program are reflected in the
contractor's minority and female workforce participation, makes a good faith
effort to meet its individual goals and timetables, and can provide access to
documentation which demonstrates the effectiveness of actions taken on behalf
of the contractor. The obligation shall not be a defense for the contractor's non-
compliance.
(I) A single goal for minorities and a separate single goal for women have been
established. Consultant, however, is required to provide equal employment
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opportunity and to take affirmative action for all minority groups, both male
and female and all women, both minority and non -minority. Consequently,
Consultant may be in violation of the executive order if a particular group is
employed in a substantially disparate manner. (For example, even though
Consultant has achieved its goals for women generally, Consultant may be in
violation of the executive order if a specific minority group of women is
underutilized.)
(J) Consultant shall not use the goals and timetables or affirmative action
standards to discriminate against any person because of race, color, religion,
sex, national origin or handicap.
(K) Consultant shall not enter into any subcontract with any person or firm
debarred from government contracts pursuant to Executive Order 11246.
(L) Consultant shall carry out such sanctions and penalties for violation of these
specifications and of the Equal Opportunity Clause, including suspension
termination and cancellation of existing subcontracts as may be imposed or
ordered pursuant to Executive Order 11246, as amended, and its implementing
regulations, by the Office of Federal Contact Compliance Programs. Any
contractor who fails to carry out such sanctions and penalties shall be in
violation of these specifications and Executive Order 11246, as amended.
(M) Consultant, in fulfilling its obligations under these specifications, shall
implement specific affirmative action steps, at least as extensive as those
standards prescribed in paragraph seven of these specifications, so as to achieve
maximum results from its efforts to ensure equal employment opportunity. If
Consultant fails to comply with the requirements of the executive order, the
implementing regulations, or these specifications, the director shall proceed in
accordance with 41 CFR 60-4.8.
(N) Consultant shall designate a responsible official to monitor all employment
related activity to ensure that the company EEO policy is being carried out, to
submit reports relating to the provisions hereof as may be required by the
government and to keep records. Records shall at least include for each
employee the name, address, telephone numbers, construction trade, union
affiliation if any, employee identification number when assigned Social
Security number, race, sex, status, hours worked per week in the indicated
trade, rate of pay, and locations at which the work was performed. Records
shall be maintained in an easily understandable and retrievable form; however,
to the degree that existing records satisfy this requirement, contractors shall not
be required to maintain separate records.
(0) Nothing herein provided shall be construed as a limitation upon the application
of other laws which establish different standards of compliance or upon the
application of requirements for the hiring of local or other area residents (e.g.,
those under the Public Works Employment Act of 1977 and the Community
Development Block Grant Program).
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21. Title VI of the Civil Risihts act of 1964.
Under Title VI of the Civil Rights Act of 1964, no person shall, on the grounds of
race, color, or national origin, be excluded from participation in, be denied the
benefits of, or be subjected to discrimination under any program or activity receiving
Federal financial assistance.
22. Section 109 of the Housing and Community Development Act of 1974.
No person in the United States shall on the grounds of race, color, national origin, or
sex be excluded from participation in, be denied the benefits of, or be subject to
discrimination under any program or activity funded in whole or in part with funds
made available under this title.
23. "Section 3" Compliance in the Provision of Training, Employment and Business
Opportunities.
A) The work to be performed under this contract is on a project assisted under a
program providing direct Federal financial assistance from the Dept. of Housing
and Urban Development Act of 1968, as amended 12 U.S.C. 1701(u). Section 3
requires that to the greatest extent feasible, opportunities for training and
employment be given to lower income residents of the project area and contract
for work in connection with the project be awarded to business concerns which
are located in, or owned in substantial part by persons residing in the area of the
project.
B) The parties to this contract will comply with the provisions of said Section 3 and
the regulations issued pursuant thereto by Secretary of Housing and Urban
development set for in 24 CFR 135, and all applicable rules and orders of the
Department issued thereunder prior to the executive of this contract. The parties
to this contract certify and agree that they are under no contractual of other
disability, which would prevent them from complying with these requirements.
C) Consultant will send to each labor organization or representative of workers with
which it has a collective bargaining agreement or other contract or understanding,
if any, a notice advising the said labor organization of workers' representative of
its commitments under this Section 3 clause and shall post copies of the notice in
conspicuous places available to employees and applicants for employment or
training.
D) Consultant will include this Section 3 clause in every subcontract for work in
connection with the project and will, at the direction of the applicant for or
recipient of Federal financial assistance, take appropriate action pursuant to the
subcontract upon finding that the subcontractor is in violation of regulations
issued by the Secretary of Housing and Urban Development, 24 CFR Part 135.
Consultant will not subcontract with any subcontractors where it has notice or
knowledge that the latter has been found in violation of regulations under 24 CFR
Page 14 of 21
Part 135, unless the subcontractor has first provided it with a preliminary
statement of ability to comply with the requirements of these regulations.
E) Compliance with the provisions of Section 3, the regulations set forth in 24 CFR
Part 135, and all applicable rule and order of the Department issued hereunder
prior to the execution of the contract, shall be a condition of the Federal financial
assistance provided to the project, binding upon the applicant or recipient, for
such assistance, its successors and assigns. Failure to fulfill these requirements
shall subject the applicant or recipient, its contractors and subcontractors, its
successors and assigns to those sanctions specified by the grant or loan agreement
or contract through which Federal assistance is provided, and to such sanctions as
are specified by 24 CFR Part 135.
24. Certification of Non -segregated Facilities (Over $10,000.00)
By the submission of this bid, the bidder, offeror, applicant or subcontractor certifies
that he/she does not maintain or provide for his/her employees any segregated
facilities at any of his/her establishments, and that under his/her control, where
segregated facilities are maintained. He/she certifies further that he/she will not
maintain or provide for employment any segregated facilities at any of his/her
establishments, and he/she will not permit employees to perform their services at any
location under his/her control where segregated facilities are maintained. The bidder,
offeror, applicant or subcontractor agrees that a breach of this certification is a
violation of the Equal Opportunity Clause of this contract. As used in this
certification, the term "segregated facilities" means any waiting rooms, work areas,
rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker
rooms and other storage or dressing areas, *transportation and housing facilities
provided for employees which are segregated by explicit directive or are in fact
segregated on the basis of race, color, religion or national origin, because of habit,
local custom, or otherwise. He/she further agrees that (except specific time periods)
he/she will obtain identical certification from proposed subcontractors prior to the
award of subcontracts exceeding $10,000.00 which are not exempt from the
provisions of the Equal Opportunity Clause; that he/she will retain such certifications
in his/her files; and that he/she will forward the following notice to such proposed
subcontractors (except where proposed subcontractors have submitted identical
certifications for specific time periods).
Parking Lots, drinking fountains, recreation or entertainment areas.
25. OMB Circular A-102 Attachment O: Contract Provision # 4a. 14b and 141.
Richmond and Consultant shall include the following contract provisions or
conditions in all procurement contracts and subcontracts as required by the provision,
federal law or the State of Indiana.
Provision 14a. Contracts other than small purchases shall contain provisions or
conditions which will allow for administrative, contractual, or legal
remedies in instances where contractors violate or breach contract
Page 15 of 21
terms, and provide for such sanctions and penalties as may be
appropriate.
Provision 14b. All contracts in excess of $10,000.00 shall contain suitable provisions
for termination by the grantee including the manner by which it will
be effected and the basis for settlement. In addition such contract
shall describe conditions under which the contract maybe terminated
because of circumstances beyond the control of the contractor.
Provision 141. Contracts, subcontracts, and sub -grants of amounts in excess of
$100,000.00 shall contain a provision which requires compliance with
all applicable standards, orders, or requirements issued under Section
306 of the Clean Air Act (42 USC 1857 (h), Section 508 of the Clean
Water Act (3 3 USC 13 68), Executive Order 11738, and
Environmental Protection Agency regulations (40 CFR, Part 152),
which prohibit the use under non-exempt Federal Contracts, grants or
loans of facilities included on the EPA List of Violating Facilities.
The provisions all require reporting of violations to the grantor
agency and to the USEPA Assistant Administrator for Enforcement
(EN-329).
26. Title VI of the Civil Rights Act of 1975.
Provision: 24 CFR 1.5a provides that in cases of transfer of real or personal
property, the acquisition of which was assisted with federal funds, the
transferor must assure that the transferee will be bound by the
provisions of Title VI for a certain period of time.
Provision: 24 CFR 1.5b requires that the instrument effecting any disposition of
real property, acquired through a program of federal financial
assistance contain a covenant running with the land assuring non-
discrimination for the period during which the real property is used
for a purpose for which the Federal financial assistance is extended or
for another purpose involving the provision of similar services or
benefits.
27. Age Discrimination Act of 1975 (42 U.S.C. 6101, et seq. .
No person shall on the basis of age, be excluded from participation in, be denied
benefits of, or be subjected to discrimination under any program or activity receiving
federal financial assistance.
28. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 1794).
Handicapped individuals may not be excluded from participation in, be denied
benefits of, or be subjected to discrimination under any program or activity receiving
Federal financial assistance.
Page 16 of 21
29. Executive Order 12138: Women Business Enterprise Polic
For purposes of this Order, affirmative action may include, bi
creating or supporting new programs responsive to the special
business enterprise, establishing incentives to promote business
opportunities for women's business enterprise, collecting
t is not limited to,
needs of women's
or business -related
and disseminating
information in support of women's business enterprise and ensuring to women's
business enterprise knowledge of any ready access to business -related services and
resources. In implementing this Order an agency undertakes to use or to require
compliance with numerical set -asides or similar measures. It shall state the purpose
of such measures and the measure shall be designed on the basis of pertinent factual
findings of discrimination against women's business enterprise and the need for such
measure.
30. Conflict of Interest — From OMB Circular A- 1 02_ Attachment 0. 97.
Richmond and Consultant shall maintain a written code or standards of conduct,
which shall govern the performance of their officers, employees or agents engaged in
the award and administration of contracts supported by federal funds. No employee,
officer or agent of the grantee shall participate in selection, or in the award or
administration of a contract supported by federal funds if a conflict of interest, real or
apparent, would be involved. Such a conflict would arise when:
a. The employee, officer or agent;
b. Any member of his/her immediate family;
C. His or her partner; or
d. An organization which employs, or is about to employ, any of the above, has
a financial or other interest in the firm selected for award.
Richmond and Consultant officers, employees or agents shall neither solicit nor
accept gratuities, favors or anything of monetary value from contractors, potential
contractors, or parties to sub -agreements. To the extent permitted by state or local
law or regulations, such standards of conduct shall provide for penalties, sanctions, or
other disciplinary agents or by contractors or their agents.
31. OMB Circular a- 102 Attachment C: Retention and Custodial Requirements.
A. Financial records, supporting documents, statistical records and all other
records pertinent to the grant shall be retained for a period of five years, with
the following qualifications:
1) If any litigation, claim or audit is started before the expiration of the five-
year period, the records shall be retained until all litigations, claims or
audit findings involving the recorded have been resolved.
2) Records for non -expandable property acquired with federal funds shall be
retained for five years after its final disposition.
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3) When records are transferred to or maintained by the federal sponsoring
agency, the 5-year retention requirements are not applicable to Richmond
or Consultant.
B. The retention period starts from the date of the submission of the final
expenditure report or, for grants that are renewed annually, from the date of
the submission of the annual financial status report.
C. Richmond and Consultant should be authorized by the federal grantor
agency, if they so desire, to substitute microfilm copies in lieu of original
records.
D. The federal grantor agency shall request transfer of certain records to its
custody from Richmond or Consultant when it determines that the records
possess long-term retention value. However, in order to avoid duplicate
record -keeping, a federal grantor agency may make arrangements with
Richmond and/or Consultant to retain any records that are continuously
needed for joint use.
E. The head of the federal grantor agency and the Comptroller General of the
United States, or any of their duly authorized representatives, shall have
access to any pertinent books, documents, papers and records of Richmond
and/or Consultant and sub -grantees to make audits, examinations, excerpts
and transcripts.
F. Unless otherwise required by law, no federal grantor agency shall place
restrictions on Richmond or Consultant that will limit public access to the
records of Richmond or Consultant that are pertinent to a grant except when
the agency can demonstrate that such records must be kept confidential and
would have been excepted from disclosure pursuant to the Freedom of
Informational Act (5 U.S.C. 522) if the records had belonged to the grantor
agency.
32. Interest of Other Local Public Officials.
No member of the governing body of Richmond and no other public official of such
locality, who exercises any functions or responsibilities in connection with the
planning and carrying out of the project, shall have any personal financial interest,
direct or indirect, in this Contract and Consultant shall take appropriate steps to
assure compliance.
33. Interest of Consultant and Employees.
Consultant convents that it presently has no interest and shall not acquire interest
direct or indirect, in this project which should conflict in any manner or degree with
the performance of its service hereunder. Consultant further covenants that in the
performance of this Contract, no person having such interest shall be employed.
Page 18 of 21
34. HUD Reform Act of 1989 Disclosure Reports.
If Richmond receives $200,000.00 or more in federal funds during a fiscal year (10/1
— 9/30), that Consultant shall see that a disclosure report be completed for each
contract executed under that CDBG project that exceeds either $50,000.00 or 10% of
the total grant funds. A copy of said disclosure shall be submitted by Consultant or
on behalf of Richmond within 10 days after contract execution.
35. Americans with Disabilities Act of 1990.
Consultant shall assist Richmond in complying with Title III, Americans with
Disabilities Act of 1990 which prohibits discrimination based on "disability" by
private entities and places of public accommodation and commercial facilities be
design and constructed so as to be readily accessible to and usable by persons with
disabilities; and requires that examinations or courses related to licensing or
certification for professional trade purposes be accessible to persons with disabilities.
36. Consultant agrees to hold Richmond harmless, and to indemnify Richmond for any
expenses incurred, including costs and attorney's fees, in the event that the Indiana
Housing and Community Development Authority determines any provisions of the
grant agreement entered into between Richmond and the Indiana Housing and
Community Development Authority has been breached, or that Richmond shall
repay the grant to the Indiana Housing and Community Development Authority.
37. This writing constitutes the entire Agreement between the parties, although it may be
altered or amended in whole or in part at any time by filing with the Agreement a
written instrument setting forth such changes signed by both parties. Any previous
discussion, negotiation or dialogue relating to the subject matter contained herein is
superseded by this Agreement. Furthermore, both parties agree that no discussion,
representation or negotiation, other than that contained herein, has transpired relating
to the subject matter of this agreement and that neither party is relying upon any
negotiation or discussion that took place prior to this agreement. Furthermore, both
parties agree that this contract is contingent upon Richmond being awarded the
Owner Occupied Rehabilitation (OOR) Grant by Indiana Housing and Community
Development Authority.
REMAINDER OF THIS PAGE INTENTIONALLY LEFT BLANK
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IN WITNESS WHEREOF, Richmond and Consultant have executed this Contract as of
the date first written above.
"CITY"
THE CITY OF RICHMOND,
INDIANA by and through its
Board of Public Works and Safety
S/S Vicki Robinson
Vicki Robinson, President
By:_S/S Dian Lawson
Dian Lawson, Member
By:_S/S Mary Jo Flood
Mary Jo Flood, Member
Date March 19, 2009
APPROVED_S/S Sarah L.Hutton
Sarah L. Hutton, Mayor
Date March 20, 2009
"CONSULTANT"
CAPITAL ACCESS, INC.
By_S/S Jeremy Newberg
Title President
Date: —February 27, 2009
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CAPITAL ACCESS, INC.
CORPORATE FEES SCHEDULE
Hourly_ Rate for Individual CAI Staff and
Typical Rates for Consulting
Capital Access, Inc. (Consultant) proposes to provide the services described herein according to the
following hourly rate schedule for individual CAI Staff
CAI Consultant Hourly Rate
Jeremey Newberg, President $250
Grant Johnson, Dir. Of Development $150
Wendy Smith, Senior Consultant $150
Whitney Simic, Associate Consultant $175
Typical Rates for Consulting
Hourly Approx. Hours Monthly No. of Total
Tvae Rate Der Month Fee Months Fee
NSP RFP
Preparation $175 57 10,000 1 $10,000
NSP
Implement.
Strategy $175 57 10,000 2 $20,000
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