HomeMy WebLinkAboutResolution - 2017-R0079 - TDHCA For CEAP - 02_23_2017Resolution No. 2017-R0079
Item No. 6.1.1
February 23, 2017
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of the City of Lubbock is hereby authorized and directed to execute for and
on behalf of the City of Lubbock, Contract No. 13246 and all related documents by and
between the City of Lubbock and the Texas Department of Housing and Community Affairs,
for the Comprehensive Energy Assistance Program which will provide assistance in the
reduction of poverty, the revitalization of low-income communities, the empowering of low-
income families and individuals. Said Contract is attached hereto and incorporated in this
resolution as if fully set forth herein and shall be included in the minutes of the City Council.
Passed by the City Council on February 23, 2017
DANIEL M. PIDPE, MAYOR
ATTEST:
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Reb ,ca Garza, City Secretary
APPROVED AS TO CONTENT:
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Bill H erton, Assis ity Manager
APPROVED AS TO FORM:
itt, AsAistant City Attorney
ccdocs/RES. Contract 13246 TDHCA — Comprehensive Energy Assistance Program
January 18, 2017
Resolution No. 2017-R0079
TEXAS DEPARTMENT OF HOUSING AND COMMUNITY AFFAIRS
CONTRACT NUMBER 58170002579
FY 2017 COINIPREHENSIVE ENERGY ASSISTANCE PROGRAM (LEAP)
(CFDA # 93.568)
Awarding Federal Agency: United States Department of Health and Human Services
TDHCA Federal Award Number: E-17-BI-TX-LIEA
Award Year (fear of Award from HHS to TDHCA): 2017
Unique Entity Identifier Number: 058213893
SECTION 1. PARTIES TO THE CONTRACT
This 2017 Comprehensive Energy Assistance Program (CEAP) Contract Number 58170002579 ("Contract") is made by
and between the Texas Department of Housing and Community Affairs, a public and official agency of the State of Texas
("Department"), and City of Lubbock, a political subdivision of the State of Texas ("Subrecipient"), hereinafter the
"Parties".
SECTION 2. CONTRACT TERM
This Contract shall commence on January 01, 2017, and, unless earlier terminated, shall end on December 31, 2017
("Contract Term").
SECTION 3. SUBRECIPIENT PERFORMANCE
A. Subrecipient shall, throughout its service area. operate a Comprehensive Energy Assistance Program, ("CEAP"), in
accordance with the Economic Opportunity Act of 1964 (Public Law 88-452), the Low -Income Home Energy
Assistance Act of 1981 as amended (42 U.S.C. §8621 et seq.) (Title XXVI of the Omnibus Budget Reconciliation Act
of 1981, Public Law 97-35, as amended) ('`LIHEAP Act"), Chapters 2105 and 2306 of the Texas Government Code
("State Act"), the implementing State regulations under Title 10, Part I, Chapter 1, Chapter 2 and Chapter 6,
Subchapters A and C of the Texas Administrative Code, as amended or supplemented from time to time ("State
Rules"), the LIHEAP State Plan, any applicable Office of Management and Budget ("OMB") Circulars as may be
amended or superseded, Subrecipient's "Service Delivery Plan" in accordance with Section 6.306 of Chapter 6 of the
State Rules, the Department's guidance related to CEAP, all applicable state and federal regulations and the terms of
this Contract. Subrecipient shall further implement the CEAP in accordance with the Certifications attached hereto as
Addendums A, B, C and D and incorporated herein for all relevant purposes; the Budget attached hereto as Exhibit A
and, the Personal Responsibility and Work Opportunity Act of 1996 ("PRWORA") Requirements for the CEAP
attached hereto as Exhibit B; the assurances, certifications, and all other statements made by Subrecipient in its
application funding under this Contract; and with all other terms, provisions, and requirements herein set forth.
B. Subrecipient shall assist "Households" as defined in Section 6.2 of Chapter 6 of the State Rules ("Households") that
are '`Low -Income" as defined in Section 6.2 of the Chapter 6 of State Rules ("Low -Income") with priority being given
in no particular order to "Elderly Persons" as defined in Section "6.2 of the Chapter 6 of State Rules ("Elderly
Persons"), "Persons with Disabilities" as defined in Section 6.2 of the Chapter 6 of State Rules ("Persons with
Disabilities"), Households with a young child 5 years of age or under, Households with "High Energy Burden" as
defined in Section 6.2 of Chapter 6 of the State Rules ("High Energy Burden") and Households with "High Energy
Consumption" as defined in Section 6.2 of Chapter 6 of the State Rules ("High Energy Consumption").
C. Subrecipient shall refund, within fifteen (15) days of the Department's request, any sum of money paid to Subrecipient
which Department determines has resulted in an overpayment or has not been spent in accordance with the terms of
this Contract.
SECTION 4. DEPARTMENT OBLIGATIONS
A. In consideration of Subrecipient's satisfactory performance of this Contract, Department shall reimburse Subrecipient
for the actual allowable costs incurred by Subrecipient during the Contract Term for administrative expenditures and
program services costs and direct services expenditures in accordance with Section 6.308 of the State Rules, in the
amount(s) specified in the Budget attached hereto as Exhibit A.
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B. Any decision to obligate additional funds or deobligate funds shall be made in writing by Department in its sole but
reasonable discretion based upon factors including, but not limited to, the status of funding under grants to
Department, the rate of Subrecipient's utilization of funds under this or previous contracts, the existence of questioned
or disallowed costs under this or other contracts between the Parties, and Subrecipient's overall compliance with the
terms of this Contract.
C. Department's obligations under this Contract are contingent upon the actual receipt and availability by the Department
of 2017 funds from the U.S. Department of Health and Human Services. If sufficient funds are not available to make
payments under this Contract, Department shall notify Subrecipient in writing within a reasonable time after such fact
is determined. Department shall then terminate this Contract and will not be liable for the failure to make any payment
to Subrecipient under this Contract. Department acknowledges that it has received obligations from those sources
which, if paid, will be sufficient to pay the allowable costs incurred by Subrecipient under this Contract.
D. Department is not liable for any cost incurred by Subrecipient which:
1. is subject to reimbursement by a source other than Department;
2. is for performance of services or activities not authorized by the LIHEAP Act, State Rules, or which is not in
accordance with the terms of this Contract;
3. is not incurred during the Contract Term;
4. is not reported to Department on a monthly expenditure or performance report within forty five (45) days
following the end of the Contract Term; or
5. is incurred for the purchase or permanent improvement of real property.
E. Notwithstanding any other provision of this Contract, Department shall only be liable to Subrecipient for costs
incurred or performances rendered for activities specified in the LIHEAP Act.
F. Notwithstanding any other provision of this Contract, the total of all payments and other obligations incurred by
Department under this Contract shall not exceed the sum of $976,879.00.
SECTION 5. METHOD OF PAYNIENT/CASH BALANCES
A. Subrecipient may request an advance payment of up to thirty (30) days cash needs or an advance of $5,000, whichever
is greater. Subrecipient's request for advances shall be limited to the minimum amount needed and be timed to be in
accordance with the actual, immediate cash requirements of the Subrecipient in carrying out the purpose of this
Contract.
B. Subrecipient shall establish procedures to minimize the time between the disbursement of funds from Department to
Subrecipient and the expenditure of such funds by Subrecipient.
C. Subrecipient must request an advance payment by submitting a properly completed monthly expenditure report to the
Department through the electronic reporting system no later than the fifteenth (15th) day of the month prior to the
month for which advance payment is sought.
D. Subsection 4(A) notwithstanding, Department reserves the right to utilize a modified cost reimbursement method of
payment, whereby reimbursement of costs incurred by a Subrecipient is made only after the Department has reviewed
and approved backup documentation provided by the Subrecipient to support such costs for all funds if (1)
Subrecipient maintains excessive cash balances or requests advance payments in excess of thirty (30) days need; (2)
Department identifies any deficiency in the internal controls or financial management system used by Subrecipient; (3)
Subrecipient violates any of the terms of this Contract; (4) Department's funding sources require the use of a cost
reimbursement method of payment or (5) Subrecipient owes the Department funds.
E. Department may offset or withhold any amounts otherwise owed to Subrecipient under this Contract against any
amount owed by Subrecipient to Department arising under this Contract.
F. All funds paid to Subrecipient under this Contract are paid in trust for the exclusive benefit of the eligible clients of
the CEAP and for allowable administrative expenditures and program services costs incurred during the Contract
Term in accordance with Section 6.308 of the State Rules.
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SECTION 6. ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES AND AUDIT REQUIREMENTS
A. Except as expressly modified by law or the terms of this Contract, Subrecipient shall comply with the cost principles
and uniform administrative requirements set forth in the state Uniform Grant Management Standards, 34 TAC
§20.421 in effect on the effective date of this Contract ("UGMS"). All references therein to "local government" shall
be construed to mean Subrecipient.
B. Subrecipient has a federally approved indirect cost rate of 0.00%.
C. Uniform administrative requirements, cost principles and audit requirements are set forth in Uniform Grant
Management Standards ("UGMS"), Chapter 783 Texas Government Code unless otherwise specified in this Contract
unless preempted by the requirements under 2 CFR Part 200. The expenditure threshold for audit is $750,000 of
Federal Funds. The expenditure threshold is $500,000 for the Texas State Single Audit Act. If an audit is required
under the Texas State Single Audit Act, this audit must be submitted to the Department pursuant to IO TAC §1.403,
but CEAP funds may not used to pay for the audit.
D. The Subrecipient shall include language in any subcontract that provides the Department the ability to directly review,
monitor, and/or audit the operational and financial performance and/or records of work performed under this Contract.
E. Department reserves the right to conduct additional audits of the funds received and performances rendered under this
Contract. Subrecipient agrees to permit Department or its authorized representative to audit Subrecipient's records
and to obtain any documents, materials, or information necessary to facilitate such audit.
F. For any fiscal year ending within or immediately after the Contract Term, Subrecipient must submit an "Audit
Certification Form" (available from the Department) within sixty (60) days after the Subrecipient's fiscal year end.
SECTION 7. DEOBLIGATION, TERMINATION AND SUSPENSION
A. DEOBLIGATION. The Department may deobligate funds from Subrecipient in accordance with 10 TAC §6.304 or
Chapter 2105 of the Texas Government Code.
B. TERMINATION. Pursuant to Sections 2.202 and 2.203 of Chapter 2 of the State Rules, the Department may
terminate this Contract, in whole or in part, at any time Department determines that there is cause for termination.
Cause for termination includes, but is not limited to, Subrecipient's failure to comply with any term of this Contract or
reasonable belief that Subrecipient cannot or will not comply with the requirements of the Contract.
C. GENERAL. Subrecipient's failure to expend the funds provided under this Contract in a timely manner may result in
either the termination of this Contract or Subrecipient's ineligibility to receive additional funding under CEAP, or a
reduction in the original allocation of funds to Subrecipient.
D. SUSPENSION. Nothing in this Section 7 shall be construed to limit Department's authority to withhold payment and
immediately suspend this Contract if Department identifies possible instances of fraud, abuse, waste, fiscal
mismanagement, or other deficiencies in Subrecipient's performance including but not limited to, Subrecipient's
failure to correct any monitoring findings on this or any state contract or on a single audit review.
E. WITHHOLDING OF PAYMENTS. Notwithstanding any exercise by Department of its right of deobligation,
termination or suspension, Subrecipient shall not be relieved of any liability to Department for damages by virtue of
any breach of this Contract by Subrecipient. Department may withhold any payment due to Subrecipient until such
time as the exact amount of damages due to Department is agreed upon or is otherwise determined in writing between
the Parties.
F. LIABILITY. Department shall not be liable for any costs incurred by Subrecipient after termination or during
suspension of this Contract.
SECTION 8. ALLOWABLE EXPENDITURES
A. The allowability of Subrecipient's costs incurred in the performance of this Contract shall be determined in
accordance with the provisions of Section 4 of the Contract and the regulations set forth in the LIHEAP Act and the
State Rules, subject to the limitations and exceptions set forth in this Section 8.
B. CEAP funds allow up to 6.25% of the award amount to be utilized for administrative costs. Administrative costs
incurred by Subrecipient in performing this Contract are to be based on actual programmatic expenditures and shall be
allowed up to the amount outlined in the Budget attached hereto as Exhibit A. Eligible administrative costs include
costs related to staff performance of management, accounting and reporting activities in accordance with the LIHEAP
State Plan.
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C. Administrative and program services activities funds are earned through provision of direct services to clients in
accordance with the State Rules. Subrecipient may choose to submit a final budget revision no later than forty-five
(45) days prior to the end of the Contract Term to use its administrative and program services funds for direct service
categories.
SECTION 9. RECORD KEEPING REQUIREIIIENTS
A. GENERAL. Subrecipient shall comply with all the record keeping requirements set forth below and shall maintain
fiscal and programmatic records and supporting documentation for all expenditures of funds made under this Contract
in accordance with the Uniform Grant Management Standards, Chapter III, "State Uniform Administrative
Requirements for Grants and Cooperative Agreements", Subpart C -Post Award Requirements, §_.42. Subrecipient
agrees to comply with any changes to the UGMS' record keeping requirements.
B. OPEN RECORDS. Subrecipient acknowledges that all information collected, assembled, or maintained by
Subrecipient pertaining to this Contract, except records made confidential by law, is subject to the Texas Public
Information Act (Chapter 552 of Texas Government Code) and must provide citizens, public agencies, and other
interested parties with reasonable access to all records pertaining to this Contract subject to and in accordance with the
Texas Public Information Act.
C. ACCESS TO RECORDS. Subrecipient shall give the U.S. Department of Health and Human Services, the U.S.
General Accounting Office, the Texas Comptroller, the State Auditor's Office, and Department, or any of their duly
authorized representatives, access to and the right to examine and copy, on or off the premises of Subrecipient, all
records pertaining to this Contract. Such right to access shall continue as long as the records are retained by
Subrecipient. Subrecipient agrees to cooperate with any examination conducted pursuant to this Subsection C.
D. RECORD RETENTION. Subrecipient agrees to maintain such records in an accessible location for the greater of: (i)
the time period described in the state Uniform Grant Management Standards, Chapter 111, "State Uniform
Administrative Requirements for Grants and Cooperative Agreements", Subpart C -Post Award Requirements, §_.42;
(ii), the date that the final audit is accepted with all audit issues resolved to the Department's satisfaction if the
Department notifies the Subrecipient in writing; (iii) if any litigation claim, negotiation, inspection, or other action has
started before the expiration of the required retention period records must be retained until completion of the action
and resolution of all issues which arise under it; or (iv) a date consistent with any other period required by the
performed activity reflected in federal or state law or regulation. Upon termination of this Contract, all records are
property of the Department.
E. CLIENT FILES. Subrecipient shall maintain a client file system to document direct services rendered. Subrecipient
shall maintain complete client files at all times. Costs associated with incomplete files found at the time of program
monitoring may be disallowed. Each client file shall contain the following:
I. Client application containing all Department requirements;
2. Documentation/verification of client income for the thirty (30) days preceding their application for all
Household members eighteen (18) years and older, or Declaration of Income Statement (DIS) (if applicable).
In order to use the DIS form, each Subrecipient shall develop and implement a written policy and procedure on
the use of the form.
3. Copy of client's utility bill(s);
4. Energy consumption history for previous twelve (12) months (all fuel types);
5. Documentation of payment (Documentation of payment may be maintained in a separate file, but must be
accessible to the Department.);
6. Documentation of benefits determination:
7. Notice of Denial Form (if applicable).
8. Right of appeal and procedures for denial or termination of services (if applicable):
9. Any documentation required by directives provided by the Department;
10. Priority rating form: and
11. Case notes sufficient to document that program service activity has occurred.
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SECTION 10. REPORTING REQUIREMENTS
A. By the 15th of each month, Subrecipient shall electronically submit to Department, a Funding Report of all
expenditures of funds and clients served under this Contract during the previous month. These reports are due even if
Subrecipient has no new activity to report during the month.
B. Subrecipient shall submit to Department, no later than forty-five (45) days after the end of the Contract Term, an
inventory of all vehicles, tools, and equipment with a unit acquisition cost of $5,000.00 and/or a useful life of more
than one year, if purchased in whole or in part with funds received under this Contract or previous CEAP contracts.
The inventory shall include the vehicles, tools, equipment, and appliances purchased with Energy Crisis funds on hand
as of the last day of the Contract Term. Subrecipient acknowledges that all equipment and supplies purchased with
funds from the CEAP are the property of CEAP and as such, stay with the subrecipient which provides CEAP services
in the service area.
C. Subrecipient shall electronically submit to Department, no later than forty-five (45) days after the end of the Contract
Term, a final report of all expenditures of funds and clients served under this Contract. Failure of Subrecipient to
provide a full accounting of funds expended under this Contract may result in the termination of this Contract and
ineligibility to receive additional funds. If Subrecipient fails to submit a final expenditure/performance report within
forty-five (45) days of the end of the Contract Term, Department will use the last report submitted by Subrecipient as
the final report.
D. Subrecipient is required to determine if households assisted under this Contract shall be reported as duplicated or
unduplicated by accessing the LIHEAP Household Database located in the Community Affairs Contract System.
E. If Subrecipient fails to submit, in a timely and satisfactory manner, any report or response required by this Contract.
Department may withhold any or all payments otherwise due or requested by Subrecipient hereunder. Payments may
be withheld until such time as the delinquent report or response is received by Department. If the delinquent report or
response is not received within forty-five (45) days of its due date, Department may suspend or terminate this
Contract. If Subrecipient receives funds from Department over two or more Contract Terms, funds may be withheld
or this Contract suspended or terminated for Subrecipient's failure to submit a past due report or response (including
an audit report) from a prior contract or Contract Term.
F. Subrecipient shall provide the Department with a Data Universal Numbering System (DUNS) number and a Central
Contractor Registration (CCR) System number to be used as the Unique Entity Identifier Number on all contracts and
agreements. The DUNS number must be provided in a document from Dun and Bradstreet and the current CCR
number must be submitted from a document retrieved from the https://www.sam.gov website. These documents must
be provided to the Department prior to the processing first payment to Subrecipient. Subrecipient shall maintain a
current DUNS number and CCR number for the entire Contract Term.
SECTION IL VENDOR AGREEMENTS
For each of Subrecipient's vendors, Subrecipient shall implement and maintain a vendor agreement that contains
assurances relating to fair billing practices, delivery procedures, and pricing procedures for business transactions involving
CEAP clients. All vendor agreements are subject to monitoring procedures performed by TDHCA. All vendor agreements
must be renegotiated every two years.
SECTION 12. CHANGES AND AMENDMENTS
A. Any change, addition or deletion to the terms of this Contract required by a change in federal or state law or regulation
is automatically incorporated herein and is effective on the date designated by such law or regulation without the
requirement of a written amendment hereto. Said changes, additions, or deletions referenced under this Subsection A
of Section 12 may be further evidenced in a written amendment.
B. Except as specifically provided otherwise in this Contract, any changes, additions, or deletions to the terms of this
Contract shall be in writing and executed by both Parties to this Contract. If any Party returns an executed copy by
facsimile machine or electronic transmission, the signing party intends the copy of its authorized signature printed by
the receiving machine or the electronic transmission, to be its original signature.
C. Written requests for Contract amendment must be received by the Department by no later than sixty (60) days prior to
the end of the Contract Term.
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SECTION 13. PROGRAM INCOME
Subrecipient shall account for and expend program income derived from activities financed in whole or in part with funds
provided under this Contract in accordance with the state Uniform Grant Management Standards, more specifically,
Chapter Ill, "State Uniform Administrative Requirements For Grants and Cooperative Agreements", Subpart C -
Post -Award Requirements --Financial Administration, §_.25, Program Income.
SECTION 14. TECHNICAL ASSISTANCE AND MONITORING
Department may issue technical guidance to explain the rules and provide directions on terms of this Contract. Department
or its designee may conduct on and off -site monitoring and evaluation of Subrecipient's compliance with the terms of this
Contract. Department's monitoring may include a review of the efficiency, economy, and efficacy of Subrecipient's
performance. Department will notify Subrecipient in writing of any deficiencies noted during such monitoring.
Department may provide training and technical assistance to Subrecipient in correcting the deficiencies noted. Department
may require corrective action to remedy deficiencies noted in Subrecipient's accounting, personnel, procurement, and
management procedures and systems in order to comply with State or Federal requirements. Department may conduct
follow-up visits to review the previously noted deficiencies and to assess the Subrecipient's efforts made to correct them.
Repeated deficiencies may result in disallowed costs. Department may terminate or suspend this Contract or invoke other
remedies Department determines to be appropriate in the event monitoring reveals material deficiencies in Subrecipient's
performance, or Subrecipient fails to correct any deficiency within a reasonable period of time, as determined by the
Department. Department or its designee may conduct an ongoing program evaluation throughout the Contract Term.
SECTION 15. INDEPENDENT SUBRECIPIENT
It is agreed that Department is contracting with Subrecipient as an independent contractor.
SECTION 16. PROCUREMENT STANDARDS
A. Subrecipient shall comply with UGMS, l O TAC § 1.404, and all applicable federal, state, and local laws, regulations,
and ordinances for making procurement transactions and purchases under this Contract.
B. Subrecipient may not use funds provided under this Contract to purchase personal property, equipment, goods, or
services with a unit acquisition cost (the net invoice unit price of an item of equipment) of more than $5,000 unless
Subrecipient has received the prior written approval of Department for such purchase.
SECTION 17. SUBCONTRACTS
A. Subrecipient may not subcontract the primary performance of this Contract, including but not limited to expenditure
and performance reporting and drawing funds through the Community Affairs Contract System, and only may enter
into properly procured contractual agreements for consulting and other professional services, if Subrecipient has
received Department's prior written approval. Subrecipient may subcontract for the delivery of client assistance
without obtaining Department's prior approval. Any subcontract for the delivery of client assistance will be subject to
monitoring by the Department as per Section 14 of the Contract.
B. In no event shall any provision of this Section 17, specifically the requirement that Subrecipient obtain Department's
prior written approval of a subcontractor, be construed as relieving Subrecipient of the responsibility for ensuring that
the performances rendered under all subcontracts are rendered so as to comply with all of the terms of this Contract, as
if such performances rendered were rendered by Subrecipient. Department's approval under this Section 17 does not
constitute adoption, ratification, or acceptance of Subrecipient's or subcontractor's performance hereunder.
Department maintains the right to monitor and require Subrecipient's full compliance with the terms of this Contract.
Department's approval under this Section 17 does not waive any right of action which may exist or which may
subsequently accrue to Department under this Contract.
SECTION IS. MANAGEMENT OF EQUIPMENT AND INVENTORY
A. Subrecipient shall comply with 10 TAC Section 1.407 of the State Rules.
B. Upon the termination of this Contract or non -renewal of CEAP funds, Department may require transfer of title to any
such property or equipment having a useful life of one year or more or a unit acquisition cost (the net invoice unit
price of an item of equipment) of $5,000 or more to itself or to any other entity receiving federal funding.
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SECTION 19. TRAVEL AND TRAINING
The travel funds are to be used only for Department -approved training events. Subrecipient shall adhere to either its
board -approved travel policy (not to exceed the amounts established in subchapter l of Chapter 57 of Title 5, United States
Code "Travel and Subsistence Expenses; Mileage Allowances), or in the absence of such a policy, the State of Texas
travel policies under Section 1.408 of the State Rules. Subrecipient's written travel policy shall delineate the rates which
Subrecipient shall use in computing the travel and per diem expenses of its board members and employees.
SECTION 20. BONDING AND INSURANCE REQUIREMENTS
A. if Subrecipient will enter in to a construction or facility improvements contract with a third -party in the amount of
$25,000.00 or greater, Subrecipient must execute with the contractor a payment bond in the full amount of the
contract. If the Subrecipient will enter in to contract with a prime contractor in excess of $100,000.00, a performance
bond in the full amount of the contract is also required. These bonds must be executed by a corporate surety
authorized to do business in Texas, a list of which may be obtained from the State Insurance Department. Such
assurances of completion will run to the Department as obligee and must be documented prior to the start of
construction. This bonding requirement applies to the extent required by federal or state law.
B. Subrecipient shall maintain adequate personal injury and property damage liability insurance. Subrecipient is
encouraged to obtain pollution occurrence insurance in addition to the general liability insurance. Generally, regular
liability insurance policies do not provide coverage for potential effects of many health and safety measures, such as
lead disturbances and other pollution occurrence items. Subrecipient should review existing policies to determine if
lead contamination is covered. if it is not, Subrecipient should consider securing adequate coverage for all
construction projects. Additional liability insurance costs may be paid from administrative funds. The Department
strongly recommends the Subrecipient require their contractors to carry pollution occurrence insurance to avoid being
liable for any mistakes the contractors may make. Each agency should get a legal opinion regarding the best course to
take for implementing the pollution occurrence insurance coverage.
SECTION 21. LITIGATION AND CLAIMS
Subrecipient shall give Department immediate written notice of any claim or action filed with a court or administrative
agency against Subrecipient and arising out of the performance of this Contract or any subcontract hereunder. Subrecipient
shall furnish to Department copies of all pertinent papers received by Subrecipient with respect to such action or claim.
SECTION 22. LEGAL AUTHORITY
A. Subrecipient assures and guarantees that it possesses the legal authority to enter into this Contract, to receive and
manage the funds authorized by this Contract, and to perform the services Subrecipient has obligated itself to perform
hereunder. The execution, delivery, and performance of this Contract will not violate Subrecipient's constitutive
documents or any requirement to which Subrecipient is subject and represents the legal, valid, and binding agreement
of Subrecipient, enforceable in accordance with its terms.
B. The person signing this Contract on behalf of Subrecipient hereby warrants that he/she has been duly authorized by
Contract to execute this Contract on behalf of Subrecipient and to validly and legally bind Subrecipient to the terms,
provisions and performances herein.
C. Department shall have the right to suspend or terminate this Contract if there is a dispute as to the legal authority of
either Subrecipient, or the person signing this Contract on behalf of Subrecipient, to enter into this Contract or to
render performances hereunder. Subrecipient is liable to Department for any money it has received from Department
for performance of the provisions of this Contract, if the Department has terminated this Contract for reasons
enumerated in this Section 22.
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SECTION 23. COMPLIANCE WITH LAWS
A. FEDERAL. STATE AND LOCAL LAW. Subrecipient shall comply with the LIHEAP Act, the federal rules and
regulations promulgated under the LIHEAP Act, the State Act. the State Rules, LIHEAP State Plan, the certifications
attached, and all federal, state, and local laws and regulations applicable to the performance of this Contract.
B. DRUG -FREE WORKPLACE ACT OF 1988. The Subrecipient affirms by signing this Contract and Addendum B
that it is implementing the Drug -Free Workplace Act of 1988.
C. LIMITED ENGLISH PROFICIENCY (LEP). Subrecipient must provide program applications, forms, and
educational materials in English, Spanish, and any appropriate language, based on the needs of the service area and in
compliance with the requirements in Executive Order 13166 of August 11, 2000. To ensure compliance, the
Subrecipient must take reasonable steps to insure that persons with Limited English Proficiency have meaningful
access to the program. Meaningful access may entail provide language assistance services, including oral and written
translation, where necessary.
D. REHABILITATION ACT OF 1973. Section 504 of the Rehabilitation Act of 1973 apply to all applicants and
Subrecipients of financial assistance in the operation of programs or activities.
E. PROTECED HEALTH INFORMATION. If Subrecipient collects or receives documentation for disability, medical
records or any other medical information in the course of administering the CEAP program, Subrecipient shall comply
with the Protected Health Information state and federal laws and regulations, as applicable, under 10 TAC §1.24,
Chapter 181 of the Texas Health and Safety Code.. the Health Insurance Portability and Accountability Act of 1996
(HIPAA) (Pub.L. 104-191, 110 Stat. 1936, enacted August 21, 1996) the HIPAA Privacy Rules (45 CFR Part 160 and
Subparts A and E of 45 CFR Part 164).
SECTION 24. PREVENTION OF WASTE, FRAUD, AND ABUSE
A. Subrecipient shall establish, maintain, and utilize systems and procedures to prevent, detect, and correct waste, fraud,
and abuse in activities funded under this Contract. The systems and procedures shall address possible waste, fraud,
and abuse by Subrecipient, its employees, clients, vendors, subcontractors and administering agencies. Subrecipient's
internal control systems and all transactions and other significant events are to be clearly documented, and the
documentation is to be readily available for monitoring by Department.
B. Subrecipient shall give Department complete access to all of its records, employees, and agents for the purposes of
any investigation of the Comprehensive Energy Assistance Program. Subrecipient shall immediately notify
Department of any discovery of waste, fraud, or abuse. Subrecipient shall fully cooperate with Department's efforts to
detect, investigate, and prevent waste, fraud, and abuse in the Comprehensive Energy Assistance Program.
C. Subrecipient may not discriminate against any employee or other person who reports a violation of the terms of this
Contract, or of any law or regulation, to Department or to any appropriate law enforcement authority, if the report is
made in good faith.
SECTION 25. CERTIFICATION REGARDING UNDOCUMENTED WORKERS
Pursuant to Chapter 2264 of the Texas Government Code, by execution of this Contract, Subrecipient hereby certifies that
Subrecipient/Local Operator, or a branch, division, or department of Subrecipient does not and will not knowingly employ
an undocumented worker, where "undocumented worker'' means an individual who, at the time of employment, is not
lawfully admitted for permanent residence to the United States or authorized under law to be employed in that manner in
the United States. If, after receiving a public subsidy, Subrecipient, or a branch, division, or department of Subrecipient is
convicted of a violation under 8 U.S.C. §1324a(f), Subrecipient shall repay the public subsidy with interest, at a rate of five
percent (5%) per annum, not later than the 120th day after the date the Department notifies Subrecipient of the violation.
Page 8 of 23
SECTION 26. CONFLICT OF INTEREST/NEPOTISM
A. Subrecipient shall maintain written standards of conduct governing the performance of its employees engaged in the
award and administration of contracts.
B. No employee, officer, or agent of Subrecipient shall participate in the selection, award, or administration of a contract
supported by federal funds if a real or apparent conflict of interest would be involved. Such a conflict would arise
when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an
organization which employs or is about to employ any of the Parties indicated herein, has a financial or other interest
in the firm selected for an award.
C. The officers, employees, and agents of the Subrecipient shall neither solicit nor accept gratuities, favors, or anything
of monetary value from contractors, or parties to subagreements. Subrecipient may set standards for situations in
which the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of
conduct shall provide for disciplinary actions to be applied for violations of such standards by officers, employees, or
agents of the Subrecipient.
D. Subrecipient shall, in addition to the requirements of this Section 26, follow the requirements of Chapter 171 of the
Local Government Code regarding conflicts of interest of officers of municipalities, counties, and certain other local
governments.
E. Failure to maintain written standards of conduct and to follow and enforce the written standards is a condition of
default under this Contract and may result in termination of the Contract or deobligation of funds.
SECTION 27. POLITICAL ACTIVITY PROHIBITED
A. None of the funds provided under this Contract shall be used for influencing the outcome of any election, or the
passage or defeat of any legislative measure. This prohibition shall not be construed to prevent any state official or
employee from furnishing to any member of its governing body upon request, or to any other local or state official or
employee, or to any citizen, information in the hands of the employee or official not considered under law to be
confidential information.
B. No funds provided under this Contract may be used directly or indirectly to hire employees or in any other way fund
or support candidates for the legislative, executive, or judicial branches of government, the State of Texas, or the
government of the United States.
SECTION 28. NON-DISCRIMINATION AND EQUAL OPPORTUNITY
A. A person shall not be excluded from participation in, be denied the benefits of, be subjected to discrimination under,
or be denied employment in the administration of or in connection with any program or activity funded in whole or in
part with funds made available under this Contract, on the grounds of race, color, religion, sex, national origin, age,
disability, political affiliation or belief.
B. Subrecipient agrees to carry out an Equal Employment Opportunity Program in keeping with the principles as
provided in President's Executive Order 11246 of September 24, 1965.
C. Subrecipient must meet the standards under (i) Section 504 of the Rehabilitation Act of 1973 (5 U.S.C. §794) Titles 11
and III of the Americans with Disabilities Act (42 U.S.C. §§12131-12189; 47 U.S.C. §§155, 201, 218 and 255) as
implemented by U. S. Department of Justice at 28 CFR Parts 35 and 36.
D. Subrecipients shall operate each program or activity receiving financial assistance so that the program or activity,
when viewed in its entirety, is readily accessible and usable by individuals with disabilities. Subrecipients are also
required to provide reasonable accommodations for persons with disabilities.
E. Subrecipient will include the substance of this Section 28 in all subcontracts.
Page 9 of 23
SECTION 29. CERTIFICATION REGARDING CERTAIN DISASTER RELIEF CONTRACTS
The Department may not award a Contract that includes proposed financial participation by a person who. during the five
year period preceding the date of this Contract, has been convicted of violating a federal law in connection with a contract
awarded by the federal government for relief, recovery, or reconstruction efforts as a result of Hurricane Rita, as defined
by Section 39.459, Utilities Code, Hurricane Katrina, or any other disaster occurring after September 24, 2005; or assessed
a penalty in a federal, civil or administrative enforcement action in connection with a contract awarded by the federal
government for relief, recovery, or reconstruction efforts as a result of Hurricane Rita, as defined by Section 39.459,
Utilities Code, Hurricane Katrina, or any other disaster occurring after September 24, 2005.
By execution of this Contract, the Subrecipient/Local Operator hereby certifies that it is eligible to participate in this
Program and acknowledges that this Contract may be terminated and payment withheld if this certification is inaccurate.
SECTION 30. NIAINTENANCE OF EFFORT
Funds provided to Subrecipient under this Contract may not be substituted for funds or resources from any other source
nor in any way serve to reduce the funds or resources which would have been available to, or provided through,
Subrecipient had this Contract never been executed.
SECTION 31. DEBARRED AND SUSPENDED PARTIES
By signing this Contract, Subrecipient certifies that none of its principal employees, board members, agents, or contractors
agents are included in the Excluded Parties List System (EPLS) maintained by the General Services Administration (GSA)
as provided in the Certification Regarding Debarment, Suspension and Other Responsibility Matters attached hereto as
Addendum D and incorporated herein for all relevant purposes. The terms "covered transaction", "debarred",
"suspended", "ineligible", `lower tier covered transaction", "participant", "person", "primary covered transaction",
..principal", "proposal", and "voluntarily excluded", as used in the certification attached as Addendum D, have the
meaning set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. Subrecipient also
certifies that it will not knowingly award any funds provided by this Contract to any person who is proposed for debarment
under 48 CFR Part 9, subpart 9.4 or that is debarred, suspended, or otherwise excluded from or ineligible for participation
in federal assistance programs under Executive Order 12549. Subrecipient agrees that prior to entering into any agreement
with a potential subcontractor that the verification process to comply with this requirement will be accomplished by
checking the System for Award Management (SAM) at www.sam.gov and including a copy of the results in its project
files. Subrecipient may decide the frequency by which it determines the eligibility of its subcontractors. Subrecipient may
rely upon a certification of a prospective subcontractor that is not proposed for debarment under 48 CFR part 9, subpart
9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless Subrecipient knows that
the certification is erroneous. Failure of Subrecipient to furnish the certification attached hereto as Addendum D or an
explanation of why it cannot provide said certification shall disqualify Subrecipient from participation under this Contract.
The certification or explanation will be considered in connection with the Department's determination whether to continue
with this Contract. Subrecipient shall provide immediate written notice to Department if at any time Subrecipient learns
that the certification was erroneous when submitted or has become erroneous by reason of changed circumstances.
Subrecipient further agrees by executing this Contract that it will include the certification provision titled "Certification
Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusive -Subcontracts," as set out in Addendum D,
without modification, and this language under this Section 31, in all its subcontracts.
SECTION 32. FAITH BASED AND SECTARIAN ACTIVITY
Funds provided under this Contract may not be used for sectarian or explictly religious activities such as worship, religious
instruction or prose lytization, and must be for the benefit of persons regardless of religious affiliation. Subrecipient shall
comply with the regulations promulgated by the U. S. Department of Health and Human Services ("HHS") at 45 CFR Part
87.
SECTION 33. COPYRIGHT
Subrecipient may copyright materials developed in the performance of this Contract or with funds expended under this
Contract. Department and HHS shall each have a royalty -free, nonexclusive, and irrevocable right to reproduce. publish,
or otherwise use, and to authorize others to use, the copyrighted work for government purposes.
Page 10 of 23
SECTION 34. NO WAIVER
Any right or remedy given to Department by this Contract shall not preclude the existence of any other right or remedy,
nor shall any action taken in the exercise of any right or remedy be deemed a waiver of any other right or remedy. The
failure of Department to exercise any right or remedy on any occasion shall not constitute a waiver of Department's right to
exercise that or any other right or remedy at a later time.
SECTION 35. SEVERABILITY
If any section or provision of this Contract is held to be invalid or unenforceable by a court or administrative tribunal of
competent jurisdiction, the remainder shall remain valid and binding.
SECTION 36. ORAL AND WRITTEN AGREEMENTS
A. All oral and written agreements between the Parties relating to the subject matter of this Contract have been reduced to
writing and are contained in this Contract.
B. The attachments enumerated and denominated below are a part of this Contract and constitute promised performances
under this Contract:
I. Addendum A - Certification Regarding Lobbying for Contracts, Grants, Loans, and Cooperative Agreements
2. Addendum B - Certification Regarding Drug -Free Workplace Requirements
3. Addendum C - Certification Regarding Environmental Tobacco Smoke
4. Addendum D - Certification Regarding Debarment, Suspension and Other Responsibility Matters
5. Exhibit A - Budget
6. Exhibit B - PRWORA Requirements for the Comprehensive Energy Assistance Program
SECTION 37. SPECIAL CONDITIONS
A. In order to achieve compliance with the LIHEAP Act, Subrecipient must coordinate with other energy related
programs. Specifically, Subrecipient must make documented referrals to the local Weatherization Assistance Program
subrecipient and, if operational, the Lite Up Texas program administered by the Public Utility Commission of Texas.
B. Subrecipient shall accept applications for CEAP benefits at sites that are geographically accessible to all Households
in the service area. Subrecipient shall provide Elderly Persons and Persons with Disabilities who cannot
independently travel to the application site the means to submit applications for CEAP benefits without leaving their
residence or by securing transportation for them to the sites that accept such applications.
SECTION 38. APPEALS PROCESS
In compliance with the LIHEAP Act, Subrecipient must provide an opportunity for a fair administrative hearing to
individuals whose application for assistance is denied, terminated or not acted upon in a timely manner. Subrecipient must
establish a denial of service complaint procedure in accordance with Section 6.8 the State Rules.
SECTION 39. USE OF ALCOHOLIC BEVERAGES
Funds provided under this Contract may not be used for the payment of salaries to any Subrecipient's employees who use
alcoholic beverages while on active duty, for travel expenses expended for alcoholic beverages, or for the purchase of
alcoholic beverages.
SECTION 40. FORCE NIAJURE
If the obligations are delayed by the following, an equitable adjustment will be made for delay or failure to perform hereunder:
A. Any of the following events: (i) catastrophic weather conditions or other extraordinary elements of nature or acts of
God; (ii) acts of war (declared or undeclared), (iii) acts of terrorism, insurrection, riots, civil disorders, rebellion or
sabotage; and (iv) quarantines, embargoes and other similar unusual actions of federal, provincial, local or foreign
Governmental Authorities; and
B. The non -performing party is without fault in causing or failing to prevent the occurrence of such event, and such
occurrence could not have been circumvented by reasonable precautions and could not have been prevented or
circumvented through the use of commercially reasonable alternative sources, workaround plans or other means.
Page 1 l of 23
SECTION 41. ALTERNATIVE DISPUTE RESOLUTION
In accordance with Section 2306.082 of the Texas Government Code, it is the Department's policy to encourage the use of
appropriate alternative dispute resolution procedures ("ADR") under the Governmental Dispute Resolution Act and the
Negotiated Rulemaking Act (Chapters 2009 and 2006 respectively, Texas Government Code), to assist in the fair and
expeditious resolution of internal and external disputes involving the Department and the use of negotiated rulemaking
procedures for the adoption of Department rules. As described in Chapter 154, Civil Practices and Remedies Code, ADR
procedures include mediation. Except as prohibited by Department's ex parte communications policy, Department
encourages informal communications between Department staff and the Subrecipient, to exchange information and
informally resolve disputes. Department also has administrative appeals processes to fairly and expeditiously resolve
disputes. If at any time the Subrecipient would like to engage Department in an ADR procedure, the Subrecipient may
send a proposal to Department's Dispute Resolution Coordinator. For additional information on Department's ADR
policy, see Department's Alternative Dispute Resolution and Negotiated Rulemaking at 10 TAC § 1.17.
SECTION 42. TIME IS OF THE ESSENCE
Time is of the essence with respect to Subrecipient's compliance with all covenants, agreements, terms and conditions of
this Contract.
SECTION 43. COUNTERPARTS AND FACSIINIILE SIGNATURES
This Contract may be executed in one or more counterparts each of which shall be deemed an original but all of which
together shall constitute one and the same instrument. Signed signature pages may be transmitted by facsimile or other
electronic transmission, and any such signature shall have the same legal effect as an original.
SECTION 44. NUMBER, GENDER
Unless the context requires otherwise, the words of the masculine gender shall include the feminine, and singular words
shall include the plural.
SECTION 45. NOTICE
A. If a notice is provided concerning this Contract, notice may be given at the following (herein referred to as
"Notice Address"):
As to Department:
TEXAS DEPARTMENT OF HOUSING AND COMMUNITY AFFAIRS
P. 0. Box 13941
Austin, Texas 78711-3941
Attention: Michael De Young
Telephone: (512)- 475-2125
Fax: (512) - 475-3935
michael.deyoung rrtdhca.state. tx.us
As to Subrecipient:
City of Lubbock
PO Box 2000
Lubbock, TX 79457
Attention: Karen Murfee, Executive Director
Telephone: (806) 775-2301 Fax: (806) 775-3917 Email: kmurfee a mail.ci.lubbock.tx.us
B. All notices or other communications hereunder shall be deemed given when delivered, mailed by overnight service,
or five days after mailing by certified or registered mail, postage prepaid, return receipt requested, addressed to the
appropriate Notice Address as defined in the above Subsection A of this Section 45.
SECTION 46. VENUE AND JURISDICTION
This Contract is delivered and intended to be performed in the State of Texas. For purposes of litigation pursuant to this
Contract, venue shall lie in Travis County, Texas.
Page 12 of 23
EXECUTED to be effective on January 01, 2017
SUBRECIPIENT:
City of Lubbock
a political subdivision of the State of Texas
By:
Title:
Date:
DEPARTMENT:
TEXAS DEPARTMENT OF HOUSING AND COMMUNITY AFFAIRS,
a public and official agency of the State of Texas
By:
Title: Its duly authorized officer or representative
Date:
Page 13 of 23
TEXAS DEPARTMENT OF HOUSING AND COMMUNITY AFFAIRS
CONTRACT NUMBER 58170002579
FY 2017 COMPREHENSIVE ENERGY ASSISTANCE PROGRAM (CEAP)
(CFDA # 93.568)
ADDENDUM A
CERTIFICATION REGARDING LOBBYING FOR
CONTRACTS, GRANTS, LOANS, AND COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of its knowledge and belief, that:
No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan,
or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit standard form -LLL, "Disclosure Form to Report
Lobbying", in accordance with its instructions.
3. The undersigned shall require that the language of this certification be included in the award documents for all
sub -awards at all tiers (including subcontracts, sub -grants, and contracts under grants, loans, and cooperative
agreements) and that all sub -recipients shall certify and disclose accordingly.
This certification is material representation of fact on which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section
1352, Title 31 of the U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of
not less than $10,000 and not more than $100,000 for each such failure.
STATEMENT FOR LOAN GUARANTEES AND LOAN INSURANCE
The undersigned states, to the best of its knowledge and belief, that:
If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall
complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
Submission of this statement is a prerequisite for making or entering into this transaction imposed by Section 1352, Title
31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
SUBRECIPIENT:
City of Lubbock
a political subdivision of the State of Texas
By:
Title:
Date:
Page 14 of 23
TEXAS DEPARTMENT OF HOUSING AND COINIINJUNITY AFFAIRS
CONTRACT NUMBER 58170002579
FY 2017 COMPREHENSIVE ENERGY ASSISTANCE PROGRAM (CEAP)
(CFDA # 93.568)
ADDENDUM B
CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS
This certification is required by the regulations implementing the Drug -Free 6orkplace Act of 1988: 45 CFR Part 76,
Subpart, F. Sections 76.630(c) and (d)(2) and 76.645 (a)(1) and (b) provide that a Federal agency may designate a
central receipt point for STATE-111DE AND STATE ACENCI' 1V1DE certifications, and for notification of criminal drug
convictions. For the Department of Health and Human Services, the central point is: Division of Grants Alanagement and
Oversight, Office of Xianagemeni and Acquisition, Department of Health and Human Services, Room 517-D, 200
Independence Avenue, S►V 6Vashington, DC 20201.
The undersigned certifies that it will or will continue to provide a drug -free workplace by:
(a) Publishing a statement notifying employees 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 violation of such prohibition;
(b) Establishing an ongoing drug -free awareness program to inform employees about-
(l) 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 employees for drug abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the
statement required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the
grant, the employee will-
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the
workplace no later than five calendar days after such conviction;
(e) Notifying the agency in writing, within 10 calendar days after receiving notice under paragraph (d)(2) from an
employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide
notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee
was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall
include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days of receiving notice under paragraph (d)(2), with
respect to any employee who is so convicted-
(1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with
the requirements of the Rehabilitation Act of 1973, as amended: or
(2) Requiring such employee to participate satisfactorily 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;
(g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs
(a), (b), (c), (d), (e) and (f).
Place(s) of Performance [site(s) for the performance of work done in connection with the specific grant] (include street
address, city, county, state, zip code):
City of Lubbock
1625 13th St
Lubbock, TX 794013830
Page 15 of 23
Workplace identifications must include the actual address of buildings (or parts of buildings) or other sites where work
under the grant takes place. Categorical descriptions may be used (e.g., all vehicles of a mass transit authority or State
highway department while in operation, State employees in each local unemployment office, performers in concert
halls or radio studios). If Subrecipient does not identify the workplaces at the time of application, or upon award, if
there is no application, the Subrecipient must keep the identity of the workplace(s) on file in its office and make the
information available for Federal inspection. Failure to identify all known workplaces constitutes a violation of the
Subrecipient's drug -free workplace requirements.
This certification is a material representation of fact upon which reliance is placed when the Department awards the grant.
If it is later determined that Subrecipient knowingly rendered a false certification, or otherwise violates the requirements of
the Drug -Free Workplace Act, Department, in addition to any other remedies available to the Federal Government, may
take action authorized under the Drug -Free Workplace Act.
SUBRECIPIENT:
City of Lubbock
a political subdivision of the State of Texas
By:
Title:
Date:
Page 16 of 23
TEXAS DEPARTMENT OF HOUSING AND CONINIUNITY AFFAIRS
CONTRACT NUMBER 58170002579
FY 2017 COMPREHENSIVE ENERGY ASSISTANCE PROGRAM (CEAP)
(CFDA # 93.568)
ADDENDUM C
CERTIFICATION REGARDING ENVIRONMENTAL TOBACCO SMOKE
The undersigned certifies to the following:
Public Law 103227, Part C Environmental Tobacco Smoke, also known as the Pro Children Act of 1994, requires that
smoking not be permitted in any portion of any indoor facility routinely owned or leased or contracted for by an entity
and used routinely or regularly for provision of health, day care, education, or library services to children under the
age of 18, if the services are funded by Federal programs either directly or through State or local governments, by
Federal grant, contract, loan, or loan guarantee. The law does not apply to children's services provided in private
residences, facilities funded solely by Medicare or Medicaid funds, and portions of facilities used for inpatient drug or
alcohol treatment. Failure to comply with the provisions of the law may result in the imposition of a civil monetary
penalty of up to $1000 per day and/or the imposition of an administrative compliance order on the responsible entity.
By signing and submitting this Contract the Subrecipient certifies that it will comply with the requirements of the Act.
The applicant/grantee further agrees that it will require the language of this certification be included in any subawards
which contain provisions for the children's services and that all subgrantees shall certify accordingly.
SUBRECIPIENT:
City of Lubbock
a political subdivision of the State of Texas
By:
Title:
Date:
Page 17 of 23
TEXAS DEPARTMENT OF HOUSING AND COMMUNITY AFFAIRS
CONTRACT NUMBER 58170002579
FY 2017 COMPREHENSIVE ENERGY ASSISTANCE PROGRAM (CEAP)
(CFDA # 93.568)
ADDENDUM D
CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER
RESPONSIBILITY MATTERS
The undersigned certifies, to the best of its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any
Federal department or agency;
(b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or
performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or
State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or
local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and
(d) Have not within a three-year period preceding this application/proposal had one or more public transactions
(Federal, State or local) terminated for cause or default.
Where the undersigned Subrecipient is unable to certify to any of the statements in this certification, such Subrecipient
shall attach an explanation of why it cannot provide said certification to this Contract.
The undersigned Subrecipient further agrees and certifies that it will include the below clause titled "Certification
Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Subcontracts/Lower Tier Covered Transaction,"
without modification, in all subcontracts and in all solicitations for subcontracts:
"CERTIFICATION REGARDING DEBARMENT, SUSPENSION, /NELIGIBILITYAND VOLUNTARY
EXCLUSION-SUBCONTRACTS/LOWER TIER COVERED TRANSACTIONS
(1) The prospective lover tier participant/subconlractor certifies, by submission of this proposal, that neither it nor
its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded
from participation in this transaction by any Federal department or agency.
(2) Where the prospective lower tier participant'subcontractor is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
LOWER TIER PARTICIPANT/SUBCONTRACTOR:
[Signal ure]
Printed btame:'
Title:
Date: "
This certification is a material representation of fact upon which reliance is placed when the Department awards the grant. If
it is later determined that Subrecipient knowingly rendered an erroneous certification, in addition to any other remedies
available to the Federal Government, the Department may terminate this Contract for cause or default.
SUBRECIPIENT:
City of Lubbock
a political subdivision of the State of Texas
By:
Title:
Date:
Page 18 of 23
TEXAS DEPARTMENT OF HOUSING AND COMNIUNITY AFFAIRS
CONTRACT NUMBER 58170002579
FY 2017 COMPREHENSIVE ENERGY ASSISTANCE PROGRAM (CEAP)
(CFDA # 93.568)
EXHIBIT A
BUDGET
City of Lubbock
a political subdivision of the State of Texas
DEPARTMENT FINANCIAL OBLIGATIONS
$ 976,879.00 CEAP FUNDS CURRENTLY AVAILABLE
C 1 Win fin TRAINING TRAVEL ALLOWANCE FUNDS CURRENTLY AVAILABLE
BUDGET FOR AVAILABLE ALLOCATIONS
BUDGET CATEGORY
FUNDS
%
-
-
-
Administration
$ 70,492.00
Direct Services
$ 905,187.00
TOTAL CEAP BUDGET
$ 975,679.00
BUDGET CATEGORY FUNDS %
Household Crisis $ 392,444.00 43.36
Utility Assistance $ 392,443.00 43.35
Program Services $ 120,300.00 13.29
TOTAL DIRECT SERVICES $ 905,187.00 100.00
Subrecipient's service area consists of the following Texas counties:
LUBBOCK
General Administrative and coordination of CEAP, including costs and all indirect (or overhead) cost, examples include
salaries, fringe benefits, non -training travel, equipment, supplies, audit and office space are limited to 7.22% of the
Contract expenditures, excluding Training/Travel costs. All other administrative costs, exclusive of costs for program
services, must be paid with nonfederal funds.
Page 19 of 23
Program services costs shall not exceed the maximum 13.29%. Program services cost includes direct administrative cost
associated with providing the client direct service salaries and benefits cost for staff providing program services, cost for
supplies, equipment, travel, postage, utilities, rental of office space. All items listed above are allowable program services
cost when associated with providing client direct services. Other program services costs may include outreach activities
and expenditures on the information technology and computerization needed for tracking or monitoring required by CEAP.
Department's prior written approval for purchase or lease of equipment with an acquisition cost of $5,000 and over is
required. Approval of this budget does not constitute prior approval for such purchases.
Funds may not be used for the purchase or improvement of land, or the purchase, construction, or permanent improvement
of any building or facility.
Subrecipient is limited to only one budget revision request during the first 6 months of the Contract Term. A second and
final budget revision must be received by the Department no later than 45 days prior to the end of the Contract Term.
Subrecipient shall provide outreach services under all components in this category. Failure to do so may result in Contract
termination. Subrecipient must document outreach, whether the outreach is conducted with CEAP funds or other funds.
Page 20 of 23
TEXAS DEPARTMENT OF HOUSING AND COMMUNITI AFFAIRS
CONTRACT NUMBER 58170002579
FY 2017 COMPREHENSIVE ENERGY ASSISTANCE PROGRAM (CEAP)
(CFDA # 93.568)
EXHIBIT B
PRWORA REQUIREMENTS
City of Lubbock
a political subdivision of the State of Texas
If an individual is applying for LIHEAP funds, a subrecipient must verify that the individual applying for LIHEAP funds is
a qualified recipient for funding under the Personal Responsibility and Work Opportunity Act of 1996, ("PRWORA"),
Pub. L. 104-193, 110 Stat. 2105, codified at 8 U.S.C. §1601 et. seq., as amended by the Omnibus Appropriations Act,
1997, Pub. L. 104-208.
To ensure that a non -qualified applicant does not receive "federal public benefits," a unit of general purpose government
that administers "federal public benefit programs" is required to determine, and to verify, the individual's alienage status
before granting eligibility. 8 U.S.C. §1642 (a) and (b). Subrecipient must use the SAVE verification system to verify and
document qualified alien eligibility once access to the system is provided by the Department.
An exception to the requirement of verification of alienage status applies when the applicant's eligibility is determined by a
non-profit charitable organization. To be eligible for this exemption, an organization must be both "nonprofit" and
"charitable." If Subrecipient claims "non-profit, charitable status Subrecipient shall supply TDHCA with any requested
information Department believes is necessary to verify that Subrecipient is a non-profit charitable organization. An
organization is "nonprofit" if it is organized and operated for purposes other than making gains or profits for the
organization, its member or its shareholders, and is precluded from distributing any gains or profits to its members or
shareholders. Simply holding a valid 501(c)(x) designation is not sufficient. An organization is "charitable" if it is
organized and operated for charitable purposes. The term "charitable" should be interpreted in its generally accepted legal
sense as developed by judicial decisions. It includes organizations dedicated to relief of the poor and distressed or the
underprivileged, as well as religiously -affiliated organizations and educational organizations.
CERTIFICATION REGARDING USE OF THE SYSTEMATIC ALIEN VERIFICATION FOR
ENTITLEMENTS (SAVE) SYSTEM
Subrecipient shall:
(1) System Use.
(a) Establish the identity of the applicants and require each applicant to present the applicant's immigration or
naturalization documentation that contains the information (e.g., alien registration number) required by the SAVE
Program;
(b) Physically examine the documentation presented by the applicant and determine whether the document(s) reasonably
appear(s) to be genuine and to relate to the individual;
(c) Provide to the SAVE Program the information the SAVE Program requires to respond to Subrecipient requests for
verification of immigration or naturalized or derived citizenship status information, including (1) information from the
applicant's immigration or naturalization documentation for initial automated verification, (2) additional information
obtained from the alien's immigration or naturalization documentation for automated additional verification, and (3)
completed Forms G-845 and other documents and information required for manual additional verification. For manual
only verification, ensure that Forms G-845 and other documents and information required for manual verification are
provided;
(d) Ensure that, prior to using the Verification Information System, all employees designated by Subrecipient to use SAVE
on behalf of the Subrecipient ("Users") performing verification procedures complete SAVE required training including:
reading the SAVE Program Guide, taking the latest version of Web tutorial(s).
http://%vww.uscis.gov/save/what-save/save-webinars, and maintaining a working knowledge of requirements contained
therein and in this Contract as updated. Documentation of training must be maintained by the Subrecipient for monitoring
review:
(e) Ensure that Users are provided with and maintain User Ids only while they have a need to perform verification procedures;
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(f) Ensure all Users performing verification procedures comply with all requirements contained in the SAVE Program
Guide, web -based tutorial, this Contract, and updates to these requirements;
(g) Ensure that all Users performing verification procedures have contact information for the SAVE Program and SAVE
Monitoring and Compliance. Contact information can be found at
http://www.uscis.2ov/portal/site/uscis/menuitem.ebId4c2a3e5b9ac89243c6a7543f6dIa/?
vgnextoid=Od37dffd7902931OVgnVCM 100000082ca60aRCRD&vgnextchannel=Od37dffd790293I0VgnVCM 100000082
ca60aRCRD
(h) Ensure all Users perform any additional verification procedures the SAVE Program requires and/or the applicant
requests after the Subrecipient initiates a request for verification;
(i) Use any information provided by DHS-USCIS under this Contract solely for the purpose of determining the eligibility
of persons applying for the benefit issued by the Subrecipient and limit use of such information in accordance with this and
all other provisions of this Contract;
Q) Comply with the requirements of the Federal Information Security Management Act (FISMA (PL-107-347), Title 111,
Section 301) and OMB guidance as applicable to electronic storage, transport of records between agencies, and the
internal processing of records received by either agency under the terms of this Contract;
(k) Safeguard such information and access methods to ensure that it is not used for any other purpose than described in this
Contract and protect its confidentiality; including ensuring that it is not disclosed to any unauthorized person (s) without the
prior written consent of DHS-USCIS. Each applicant seeing access to information regarding him/herself may do so by
submitting a written signed request to DHS-USCIS. Instructions for submitting request may be found at
http://www.uscis.gov/USCIS/Verification/SAVE/SAVE Native Documents/Fact Sheet HowToCorrectYourRecordswith
USCIS.pdf (subject to revision and reposting on the SAVE Website and Online Resources);
(1) Comply with the Privacy Act, 5 U.S.C. §552a, the Texas Public Information Act and other applicable laws, regulations,
and policies, including but not limited to all OMB and DHS privacy guidance, in conducting verification procedures
pursuant to this Contract, and in safeguarding, maintaining, and disclosing any data provided or received pursuant to the
Contract;
(m) Comply with federal laws prohibiting discrimination against applicants and discriminatory use of the SAVE Program
based upon the national origin, color, race, gender, religion, or disability of the applicant;
(n) Provide all benefit -applicants who are denied benefits based solely or in part on the SAVE response with adequate
written notice of the denial and the information necessary to contact DHS-USCIS so that such individual may correct their
records in a timely manner, if necessary. A Fact Sheet that includes the process by which applicants may contact
D H S - U S C I S i s p o s t e d a t
http://www.uscis.gov/USCIS/Verification/SAVE/SAVE Native Documents/Fact Sheet HowToCorrectYourRecordswith
USCIS.pdf, (subject to revision and reposting on the SAVE Website and Online Resources);
(o) Provide all benefit -applicants who are denied benefits based solely or in part on the SAVE response with the
opportunity to use the Subrecipient's existing process to appeal the denial and to contact DHS-USCIS to correct their
records prior to a final decision, if necessary; and
(p) Refrain from using SAVE, or assisting any person or entity, to comply with the employment eligibility verification
requirements of section 274A of the Immigration and Nationality Act, 8 U.S.C. Section 1324a.
(2) Monitoring and Compliance.
(a) Allow Department and SAVE Monitoring and Compliance to monitor and review all records and documents related to
the use, abuse.. misuse, fraudulent use or improper use of SAVE by the Subrecipient, including, but not limited to original
applicant consent documents required by the Privacy Act, 5 U.S.C. §552a or other applicable authority;
(b) Notify the Department's Compliance Division immediately whenever there is reason to believe a violation of this
agreement has occurred;
(c) Notify the Department's Compliance Division immediately whenever there is reason to believe an information breach
has occurred as a result of User or Subrecipient action or inaction pursuant to Office of Management and Budget (OMB)
Memorandum M-07-16, "Safeguarding Against and Responding to the Breach of Personally Identifiable Information:"
(d) Allow Department and SAVE Monitoring and Compliance to monitor and review all records and documents related to
the use, abuse, misuse, fraudulent use or improper use of SAVE by any User, including, but not limited to original
applicant consent documents required by the Privacy Act, 5 U.S.C. §552a or other applicable authority;
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(e) Allow Department and SAVE Monitoring and Compliance to conduct desk audits and/or site visits to review
Subrecipient's compliance with this Exhibit C and all other SAVE -related policy, procedures, guidance and law applicable
to conducting verification and safeguarding, maintaining, and disclosing any data provided or received pursuant to this
Contract:
(f) Allow Department and SAVE Monitoring and Compliance to perform audits of Subrecipient's User Ids use and access,
SAVE Training Records, SAVE financial records, SAVE biographical information, system profiles and usage patterns and
other relevant data:
(g) Allow Department and SAVE Monitoring and Compliance to interview any and all Users and any and all contact
persons or other personnel within the Subrecipient's organization or relevant contractors regarding any and all questions or
problems which may arise in connection with the Subrecipient's participation in SAVE;
(h) Allow Department and SAVE Monitoring and Compliance to monitor system access and usage and to assist SAVE
users as necessary to ensure compliance with the terms of this Exhibit C and the SAVE Program requirements by its
authorized agents or designees; and
(i) Take corrective measures in a timely manner to address all lawful requirements and recommendations on every written
finding including but not limited to those of the Department or SAVE Monitoring and Compliance regarding waste, fraud,
and abuse, and discrimination or any misuse of the system, non-compliance with the terms, conditions and safeguards of
this Exhibit C, SAVE Program procedures or other applicable law, regulation or policy.
Criminal Penalties.
(1) DHS-USCIS reserves the right to use information from TDHCA or Subrecipient for any purpose permitted by law,
including, but not limited to, the prosecution of violations of Federal administrative or criminal law.
(2) The Subrecipient acknowledges that the information it receives from DHS-USCIS is governed by the Privacy Act, 5
U.S.C. §552a(i)(1), and that any person who obtains this information under false pretenses or uses it for any purpose other
than as provided for in this Contract may be subject to criminal penalties.
Third Party Liability.
(1) Each party to this contract shall be solely responsible for its own defense against any claim or action by third parties
arising out of or related to the execution and/or performance of this contract, whether civil or criminal, and retain
responsibility for the payment of any corresponding liability.
(2) Nothing in this contract is intended, or should be construed, to create any right or benefit, substantive or procedural,
enforceable at law by any third party against the United States, its agencies, officers, or employees, the State of Texas, its
agencies, officers, or employees, or the Subrecipient.
Points of Contact
Michael De Young
Director of Community Affairs Division
Texas Department of Housing and Community Affairs
Community Affairs Division
P.O. Box 13941
Austin, TX 7871 I-3941
Phone: (512) 475-2125
Email: michael.deyoungna tdhca.state.tx.us
USCIS SAVE Program MS 2620
U.S. Citizenship and Immigration Services
Department of Homeland Security
Washington, DC 20529-2620
ATTN: SAVE Operations
Phone: (888) 464-4218
Email: savereeistration n,dhs.Qov
USCIS SAVE Monitoring and Compliance MS 2640
U.S. Citizenship and Immigration Services
Department of Homeland Security
Washington, DC 20529-2640
Phone: (888) 464-4218
Email: save.monitoring a.dhs.gov
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