CR 2012-098 HUD Sustainable Communities Regional Planning Grant Sub-REcipient Agreement_4ca
August 14, 2012 City of Hopkins Council Report 2012-098
HUD SUSTAINABLE COMMUNITIES REGIONAL PLANNING GRANT —
SUB -RECIPIENT AGREEMENT
Proposed Action
Staff recommends adoption of the following motion: Move to approve the HUD Sustainable
Communities Regional Planning Grant Program Sub -Recipient Agreement between the
Metropolitan Council and the City of Hopkins .
With this motion the agreement will be executed and the Artery project will commence.
Overview
8t�e, from the proposed SW LRT station at Excelsior Boulevard to Mainstreet, is
envisioned to be the gateway to downtown Hopkins. In order to fully -achieve this vision, the
street will need to be transformed into a bike friendly, pedestrian -oriented environment that
will lure residents and visitors to the historic Mainstreet. As part of the experience, it is
planned that art will be used to both engage the passerby and tell the story of Hopkins. Aside
from this broad concept, little has been done to detail how art (and what kind of art) will be
used to accomplish this goal.
The City of Hopkins has been awarded a grant of $50,000 to develop the concept into a
detailed plan. The grant funds will be used to hire a consultant to facilitate a community art
summit and then translate the input into a design plan for the 8th Avenue corridor. This
design plan will then be used to inform the plans and specifications for the reconstruction of
8th Avenue as well as to be used as the template for the installation of art projects as funds
are secured.
It is anticipated that the art summit will be held late fall and that the design work will be
completed in early 2013.
Primary Issues to Consider
The Cit y of Hopkins contribution to this project is in the form of staff time and minor costs
associated with the art summit such as meeting space and refreshments. It is anticipated
that all other costs will be covered through the grant.
Suaoortina Information
■ Sub -Recipient Grant Agreement
■ I e Artery Re st f roposals
r-
s
Kersten Elverum
Director of Planning & Development
Financial Impact: $_0 Budgeted: Y/N Source:
Related Documents (CIP, ERP, etc.):
Notes:
The Artery
Request for Proposals (RFP)
The City of Hopkins desires to create a plan and design for a vibrant, interactive,
"pedestrian seductive" 8th Avenue between the proposed Hopkins LRT station and
historic downtown Hopkins. It is envisioned that the process to get us there will
include an art summit to create the vision for integrating public art into the experience
of the corridor—helping tell the story of the new transit linking to the historic
Mainstreet while meeting the under lying goal of encouraging pedestrian movement.
The process and resulting plan will then inform the technical design of the corridor.
Local Implementation Capacity grant funds will be used to hire a consultant to design
and facilitate engagement between the community, artists, city staff, and technical
experts and to create an optimal plan for using art to connect the Hopkins LRT station
to downtown Hopkins via the 8th Avenue corridor—The Artery.
It is assumed that the successful responder to this RFP will have expertise in
community facilitation, the arts and public space design. This may require a team
approach.
Aerial image of The Artery corridor
Proposed Scope of Work:
Task One: Visioning with Community (Art Summit)
The consultant will work with The Artery committee to design a community art
summit, anticipated to take place in November 2012. The goal of the summit is to
gather everyone with an interest in transforming 8th Avenue into a pedestrian -
seductive, art -infused corridor, brainstorm how art can be used to draw future LRT
riders (and others) from Excelsior Boulevard to our historic downtown, and develop
consensus around mediums, messages, and placement of art to inform the
development of concept plans. The consultant will be responsible for facilitating the
summit in a way that allows us to achieve this goal.
Example of the types of questions we would ask people to think about may be:
■ What are we trying to communicate about Hopkins?
■ Who are we trying to appeal to?
■ As we rebuild the sidewalks, how can they (or should they) be used as a canvas?
■ Should the focus be on murals, sculptures, light art, or water features — or none or
all of them?
■ What are the important vantage points, gathering nodes, places that need a pull?
■ How important is it that the art be interactive, and how can that be accomplished?
■ What needs do artists have that are not being met in the community?
■ How can the transition from the busy, noisy LRT station on Excelsior Boulevard to
the historic, quaint Mainstreet be communicated in art?
We will be relying on the consultant to facilitate the discussion, get the ideas flowing,
but at the same time put those ideas through a real-life lens of cost, durability, and
artist's perspective.
The Committee will be responsible for conducting outreach to the summit's
participants including developing a mailing list, mailing the notice, and making
personal contacts. All community stakeholders will be invited including artists, art -
related businesses, businesses and residents along 8th Avenue, City Council, Planning &
Zoning Members, etc. The Committee will also be responsible for reserving the space
and the logistics of the meeting.
Task Two: Development of Concept Plans
Based on the input gathered during the summit, the consultant will develop a series of
concept plans. The concept plans will not detail specific art pieces but will identify
elements such as:
■ Where certain mediums will be used
■ The messages that we would intend the art to convey
■ The extent to which the art is interactive and the placement of interactive pieces
■ Any other design elements that would be important such as scale, color, style,
etc.
■ The infrastructure that would be needed to accommodate the art
The concept plans will be shared with the community, and feedback will be sought
through various communication methods including the City of Hopkins and Hopkins
Center for the Arts websites, electronic newsletters, community organizations and
summit participants. The Committee and Consultant will review the feedback to
inform the final design plan.
Task Three: Detailed Design Plan
The final design plan will use narrative and illustration to detail all the elements
important to implement the vision. The final design plan will also include a rendering
of how the street would look if the plan was realized, from a vantage point of Excelsior
Boulevard and 8th Avenue South.
Task Four: Financing Options
The City of Hopkins does not have the funds necessary to fully implement the plan, and
will be seeking outside dollars through grants, donations, and fundraising. The
consultant will be asked to identify resources and provide an estimate of the cost of
each of the art elements called for in the plan.
Budget:
The budget for the entire project is $50,000. All costs associated with the logistics of
the summit (room rental, refreshments, mailings) will be outside of this budgeted
amount.
Proposal:
Proposals for this scope of work should include a description of the process being
proposed, the anticipated timeline, qualifications of the team and example of your
previous related work.
Timeline & Process
Proposals are due August 31, 2012. Interviews will be held the week of September 17,
2012. It is anticipated the summit will be held in November. It is our goal to have the
final design completed during the first quarter of 2013.
Please submit one hard copy and one electronic copy of your proposal to:
Kersten Elverum
Director of Planning & Development
City of Hopkins
1010 First Street South
Hopkins, MN 55343
kelverum@hopkinsmn.com
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HUD SUSTAINABLE %:OMMUNiTiES REGIONAL PLANNING GRANT PROGRAM
SUB -RECIPIENT: City of Hopkins
PROJECT: The Artery — 8th Avenue Corridor Redevelopment
CONTACT PERSON(S): Kersten Elverum
SUB -RECIPIENT GRANT AMOUNT: $ 50,000.00
LEVERAGED RESOURCES: $ 0
GRANT NO. SGO12-031
FEDERAL AWARD NO. MNRIP0023-10
CFDA NO. 14.703
COUNCIL ACTION: June 27, 2012
EXPIRATION DATE: January 31, 2014
SUB -RECIPIENT GRANT AGREEMENT
THIS SUB -RECIPIENT GRANT AGREEMENT ("Agreement") is between the Metropolitan
Council, a public corporation and.political subdivision of the State of Minnesota ("Council") and the
entity identified above as "Sub -Recipient."
WHEREAS, on behalf of a regional consortium the Council applied for and is the recipient of a
$5,000,000 Sustainable Communities Regional Planning Grant from the U.S. Department of Housing
and Urban Development (`,`HUD") to implement the federal government's Partnership for Sustainable
Communities initiative in the seven -county metropolitan area; and
WHEREAS, the Sub -Recipient's proposed project is described in a grant application submitted to
the Council and the Sub -Recipient is a subgrantee of the Sustainable Communities Regional Planning
Grant; and
WHEREAS, the $5,000,000 Sustainable Communities Regional Planning Grant is subject to a
Cooperative Agreement between HUD and the Council ("Cooperative Agreement") that contains
terms and conditions for HUD's 2010 Notice of Funding Availability for HUD's Sustainability
Communities Regional Planning Grant Program; and
WHEREAS, the Cooperative Agreement states that each recipient and sub -recipient in a HUD Office
of Sustainable Housing and Communities grant program consortium must enter into a memorandum
of understanding that binds recipients and sub -recipients to the HUD award and that by doing so the
entities legally bind themselves to comply with all the terms and conditions of the grant award; and
WHEREAS, at its June 27, 2012 meeting the governing body of the Metropolitan Council approved
this Agreement and authorized its Regional Administrator to execute this Agreement on behalf of the
Council.
NOW THEREFORE, in reliance on the above representations and in consideration of the mutual
promises and covenants contained in this Agreement, the Sub -Recipient and the Council agree as follows:
Page 1 of 14 Pages
HUD SUSTAINABLE COMMUNITIES REGIONAL PLANNING GRANT PROGRAM
I. DEFINITIONS
1.01. Definition of Terms. The terms defined in this section have the meanings given them in this
section unless otherwise provided or indicated by the context.
(a) Cooperative Agreement. "Cooperative Agreement" means the cooperative agreement between
HUD and the Council through which the Council will receive the $5,000,000 Sustainable
Communities Regional Planning Grant from HUD. The Cooperative Agreement comprises
the form HUD -1044, any special conditions, and the Cooperative Agreement Terms and
Conditions. A copy of the Cooperative Agreement is attached to this Agreement as
Attachment A.
(b) Council Action. "Council Action" means the action or decision of the governing body of the
Metropolitan Council, on the meeting date identified at Page 1 of this Agreement, by which
this Agreement was approved by the Council.
(c) Deliverable. "Deliverable" means in-kind and leveraged resources and physical materials or
products identified in the Sub -Recipient's Work Plan or the outcomes that will result from the
performance or implementation of the Sub -Recipient's Work Plan.
(d) Work Plan. "Work Plan" means the Sub -Recipient's plan for addressing a specific service
delivery need, and consists of designated work activities including tasks and subtasks; a timeline
for completing the work; performance measures; outputs -and outcomes identified to achieve the
performance measures/goals; budget; and resources designated to complete the work. (Coop.
Agreement, p. 5). A copy of the Sub -Recipient's Work Plan and the Sub -Recipient's grant
application are attached to this Agreement as Attachment B.
II. PROGRAM REQUIREMENTS
2.01 HUD Flow Down Provisions. The terms and conditions of the Cooperative Agreement
between HUD and the Council flow down to all tiers of subgrantees. As a subgrantee, the Sub -
Recipient must comply with all applicable requirements of the Cooperative Agreement and reporting
provisions as set forth in the terms and conditions of the Cooperative Agreement or as established by
HUD and the Office of Management and Budget. Selected provisions of the Cooperative Agreement
are stated in summary fashion in this Agreement and referenced parenthetically for emphasis.
Example: (Coop. Agreement, p. 5). However, consistent with the flow down requirements of the
Cooperative Agreement, all applicable terms and conditions in the Cooperative Agreement apply in
their entirety to this Agreement. The Sub -Recipient must obtain a DUNS number (or update its
existing DUNS record) and register with the Central Contractor Registration (CCR; www.ccr.gov) no
later than 120 days after the execution of the Cooperative Agreement. (Coop. Agreement, p. 19).
2.02 Allowable Costs. HUD will reimburse the Council for the costs of performing the Work Plan
on a cost -reimbursement basis which HUD determines are allowable, allocable, and reasonable in
accordance with applicable federal cost principals (Coop. Agreement, pp. 5 & 6). If requested by the
Sub -Recipient the Council may disburse the Sub -Recipient Grant Amount by some method other than
cost -reimbursement. The alternative method for making disbursements will be determined by mutual
agreement of the parties' respective project managers. If the Sub -Recipient incurs costs in excess of
the Sub -Recipient Grant Amount or its subgrantees incur costs in excess of the amounts of their
subgrants, or if the Sub -Recipient or its subgrantees incur costs that are not allowable costs, the
Page 2 of 14 Pages
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HLrD SUSTAFN'AliLE COMMUNITIES REGIONAL PLANNING GRANT PROGRAM
excess shall be borne entirely by the Sub -Recipient and its subgrantees. IIUD has reserved the right
to withhold five percent (5%) of the federal grant amount pending the receipt and approval of a final
progress report from the Council. (Coop. Agreement, pp. 6 & 7). Accordingly, the Council reserves
the right to withhold five percent (5%) of the Sub -Recipient Grant Amount pending the receipt and
approval of a final progress report. The grant funds may not be used for conducting interventions,
remediation, rehabilitation or other activities that will physically alter any structure or property in any
way. (Coop. Agreement, p. 7).
2.03 Sub -Recipient Grant Amount. The Council will make available to the Sub -Recipient the
"Sub -Recipient Grant Amount" identified at Page 1 of this Agreement which shall be funded through
the Sustainable Communities Regional Planning Grant awarded to the Council by HUD.
Notwithstanding any other provision of this Agreement, the Sub -Recipient acknowledges and agrees
that any reduction or termination of Sustainable Communities Regional Planning Grant funds made
available to the Council, or any reduction or termination of the Leveraged Resources amount
identified at Page 1 of this Agreement and required under Section 2.04 of this Agreement, may result
in a like .reduction in the Sub -Recipient Grant Amount made available to the Sub -Recipient.
2.04 Leveraged Resources Requirement. The Sub -Recipient must match the Sub -Recipient
Grant Ainount by not less than the Leveraged Resources amount (if any) stated at Page 1 of this
Agreement.; A reduction in the Leveraged Resources amount may result in a reduction in the Sub -
Recipient Grant Amount made available to the Sub -Recipient. The Sub -Recipient must notify the
Council at any time the Sub -Recipient believes it will not meet its Leveraged Resources requirement
by the completion of this Agreement. The Council reserves the right to withhold payment of some or
all of the Sub -Recipient Grant Amount if Leverage Resources are not spent. The following are not
eligible to be counted as Leveraged Resources: the expenditure of any funds identified as Leveraged
Resources if the expenditure occurred prior to February 1, 2011; and the cost of any work, services or
in-kind support identified as Leveraged Resources that occurred or were provided prior to February 1,
2011.
2.05 Payments to Sub -Recipient. The Sub -Recipient's receipt of Sub -Recipient Grant Amount
payments is dependent on the Council's receipt of grant funding from HUD according to the terms
and conditions provided in the Cooperative Agreement. The Council will make payments to the Sub -
Recipient according to the schedule and terms outlined in Attachment C.
2.06 Authorized Use of Grant Funds. The Sub -Recipient Grant Amount made available to the
Sub -Recipient under this Agreement shall be used only for the purposes of implementing and
performing the Work Plan. The Sub -Recipient is responsible for the complete and timely performance
of the Work Plan. Except for any subgrantees identified in Attachment B, none of the work, services
or activities covered by this Agreement may be subcontracted, assigned or otherwise transferred by
the Sub -Recipient without the Council's prior written approval. The Sub -Recipient shall not remove
or replace a subgrantee without prior written notice to the Council. The Sub -Recipient must obtain
the Council's prior written approval for any replacement subgrantees. Grant funds not used to
implement and perform the Work. Plan must be returned to the Council. HUD and the federal
government reserve the right to seek recovery of any grant funds that are not expended in accordance
with the requirements or conditions of this Agreement and the Cooperative Agreement. (Coop.
Agreement, p. 19). The cost of any Work Plan work, services or activities incurred prior to February 1,
2011 is not an authorized use of the grant funds. (Coop. Agreement, p. 20). Except for allowable
costs associated with closeout activities, the Sub -Recipient shall not incur costs or obligate grant
1
Page 3 of 14 Pages
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funds for any purpose pertaining to the operation of the Work Plan project or program, thirty (30)
days prior to the end of the period of performance. (Coop. Agreement, p. 22).
2.07 Prohibited Use of Grant Funds. The Cooperative Agreement identifies ineligible, activities
for which the grant funds may not be used. (Coop. Agreement, p. 23). No increment above cost, fee,
or profit may be paid to the Sub -Recipient under this Agreement. (Coop. Agreement, p. 23). The
Sub -Recipient's agreements with its subgrantees shall require its subgrantees to use the grant funds
only for the subgrantee projects and activities identified in the Work Plan and shall expressly prohibit
its subgrantees from using any grant funds to support (directly or indirectly) any activities or
initiatives whose purpose is to challenge, delay or stop any transitway project or the development of
any transitway corridor.
2.08 Work Plan Changes. The Sub -Recipient must promptly inform the Council's Project
Manager in writing when any changes to the Work Plan are anticipated. All Work Plan changes are
subject to prior approval by the Council's Project Manager and the HUD Government Technical
Representative. (Coop. Agreement, p. 9).
2.09 Budget. The Sub -Recipient shall incur costs in conformance with the budget presented in its
Work Plan, The Sub -Recipient shall not commingle funds computed under this Agreement with any
other exi§ting or future operating accounts held by the Sub -Recipient.
2.10 Interest Earnings and Program Income. Any grant funds advanced to the Sub -Recipient
must be maintained in an interest bearing account. Any interest earned as a result of the advanced
funds shall be promptly returned to the Council which in turn will be returned to HUD. (Coop.
Agreement, pp. 16 & 17). Any program income, including royalties, must be used to support eligible
activities. (Coop. Agreement, pp. 10 & 23).
2.11 Key Personnel. The Sub -Recipient will notify the Council if it intends to change its project
manager or make changes to key personnel identified in the Work Plan. (Coop. Agreement, p. 22)..
III. ACCOUNTING, AUDIT AND REPORT REQUIREMENTS
3.01 Accounting and Records. The Sub -Recipient agrees to establish and maintain accurate and
complete accounts and records relating to the receipt and expenditure of all grant funds received from
the Council. Notwithstanding the expiration and termination provisions of Sections 4.01 and 4.02,
such accounts and records shall be kept by the Sub -Recipient and maintained for a period of six (6)
years following the completion of the Work Plan activities described in Attachment B or six (6) years
following the expenditure of the grant funds, whichever occurs earlier. For all expenditures of grant
funds received pursuant to this Agreement, the Sub -Recipient will keep proper financial records and
other appropriate documentation sufficient to evidence the nature and expenditure of the Leveraged
Resources required under Section 2.04. Accounting methods shall be in accordance with generally
accepted accounting principles.
3.02 Audits. The above accounts and records of the Sub -Recipient shall be audited in the same
manner as all other accounts and records of the Sub -Recipient are audited and may be audited or
inspected on the Sub -Recipient's premises or otherwise by HUD, the Comptroller of the United
States, or any of their designees, and individuals or organizations designated and authorized by the
Council at any time, following reasonable notification to the Sub -Recipient, for a period of six (6)
.years following the completion of the Project activities or six (6) years following the expenditure of
Page 4 of 14 Pages
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HLTD SUSTAINABLE COMMUNITIES REGIONAL PLANNING GRANT PROGRAM
the grant funds, whichever occurs earlier. Pursuant to Minnesota Statutes section 16C.05,
subdivision 5, the books, records, documents and accounting procedures and practices of the Sub -
Recipient that are relevant to this Agreement are subject to examination by the Council and either the
Legislative Auditor or the State Auditor, as appropriate, for a minimum of six (6) years.
3.03 Biannual and Closeout Reporting Requirements. The Sub -Recipient will submit to the
Council biannual progress reports on the Work Plan activities and the expenditures of the federal
grant funds. The form and content of the report will be determined by the Council and HUD. The
Sub -Recipient will provide information to the Council or prepare report elements as requested by the
Council in a timely manner so the Council can meet its biannual reporting requirements to HUD.
The Sub -Recipient will submit requested information or report elements to the Council no later than
the biannual due dates identified in the reporting schedule. As part of the closeout process the Sub -
Recipient will submit to the Council a final narrative report detailing the progress made in achieving
the purpose of this Agreement and adequate documentation of the total federal funds expended in
support of the Work Plan activities to achieve this purpose. The final narrative report is due to the
Council fifteen (15) calendar days prior to the end of the period of performance. All reports and
forms shall include the Catalog of Federal Domestic Assistance ("CFDA") number (CFDA No.
14.703) for the Sustainable Communities Regional Planning Grant Program and the Federal Award
Number (MNRIP0023-10) for the HUD grant funding this Work Plan. The reporting schedule is
attached to this Agreement as Attachment D.
3.04 Closeout.. To the extent applicable to the Sub -Recipient's Work Plan, the Sub -Recipient will
provide the Council with the following closeout documentation fifteen (15) calendar days prior to the
end of the performance period:
(a) A Narrative Final Report summarizing Work Plan activities, including significant outcomes
resulting from the activities and problems encountered during the performance period;
(b) A completed Property Statement;,
(c) A completed Inventions, Patents, and Copyright Statement; and
(d) A completed Closeout Certification.
Records must be kept in a safe place and be accessible to auditors, HUD, the Comptroller of the
United States, or any of their designees, and individuals or organizations designated and authorized
by the Council. (Coop. Agreement, pp. ,9 & 10).
3.05 Federal Transparency Act. As required, the Sub -Recipient will directly provide "subaward"
data to HUD, or otherwise will assist the Council in complying with the requirements of the Federal
Funding Accountability and Transparency Act of 2006. (Coop. Agreement, pp. 11 & 12).
3.06 Single Audit Transparency Transactions. As required, the Sub -Recipient will assist the
Council in meeting the requirements of the federal Uniform Administrative Requirements for Grants
and Agreements, and other applicable federal reporting and audit requirements. (Coop. Agreement,
p. 27). The Sub -Recipient will include on any Schedule of Expenditures of Federal Awards
("SEFA") the CFDA number (CFDA No. 14.703) for the Sustainable Communities Regional
Planning Grant Program and the Federal Award Number (MNRIP0023-10) for the HUD grant
funding this Work Plan.
Page 5 of 14 Pages
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HUD SUSTAINABLE COMMUNITIES REGIONAL PLANNING GRANT PROGRAM
IV. AGREEMENT TERM
4.01 Term and Period of Performance. This Agreement is effective upon execution of the
Agreement by the Council. Unless terminated pursuant to Section 4.02, this Agreement expires on
the Expiration Date identified at Page 1 of this Agreement. For the purposes of Sections 2.06, 3.03
and 3.04, the term "period of performance" means the project completion date stated in the Sub -
Recipient's Work Plan. The period of performance may be a date earlier than the Expiration Date
identified at Page 1.
4.02. Termination. This Agreement may be terminated by the Council for cause at any time upon
fourteen (14) calendar days' written notice to the Sub -Recipient. Cause shall mean a material breach
of this Agreement and any amendments of this Agreement. If this Agreement is terminated prior to
the Expiration Date, the Sub -Recipient shall receive payment on a pro rata basis for eligible Work
Plan activities described in Attachment B that have been completed prior to the termination.
Termination of this Agreement does not alter the Council's or HUD's authority to recover grant funds
on the basis of a later audit or other review, and does not alter the Sub -Recipient's obligation to
return any grant funds due to the Council or HUD as a result of later audits or corrections. The Sub -
Recipient's obligation to return any grant funds due to the Council or HUD as the result of later
audits or corrections includes any amounts the Sub -Recipient makes available to its subgrantees that
were not used for eligible purposes or were otherwise improperly expended.
4.03 Amendment. Subject to HUD approval, this Agreement may be amended by written
agreement signed by authorized representatives of the Council and the Sub -Recipient. The period of
performance (but not the Expiration Date) may be modified without a formal amendment by written
approval of the Council's authorized representative.
V. GENERAL PROVISIONS
5.01 Environmental Review. Any Sub -Recipient Work Plan activities that involve site control or
acquisition are subject to HUD environmental review under Title 24 Code of Federal Regulations
Part 50. (Coop. Agreement, pp. 15 & 16).
5.02 Copyrights. HUD reserves a royalty -free, non-exclusive, an irrevocable license to reproduce,
publish, or otherwise use, and to authorize others to use for federal government purposes: (a) the
copyright in any work developed under this Agreement; and (b) any rights of copyright to which the
Sub -Recipient purchases ownership with the grant funds. (Coop. Agreement, p. 13).
5.03 Data Collection and Confidentiality. The Sub -Recipient will comply with the applicable
provisions of the Minnesota Government Data Practices Act (Minnesota Statutes chapter 13) as well
as the applicable provisions of federal laws and HUD regulations governing the collection of data.
(Coop. Agreement, p. 10). If the Sub -Recipient Work Plan includes services for "program
beneficiaries," the Sub -Recipient must maintain confidential files on the program beneficiaries
served. (Coop. Agreement, pp. 12 & 13).
5.04 Fair Housing and Civil Rights Laws. The Sub -Recipient represents, warrants, and certifies
that it will comply with all applicable federal statutes, regulations, and requirements relating .to non-
discrimination and equal opportunity identified in HUD's regulations at Title 24 Code of Federal
Regulations section 5.105(a). (Coop. Agreement, pp. 17 & 18).
Page 6 of 14 Pages
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HTJD SUSTAINABLE COMMUNITIES 12EGIONA1. PLANNING GRANT PROGRAM
5.05 Section 3 Efforts and Reporting. Section 3 of the Housing and Urban Development Act of
1968 is intended to ensure employment and other economic opportunities generated by HUD
financial assistance will, to the greatest extent feasible, be directed to low- and very low-income
persons and to businesses which provide economic opportunities to low- and very low-income
persons. HUD will require the Council to report on Section 3 persons and businesses that participate
in projects funded with Sustainable Communities Regional Planning Grant Program funds.
Accordingly, the Sub -Recipient is encouraged to provide, to the greatest extent feasible, training,
employment and contracting opportunities for low- and very low-income persons, and businesses
owned by low- and very low-income persons or which employ low- and very low-income persons.
The Sub -Recipient will complete Section 3 reporting forms or otherwise provide information to the
Council that will permit the Council to make its Section 3 reports to HUD. A Section 3 Plan
reporting and Business Certification form, and Title 24 Code of Federal Regulations Subtitle B, Ch. 1
Appendix to Part 135 (examples of efforts to offer training and employment opportunities to Section
3 residents and award contracts to Section 3 business concerns) are attached to this Agreement as
Attachment E.
5.06 Conflict of Interest. The members, officers and employees of the Sub -Recipient shall
comply with all applicable state statutory and regulatory conflict of interest laws and provisions.
5.07 Liability. The Sub -Recipient and the Council shall be responsible for their own acts or
omissions. Neither the Council nor the Sub -Recipient (to the extent applicable to the Sub -Recipient)
waives any immunities or limits on liability provided by Minnesota Statutes chapter 466, or other
applicable state or federal law.
5.08 HUD Involvement. HUD intends to have substantial involvement in the review, development,
and approval of all aspects of the work plans and activities funded under the Cooperative Agreement,
including the performance of the Sub -Recipient's Work Plan. (Coop. Agreement, p. 19).
5.09 Inspector General Referrals. The Sub -Recipient shall promptly refer to an appropriate
inspector general any credible evidence that a principal, employee, agent, contractor, subcontractor,
subgrantee or other person has submitted a false claim under the False Claims Act or has committed a
criminal or civil violation of laws pertaining to fraud; conflict of interest, bribery, gratuity, or similar
misconduct involving grant funds. (Coop. Agreement, p. 20).
5.10 Limitations on Consultant Payments. The grant funds may not be used to pay or to provide
reimbursement for payment of a consultant's salary during any one-year period at a rate more than
the equivalent of General Schedule 15, Step 10 base pay. (Coop. Agreement, p. 20). As of the date
of this Agreement, the annual salary limit for one individual consultant is $129,000.
5.11 Limitation on Payments to Influence Certain Federal Transactions. No grant funds may
be used to pay any person for influencing or attempting to influence an officer or employee of any
federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with any "covered Federal actions." (Coop. Agreement, pp. 20 & 21).
5.12 Publications and New Releases. The results of the Work Plan may be made available to the
public through dedication, assignment by HUD, or other means, as HUD shall determine. All interim
and final reports and any other specified deliverables shall be owned by the federal government and
held for the benefit of the public which shall include the Council and the Sub -Recipient. Sub -
Page 7 of 14 Pages
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LHIJD SL1S1'AINABI,E COMMLNiT'IES REGIONAi: PLANNING GRAN'i PROGRAM
Recipient publications and news releases are subject to other HUD terms and conditions stated in the
Cooperative Agreement. (Coop. Agreement, p. 24).
5.13 Contractors, Subcontractors and Subgrantees. The Sub -Recipient shall include in any
subgrant, contract or subcontract for Work Plan activities appropriate provisions to ensure
subgrantee, contractor and subcontractor compliance with all applicable state and federal laws, this
Agreement and the Cooperative Agreement. The Sub -Recipient shall execute written subgrant
agreements with all subgrantees performing components of the Sub -Recipient's Work Plan. Each
subgrant agreement shall include a written work plan that addresses a specific service delivery need
and consists of designated subgrant work activities including: tasks and subtasks; a timeline for
completing the subgrant work; performance measures; outputs and outcomes identified to achieve the
performance measures/goals; a budget; and resources designated to complete the subgrant work. If
requested by the Council the Sub -Recipient will provide the Council with a copy of any subgrant,
contract or subcontract between the Sub -Recipient and any subgrantee; contractor or subcontractor.
5.14 Contact Persons and Project Managers. Susan Hoyt is the Council's contact person and
project manager for the purposes of administering this Agreement. Payment request forms, written
reports and correspondence submitted to the Council pursuant to this Agreement shall be directed to:
Metropolitan Council
Susan Hoyt
Sustainable Communities Regional Planning Grant
390 Robert Street North
Saint Paul, Minnesota 55101-1805
sus an. hoyt@mete. state. mn. us
651.602.1330
The Sub -Recipient's contact person(s) is identified at Page 1 of this Agreement. If the Sub -Recipient's
contact person changes, the Sub -Recipient must notify the Council's project manager. Nothing in this
Agreement will be 'deemed to authorize the Council's or the Sub -Recipient's. contact persons or
project managers to execute amendments to this Agreement on behalf of their respective organizations.
5.15 Non -Assignment. This Agreement is not assignable and shall not be assigned by the Sub -
Recipient or the Council.
5.16 Attachments. The following Attachments are incorporated into and are made a part of this
Agreement:
Attachment A - Cooperative Agreement provisions governing the $5,000,000 Sustainable
Communities Regional Planning Grant from HUD.
Attachment B - Work Plan and Local Implementation Capacity Grant Application.
Attachment C - Local Implementation Capacity Grant Program Payment Schedule and Terms.
Attachment D - Local Implementation Capacity Grant Reporting Schedule.
Page 8 of 14 Pages
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I I)D SUSTAINABLE COMMUNITIES REGIONAL PLANNING GRANT PROGRAM
Attachment E - Section 3 Plan reporting and Business Certification form and Title 24 Code of
Federal Regulations Subtitle B, Ch. 1 Appendix to Part 135 (examples of
efforts to offer training and employment opportunities to Section 3 residents
and award contracts to Section 3 business concerns). .
5.17 Warranty of Legal Capacity. The individuals signing this Agreement on behalf of the Sub -
Recipient and on behalf of the Council represent and warrant on the Sub -Recipient's and the
Council's behalf respectively that the individuals are duly authorized to execute this Agreement on
the Sub -Recipient's and the Council's behalf respectively and that this Agreement constitutes the
Sub -Recipient's and the Council's valid, binding and enforceable agreements.
IN WITNESS WHEREOF, the Sub -Recipient and the Council have caused this Agreement to be
executed by their duly authorized representatives. This Agreement is effective on the date of final
execution by the Council.
SUB -RECIPIENT
METROPOLITAN COUNCIL
Patrick P. Born, Regional Administrator
Title:
Date:
Date:
By:
Title:
Date:
SCRPGTEMPLATE
Page 9 of 14 Pages
Revised 06107/12