Northampton CBDG Policy and Appendices 2023
The City Of Northampton
Community Development Block Grant
Policy Manual
Last Updated: January 2023
Introduction This manual is a guide for procedures in administration of the CDBG grant in Northampton and brief overview of the CDBG regulations. Detailed information of applicable federal, state and local rules and regulations and/or reporting requirements, see the references and links listed within this document. The Community Development Block Grant (CDBG) Program is authorized through Title I of the Housing and Community Development Act of 1974, as amended. The City of Northampton is a culturally and economically diverse community and has received a yearly entitlement from, and has contracted with, the U.S. Department of Housing and Urban Development (HUD) to implement the program as set forth in the regulations 24 CFR 570 since 1985. The primary objective of the CDBG Program is the development of viable urban communities by providing decent housing, a suitable living environment, and expanding economic opportunities, principally for persons with low- and moderate-income. National Objectives All activities must meet one of the three National Objectives under 24 CFR 570.208:
• Benefit to low- and moderate-income (LMI) persons
• Aid in the prevention or elimination of slums or blight
• Meet urgent community development needs At least 70% of the overall funds spent over a one, two- or three-year period, as determined by the grantee, and must be used to carry out activities that benefit LMI persons. The City of Northampton determines the 70% benefit to follow the 5-Year Consolidated Plan Schedule. The current periods are:
• 2021 – 2023
• 2024 – 2025 (finish current Con Plan)
• 2025 – 2028 (1st three years of new Con Plan)
• 2028 – 2030 (last two years of new Con Plan)
Criteria for how a CDBG-funded activity is considered to benefit low- and moderate- income persons are divided into four subcategories:
• Limited Clientele Activities (LMC)
• Area Benefit Activities (LMA) -must be available to all residents of an area of which 51%
must be LMI Housing Activities (LMH)
• Job Creation and Retention Activities (LMJ)
Eligible Activities (24 CFR 570.201 – 24 CFR 570.206) CDBG funds may be used for the following activities:
• Acquisition of Real Property
o Costs that may be paid for with CDBG funds under this category [acquisition of
property] include the cost of surveys to identify the property to be acquired, appraisals,
the preparation of legal documents, recordation fees, and other costs that are necessary
to effect the acquisition
• Housing Rehabilitation Public Facilities and Improvements (e.g. water and sewer facilities,
streets, shelters)
• Removal of Architectural Barriers restricting accessibility of people with disabilities
• Public Services (subject to 15% cap of yearly allocation)
• Clearance and Remediation activities
• Homeownership Assistance
• Technical Assistance
• Economic Development Activities
• Relocation and Demolition
• Planning and Administration (subject to 20% cap of yearly allocation)
o Eligible planning, urban environmental design, and policy-planning-management-
capacity building activities for:
Small area and neighborhood plans
Capital improvements programs
Individual project plans (but excluding engineering and design costs related to
a specific activity which are eligible as part of the cost of such activity under
§§ 570.201-570.204)
o Ineligible planning activities
Engineering, architectural and design costs related to a Specific Project
Other costs of implementing plans
These costs may be eligible as a part of an eligible Project/Activity
Ineligible Activities (24 CFR 570.207) In general, any activity not authorized under the provisions of CFR 570.201 through 570.206 is not eligible to be assisted with CDBG funds. The following activities cannot be funded through CDBG:
• Buildings or portions thereof, used for the general conduct of government
• General Government Expenses
• Political Activities
• Purchase of Equipment (570.207(b)(1)(i))
• Operating and Maintenance Expenses
• Furnishings and Personal Property
• New Housing Construction (570.207(b)(3))
• Income Payments (series of subsistence-type grant payments made to a family/individual for
food, clothing, housing (rent/mortgages) or utilities)
• But excludes emergency grant payments made over a period of up to three consecutive
months to the provider of such items or services on behalf of an individual or family
Public Services Cap No more than 15% of the annual grant allocation plus an amount no greater than 15% of the prior year’s program income may be used for Public Service activities as defined in 24 CFR 570.201(e)(1). Administration Cap No more than 20% of the annual grant allocation may be used for planning and/or administration plus 20% of the program income received during the program year as defined in 24 CFR 570.200(g). Limitations on Planning & Administrative Costs Grant funds are committed and disbursed in IDIS on a grant-specific basis using one of two methods. HUD has divided 24 CFR 570.200(g) into two distinct tests: Origin Year Test “No more than 20 percent of any origin year grant shall be expended for planning and
program administrative costs, as defined in 570.205 and 570.206… Expenditures of program income for planning and program administrative costs are excluded from this calculation.” Program Year Obligation Test “For all grants and recipients subject to subpart D (consultant activities), the amount of CDBG funds obligated during each program year for planning plus administrative costs, as
defined in 570.205 and 570.206…shall be limited to an amount no greater than 20% of the sum of the grant made for that program year (if any) plus the program income received by the recipient and its subrecipients (if any) during that program year. For origin year 2015 grants and subsequent grants, recipients must apply this test consistent with paragraph (g)(1) of this section.” Funds from a grant of any origin year may be used to pay planning and program administrative costs associated with any grant of any origin year. Income Guidelines At least 51% of the program participants must have low- and moderate-incomes as determined by HUD income limits. The City of Northampton is part of the Springfield, Metropolitan Statistical Area (MSA) as of 2022. Eligibility is determined by the total income of the household. If the total household income falls below the 80% median income, the household can be considered eligible and be counted toward the 51% requirement. For conducting income surveys to ascertain whether or not a CDBG funded activity designed to benefit an area generally qualifies as primarily benefiting LMI persons. HUD regulations defines the term “extremely low-income” as 30% of the area median income.
• Check income limits in the spring of each year, prior to the award of contracts
• Send updated income limits to each subrecipient and attach to the subrecipient agreements
Certifying Microenterprise Owners as Low- and Moderate-Income For direct assistance microenterprise activities, a microenterprise assistance activity would meet the low/moderate income limited clientele national objective if the owner of the microenterprise is low-and moderate income. Collect family income, based on the size of the family. The type of documentation would depend on the definition of income selected. Grantee should develop written policies and procedures for determining and documenting income. Note that documentation for CDBG income qualification can be up to 12 months old (570.201(0)). Income self-certification are permissible pursuant to 24 CFR 570.506 (b) but their use is generally limited to documenting beneficiary income for public service activities and even more limited when there is a direct financial benefit to a recipient. Assistance to a microenterprise owner is considered a direct benefit and therefore entitlement grantees should not rely on self-certification of L/M income for microenterprise activities. Income eligibility determinations: For the purpose of determining whether a family is low- and moderate-income, grantees may select any of the three definitions.
• Annual Income as defined in accordance with 24 CFR Part 5.609
• Adjusted Gross Income as defined for purposes of reporting under Internal Revenue Service
(IRS) Form 1040 for individual Federal annual income tax purposes
• American Community Survey in CPD Income Calculator
Citizen Participation – Appendix B Purpose The Consolidated Plan regulations at 24 CFR 91.105 stipulate that grantees provide for and encourage public involvement in the development of any Consolidated Plan, Action Plan and any substantial amendment made to those plans. Each grantee is required to prepare a Citizen Participation Plan that details procedures for including the public in allocation and programming of funds. The Consolidated Plan can be three to five years in length. Northampton has chosen the five year option. The City’s Consolidated Plan describes a five-year strategy. HUD regulations require at least two public hearings be held during the planning process. There must be a 30-day comment period for citizen review and comment prior to submitting the Plan to HUD. Outreach and Public Hearings All public hearings are posted on the City’s website, in the local newspaper, across the City’s social media, and are held in a handicap accessible space. Reasonable accommodations are made for individuals with disabilities and language barriers. Legal ads are placed in the local newspaper and sent to City departments, local listservs, City Councilors, neighborhood associations, community groups, all current subrecipients, as well as, anyone who requests to receive notification during the program year.
Public hearings must also be held if there is a substantial change proposed to any Plan. All interested residents, agencies and organizations are encouraged to submit comments via email, phone or letter on any Plan or CAPER. All comments are considered in preparation of the Plans and included with each Plan and CAPER . Complaints and Response to Objections Complaints must be submitted in writing. The Community Development Planner will respond to citizen complaints by informal meeting to discuss the issue and offer clarification. If it not resolved through the meeting, the Community Development Planner will respond in writing within 45 days. Copies of the complaint and subsequent outcome will be sent to HUD. Schedule The City of Northampton’s CDBG Program Year begins July 1 and ends June 30. HUD requires the submission of the Consolidated Plan / Action Plan not be sent until an award letter has been received so actual allocation amounts are reflected in form SF-424. In some cases, this could delay the due date of May 15. Plans may be delayed 60 days after the date the allocation is announced or until August 16, whichever comes first (24 CFR 91.15). Failure to submit a Consolidated Plan / Action plan by the deadline will result in automatic loss of funding. This requirement is established by statute and HUD cannot be waived by HUD. Consolidated Plan / Action Plan Schedules are shown below: Action Other Information Date
Publication of legal ad for RFP availability and Public Hearings Distribution: Gazette, sub recipient list, website, and City calendar 2nd or 3rd week of November Focus Groups (Consolidated Plan only) 2-3 meetings Dec. to February
Publish Notice of Public Hearing for RFP and Priorities Distribution: Newspaper. website, & calendar one week before meeting
1st week of December
RFP Applications Due 4:30 pm online Mid-January
Review Applications and Conduct Interviews Public Service Advisory Committee and OPS staff January – February
Publish Draft Plan Summary and Notice of Public Hearing
Distribution: Newspaper, libraries, website, calendar 30-day comment period 2 weeks before hearing
Beginning of March
Draft Plan Hearing Northampton Middle of March Final Action Plan (including public comments) Staff review and finalizing - Approval from Mayor April – May
Submission to HUD
Due 45 days prior to start of the program year (July 1st) May 15th
Comment Period as Follows:
Consolidated Plan 30 Calendar days Annual Action Plan 15 Calendar days Substantial Amendment 30 Calendar days
CAPER 15 Calendar days
Selecting CDBG Funded Activities
The Public Services Advisory Committee (PSAC) considers all applications for public service
programs and interviews each agency to determine if the proposal addresses community need as
identified in the Consolidated Plan and makes funding recommendations to the Mayor. If the agency
received an award the prior year, sub-recipients are asked to report on program success from the prior
year. Programs that help address basic needs, such as food and shelter receive priority.
Community collaborations are encouraged and leveraging of other funds are another important part of
review criterion. Criterion also includes numbers served and whether the program addresses a gap in
the service delivery system. The review committee is comprised of a City Councilor, a member of the
Northampton Housing Partnership, a member of the Human Rights Commission, and others as
needed knowledgeable in community needs.
Housing projects apply on a rolling basis and are review by the Office of Planning & Sustainability
and the Northampton Housing Partnership for recommendation to the Mayor. Public facility
activities, infrastructure activities and economic development activities apply directly to the City’s
Planning & Sustainability office for approval by the Mayor. The decision to fund projects is
determined by fund availability, need, eligibility and consistency with the Consolidated Plan.
In developing the Plan, the City considers the needs of the community and all suggestions from residents and agencies with the goal of developing activities that help to improve the lives of its residents with limited means. Faith Based Activities HUD guidelines require equal treatment of faith-based organizations. In short, the notice provides direction on the following:
• Organizations may not use HUD funds to directly support inherently religious activities such as worship or religious instruction but if the organization does engage in such activities they must occur separately in time or location from the HUD-funded activities. • Faith-based organizations, like all organizations implementing HUD-funded programs, must not require a religious belief or activity as a condition of receiving benefits or participating in activities provided with HUD funds; all eligible beneficiaries must be served without regard to religion.
• Faith-based organizations, like other organizations, may receive HUD funds to acquire,
construct, or rehabilitate buildings and other real property however; an organization that engages in inherently religious activities must allocate its costs so the HUD funds are used only for eligible activities.
Draft Plan Since the actual allocation amount for the program year may not be known at the time the Draft Plan is written, it should include contingent language, such as “the City expects to receive approximately $XX on or about (date)” , and language explaining how the City will adjust its proposed plan once actual amount is known. In doing so, the potential need to conduct an additional citizen participated may be avoided. The City is required to publish a summary of the proposed Consolidated and Action Plans. The City publishes a summary in the Daily Hampshire Gazette on the City’s web site. There must be a 30-day period for citizen review and comment prior to submitting the Plan to HUD. Legal Ads Legal ads are sent to the Daily Hampshire Gazette and published soon after. Consolidated and Action Plans Consolidated Plan Every five years the City submits a Consolidated Plan outlining the City’s community needs, resources, and proposed activities to be undertaken in the next five years. HUD sends a checklist, which must include corresponding page numbers and sent with the Plan), to ensure all requirements are included. The Consolidated Plan must include:
• Description of the lead agency responsible for overseeing the development of the plan
• Description of the process undertaken by lead agency
• Housing and homeless needs assessment
• Housing market analysis
• Strategic plan
• Annual action plan
• Certifications (24 CFR Part 91.225)
o Affirmatively furthering fair housing
o Anti-displacement and relocation plan
o Anti-lobbying
o Authority of jurisdiction
o Consistency with plan
o Acquisition and relocation
• Description of monitoring procedures
• SF-424 with the actual award amount and signed by the Mayor
Action Plan Each year, the City submits an updated Action Plan to HUD describing specific planned use of CDBG funds for the program year. The Year 1 Action Plan is included with the Consolidated Plan. As with the Consolidated Plan, HUD will send a checklist for each Action Plan (which must be included with submittal) to ensure all statutory items are included. All Plans, legal ads and reports must be posted to the City’s website for public access. The Action Plan must include:
• Application form SF-424 with the actual award amount
• Executive Summary
• Description of Federal and other resources expected to be available
• Summary of annual objectives and outcomes expected
• Self-evaluation of past performance
• Description of activities to be undertaken to meet priority needs
• Expected outcome measures for proposed activities
• Description of the geographic distribution of funds
• Description of one-year goals for homeless and other special need activities
• Plans to remove barriers to affordable housing
• Other actions the grantee plans to address during the year including:
o Meeting underserved needs
o Fostering/ maintaining affordable housing
o Reducing lead-based paint hazards
o Developing institutional structure
o Enhancing coordination between public and private housing and social service
agencies
• Description of activities planned with use of program income and carry-over funds
• Certifications both general and program specific
• Broadband internet service providers, organizations engaged in narrowing the digital divide
(AP-10)
• Agencies whose primary responsibilities include the management of flood prone areas, public
land or water resources and emergency management agencies (AP-10)
Plan Review and Approval The City of Northampton is required to submit the Consolidated and/or Action Plan 45 days before the start of the program year. The program year begins July 1; the Plan must be submitted on or before May 15 or, if notice of the award is delayed, as noted in the Schedule section, no later 60 days after the notice or August 16, whichever comes first. HUD reviews the plan upon receipt and it will be deemed approved 45 days after HUD receives it, unless HUD notifies the City prior to the date that it is not approved. Once approved, HUD issues a Grant Agreement for City signatures; funds are released by Congress and uploaded into the IDIS system. Plan Amendments
When making the determination whether an amendment is a substantial amendment or a minor one, always check 24 CFR 91.505 and the City’s City Participation Plan. The City will amend the Consolidated Plan or Action Plan if one of the following occur:
• Change greater than 25% in the allocation priorities or method of distribution of funds
• Revision for use of funds (including program income) not previously described in the
Consolidated Plan or Action Plan
• Change the purpose, scope, location, or beneficiaries of an activity
• Proposal to fund an activity not identified the Consolidated Plan or Action Plan
Based on criteria identified in the City’s Citizen Participation Plan, a substantial amendment may be required. In this case, the City will adhere to the Citizen Participation Plan and engage the public in the decision-making process prior to amending the plan. Amendments must be sent to HUD for approval prior to expenditure of funds. Questions to ask to determine if a Substantial Amendment is needed:
• Does the replacement activity help meet the Goals from the Con Plan
• Has the replacement activity been identified in the current Action Plan
An amendment does not need to be performed if the subrecipient that the City chooses to perform an activity is switched. Unless it is specifically mentioned in the Citizen Participation Plan. Unless a citizen’s participation plan specifically states something different, a change in the subrecipient does not constitute a substantial amendment to the Annual action plan or Consolidated Plan. According to HUD, “HUD gives full discretion to the entitlement community to select a subrecipient with the capacity to perform the functions necessary to achieve the desired goal with CDBG funds. As such,
HUD leaves it to the discretion of the entitlement community to distribute its CDBG funds with respect to activities that benefit low- and moderate-income persons.” Amendments must also be entered into IDIS. An Amendment to a Year 1 Action Plan requires an amendment to the Consolidated Plan. Subsequent year Action Plans do not require Consolidated Plan amendments unless the amendment is substantial. In all cases, amend the Con Plan first, so information carried forward will be reflected in the revised Action Plan and CAPER. See the IDIS section of the Administration manual for further information. Environmental Review Purpose and Regulation (24 CFR 570.604) The purpose of the environmental review is to assess the impact a proposed activity will have on the people and environment where the project will be implemented. The provisions of National Environmental Policy Act (NEPA) of 1969 and the provisions of the Council on Environmental Quality (CEQ) 40 CFR 1500 through 1508 as well as other federal, state and local laws may also apply when considering funding for a project. Responsibility The City, as a responsible entity (RE), completes an environmental review on all activities prior to
committing funds as required by HUD regulation 24 CFR 58. The Community Development Planner is the Environmental Officer and prepares all reviews. The Mayor or their designee is the Certifying Officer.
Environmental Review Record (ERR) The City of Northampton prepares and maintains an environmental record (ERR) for all activities undertaken, including projects funded with program income. The ERR contains a description of the project, public notices and legal ads, written determinations or other findings, and documentation of compliance with applicable statutes. All documentation must be kept in the activity files. For activities that require clearance, a Release of Funds from HUD is included in the file. It is prohibited to make a commitment of agreements or expenditure of funds prior to the environmental review process being completed, the public comment period having passed, and the City having received the Release of Funds from HUD (24 CFR 58). For projects that stall, the original environmental Release of Funds is generally good for four years, unless there is a change in the project. The City can include the expenses for public notices and the preparation of environmental reviews in the Activity Cost for each activity. If the project does not go forward, the costs must be moved to planning and administration, or the City must repay the funds. Categories of Environmental Review Activities fall into categories that require different levels of review, public notification and HUD review. They are: Exempt Activities
Administrative activities, engineering and design costs, technical assistance, public service
activities that will not have a physical impact or result in physical changes
Categorically Excluded Activities Not Subject to 58.5 (CENST):
Tenant based rental assistance, supportive services, down payment costs, operating costs
Categorically Excluded Activities Subject to 58.5 (CEST)
Acquisition, repair, reconstruction or rehabilitation of public facilities (refer to 24 CFR Part
58.35(a))
Activities requiring and Environmental Assessment (EA)
Activities which are neither exempt nor categorically excluded
In some cases, and Environment Impact Statement (EIS) which details the City’s conclusions related to the potential significant environmental impact of the project is required. Contact the program’s HUD Environmental Officer if there is any indication an EIS is necessary. Activities that are exempt per 24 CFR 58.34 or categorically excluded not subject to 58.5 {per 58.35(b)} do not need a Request for Release of Funds. Activities that are categorically excluded per 58.35(a) and that do not convert to exempt (after completing the statutory checklist) require a RROF
and a Notice of Intent to Release of Funds to be published prior to submitting the RROF to HUD. HUD will hold the Release of Funds for a period of 15 days for allow for public comment. If no comments are received during this time, HUD will send a signed Release of Funds and the project may proceed. Sam Registration and Uniform Entity Identifier All agencies and contractors must have an active Uniform Entity Identifier (UEI) number and have an active registration in SAM.gov. Grantees should check the federal SAM database, as well as, any state and local debarment lists to determine if a proposed agency or contractor is barred. Website printouts must be placed in the file. See Contractor Debarment in the Procurement Section of this manual for further information and reference links for contractors. CDBG regulation 24 CFR 570.503 requires that grantees have written executed agreements in place for each sub-recipient signed by both the agency and the City before any funds are spent. The Grants Administrator reviews all the revised budgets and scopes and prepares the sub- recipient agreements. The agreement must include at least the following:
• Scope of work to be done and number to be served
• Budget for project
• Records to be maintained and reports required for submittal
• Program Income as set forth in 24 CFR 570.504(c)
• Suspension and termination relating to non-compliance
• Reversion of Assets of real property acquired with CDBG funds
• Uniform Administrative Requirements as described in 24 CFR 570.502 and 2 CFR Part
200.331
• Other program requirements as required for compliance with all Federal laws and regulations
such as Davis Bacon or Section 3
No funds are to be expended without an agreement with HUD and environmental reviews have been completed. The Funding Agreement is received anywhere from early July to late August since this is dependent on when Congress releases the funds. In the meantime, award letters can be sent to sub-recipients on Mayor Letterhead signed by the Mayor. Per HUD regulations, funds are budgeted when they are written in to the plan. An obligation or encumbrance occurs when you have a legally binding agreement with another party. The City will not fund any activity in IDIS until there is an executed contract in place. In most cases, the awards are less than the funds requested, so a letter requesting a revised scope of services with a revised budget based on the award to prepare the sub-recipient agreement. HUD and the Mayor must execute the Funding Agreement prior to sending contracts for agency signatures. Review each contract upon return to ensure all copies have been signed in all places and include UEI numbers, FID numbers and if applicable, the indirect cost rate. A Permit Denial Form must be sent to the Treasurer/Collector prior to circulation of the agreements for City signatures. The Treasurer/Collector verifies that all City taxes and fees have been paid and
there are no outstanding monies due to the City. For circulation for City signatures every sub-recipient agreement must have a copy of the Contract Cover Sheet, a copy Permit Denial Form, Budget, and Scope of Services. Signatories are in the following order:
• Agency/contractor
• Director of Planning & Sustainability
• Chief Procurement Officer
• Auditor
• Mayor
• Auditor again, to assign contract number
After all City signatures are obtained, the Auditor will assign a contract number. The Community Development Planner will send executed contracts to the Agency and save a copy for CDBG files. Amendments to a subrecipient-agreement to change line item amounts or extend the term must be submitted in writing by the agency for approval by the Director of Planning & Sustainability. Amendments are prepared and sent for signature by the Community Development Planner or the Grants Administrator. Subrecipient-agreements will be for a period of one-year, with the extensions (amendments) of one year. There will a maximum of two amendments, for a total length of agreement for three years. This should be planned to line up with five year Con Plan. This will be to ensure proper accounting and grant closeout. CDBG agreements are exempt from M.G.L. Ch. 30B procurement requirements because it is a grant. Pre-Award Costs Under certain conditions, CDBG grantees and their subrecipients may incur costs prior to the effective date of their CDBG grant agreement with HUD. The grantee or subrecipient may then pay those costs (including reimbursing itself if it used its own funds to pay the costs) after the effective date of the grant agreement, provided that it complies with the pre-award regulations at 24 CFR 570.200(h). The effective date of the grant agreement is the program year start date, or the date that the Consolidated Plan is received by HUD, whichever is later. Grantees can incur any eligible cost provided it meets certain conditions:
• Activity for which the costs are being incurred is included in a consolidated plan action plan,
an amended consolidated plan action plan, or a Section 108 loan guarantee application prior to
the costs being incurred
• Citizens are advised of the extent to which these pre-award costs will affect future grants
• Costs and activities funded are in compliance with the CDBG regulations and the
environmental review requirements
• Activity for which payment is being made complies with the statutory and regulatory
provisions in effect at the time the costs are paid for with CDBG funds
• CDBG payment will be made during a time no longer than the next two program years
following the effective date of the grant agreement or amendment in which the activity is first
included
• Total amount of pre-award costs to be paid during any program year is no more than 25% of
grant amount for that year or $300,000, whichever is greater.
Upon the written request of the grantee, the HUD field office may authorize payment of pre-award costs for activities that do not meet the above requirement for a two-year payback or where the total amount exceeds 25% of the grant amount. An exception to any of the other criteria requires a waiver. The factors HUD will consider in granting exceptions to the period of repayment or the dollar threshold include: • Whether granting the authority would result in a significant contribution to the goals and
purposes of the CDBG program
• Whether failure to grant the authority would result in undue hardship to the grantee or
beneficiaries of the activity
• Whether granting the authority would not result in a violation of a statutory provision or any
other regulatory provisions
• Whether circumstances are clearly beyond the grantees control
• Any other relevant considerations
The HUD review begins at the Field Office level, but when a waiver is necessary, it is referred to the
Assistant Secretary’s office. An example of the flexibility that this provision offers to grantees: a
grantee constructs a large public improvement using a mix of current year CDBG funding and
proceeds from a local bond issuance. The grantee uses a portion of its CDBG funding from the
subsequent program year to pay off the local indebtedness without requesting the prior approval of
HUD (provided the construction meets the applicable requirements and the amount of the pre-award
costs does not exceed the above limitation).
Contracting Affirmative Action Goals The goals for minority and female participation for construction contracts were published as notices in Federal Register. Nationwide construction participation goals for females is 6.9%. The goal for minority participation in the Hampden-Hampshire area is 4.8%. All necessary affirmative steps must be taken to assure minority businesses, women's business enterprises, and labor surplus area firms are used when possible. Contractor Debarment No awards will be made to any contractor who is debarred or suspended, or is otherwise excluded from, or ineligible for, participation in federal assistance programs under Executive Order 12549, “Debarment and Suspension”. To determine if a contractor is barred, check the federal System for Awards Management (SAM) database. The contracting firm, president and owner of the firm should also be checked. Screenshots of the debarment site should be placed in the file.
Contracts and Change Orders Planning & Sustainability prepares contracts for all goods and services paid with CDBG funds detailing the work scope, the budget, federal regulations, and if applicable, works with the City’s Chief Procurement Officer around state regulations. Every contract must have a Contract Cover Sheet, a Permit Denial Form. The Community Development Planner prepares contracts for projects relating to infrastructure, access/public facilities and housing. Signatories are in the following order:
• Contractor
• Director of Planning & Sustainability
• Chief Procurement Officer
• Auditor
• Mayor
If the project is construction, alteration or repair, all applicable labor standards language, documents and appropriate state and federal wage determinations are included in the bid and the contract. The Community Development Planner performs employee interview site visits and reviews payroll records for Davis Bacon compliance. Information gathered during the on-site visits is recorded on “Record of Employee Interview” (HUD Form 11) and is kept in the project file. CDBG construction contracts contain the following documents:
• Invitation for bids and addendums
• Project specifications
• Signed bid form
• Signed bid record
• City Contract Agreement (requires contractor signature)
• CDBG Contract with budget and reporting requirements (requires signature)
• Equal Employment Opportunity Certification
• Monthly Utilization Report Form CC-257 (contractor must complete and submit to City)
• Non-Segregated Facilities Certification (requires contractor signature)
• Federal Labor Standards Provision – (FLSP)
• Non-Discrimination and Affirmative Action Plan Certification (Prime Contractor)
• Non-Discrimination and Affirmative Action Plan Certification (Sub-Contractor)
• Employee Payment Supervision Certification Form (requires signature)
• Weekly Payroll Forms – WH347 and Instructions
• Wage Determination Modifications and Supersedes (if any)
• Federal Wage Rates:
• State Wage Rates
• Compliance with Local, State and Federal Laws Certification Form
• Section 3 Plan Certification Form (requires contractor signature)
• Affirmative Action & Equal Opportunity Report for Contractors and Sub-Contractors See
Forms section for applicable documents
Performance Measurement Purpose The performance measurement system is a process for gathering information in order to inform Congress, OMB, and the public of the numerous outcomes and successes of the CDBG program. The three main components of the CPD Outcome Performance Measurement System are:
• Objectives
• Outcomes
• Indicator
Objectives Based on the intent when funding an activity, grantees determine which of the three objectives best describes the purpose of the activity. Those objectives are: Suitable Living Environment Activities that are designed to benefit communities, families, or individuals by addressing issues in their living environment
Decent Housing Housing programs where the purpose of the program is to meet individual family or community needs and not programs where housing is an element of a larger effort, since such programs would be more appropriately reported under Suitable Living Environment Creating Economic Opportunities Activities related to economic development, commercial revitalization, or job creation Outcomes Once the objective is selected, one of three outcome categories is selected which best reflects Northampton’s goals as established in the Consolidated Plan. HUD encourages grantees to report which one of the three outcomes is most appropriate for their activity. However, if the grantee believes that two outcomes of equal importance will be realized, then a second outcome may also be selected. The three outcome categories are: Availability/Accessibility This outcome applies to activities that make services, infrastructure, public services, public facilities, housing, or shelter available and/or accessible to low-and moderate-income people, including persons with disabilities. In this category, accessibility does not refer only to physical barriers, but also to making the basics of daily living available and accessible to low- and moderate-income people where they live.
Affordability This outcome applies to activities that provide affordability in a variety of ways in the lives of low- and moderate-income people. It can include the creation or maintenance of affordable housing, basic infrastructure hook-ups, or services such as transportation or day care and is appropriate when an activity is lowering the cost, improving the quality, or increasing the quality or benefit to benefit a low-income household. Sustainability This outcome applies to projects where the activity or activities are aimed at improving communities or neighborhoods, helping to make them livable or viable by providing benefit to persons of low- and moderate-income or by removing or eliminating slums or blighted areas, through multiple activities or services that sustain communities or neighborhoods. Indicators Based on the national objective and matrix code selected, IDIS will identify the specific indicators for each activity. The four indicators relevant for most projects are:
• Amount of money leveraged from other federal, state, local and private resources
• Number of persons, households, businesses or housing units assisted
• Income level of persons or households by 30%, 50% or 80% of area median income
• Race, ethnicity and disability data (see IDIS section)
o If households are declining to put down their race, the subrecipient can estimate
race/ethnicity categories either by observation or by using numbers proportionate to
the general population they serve
o If a household has members from multiple races, use the race of whoever is filling out
the application/the primary contact or use “Other Multi-Racial.”
Compliance and Reporting
Consolidated Annual Performance and Evaluation Report The City of Northampton is required to submit a Consolidated Annual Performance and Evaluation Report (CAPER) 90 days after the end of the program year. The program year ends June 30; the report is submitted on or before September 28. Prior to submitting the report to HUD, the City makes the report available to the public for review and comment for at least 15 days. Notice is published in the local newspaper and on the City’s website. The CAPER provides HUD with the necessary information to assess the City’s ability to carry out its programs in compliance with applicable regulations and requirements; provides information for HUD to report to Congress; and provides the City an opportunity to inform residents of program achievements. Completing the CAPER in IDIS ensures cohesiveness between the goals outlined in the Consolidated /Action Plan with the outcomes tracked by IDIS. The report includes:
• Assessment of the progress toward addressing the strategic plan and high priority needs
• Analysis of impediments to fair housing choice, summary of impediments and actions taken
• Evaluation of progress toward meeting objectives for homeless and special needs populations
• Families and persons assisted (including race, ethnicity and income data)
• Progress made overcoming barriers to affordable housing, reduction and elimination of lead-
based paint hazards
• Description of other public and private resources used toward the provision of affordable
housing and community development activities
• Description of any public comments received regarding the program
• Self-evaluation of results of programs and projects and their impact on the community
• Narrative on efforts to carry out activities as described in the Action Plan
The City will complete the CAPER through IDIS. The Consolidated and subsequent Action Plans must have an approved status prior to beginning the CAPER. The Financial Summary Report (PR26) and Section 3 report are submitted to the HUD field office with the CAPER, but a hardcopy of the entire report should be maintained in the City’s file to be available for the public and to document program year accomplishments. Permanent electronic versions will also be made available on the City’s public filing cabinet. The reports are listed below:
• Financial Summary Report (PR26) - to be submitted with the CAPER
• Section 3 Report
• CDBG Activity Summary Report (PR03)
• Summary of Accomplishments Report (PR23)
• CDBG Performance Measures Report (PR83)
Below is the City’s CAPER preparation schedule:
End of program year
Enter accomplishments, close out
activities, and write narrative in
IDIS
June 30th – September
Publish legal ad 15-day comment period 1st week of September
Submission to HUD Due 90 days after end of program
year.
September 28th
IDIS Reporting
General
Recording of activity accomplishment data with racial and ethnicity breakdown and income levels in
the HUD IDIS system. HUD’s preference is for reporting to be done quarterly or when an activity is
completed. At the very least, it must be done at least yearly. The Grants Administrator does all
activity entry, funding updates and reporting.
Other Reporting
Along with quarterly reporting, the yearly Action Plan, the 5-year Consolidated Plan and the year-end
CAPER reports, the following reports are also required. They are prepared by the Community
Development Planner and the Grants Administrator.
Cash-on-Hand Report (PR-26)
Reporting of cash transactions through the HUD IDIS system. Due quarterly: Sept. 30th, Dec. 31st,
Mar. 31st and June 30th. Statutory Requirement.
Federal Funding Accountability and Transparency Act (FFATA)
City, as a prime awardee, is required to file a FFATA sub-award report by the end of the month
following the month in which the prime recipient awards any sub-grant equal to or greater than
$25,000.
Grant Close Out
No later than 90 calendar days after the end date of the period of performance, all financial,
performance, and other reports as required by terms of the grant to be submitted to HUD as required
by OMB regulation
Labor Standards
Davis-Bacon Act
The Davis-Bacon Act (DBA) applies when construction, alteration or repair (including painting and
decorating) is over $2,000 and is financed in whole or in part with CDBG funds. It does not apply to
rehab of residential structures with less than eight (8) units or with work carried out by employees of
the City. Demolition does not trigger Davis-Bacon unless the work is part of an overall project.
The DBA requires that contractors and sub-contractors pay their workers no less than prevailing
wages being paid for similar work in the same area. The “10-day lock-in rule” requires that
modifications to wage rate decisions made 10 days prior to the bid opening be incorporated into bids
and contracts. From the date of the bid opening, the “locked-in” wage decision is valid for 90 days.
If Massachusetts state law and Federal law differ, the City will comply with the more stringent of the
two.
The categories are defined as:
Building
Includes sheltered enclosures with walk-in access for the purpose of housing, persons,
machinery, or supplies
Residential
Includes Construction, alteration or repair of single-family houses or apartment buildings of
no more than four stories in height
Highway
Includes roads, streets, runways, highways or other similar projects
Heavy
A catch-all grouping that includes projects not properly classified under the other three types
of construction
HUD Davis Bacon Semi-Annual Report (HUD Form #4710)
Reports accomplishments in labor standards enforcement under the Davis Bacon and Related Acts as
required by DOL regulation 29 CFR 5.7 for any project over $2,000. Due twice a year for the
following periods: Oct-Mar and Apr-Sept.
Contract Work Hours and Safety Standards Act (CWHSSA)
The CWHSSA requires workers receive overtime pay (time and ½) for hours more than 40 hours per
week. The Act applies to contracts over $100,000.
Copeland Anti-Kickback Act
The Copeland Anti-Kickback Act prohibits federal contractors or sub-contractors involved in
building construction or repair from inducing an employee to give up any part of the compensation
they are entitled under their employment contract. It also requires contractors and sub-contractors to
submit weekly statements of compliance.
Fair Labor Standards Act (FLSA)
The FLSA contains Federal minimum wage rates, overtime, and child labor requirements and
generally applies to any labor performed.
MBE /WBE Contract and Subcontract Activity Report (Form: #2516)
Applies to minority and women owned businesses for awards over $10,000. Reported yearly based on
the Federal Fiscal Year (Oct. 1 – Sept. 30)
Section 3
Section 3 applies to recipients of Housing and Community Development receiving financing
exceeding $200,000 in one year. Section 3 HUD funded projects include housing construction,
demolition, rehabilitation or other public construction. Section 3 sets minimum goals for awarding
contracts, job creation and job training to low- and very low-income residents of Northampton and
businesses that employ these persons.
For contractors and sub-contractors, the requirement applies to work performed on Section 3 covered
projects for which the contract or subcontract amount exceeds $100,000. If the expenditure does not
result in new employment, training or contracting, Section 3 requirements are not triggered, but the
City must still submit reports. The City’s Section 3 manual was created in June 2022 and can be
viewed as Appendix F
Goals and Outcomes
Goals
Proposed solutions to problems or needs identified by the grantee during the consolidated planning
process.
Inputs
Include resources dedicated to or consumed by the program such as money, staff, equipment, and
supplies.
Activities are what the program does with inputs to fulfill its mission. Activities include:
• Strategies
• Techniques
• Treatment that comprise the program’s production process or service methodology
Outputs
Direct products of a program’s activities. They are usually measured in terms of the volume of work
accomplished, such as:
• Number of low-income households served
• Number of loan applications processed
• Number of units constructed or rehabilitated
• Linear feet of curbs and gutters installed
• Numbers of jobs created or retained.
Outcomes
Benefits that result from a program. Outcomes typically relate to a change in:
• Conditions
• Status
• Attitudes
• Skills
• Knowledge
• Behavior
Common outcomes could include improved quality of life for program participants, improved quality
of local housing stock, or revitalization of a neighborhood.
Internal Controls Internal controls are the combination of policies, procedures, job responsibilities, personnel and records that maintain accountability in program and financial management. In keeping with generally accepted principles, the City’s financial system and internal controls include:
• Organizational chart showing responsibility for individuals involved in program oversight and
financial transactions
• Written job descriptions
• Separation of duties so no one person has control over an entire financial transaction
• Approved budget revisions – with documentation
• Source documentation - all expenditures and including payroll
• Written procedures for recording of transactions
• Chart of accounts
• Periodic comparisons of financial records between Office of Planning & Sustainability, City
and IDIS records and, in cases of discrepancies, corrections are made
Non-Discrimination The City has several non-discrimination polices developed by the Human Resources department for internal (employee) and external (i.e. public / clients). These policies reflect the City’s commitment to being an inclusive and responsible public entity. See appendix R for full policy documents. Conflict of Interest The general rule is that no person who exercises or has exercised any functions or responsibilities with respect to CDBG activities, or who are in a position to participate in a decision making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from a CDBG-assisted activity, or have a financial interest in any contract, subcontract, or agreement with respect to a CDBG-assisted activity, or with respect to the proceeds of the CDBG-assisted activity, either for themselves or those with whom they have business or immediate family ties, during their tenure or for one year after. Additionally, all City employees must follow the state Conflict of Interest Law for Municipal Employees (General Laws Ch. 268A). Employees are certified at the beginning of their employment with the City and must certify every year thereafter. This requirement applies to anyone performing services for a city or town or holding a municipal position, whether paid or unpaid, including full- and part-time municipal employees, elected officials, volunteers, and consultants, is considered a municipal employee under the conflict of interest law. See appendix N for full policy documents. Code of Ethics / Conduct The Massachusetts Office of the Inspector General (OIG) has developed a Code of Conduct, which sets standards of conduct for public employees engaged in official business relationships. They recommend that cities and towns adopt the Code to maintain the highest level of public confidence in the impartial operation of government and to preserve the integrity of business relationships with municipal government. The City has developed and adopted its own policies for Code of Conduct, Discipline, Discharge, and Nepotism. See appendix O for full policy documents.
Procurement The City follows all state and OMB regulations as set forth in 2 CFR Part 200. The City’s manual “Guidelines for Procurement, Contracts and Accounts Payable” details the City’s bidding and procurement practices, awarding of contracts and procedures for processing and payment of invoices. In cases of conflicting information, the City follows the more stringent of the two. The City’s full procurement and financial policies can be found in Appendix J The standards and procedures are to assure that goods, services and construction services are acquired equitably; promote open competition; and assure purchasing is in full compliance with federal standards; state and local laws; and HUD regulations. The Community Development Planner and the Grants Administrator works with the City’s Chief Procurement Officer who is responsible for ensuring compliance with the Massachusetts General Law, Chapter 30B and oversees all procurement and contracts using CDBG funds to prepare bids and proposals. Grants are contracts both for money coming in and money going out, so the rules for when the City need to sign a contract apply to grants. By local rule, even if a contract is exempt from bidding for some reason the rules for needing a contract still apply. For grant money coming in, the written contract rules apply, but the contracts for money coming in are exempt from procurement laws because they are not for us acquiring goods or services or construction. The City is simply acquiring money. Additionally, the grants are coming from a governmental agency and another exemption on MA. Ch. 30B. For example, the City may get a federal surplus truck and that would be exempt because the transaction is intergovernmental. From Ch. 30B, the significant language is, ''grant agreement'', an agreement between a governmental body and an individual or nonprofit entity the purpose of which is to carry out a public purpose of support or stimulation instead of procuring supplies or services for the benefit or use of the governmental body. When the City is spending grant money, the grant exemption in Ch. 30B applies if the City is giving money to a person or organization in order for that person or organization to go out and do good things for the community, not provide goods or services to the City. So, if the City has a pool of money from a federal or a state program and if the City spends that money to buy a refrigerators for City owned low-income housing - the contract to buy the refrigerators is not exempt from Ch. 30B bidding. If the City spends the grant money to pay for a contractor to tear down a house, that is not exempt from Ch. 149 bidding. In summary, for CDBG coming in, yes, exempt. For CDBG money going out, maybe exempt, maybe not.
• Less than $10,000 - sound business practices
• Between $10,000 and $49,999 -solicitation of three price quotes
• $50,000 or more - competitive sealed bids or proposals
Procurement of more than $50,000 may not be broken into smaller amounts to qualify for less complicated bidding
Procurement Dispute Process Vendors with questions about a federally funded procurement may present those questions in writing to City’s Chief Procurement Officer. The Procurement Officer investigates and responds in writing within 10 days. Should the vendor be dissatisfied with the result of the Procurement Officer’s investigation, the vendor may avail themselves to the remedies afforded by state law. Awarding of Bids Awards are made to the bidder bid that is the most advantageous to the program in price and other factors. Consideration is given with respect to integrity and record of past performance, and compliance with public policy, and financial and technical resources as described in the City’s Guidelines for Procurement, Contracts and Accounts Payable. Any and all bids may be rejected if there is a sound documented reason and it is in the City’s interest to do so. The City may use its own documented procurement procedures, which reflect applicable State and local laws and regulations, provided that the procurements conform to applicable Federal law and the standards identified in 24 CFR 570.611 and 2 CFR 200.318-320. See Appendix J for complete procurement guidelines. Grievance The Office of Planning & Sustainability staff is covered under the Northampton Administrative and Professional Employee Association (NAPEA) union contract (effective July 1, 2022 to June 30, 2025) for grievance procedures. Clients of CDBG programs that are people with disabilities are covered under the Grievance Procedures Under the American with Disabilities Act (ADA). See appendix K for full policy documents. Termination In cases involving more serious misconduct, a manager, in consultation with the Director of Human Resources may determine that termination is the appropriate disciplinary action. The Director of Human Resources must approve all management recommendations for termination before final action is taken. A non-comprehensive list of unacceptable behavior is covered in Appendix I, with the Code of Conduct and Ethics. Confidentiality Employees must not use privileged/confidential information, gained through the performance of their duties, for financial gain. Nor may employees disclose this information to others for financial gain or other purposes. Unauthorized disclosure of information that the City of Northampton regards as confidential can be considered a grounds for termination. Records Retention The City has developed a policy for keeping records on regarding expenditures, staffing, facilities, equipment, other policies, and procedures associated with administering CDBG. While carrying out CDBG program activities is the City of Northampton’s main focus, it is important to keep documentation to provide the evidence that grant funds were spent and activities are completed appropriately. HUD audits and monitoring reviews from CPD offices cite lack of documentation and questionable costs as the most common findings among grantees. To that end, the City has a separate records retention policy that can be found in Appendix L.
Information Technology It is the policy of the City of Northampton that as a condition of providing a computer, internal and external e-mail, and Internet access to employees, certain procedures and restrictions will be followed. The City reserves the right, for legitimate business purposes, to monitor, review and retrieve any information stored on or transmitted with City equipment and, therefore, users should not have the expectation that their email communication or documents stored on City equipment will remain private. City computers, internal and external City e-mail accounts, and Internet access through the City are, in fact, City property and are considered tools to be used to reduce paper, facilitate communications, and improve customer support. Generally, official City business is to be conducted utilizing these tools with certain restrictions regarding personal use. The restrictions on personal use are to ensure laws are not violated and do not cause consumption of large amounts of resources that interfere with legitimate business uses. See Appendix M for full policy details. Whistleblower A whistleblower is defined by this policy as an employee of the City of Northampton who reports an activity that they consider to be illegal or dishonest to one or more of the parties specified in this policy. The whistleblower is not responsible for investigating the activity or for determining fault or corrective measures. Other City officials such as the Director of Human Resources are charged with these responsibilities. The whistleblower should follow the proper reporting procedures and City protect the whistleblower, in compliance with MA General Law - Part I, Title XXI, Chapter 149, Section 185. See appendix N for full policy details. Monitoring The purpose of the City of Northampton’s Subrecipient Monitoring Plan is to describe how the City of Northampton (City) will monitor subrecipients that have entered into a subrecipient agreement with the City to assist in the implementation of the Community Development Block Grant (CDBG). This Subrecipient Monitoring Plan will be used for all CDBG funded programs and activities. The plan is based on monitoring strategies recommended by the U.S. Department of Housing and Urban Development (HUD) for its CDBG program and is described in the City’s Consolidated Plan. Furthermore, the plan identifies the actions that will be taken, such as an assessment of the subrecipient’s performance, pre-award risk-assessment, the type of monitoring review to be conducted (e.g., desk or on-site), the programs and functions to be monitored, expected monitoring dates, identifying deficiencies and designing corrective actions and follow up. Monitoring is an ongoing process, which involves continuous communication and evaluation to assess the quality of the subrecipient’s performance over the program year. See Appendix P for full details. Certification for Cost Allocation Plan Non-federal entities e.g. the City, administering federal funds such as CDBG are not required to seek recovery and reimbursement for indirect costs related to their federal awards. However, if the non-federal entity decide to seek reimbursement for indirect costs, the Uniform Administrative Guidance (2 CFR 200) requires that “grantees” i.e. local governments and all federal agencies to reimburse a recipient’s or subrecipients indirect costs – provided that a Cost Allocation Plan has been established. A cost allocation plan (2 CFR 200.415) is a document that identifies and explains, the distribution of allowable direct and indirect costs, and declares the allocation methods used for distribution. Cost
allocation is the measurement of allowable costs (2 CFR 200.403) that are then allocated based on benefits received by the CDBG program. Under a cost allocation plan, only costs that are reasonable, allowable, and allocable to carry out the CDBG program are allowed. All costs are treated consistently, are well documented, and determined using generally accepted accounting principles. The City does not have a cost allocation plan, nor does it charge indirect costs for its administration of the CDBG program. It is therefore, still in compliance. If in the future, the City decides to charge indirect costs, it will do so using a certified cost allocation plan.
Organizational Structure
Mayor
(executive)
Finance Director
Assessor Auditor Collector / Treasurer
Cheif Procurement Officer
Other Dept. Heads
Director of Planning & Sustainability
Assistant Director of Planning & Sustainability
Community Development Planner
Grants Administrator
City Council
(legislative)
Commented [KB1]: Fix mayor spacing
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CDBG Funded Positions and Responsibilities CDBG funds pay for two positions to implement the program and administer the grant. They are: Community Development Planner and the Grants Administrator. While the administration of the grant requires overlap of some duties, most responsibilities are clearly defined. The Community Development Planner
• Reviews and signs off on all invoices
• Approves all drawdown of funds in IDIS
• Discusses activities with agencies and projects with contractors
• Sets budgets for non-public service activities
• Oversees the implementation of the City’s housing policy funded by CDBG
• Staff liaison for the Housing Partnership
• Writes the Consolidated Plan, Action Plan and CAPER reports
• Prepares RFPs and contracts for consultants and construction contractors
• Conducts all on-site monitoring and enforces compliance
• Reviews payroll records for construction projects (i.e. Davis Bacon)
• Assists with comprehensive and strategic planning efforts as it relates to CDBG
• Facilitates all public hearings related to CDBG and citizen participation
• Ensures the city, contractors and sub-recipients will follow all regulations
• Helps develop and track affordable housing construction
Grants Administrator • Financial management of CDBG and other federal grants
• Processes all invoices for payment and draws down funds from IDIS
• Enters, funds and maintains all activities in IDIS
• Maintains and reconciles accounting records related to CDBG funds with the City and HUD,
including depositing and monitoring of program income
• Assists outside auditors during yearly single audit
• Updates quarterly reports as IDIS changes and explains changes to sub-recipients
• Helps prepare sub-recipient contracts and amendments
• Prepares and submits of all CDBG financial related reports to HUD
• Helps prepare sections of the City’s Consolidated Plan / Action Plan and CAPER reports
• Calculates repayments and processes discharges of mortgages for repaid loans
• Prepares statistical reports
• Updates Office of Planning & Sustainability website
• Attends CDBG public hearings for the recording of minutes
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Grants Administrator (Works independently. Support from CD Planner. Supervision from Director of Planning & Sustainability.) CD Planner Director
Financial reporting for CDBG and related grants (warrants, deposits, invoice processing, MUNIS) Review Approvals
Office logistics (e.g., City time sheets, other warrants, customer support) Assigns
IDIS, Caper, Partner Monitoring public services (protocols jointly written with CD Planner) Partners
Draft public services contracts (contract format same as other, below) Review Approvals
Cross-training to grow skills and for future assignments Support Support
Aggressively seek HUD and other related outside training Support Support
During Covid (remote working) weekly coordination calls with CD Planner Partner
Community Development Planner (Works independently. Support from Grants Administrator. Supervision from Director Planning & Sustainability.)
Grants Admin. Director
Financial reporting (reviews warrants and approves invoices) Reviews Shared office logistics (e.g., customer support) during COVID Partner Assigns Consolidated Plan, Action Plan Input Approval Responsible for determining eligibility of each project and identifying codes Review
Environmental Review Record for CDBG and related Monitoring all other contracts (protocols written with grants admin) Partners
Other contracts (contract format same as public services contracts, above) Review Approvals
Cross-training to grow skills and for future assignments Support Support
Aggressively seek HUD and other related outside training Support Support
ADA Coordinator & Disability Commission staff (extra projects as time allows) Assigns
Housing Partnership (projects beyond straight staffing only as assigned) Assigns
Next Step Collaborative information sharing During Covid (remote working) weekly coordination calls w/Grants Admin. Partner
IDIS and Caper Partner Collect data for CDBG projects
Section 3 and Reporting on Davis Bacon a
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Uniform Administrative Requirements The City of Northampton follows the regulations set forth for the CDBG program as found in 24 CFR Part 570 (Community Development Block Grants) and 24 CFR Part 58 (Environmental Review Procedures). The City also adheres to the following Uniform Administrative Requirements:
• 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards Accounting Records Recipients of CDBG funds are required to have accounting records that sufficiently identify the application of the CDBG funds. In accordance with 24 CFR 570.502, the City maintains accounting records including:
• Chart of Accounts
• Cash Receipts Journal
• Cash Disbursement Journal
• Payroll Journal
The City’s accounting records consist of a general ledger with information regarding the sources and use of funds, including federal grants, authorizations and obligations, unobligated balances, assets and liabilities, program income and expenditures broken down by program and account numbers. All cash receipts, disbursements and payroll are entered into the MUNIS financial and employee self-service system. The Grants Administrator maintains a ledger by City fiscal year listing all activity amounts paid with CDBG funds during the year. The ledger also lists: City account number, HUD activity number, HUD source year of funds, budgets for each activity with expenditures and balances, and program income received and spent. The Grants Administrator works closely with the City’s Auditor and Treasurer to synchronize and reconcile records. Before invoices are paid, recipients must provide documentation showing charges were:
• Incurred during the Agreement period
• Actually paid out
• Expended on eligible items
• Approved by the appropriate official(s) within the organization
• Payroll: rate of pay and fringe, position and timesheets
• Supplies: cancelled checks, purchase orders or invoices from vendors
• Submit quarterly report Processing of Invoices
Recipients of CDBG funds are required to have procedures in place to minimize the amount of time between receipt of CDBG funds and actual disbursement; HUD allows a three-day limit. The City of Northampton uses the reimbursement method requesting funds after payment of invoices. All requests for reimbursement must include back-up documentation. The City does not reimburse MA sales tax.
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All invoices are sent to CDBG staff for payment:
• Invoices reviewed by the Grants Administrator to ensure expenses are not over budget
• Invoices are approved by the Director of Planning & Sustainability
• Program income, if any, must be spent before entitlement funds can be used
Invoices Must Include:
• “INVOICE” at the top
• Organization Letterhead / Logo
• Remit Address
• City Contract Number (from the subrecipient agreement)
• Brief description of items invoiced
• Invoice Number created by the sub-recipient
• Date of the invoice
Planning and Admin vs. Project Delivery Costs The CDBG program allows (CPD 13-07) for costs allocable to the implementation of a program or activity to be categorized as activity delivery costs rather than general program administrative costs. The costs of carrying out an activity include not only goods and services provided by third parties, such as construction contractors, but also include the costs incurred by the grantee or subrecipient in connection with the use of its own staff and other resources to carry out the activity. For example, if a grantee’s employees underwrite economic development loans that are to be made with CDBG funds, the prorated time and portion of their salaries spent on this function can be treated as CDBG activity delivery costs. That would mean that these costs are not subject to the twenty percent limit on the use of CDBG funds to pay planning and administrative costs. It is also important for grantees to know that some costs can be allocated to multiple grants, such as costs associated with monitoring subrecipients and thus, this in turn, increases the administrative budget for any single grant. Distinguishing which activities qualify as activity delivery costs versus administrative costs, and which may be distributed across multiple grants, increases the amount of funds that can be directed to programs and projects that benefit the community. CDBG staff must complete monthly timesheets outlining the time spent on eligible CDBG activities. Timesheets must be signed and dated by the person completing it and the Director of Planning & Sustainability. Payroll for the two people administering the grant is reimbursed quarterly. MUNIS reports are generated for the reimbursement amount due. The drawdown is done separately from warrant reimbursement for easier tracking. Immediately after requesting the funds, a Schedule is sent to the Treasurer indicating which account to credit and the amount expected to be received; and all paperwork filed in the current year draw, the current year salary notebook and the program year drawdown folder. If program income is used for all or part of the admin reimbursement, a memo must be written for the auditor for a journal entry to adjust the accounts. Program income used is deducted from the total
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amount drawn on the Schedule to the Treasurer. Reconciliation of Accounts and Journal Entries Reconciling the CDBG ledgers with MUNIS and IDIS should be done monthly or, at a minimum, on a quarterly basis depending on the amount of activity. If corrections are needed, a memo must be written to the auditor requesting a journal entry change. The memo must specify the name of the account, the account number to credit, the account number to debit and the amount to be debited/credited. Any changes made to the MUNIS records will be reflected in the fund’s bottom line and will need to be taken into consideration when reconciling. MUNIS reports used to assist with reconciliation include:
• Account history detail
• Trial balance
• Employee detail history (for salaries)
IDIS reports used to assist with reconciliation include:
• PR01 – HUD Grants and Program Income – for reconciling overall grant and pi balances
• PR02 – List of Activities by Program Year – for reconciling individual activities
• PR07 – Drawdown Report by Voucher – for reconciling drawdowns Processing Payroll and Accounts
Program Income and Loan Repayments Program income is income received by the grantee directly generated from the use of CDBG funds. The City of Northampton receives program income from housing rehab and home repair loans, 1st time homebuyer loans, housing development loans, and economic development loans. All program income is deposited into a non-interest-bearing account designated for that purpose. Program income is entered into the IDIS system and is always spent prior to the expenditure of entitlement funds. Program income can be used to increase an activity budget or added to the line of credit. When program income is spent, the IDIS system will automatically decrease the EN funded amount of the activity by the amount of program income spent so the activity budget remains the same. IDIS automatically returns those funds back to the line of credit for the funding source year expended making those funds available for later use. If program income is used for all or part of the admin reimbursement, a memo must be written for the auditor for a journal entry to adjust the accounts. Program income used is deducted from the total amount drawn on the Schedule to the Treasurer. IDIS, MUNS reports and CDBG spreadsheets must all match the accounts expended, source year, and income received. Other outstanding loans include housing development loans, home repair and housing rehab loans. All the loans have different payback periods. It is rare to have a housing development loan repaid as they are often having varying forgiveness terms ranging from 30-99 years. Most of the Housing rehab loan repayments will be forgiven after a 15 or 20-year period. Housing Rehab loans, while also forgiven after varying times, are repaid occasionally but cannot be predicted. The old program in the City, called housing repair transitioned into housing rehab grants, so
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there are few outstanding loans. The Grants Administrator calculates the payback amount. When a loan is repaid, the payment is deposited with the Treasurer and recorded. The Community Development Planner prepares the Discharge for the Mayor’s signature and sends it to the Registry for recording. After the recorded copy is returned, a letter is generated and sent to the homeowner (or the lawyer who communicated regarding the pay-off), along with the cancelled Promissory Note and the original recorded Discharge of Mortgage. Copies are made for: The City Clerk and Planning & Sustainability. The City Clerk’s Offices holds the original Promissory Notes and Mortgages for home repair loans. The Community Development Planner keeps track of these. Promissory Notes and Mortgages for housing rehab and housing development loans are in Planning & Sustainability and are scanned for electronic records. The Community Development Planner and the Grants Administrator maintains records of housing rehab and housing development loans and payoffs. Program income is deposited into the current year CDBG Grant/Loan Payments account. As noted above, payments are recorded on a CDBG loans file. These records are reviewed during the yearly single audit. Program income and expenditures are recorded on the program income and deposit summary spreadsheets for the current year. Deposits are typed on a schedule and must be signed by the person making the deposit. Two copies are made of the checks: one copy to be submitted to the Treasurer with the Schedule; the other for the CDBG file. The schedule must be delivered to the Treasurer for signature along with a copy of the check(s). They will sign the schedule acknowledging receipt of the check(s) and make two copies. One copy of the signed schedule is dropped off in the auditor’s office; the other is filed with the check(s) and any other paperwork related to the deposit in the current year’s CDBG drawdown folder. Program income must be spent on the next warrant prior to expenditure of entitlement funds. Account Numbers Each year, once the award letter is received from HUD, the Grants Administrator must write a memo to the auditor requesting account numbers to be generated in MUNIS for the upcoming program year. For the CDBG accounts, the last two numbers (project code) indicate the City’s fiscal year. These are the only numbers that will change. All line items as well as the program income account need new numbers in the MUNIS system. The Grants Administrator must also send HRD2 forms (Report of Personnel Action) to Human Resources requesting a change of the salary account number for people administering the grant to the new program year. This form is to be sent no later than the middle of June for a July 1 start date. Timeliness of Expenditures Sixty days prior to the end of a grantee’s program year, the amount of non-disbursed CDBG funds cannot be more than 1.5 times the award for its current year (24 CFR 570.902). Sixty days prior to the end of Northampton’s year program year is May 1. The City should reallocate funds for stalled projects, if necessary. Funds must be expended prior to the deadline or HUD will require the City to prepare and submit a quarterly Workout Plan to identify the causes for delays and determine strategies to spend funds more quickly. HUD will use the Adjusted Ratio from IDIS report PR56 to determine timeliness. This report takes longer than the usual overnight to update. In some cases, it can take 3-4 days therefore, it is important to
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do any draws before the last week of April to ensure the expenditures are reflected on the report run by HUD on May 1. Change of Use A grantee may not change the use or planned use of real property within the grantee’s control (including activities undertaken by sub-recipients) that was acquired or improved, in whole or in part, using CDBG funds in excess of $25,000 without providing affected citizens with reasonable notice of and opportunity to comment on any proposed change. The new use must qualify as meeting a national objective and not be used for the general conduct of government. If the new use does not meet a national objective, the grantee may retain or dispose of the property for the changed use if the grantee’s program is reimbursed the amount of the current fair market value of the property, less any portion of the value attributable to expenditures of non-CDBG funds for acquisition of, and improvements to, the property. Following reimbursement, the property will no longer be subject to CDBG requirements.
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Audit General The City of Northampton is required to comply with 2 CFR Part 200 and is subject to a program and single audit yearly. The audit, performed by an independent auditor, focuses on the City’s and the Office of Planning & Sustainability’s financial statements, internal controls and compliance with applicable laws and regulations. The Grants Administrator is responsible for assisting with the audit (generating reports, providing files and information, etc.). The following is a list of records needed for a typical single audit:
• Ledger for the program year
• Action Plan Approval letter from HUD
• Consolidated Plan / Action Plan
Agreement Grant Award Letter
• Funding Approval Agreement
Drawdown folders for program year
Loan receivable files
• Request for Release of Funds (RROF)
• HUD approval letter for RROF
• Warrants
• Bids from contractors (if applicable)
• Certified payrolls from contractors and
subcontractors (if Davis Bacon is
applicable)
• Payroll records and timesheets for
CDBG staff Quarterly reports and
monitoring files
• CAPER (for the year being reviewed)
• Close Out documentation (if applicable)
Project files for determined from ledger by auditors:
• HRD2s
• Job Descriptions
• 1st time homebuyer loan bank statements
• Home repair and/or housing rehab Mortgages and Promissory Notes
• Verification of how benefits and loan repayments are calculated
• Memos for transfers of funds between accounts
• Detail of admin expenses
• Copies of legal ads
• Department equipment list and equipment serial numbers
• IDIS reports
• Agency annual report
If the audit results in findings and/or questioned use of CDBG funds, the Community Development Planner and Grants Administrator are responsible for providing further information and/or documentation and corrective actions for resolution. Federal Audit Clearinghouse (FAC) Submittal It is the grantee’s responsibility to submit Form SF-SAC together with the appropriate number of reporting packages to the FAC within 30 days of the receipt of the auditor’s report, but no later than nine months after the end of the fiscal year. A corrective action plan must be prepared for each finding. A copy of the finding and the corrective action must be sent to the City’s HUD representative.
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If the audit deadline cannot be met, an extension must be requested from HUD. If an extension is not obtained prior to March 31st, the City will be in violation of the regulatory requirements. Failure to meet the single audit requirements could result in the sanctioning of grant funds and/or losing access to future Federal funding. Submittal of the form to the Federal Audit Clearinghouse is done by the outside auditor who complete the single audit. HUD generally sends a reminder letter; check the status of the audit when this letter is received. The Office of Planning & Sustainability will have a copy of the completed audit for its files. IDIS Online
General An account must be set up to be a user of Integrated Disbursement and Information System (IDIS), which is the online system for several HUD formula grant programs, including CDBG. IDIS serves two major purposes:
• Draw down CDBG funds and program income
• Record the results of CDBG funded activities
HUD uses the data provided in IDIS to report on the performance of the CDBG Program, and other CPD programs, to Congress and other program stakeholders. IDIS requires two people to be involved in every draw down of funds. The IDIS Local Administrator (Grants Administrator) initially defines what a person can do in IDIS, carrying out the wishes of the Mayor. Users may have full rights, while others have limited rights. Both the Grants Administrator, the Community Development Planner, and the Director of Planning & Sustainability have full rights. Consolidated and Action Plans The Consolidated Plan template contains pre-populated data tables with the latest housing and economic data and is integrated with the CPD Maps tool to assist in development of the Consolidated Plan. Both the Community Development Planner and the Grants Administrator work on all Consolidated Plans, Action Plans, any Amendments and CAPER documents. Drawdowns The general rule is that CDBG funds must be used within three business days after they are drawn down. The City draws the funds from HUD via IDIS for reimbursement of expenditures after the warrant has been processed and the check released. Before any new-year funds can be drawn, all activities must be entered and funded. Projects are uploaded to IDIS when the Plan is approved. The Grants Administrator enters the activities, funds and maintains all activities. PR01 and PR02 reports are run after funding of activities to reconcile with the CDBG ledger after setting up and after each draw. Receipts are created in IDIS to record program income for funds deposited into the City’s CDBG Grant/Loan account. These funds are entered and used before funds are drawn from the line of credit
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(LOC). Immediately after requesting the funds, the Grants Administrator draws the funds and sends a Schedule to the Treasurer indicating the amount to be received and which account number to credit the deposit. If program income is used, it is deducted from total amount on the Schedule. While program income must be approved in IDIS with the draw, it will have been deposited with the City beforehand and should not be entered on the Schedule. The Treasurer will only be receiving the entitlement funds from the draw. The Community Development Planner approves all drawdowns of funds. The Schedule must be signed and can be sent to the Treasurer via inter-city mail. CDBG ledgers are updated after the drawdown to reflect the expenditures; associated invoices and spreadsheets are filed by the Grants Administrator. Drawdowns done after June 30 that are not for the new program year need to be marked Y for “prior year draw” to report correctly on the PR26 for the CAPER. IDIS updates data over night, therefore, the PR01 and PR02 reports should be run the next day to reconcile CDBG records with IDIS. Spreadsheets and IDIS reports are filed in an FY “reconciliation” notebook reference and tracking. Warrants are filed as the date drawn in the FY warrants notebook for auditing. At-Risk Activities An activity is flagged as at risk if it meets one or more of the following conditions:
• Activity has had no draws for a year or more
• Activity has been open for three years and no accomplishments have been reported
• 80% of the funded amount for the activity has been drawn down, but no accomplishments have
been reported.
• Public facilities and economic development activities (except 18B) are exempt from the 80%
drawn flag. The exempt matrix codes are 03* except for 03T, 14E, 17*, 18A, and 18C.
If any CDBG activities have been flagged, an orange banner is displayed at the top of the screen after logging into IDIS. For each at risk activity listed under “Awaiting Grantee’s Required Explanation and Remediation Plan,” an explanation why the activity has been delayed and the actions planned to resolve the delay must be entered. After entry has been done, the HUD field office in Boston should be notified via email for review. Once approved by the Field Office, a plan cannot be changed. After the Field Office approves a remediation plan for an at risk activity, it is listed under the “Awaiting Grantee’s Completion of Remediation Actions” section on the Review Activities screen. If confirmation is not made by the due date entered, the activity will be marked as “Overdue” on the Activity Review screen. Some activities, such as housing development, can span a couple of years. If this is the case, the Grants Administrator is responsible for sending an email to the HUD representative with a brief explanation on the status of each activity. When a remediation plan is rejected, the activity must be completed or cancelled, and all drawn funds must be reimbursed. Contact the field Office to determine the exact action to be taken. The IDIS system is continually updated and revised and as such is best understood by reading new CPD guidance as it is released, viewing webinars, reviewing the training manual and using the system. The training manual is detailed and easy to understand and access to the training module is helpful. Email the HUD Exchange to ask questions
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Posting Meetings For Public Meetings Public meetings are all meetings that fall within the Open Meeting Law. These meetings must be posted and received by the City Clerk no less than 48 hours prior to the meeting. All public meetings must have a published agenda and be posted to the calendar. For In-House Meetings These are meetings for department heads, finance team and various ad hoc committee meetings that do not need to satisfy the 48-hour Open Meeting Law. Generally, these meetings do not include an agenda and are only seen by people within the City when a room is reserved in the Facilities Module. This also applies to outside groups using rooms when not considered a public meeting. Fair Housing and Equal Opportunity Lead Based Paint and Fair Housing Requirements All housing activities, whether they are altering the physical environment such as housing rehabilitation, acquisition, or administering rental vouchers, must comply with the Lead Based Paint requirements (24 CFR § 570.608) and Fair Housing (24 CFR §570.611). For lead based paint requirements, the complete process is developed and with the City’s Housing Rehabilitation contractor documents. The Fair Housing procedures are developed in the Fair Housing and Equal Opportunity section of this document. The City shall adhere to all the basic tenets of fair housing and equal opportunity regulations (24 CFR §570.611). Fair Housing laws are intended to protect individuals from discrimination in housing, employment, business opportunities, or through other benefits created by CDBG projects. In 2019, the Pioneer Valley Planning Commission (PVPC) completed an Analysis of Impediments to Fair Housing Report for the City, to identify obstacles and outline activities to undertake and affirmatively further fair housing. Regulations are at 24 CFR 570.602. The City partners with PVPC, the Massachusetts Fair Housing Center (MFHC), WayFinders, Valley CDC, Community Legal Aid, and the Massachusetts Commission Against Discrimination (MCAD) to provide fair housing and fair lending education. The MHFC processes discrimination complaints and conducts community workshops on topics such as “Reasonable Accommodation for People with Disabilities”, “Housing Search for Individuals with Criminal Histories”, and “Landlord and Tenant Rights”. WayFinders and City CDBG funded Valley CDC offer fair housing law and predatory lending information at their First Time Homebuyer Workshops. Community Legal Aid provides free legal services for tenant with rent subsidies, including the Section 8 program, who are at risk of being evicted and/or terminated from the program. The City’s Housing Partnership serves as the Fair Housing Committee and monitors annual activity. The City’s Human Rights Commission also addresses discrimination complaints that are often referred to other agencies for investigation. The Consolidated Plan and the Annual Action Plan articulate actions to be taken each year to accomplish fair housing. The end of the year CAPER reports on the progress made during the program year.
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On July 8, 2015, HUD issued an Affirmatively Furthering Fair Housing (AFFH) final rule replacing the Analysis of Impediments (AI) with a new Assessment of Fair Housing (AFH). The AFFH rule identifies four fair housing areas that program participants need to assess: 1) Patterns of integration and segregation
2) Racially and ethnically concentrated areas of poverty
3) Disparities in access to opportunity
4) Disproportionate housing needs
Rental Assistance and Lead Based Paint Rental assistance beyond 100 days will trigger the lead-based paint visual inspection requirements. The 100-day emergency grace period begins at the time of payment going forward. Once the assistance period reaches 100 days, a visual lead-based paint inspection is required. If assistance is being provided to an individual or family that covers three months of arrears within the first month of assistance, the 100 days begins at the time of payment going forward. As an emergency payments assistance period approaches the end of the 100-day grace period, the grantee must undertake visual inspection if it wishes to continue with CDBG assistance. For assistance to continue past 100 days, a visual inspection is required. It may not be possible for an onsite visual inspection to occur because of the pandemic. If the situation does not allow for an onsite visual inspection, the owner(s) or a surrogate may perform a remote visual inspection. Grantees are encouraged to develop policies and procedures that allow this method and the necessary documentation required for it. Definitions Family vs. Household Disabled Family Family whose head (including co-head), spouse, or sole member is a person with a disability. It may include two or more persons with disabilities living together, or one or more persons with disabilities living with one or more live-in aides. Elderly Family Family whose head (including co-head), spouse, or sole member is a person who is at least 62 years of age. It may include two or more persons who are at least 62 years of age living together, or one or more persons who are at least 62 years of age living with one or more live-in aides. Elderly Person Household Household composed of one or more persons at least one of whom is 62 years of age or more at the time of initial occupancy. Family Includes, but is not limited to, the following, regardless of actual or perceived sexual orientation, gender identity, or marital status (24 CFR 5.403):
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• A single person, who may be an elderly person, displaced person, disabled person, near-
elderly person, or any other single person; or
• A group of persons residing together, and such group includes, but is not limited to:
o A family with or without children (a child who is temporarily away from the home
because of placement in foster care is considered a member of the family)
o An elderly family
o A near-elderly family
o A disabled family
o A displaced family
o The remaining member of a tenant family
Household All persons occupying a housing unit. The occupants may be a family, as defined in 24 CFR 5.403; two or more families living together; or any other group of related or unrelated persons who share living arrangements, regardless of actual or perceived, sexual orientation, gender identity, or marital status. Chronically Homeless • Individual who is homeless and lives in a place not meant for human habitation, a safe haven,
or in an emergency shelter; and has been in this state continuously for at least one year or on
at least four separate occasions in the last three (3) years, where each homeless action was at
least 15 days; and can be diagnosed with one or more of the following conditions: substance
abuse disorder
• Individual who has been residing in an institutional care facility, including a jail, substance
abuse or mental health treatment facility, hospital, or other similar facility, for fewer than 90
days and met all the criteria in paragraph (1) of this definition, before entering that facility
• Family with an adult head of household (or if there is no adult in the family, a minor head of
household) who meets all of the criteria in paragraph (1) of this definition, including a family
whose composition has fluctuated while the head of household has been homeless
Homeless Four broad categories:
• Literally homeless
• Imminent risk of homelessness
• Homeless under other federal statutes
• Fleeing/attempting to flee domestic violence
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Appendix A List of Appendices
Appendix B Citizen Participation Plan
Appendix C Reserved
Appendix D Reserved
Appendix E Reports and Activities by Month
Appendix F Section 3
Appendix G Non-Discrimination Policy
Appendix H Conflict of Interest
Appendix I Codes of Ethics and Conduct, Termination, Confidentiality
Appendix J Procurement and Finances
Appendix K Grievance Procedures
Appendix L Records Retention
Appendix M Information Technology
Appendix N Whistleblower
Appendix O Reserved
Appendix P Monitoring Plan
Appendix Q Succession Plan
Appendix R Contigency Plan
Appendix S Reserved
Appendix T Administration Manual
Appendix U Subordination & Assignment of Proceeds
Appendix V Ant-Displacement and Relocatoin Policy
Appendix W Small Business Grant Manual
Appendix X Reserved
Appendix Y Reserved
Appendix Z Reserved
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Appendix B
Citizen Participation Plan 2020- 2024
The City of Northampton receives an annual entitlement allocation of Community Development Block Grant funding from the U.S. Department of Housing and Urban Development. This program is administered through the City’s Office of Planning & Sustainability. The funds are utilized in ways that contribute to Northampton’s health and sustainability. Allocations are made
that assist with the provision of decent housing, quality living environments and increased
economic opportunities for low and moderate income people.
In order to receive those Federal funds, the City is mandated to submit the following:
Consolidated Plan - A five year document that articulates housing, community and economic
development needs and identifies strategies to address those needs.
Annual Action Plan - A yearly plan that identifies specific projects and dollar expenditures that will be made to address overall goals and objectives.
Consolidated Annual Performance and Evaluation Report (CAPER) - An annual progress report that describes outcome measurements and achievement of goals.
In order to accurately identify the City’s needs and create strategies, a Citizen Participation
process has been developed. This process provides residents and other interested parties with
opportunities to participate in the planning and implementation of the CDBG program. The goals of this process are to:
•Offer an opportunity for all interested parties to identify community needs.
•Offer an opportunity for all interested parties to brainstorm possible solutions to addressneeds.
•Provide a feedback mechanism to comment on the success or failure of the strategiesbeing implemented.
•Encourage citizen participation by all, while emphasizing outreach and engagement ofthose with low and moderate incomes.
•Educate the community about the program and the resources it can provide.
In order to accomplish broad community participation in this planning process, the Office of Planning & Sustainability sponsors the following:
Public Hearing and Public Meetings Public hearings are required by HUD. At least two public hearings are held, usually at two
different locations, in the evening. Topics include housing, community and economic development needs, identification of strategies to address the needs, proposed uses of funds and past program performance. Power point presentations are made and handouts provided.
2
Additional public meetings are held during the preparation of the 5 Year Consolidated Plan. All
materials are posted on the City’s website.
Locations are accessible to the handicapped. Reasonable accommodations are made for people with disabilities and language interpreters will be provided with advance notice. Additionally, public hearings will be held when there is a substantial change proposed to the
Consolidated or Annual Action Plan. A substantial change (24 CFR 91.505 a) is defined as:
• A change greater than 25% in the allocation priorities or method of distribution of funds
• A substantial revision in the distribution methodology of funds
• A proposal to fund an activity not identified in the Consolidated Plan or Annual Action Plan
• A substantial revision in the purpose, scope, location or beneficiaries of an activity.
All interested parties will be encouraged to offer oral comments at the hearings and additional written comments will be accepted for 30 days thereafter. Documentation of the actions outlined above for dealing with substantial amendments to the Consolidated Plan or Action Plan will be
maintained by the City and transmitted to the HUD Boston office at the conclusion of the citizen
participation process. For CDBG funding under FY 2020-2021, and the Coronavirus Aid, Relief, and Economic Security Act or CARES Act, the City of Northampton and participating cities may provide a 5-day notice of a proposed off-cycle change or substantial amendments beginning the City of Northampton 2019-2020 Annual Action Plan May 21, 2020 as allowed
under a HUD waiver.
Hearing and Meeting Notification All public hearings and meetings are posted with the City Clerk and on the City’s website calendar and are open to the public. Legal ads are placed in the newspaper as required and sent to
City and local community listserv and email distribution lists including but not limited to city
councilor ward lists, neighborhood associations, community groups, municipal list serve,. Public notices for the Consolidated Plan, Annual Action Plan and CAPER public hearings are advertised in the Daily Hampshire Gazette at least 7 days prior. Notices will be posted by the
City Clerk’s Office on the first floor of City Hall and the bulletin board next to the Office of
Planning and Development on the second floor of City Hall. Newspapers: Meeting notices are printed in the Daily Hampshire Gazette paper of record.
Community Education and Outreach The goal of the Citizen Participation Plan is to maximize participation in the City’s community development planning process. Towards that end, specific outreach will be made to the following:
Mayor’s Office For Mayoral input, posting on the City’s website calendar Northampton City Council
3
For on-going input, feedback
Northampton City Departments, Boards, and Commissions
For on-going input, needs assessment, strategy development, and implementation assistance including but not limited to Department of Public Works, Office of Planning and Development, Recreation Department, Veterans Services, Council on Aging, Health Department, Planning Board, Conservation Commission, Board of Public Works, Board of Health, Economic
Development/Housing/Land Use Committee, Redevelopment Authority, and other
departments/boards as needed. Northampton Housing Partnership Monthly meeting to articulate and address the City’s short and long term housing needs Next Step Collaborative
Monthly meeting of local housing and homeless service providers for needs assessment and
coordination of the local service delivery system Three County Continuum of Care Monthly meeting of regional (Franklin, Hampshire and Hampden county) homeless providers City Council Social Services and Veteran’s Affairs Committee
Monthly meeting for strategic human services planning and community education
CDBG Public Services Review Committee Assembles annually to review, rank and recommend CDBG public service funding awards Northampton Human Rights Commission Meets monthly for needs assessment, plan feedback and implementation evaluation
Mayor’s Committee on Disabilities
Meets monthly to address the needs of the disabled in the community Northampton Housing Authority On-going collaboration for needs assessment, strategy development and implementation relative to housing and quality of life issues
Northampton Chamber of Commerce and the Northampton Business Improvement District On-
going collaboration for needs assessment, strategy development and implementation relative to community and economic development issues Neighborhood groups Bay State, Ward Associations, Leeds Civic Association
Developers
Private and non-profit, Valley CDC, HAP Housing, Community Builders Realtors Property Managers Home City Housing, Hampshire Property Management, HAP Housing, Robinson
Property Owners
Landlord Business Association Local and Regional Housing, Human Services and Economic Development Organizations Meet quarterly and monthly at various locations and venues Tenant Associations
Hampshire Heights, Florence Heights, Meadowbrook Apartments, Hathaway Farms
One on One Consultations Targeted consultations may be held with representatives of surrounding towns, representatives of particular organizations/agencies, such as Cooley Dickinson Hospital, Mass. Fair Housing Center, Stavros Center for Independent Living, Tapestry Health.
4
In addition to email, direct mail and telephone invitations to public hearings and meetings,
separate focus groups may be set up for more targeted discussions. At least two focus groups will be held during the preparation of the Consolidated Plan (housing/homelessness and community/economic development/infrastructure based).
Information Access
Notice of the availability of draft and final planning documents will be posted on the City’s website. The notice will provide a direct link to the document and identify where hard copies are located. At a minimum, copies of plans will be available in the Office of Planning & Sustainability. Information on past plans, current activities and funding expenditures is available
in the Office of Planning & Sustainability upon request.
Comments All interested citizens, agencies and organizations are encouraged to submit comments on the Consolidated Plan, Annual Action Plan and year end evaluation report (CAPER). The periods for
comment begin the day of the public hearing. All comments will be considered in preparation of
the plans and funding recommendations. Comments may be submitted by mail, email or fax to the following: Office of Planning & Sustainability
Northampton City Hall
210 Main Street Northampton MA 01070 Keith Benoit, Community Development Planner
Telephone: 413- 587-1288
kbenoit@northamptonma.gov Comment periods are listed below:
Type Comment Period
Annual Action Plan Public Hearing 15 calendar days
CAPER Public Hearing 15 calendar days
Substantial Changes Public Hearing 30 calendar days Consolidated Plan Public Hearing 30 calendar days
CARES Act Substantial Amendments 5 calendar days
Response Time The Office of Planning & Sustainability will respond in writing to comments, inquiries, or complaints received within 15 calendar days. Citizen Complaint Procedure Citizen complaints are defined as those complaints meeting the following criteria:
• Received by the City in writing.
• Includes the date, legal name, address and is signed by the citizen making the complaint.
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• The complaint involves the administration or expenditure of CDBG funds included
within an approved CDBG Action Plan. The CBG Administrator will process citizen complaints as follows:
• An informal meeting will be scheduled with the complainant to discuss the complaint and provide the City the opportunity to offer clarification or request additional information
from the complainant.
• If the complaint is not resolved at that time, the CDBG Administrator will respond to the complaint in writing within 45 days of the informal meeting or within 45 days of the complainant declining to attend an informal meeting.
• Copies of the complaint and the subsequent outcome will then be transmitted to the HUD Boston Office, Community Planning & Development Division. Technical Assistance The City shall make available to community groups, private not-for-profits, City departments
and other CDBG sub-recipients, technical assistance regarding eligible uses of block grant funds, completion of the Request for Proposal forms and sub-recipient reporting requirements. Technical assistance will be provided on first come first served basis upon receipt of a written request outlining the type and level of technical assistance required. The Community Development Planner will address technical assistance requests of a minor nature by phone or
via e-mail, based on the preference of the person or agency requesting assistance. Use of the Citizen Participation Plan The City of Northampton will adhere to this Citizen Participation Plan as the official vehicle for
soliciting public input into the preparation and administration of the aforementioned plans. The
requirements shall not restrict the authority or responsibility of the City for the preparation and administration of the plans. The Mayor has the sole and final responsibility and authority to make determinations regarding the City’s CDBG program with endorsement through resolution by the Northampton City Council.
Appendix E
Reports Due by Month
Reports that CDBG Staff Submits
Month City Report On Due Where Staff
January
Cash on Hand Quarterly Report PR-29 -
1st Quarter: Oct. 1 – Dec. 31 Jan. 30 IDIS GA
February No Reports N/A N/A
March
Semi-Annual Labor Standards /
Davis-Bacon (HUD-4710)
March
31
Email to: Jill Martin and Angel
Aguero CDP
April
Cash on Hand Quarterly Report PR-29 -
2nd Quarter: Jan. 1 – March. 31 April 30 IDIS GA
May Financial Summary Report (PR-26) May 1 ?
Con Plan / Action Plan May 15 IDIS Both
June No Reports HUD
July
Cash on Hand Quarterly Report PR-29 -
3rd Quarter: April. 1 – June. 30 July 30 IDIS
August Line of Credit Control System Deadline Aug. 29 N/A GA
September CAPER Sep. 30 IDIS Both
Section 3 - SPEARS Report (with CAPER) Sep. 30 IDIS and HUD website CDP
Semi-Annual Labor Standards /
Davis-Bacon (HUD-4710) Sep. 30 Email to: Cedric and Angel CDP
Minority Business Enterprise Contract
& Subcontract Activity /
WBE Report (HUD-2516) Sep. 30 Email to: Cedric and Angel CDP
October
Cash on Hand Quarterly Report PR-29 -
4th Quarter: July 1 – Sep. 30 Oct. 30 IDIS GA
November No Reports N/A N/A
December No Reports HUD
Rolling FFATA FSRS
Reports that CDBG Staff Receives
Month Receive / Expect Due 2 Where Staff
January 2nd Quarter: October 1st - December 31st
Jan.
15 Neighborly Both
IDIS GA
February N/A N/A
March Email to: Cedric and Angel CDP
April 3rd Quarter: January 1st - March 31st April 15 Neighborly Both
IDIS GA
May ?
IDIS Both
June HUD
July 4th Quarter: April 1st - June 30th
July
15 Neighborly Both
Final Annual Report Neighborly
IDIS
August N/A GA
September IDIS Both
IDIS and HUD website CDP
Email to: Cedric and Angel CDP
Email to: Cedric and Angel CDP
October 1st Quarter: July 1st - September 30th
Oct.
15 Neighborly Both
IDIS GA
November N/A N/A
December HUD
Appendix F
Section 3 Plan
1
Section 3 Plan For
The City Of Northampton
Last Updated June 1, 2022
Table of Contents
Contents
Table of Contents ........................................................................................................................................................ 1
General Policy Statement .......................................................................................................................................... 2
Section 3 Purpose ....................................................................................................................................................... 2
Section 3 Worker and Section 3 Business Definition ............................................................................................ 2
Section 3 Project Contracting Thresholds ............................................................................................................... 3
Section 3 Employment Goals .................................................................................................................................... 3
Assisting Contractors to Achieve Section 3 Goal Hiring and Contracting Goals ............................................. 3
Evidence of Section 3 Certification ......................................................................................................................... 4
Internal Section 3 Complaint Procedure .................................................................................................................. 4
Section 3 Clause .......................................................................................................................................................... 5
Exhibit 1 ....................................................................................................................................................................... 7
Exhibit 2 ....................................................................................................................................................................... 8
Section 3 Businesses Subcontracting Opportunities ...................................................................................................... 9
2
General Policy Statement
This policy shall be required for all contractors working on Section 3 Projects for the City of Northampton. These are contracts partially or wholly funded with Housing and Urban Development (HUD) funding and that meet minimum funding thresholds. The request for bids will be notify potential bidders of the Section 3 requirements.
The City implements this policy through awarding to contractors who create employment and business opportunities for residents of the Northampton Housing Authority (NHA) and other qualified low- and very low-income residents. The policy will have a reasonable level of success if it produces the recruitment, employment, and
utilization of low-income residents and other eligible persons and businesses. Notwithstanding any language in this policy, the City is bound to award contracts for construction and services to the lowest bids eligible bidder who fully complies with the request for bids, while maintaining compliance with all state and federal procurement requirements.
For this policy, the Section 3 Coordinator shall be the Community Development Planner at the Office of Planning & Sustainability. Wherever this document and Section 3 legislation differs, the legislation will prevail.
Section 3 Purpose
Section 3 of the Housing and Urban Development Act of 1968, as amended (12 U.S.C. 1701u) (Section 3) requires that the City of Northampton ensure that employment and other economic and business opportunities generated by HUD financial assistance, to the greatest extent
feasible, are directed towards Section 3 workers and Section 3 businesses.
Section 3 Worker and Section 3 Business Definition
Section 3 worker is somebody who was hired over the last five years and when hired was either:
• Low-or very low-income individual (NHA resident automatically qualifies), OR
• Youthbuild participant, OR
• Employed by a Section 3 business
A Section 3 Business is a business who in the last six months can document that either:
• 51% or more owned by low-or very low-income persons, OR
• 75% or more labor hours are performed by Section 3 workers, OR
• 51% or more owned by current residents of public housing or Section 8-assisted housing (Northampton Housing Authority)
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Section 3 Project Contracting Thresholds
The City will incorporate Section 3 procurement requirements into all contracting opportunities when a Section 3 Project is involved. A Section 3 Project is trigged by the following requirements:
• Any project where Housing Rehabilitation, Housing Construction, and Other Public Construction project assisted under HUD programs AND the amount of HUD funded financial assistance to the project exceeds the threshold of $200,000
OR
• Assistance is from the Lead Hazard Control and Healthy Homes program exceeds $100,000
OR
• Any worked completed on public housing (Northampton Housing Authority), regardless of the dollar amount
All contractors seeking Section 3 preference must submit with their bids/proposals to the City the required Section 3 certifications. Such certifications shall be adequately supported with appropriate documentation as referenced in the form.
Section 3 Employment Goals
The City has established employment and training goals that contractors and subcontractors
should meet in order to comply with Section 3 requirements. (24 CFR 135.30). The City’s goal
is that contractors identify partners and improve their ability to provide the employment and
training goals, each year expanding contractor participation.
It is the responsibility of contractors to implement progressive efforts to attain Section 3
compliance. Any contractor that does not meet the Section 3 goals must demonstrate why
meeting the goals were not feasible. HUD requirement for hiring practices is to the greatest extent feasible. All contractors submitting bids or proposals to the City of Northampton are required to certify that they comply with the requirements of Section 3 when it is made as an exclusive requirement. Not all bid proposals require Section 3 compliance.
Assisting Contractors to Achieve Section 3 Goal Hiring and Contracting Goals
The Community Development Planner will assist contractors with little or no experience in achieving Section 3 hiring and contracting goals by facilitating the
dissemination of job opportunities to the NHA per NHA’s established Section 3
procedures. NHA has created a list of residents who are interested in future employment, training, or contracting opportunities available through NHA-funded construction projects or employment at the NHA. They have also surveyed their residents to assess their employment skills, so when future employment, training and/
or contracting opportunities arise, they have a current list of potential applicants to
contact. The Community Development Planner will coordinate with the contractor and the NHA of any employment opportunities expected to be generated from the initial
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contract. This will be a collaborative process to accomplish the goals between all
parties to reach the goals set forth in this policy.
Evidence of Section 3 Certification
Any business seeking Section 3 preference in the awarding of contracts with the City shall
complete the “Certification for Business Concerns Seeking Section 3 Preference in Contracting
and Demonstration of Capability” form, which can be obtained from the CDBG website. The business seeking Section 3 preference must be able to provide adequate documentation as evidence of eligibility for preference under the Section 3 Program.
Certifications for Section 3 preference for business concerns must be submitted along with their bids for approval. Evidence required for Section 3 certification:
• Names of the Section 3 business concerns to be utilized
• Estimates of the number of employees to be utilized for contract
• Projected number of available positions, to include job descriptions and wage rates (construction wages consistent with Davis Bacon),
• Efforts that will be utilized to seek Section 3 participants.
• Submit a list of core employees (including administrative, clerical, planning and other positions pertinent to the construction trades) at the time of contact award
Internal Section 3 Complaint Procedure
In an effort to resolve complaints generated due to non-compliance through an internal process, the City encourages submittal of such complaints to its Section 3 Coordinator as follows:
• Complaints of non-compliance should be filed in writing and must contain the name of the complainant and brief description of the alleged violation of 24 CFR 135
• Complaints must be filed within thirty (30) calendar days after the complainant becomes aware of the alleged violation
• An investigation will be conducted if complaint is found to be valid. The Section 3 Coordinator will conduct an informal, but thorough investigation affording all interested parties, if any, an opportunity to submit testimony and/or evidence pertinent to the complaint
• The Section 3 Coordinator will provide written documentation detailing the findings
of the investigation of the City. The Director of Planning & Development will review
the findings for accuracy and completeness before it is released to complainants. The findings will be made available no later than thirty (30) days after the filing of the
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complaint
If complainants wish to have their concerns considered outside of the City a complaint may be filed with: Asst. Secretary for Fair Housing & Equal Opportunity H.U.D.
451 Seventh Street, SW
Washington, DC 20410 The complaint must be received not later than 180 days from the date of the action or omission upon which the complaint is based, unless the time for filing is extended by the Assistant
Secretary for good cause shown
Section 3 Clause
All Section 3 covered contracts shall include the following clause (referred to as the Section 3
Clause):
1. The work to be performed under this contract is subject to the requirements of section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u
(Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD- assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing.
2. The parties to this contract agree to comply with HUD’s regulations in 24 CFR part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. 3. The contractor agrees to send to each labor organization or representative or workers with which the contractor has a collective bargaining agreement or other understanding, if any,
a notice advising the labor organization or workers’ representative of the contractor’s commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of
apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. 4. The contractor agrees to include this Section 3 clause in every subcontract subject to
compliance with regulations in 24 CFR part 135, and agrees to take appropriate action, as
provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24
CFR part 135.
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5. The contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected but before the contract is
executed, and (2) with persons other than those to whom the regulations of 24 CFR part
135 require employment opportunities to be directed, were not filled to circumvent the contractor’s obligations under 24 CFR part 135. 6. Noncompliance with HUD’s regulations in 24 CFR part 135 may result in sanctions,
termination of this contract for default, and debarment or suspension from future HUD
assisted contracts. 7. With respect to work performed in connection with Section 3 covered Indian housing assistance, section 7(b) of the Indian Self-Determination and Education Assistance Act
(25 U.S.C. 450e) also applies to the work to be performed under this contract. Section
7(b) requires that to the greatest extent feasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises. Parties to this contract that are subject to the provisions of
Section 3 to the maximum extent feasible, but not in derogation of compliance with
section 7(b)
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Exhibit 1
The Northampton Housing Authority
Resident Employment Opportunity Data
Eligibility for Preference
Eligibility for Preference
A section 3 resident seeking the preference in training and employment provided by this part
shall certify, or submit evidence to the recipient contractor or subcontractor, if requested, that the person is a Section 3 resident, as defined in Section 135.5. (An example of evidence of eligibility for the preference is evidence of receipt of public assistance, or evidence of participation in a public assistance program.)
Date Print Name
Signature
Other evidence Copy of Evidence of participation in a public assistance program.
Copy of receipt of public assistance Copy of lease
I have attached the following documentation as evidence of my status:
Certification for Resident Seeking Section 3 Preference in Training and Employment I, , am a legal resident of the Northampton Housing Authority and meet the income eligibility guidelines for a low- or very- low-income person as published on the reverse. My permanent address is:
Exhibit 2 The Northampton Housing Authority
Section 3 Income Limits for 2022 All residents of public housing developments of the Northampton Housing Authority qualify as Section 3 residents. Additionally, individuals residing in the City of Northampton who
meet the income limits set forth below, can also qualify for Section 3 status.
Eligibility Guideline Number in Household
Very Low Income Low Income
1 individual $32,950 $52,750
2 individuals $37,650 $60,250 3 individuals $42,350 $67,800 4 individuals $47,050 $75,300
5 individuals $50,850 $81,350 6 individuals $54,600 $87,350 7 individuals $58,350 $93,400 8 individuals $62,150 $99,400
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Section 3 Businesses Subcontracting Opportunities
In a one (1) page letter on your company’s letterhead:
• Indicate the goals, expressed in terms of percentage of planning subcontracting dollars, for the
use of Section 3 business concerns as subcontractors
• Statement of the total dollar amount to be subcontracted
• Total dollar amount to be subcontracted to Section 3 business concerns for building trades,
• Total dollar amount to be subcontracted to Section 3 business concerns for other than building trades work (maintenance, repair, modernization and redevelopment)
• Description of the method used to develop the goals above and the efforts to be undertaken by the Contractor to meet those goals
___________________________________ __________________ Acknowledged by: Date President or Authorized Officer
Appendix G
Non-Discrimination Policies
•Equal Employment Opportunity, Anti-Discrimination And
Harassment Policy (including Sexual Harassment)
•Notice of Non-Discrimination for the ADA
•Discrimination and Past Practices Policy from the
Northampton Administrative and Professional Employee
Association (NAPEA) union contract
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City of Northampton, Massachusetts
Human Resources Department
Revision Date: 9/20/2018 EQUAL EMPLOYMENT OPPORTUNITY,
ANTI-DISCRIMINATION AND HARASSMENT POLICY
(including Sexual Harassment)
Purpose It is the goal of the City of Northampton to promote a workplace that is free of unlawful harassment and discrimination. Unlawful harassment or discrimination of employees occurring in
the workplace or in other settings in which employees may find themselves in connection with their employment will not be tolerated by this organization. Further, any retaliation against an individual who has complained about harassment or discrimination, or retaliation against individuals for cooperating with an investigation of a harassment or discrimination complaint, is similarly unlawful and will not be tolerated. To achieve our goal of providing a workplace free from
unlawful harassment and discrimination, the conduct that is described in this Policy will not be tolerated and we have provided a procedure by which inappropriate conduct will be dealt with, if encountered by employees. Application This Policy applies to all employees of the City of Northampton. Policy It is the policy of the City of Northampton to promote a professional and productive workplace in which all employees are treated with dignity and respect. Employees are expected to act in a
positive manner and contribute to a productive work environment that is free from harassing or disruptive activity. Discrimination, including harassment, whether based upon race, color, gender, gender identity, national origin, religion, ancestry, age, sexual orientation, disability, pregnancy or pregnancy-related conditions, genetic information, military service or other bases prohibited under
state or federal anti-discrimination statutes will not be tolerated. To achieve the goal or providing a
workplace free from discrimination, the City of Northampton will implement the procedures described below to address any potential inappropriate conduct. A. Coverage This Policy applies to all employment practices and employment programs sponsored by the
City of Northampton. This Policy shall apply, but not be limited to, the areas of:
• Recruitment
• Selection
• Compensation and benefits
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• Professional development and training
• Reasonable accommodation for disabilities or religious practices
• Promotion
• Transfer
• Termination
• Layoff, and
• Other terms and conditions of employment.
This Policy may apply to discrimination (including harassment) that occurs between co-
workers that takes place outside the workplace (including, but not limited to, online conduct or conduct utilizing the internet or other electronic media). When the conduct complained of occurs outside the workplace, the City of Northampton may consider the following and other factors in assessing whether the conduct constitutes conduct in violation of this
Policy:
• Whether the event at which the conduct occurred is linked to the workplace in any
way, such as at a City-sponsored function;
• Whether the conduct occurred during work hours;
• The severity of the alleged outside-of-work conduct;
• The work relationship of the complainant and alleged harasser, which includes
whether the alleged harasser is a supervisor and whether the alleged harasser and
complainant come in contact with one another on the job;
• Whether the conduct adversely affected the terms and conditions of the
complainant's employment or impacted the complainant's work environment.
Because the City of Northampton takes allegations of unlawful discrimination and harassment seriously, officials will respond promptly to complaints and, where it is determined that such inappropriate conduct has occurred, will act promptly to eliminate the
conduct and impose such corrective action as necessary, including disciplinary action where
appropriate. Please note that while this Policy sets forth the City of Northampton's goals of promoting a workplace that is free from unlawful discrimination and harassment, the Policy is not
designed or intended to limit the City's authority to discipline or take remedial action for
workplace conduct which is deemed unacceptable, regardless of whether that conduct satisfies the legal definitions of discrimination and harassment. B. Examples of Prohibited Discriminatory Behavior It is not possible to list all the circumstances that may constitute discrimination in violation
of this Policy. Discrimination may take many forms, including both verbal and non-verbal behaviors. Prohibited behavior includes, but is not limited to, the following behaviors connected to someone's membership in one or more groups protected by law as noted in the first paragraph above: slurs or other derogatory comments; sharing demeaning pictures,
cartoons or jokes; demeaning gestures; and any conduct constituting sexual harassment.
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C. Definition of Sexual Harassment Sexual Harassment That conduct, including unwelcome sexual advances, requests for sexual favors and other verbal or physical conduct of a sexual nature, which may constitute sexual harassment when:
• Submission to such conduct is made explicitly or implicitly a term or condition of an
individual's employment;
• Submission to or rejection of such conduct by an individual is used for the basis for
employment decisions affecting such individual; or
• Such conduct has the purpose or effect of unreasonably interfering with an individual's
work performance or creating an intimidating, hostile or offensive working
environment.
Hostile Work Environment A form of sexual harassment, where pervasive and sexually hostile working conditions
unreasonably interfere with an employee's ability to do his or her job. Quid Pro Quo Another form of sexual harassment, where tangible job benefits are offered or withheld in exchange for sexual favors.
Note: While it is not possible to list all those additional circumstances that may constitute sexual harassment, the following are some examples of conduct which, if unwelcome, may constitute sexual harassment depending on the totality of the circumstances, including the severity of the conduct and its pervasiveness:
• Unwelcome sexual advances, whether they involve physical touching or not
• Sexual epithets, jokes, written or oral references to sexual conduct, gossip regarding
one's sex life; comments on an individual's body, comments on an individual's sexual
activity, deficiencies or prowess
• Displaying sexually suggestive objects, pictures or cartoons
• Unwelcome leering, whistling, brushing against the body, sexual gestures, suggestive or
insulting comments
• Inquiries into one's sexual experiences
• Discussion of one's sexual activities
Under these definitions, direct or implied requests by a supervisor for sexual favors in exchange for actual or promised job benefits such as favorable reviews, salary increases, promotions,
increased benefits or continued employment constitutes sexual harassment.
The legal definition of sexual harassment is broad and in addition to the above examples, other sexually-oriented conduct, whether it is intended or not, that is unwelcome and has the effect of
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creating a workplace environment that is hostile, offensive, intimidating or humiliating to male
or female workers may also constitute sexual harassment. This can include conduct that is
aimed at a person's sexual orientation or gender identity. Procedures
A. Complaints of Sexual Harassment If an employee believes that they have been subjected to sexual harassment, it is the City of Northampton's policy to provide the employee with the right to file an internal complaint. This may be done orally or in writing. An employee may file a complaint of sexual harassment by contacting Glenda Stoddard, Director of Human Resources. Alternatively, Northampton Public
School employees may file a complaint with Karen Robitaille, Director of Health Services.
These persons will remain available to discuss any concerns employees may have and to provide information about the City of Northampton's policy on sexual harassment and the complaint process.
B. Sexual Harassment Investigation When a complaint of sexual harassment is received, the City will promptly investigate the allegation in a fair and expeditious manner. The investigation will be conducted in such a way as to maintain confidentiality to the extent practicable under the circumstances. The City's investigation will include a private interview with the person filing the complaint and with any
witnesses. The City will also interview the person alleged to have committed sexual harassment. When the investigation is concluded, the City will, to the extent appropriate, inform the person filing the complaint and the person alleged to have committed the conduct of the results of that investigation.
If it is determined that inappropriate conduct has occurred, the City will act promptly to eliminate the offending conduct and, where appropriate, impose disciplinary action. C. Complaints Concerning Other Forms of Discrimination and/or Harassment Complaints alleging forms of discrimination and/or harassment, other than sexual harassment,
will be processed in accordance with Sections A and B, above, when appropriate. D. Confidentiality Given the sensitive nature of complaints of discrimination and/or harassment, all parties and witnesses in the complaint, as well as Department Heads, supervisors, etc. who are aware of a
complaint or investigation thereof are strongly encouraged to maintain this information as confidential, so as not to negatively impact an investigation. The City's investigators will conduct the investigation in such a way as to maintain confidentiality to the extent practicable under the circumstances
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E. Retaliation Any retaliation against an individual who has formally or informally complained about
discrimination, including harassment, or has cooperated with an investigation of a discrimination complaint is prohibited. Retaliation can be overt or subtle. Retaliation may include, but is not limited to, treating a
complainant or witness differently, more harshly or in a hostile manner; physical interference
with movement such as blocking a path; derogatory comments or action which would tend to have a chilling effect on other complainants; sudden investigations of the complainant's private life; or sudden strict enforcement of work rules. Retaliation in any form will not be tolerated.
Sanctions
If it is determined that inappropriate conduct has been committed by an employee, the City will take such action as is appropriate under the circumstances. Such action may include counseling, informal or formal reprimands, verbal or written warnings, suspension, reduction in pay, reduction in duties, transfers and other formal sanctions, including termination from employment.
State and Federal Remedies In addition to the above, if an employee believes that the employee has been subjected to discriminatory harassment of any type, including sexual harassment, the employee may file a formal complaint with either or both of the government agencies set forth below. Using the City's
complaint process does not prohibit the employee from filing a complaint with these agencies. Each
of the agencies requires that claims be filed within 300 days from the alleged incident of when the complainant became aware of the incident. The United States Equal Employment Opportunity Commission (EEOC): John F. Kennedy Federal Building
475 Government Center Boston, MA 02203 (800) 669-4000 TYY: (800) 669-6820
The Massachusetts Commission Against Discrimination (MCAD): Boston Office: One Ashburton Place, Room 601 Boston, MA 02108
(617) 994-6196
TYY: (617) 994-6196 Springfield Office: 436 Dwight Street, Room 220
Springfield, MA 01103
(413) 739-2145
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Worcester Office:
4874 Main Street, Suite 320
Worcester, MA 01604 (508) 453-9630 Reasonable Accommodations The City of Northampton will not discriminate against people with disabilities in any
employment practices or in terms, conditions or privileges of employment, including, but not limited to, application, testing, hiring, assignment, evaluation, disciplinary action, training, promotion, medical examination, layoff/recall, termination, compensation, leaves or benefits. The City will make reasonable accommodation to the known physical or mental limitations of a
qualified applicant or employee with a disability, unless such action would cause an undue
hardship to the operations of the City. In addition, the City complies with the provisions of General Laws Chapter 151B, Section 1E, requiring certain reasonable accommodations for an employee's pregnancy or pregnancy-related
condition.
Employees seeking reasonable accommodations may submit their request in writing to their supervisor or to Glenda Stoddard, 240 Main Street, Room 6, Northampton, MA 01060 (413) 587-
1257.
Equal Opportunity Statement The City of Northampton will not discriminate in its employment practices on the basis of race, color, gender, gender identity, national origin, religion, ancestry, age, sexual orientation,
disability, pregnancy or pregnancy-related conditions, genetic information, military service or
other basis prohibited under the state or federal anti-discrimination statutes. This shall include such areas as recruitment, selection, compensation and benefits, professional development and training, reasonable accommodation for disability and religious practices, promotion, transfer, termination, layoff and other terms and conditions of employment.
This Policy does not supersede a Department Manager's rights to direct and redirect
employee behavior or performance in the workplace so long as that action is not unlawfully discriminatory or harassing.
Notice of Non-Discrimination for the ADA
In accordance with the requirements of title II of the Americans with Disabilities Act of 1990 (ADA), the City of Northampton will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities.
Employment The City of Northampton does not discriminate on the basis of disability in its hiring or employment practices and complies with all regulations promulgated by the U.S. Equal Employment Opportunity Commission under title I of the ADA.
Effective Communication The City of Northampton will generally, upon request, make reasonable accommodation to provide appropriate aids and services leading to effective communication for qualified persons with disabilities so they can participate equally in Northampton programs, services, and activities,
including qualified sign language interpreters, documents in Braille, and other ways of making information and communications accessible to people who have speech, hearing, or vision impairments. Modifications to Policies and Procedures The City of Northampton will make all reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy all of its programs, services, and activities. For example, individuals with service animals are welcomed in City of Northampton offices, even where pets are generally prohibited.
Anyone who requires an auxiliary aid or service for effective communication, or a modification of policies or procedures to participate in a program, service, or activity of the City of Northampton, should contact the office of ADA Coordinator, Northampton Senior Services as soon as possible but no later than 48 hours before the scheduled event.
The ADA does not require the City of Northampton to take any action that would fundamentally alter the nature of its programs or services, or impose an undue financial or administrative burden. Complaints that a program, service, or activity of the City of Northampton is not accessible to persons with disabilities should be directed to the ADA Coordinator.
The City of Northampton will not place a surcharge on a particular individual with a disability or any group of individuals with disabilities to cover the cost of providing auxiliary aids/services or reasonable modifications of policy, such as retrieving items from locations that are open to the public but are not accessible to persons who use wheelchairs.
Article 2
Discrimination and Past Practice
from the
Northampton Administrative and Professional Employee
Association (NAPEA) union contract
2.01.
The City shall not discriminate against any person on any matter because of race, creed, color,
sex, age, handicap or political affiliation. All persons covered by this Agreement shall receive
equal and full protection thereunder.
2.02.
All other benefits which are enjoyed by the employees covered by this contract are hereby
protected by this Agreement. All benefits and/or rights enjoyed by the employees covered by this
contract which are now governed by Municipal Ordinance and State Law and which are not in
conflict with this Agreement shall remain in full force and effect.
Appendix H
Summary of the Conflict of Interest Law for
Municipal Employees
Summary of the Conflict of Interest Law for Municipal
Employees
This summary of the conflict of interest law, General Laws chapter 268A, is intended to help
municipal employees understand how that law applies to them. This summary is not a
substitute for legal advice, nor does it mention every aspect of the law that may apply in a
particular situation. Municipal employees can obtain free confidential advice about the
conflict of interest law from the Commission’s Legal Division at our website, phone number,
and address above. Municipal counsel may also provide advice.
The conflict of interest law seeks to prevent conflicts between private interests and public
duties, foster integrity in public service, and promote the public’s trust and confidence in that
service by placing restrictions on what municipal employees may do on the job, after hours,
and after leaving public service, as described below. The sections referenced below are
sections of G.L. c. 268A.
When the Commission determines that the conflict of interest law has been violated, it can
impose a civil penalty of up to $10,000 ($25,000 for bribery cases) for each violation. In
addition, the Commission can order the violator to repay any economic advantage he gained
by the violation, and to make restitution to injured third parties. Violations of the conflict of
interest law can also be prosecuted criminally.
I. Are you a municipal employee for conflict of interest law
purposes?
You do not have to be a full-time, paid municipal employee to be considered a municipal
employee for conflict of interest purposes. Anyone performing services for a city or town or
holding a municipal position, whether paid or unpaid, including full- and part-time municipal
employees, elected officials, volunteers, and consultants, is a municipal employee under the
conflict of interest law. An employee of a private firm can also be a municipal employee, if
the private firm has a contract with the city or town and the employee is a “key employee”
under the contract, meaning the town has specifically contracted for her services. The law
also covers private parties who engage in impermissible dealings with municipal employees,
such as offering bribes or illegal gifts. Town meeting members and charter commission
members are not municipal employees under the conflict of interest law.
II. On-the-job restrictions.
(a) Bribes. Asking for and taking bribes is prohibited. (See Section 2)
A bribe is anything of value corruptly received by a municipal employee in exchange for the
employee being influenced in his official actions. Giving, offering, receiving, or asking for a
bribe is illegal.
Bribes are more serious than illegal gifts because they involve corrupt intent. In other words,
the municipal employee intends to sell his office by agreeing to do or not do some official
act, and the giver intends to influence him to do so. Bribes of any value are illegal.
(b) Gifts and gratuities. Asking for or accepting a gift because of your
official position, or because of something you can do or have done in
your official position, is prohibited. (See Sections 3, 23(b)(2), and 26)
Municipal employees may not accept gifts and gratuities valued at $50 or more given to
influence their official actions or because of their official position. Accepting a gift intended
to reward past official action or to bring about future official action is illegal, as is giving
such gifts. Accepting a gift given to you because of the municipal position you hold is also
illegal. Meals, entertainment event tickets, golf, gift baskets, and payment of travel expenses
can all be illegal gifts if given in connection with official action or position, as can anything
worth $50 or more. A number of smaller gifts together worth $50 or more may also violate
these sections.
Example of violation: A town administrator accepts reduced rental payments from
developers.
Example of violation: A developer offers a ski trip to a school district employee who
oversees the developer’s work for the school district.
Regulatory exemptions. There are situations in which a municipal employee’s receipt of a
gift does not present a genuine risk of a conflict of interest, and may in fact advance the
public interest. The Commission has created exemptions permitting giving and receiving
gifts in these situations. One commonly used exemption permits municipal employees to
accept payment of travel-related expenses when doing so advances a public
purpose. Another commonly used exemption permits municipal employees to accept
payment of costs involved in attendance at educational and training programs. Other
exemptions are listed on the Commission’s website.
Example where there is no violation: A fire truck manufacturer offers to pay the travel
expenses of a fire chief to a trade show where the chief can examine various kinds of fire-
fighting equipment that the town may purchase. The chief fills out a disclosure form and
obtains prior approval from his appointing authority.
Example where there is no violation: A town treasurer attends a two-day annual school
featuring multiple substantive seminars on issues relevant to treasurers. The annual school is
paid for in part by banks that do business with town treasurers. The treasurer is only required
to make a disclosure if one of the sponsoring banks has official business before her in the six
months before or after the annual school.
(c) Misuse of position. Using your official position to get something
you are not entitled to, or to get someone else something they are not
entitled to, is prohibited. Causing someone else to do these things is
also prohibited. (See Sections 23(b)(2) and 26)
A municipal employee may not use her official position to get something worth $50 or more
that would not be properly available to other similarly situated individuals. Similarly, a
municipal employee may not use her official position to get something worth $50 or more for
someone else that would not be properly available to other similarly situated
individuals. Causing someone else to do these things is also prohibited.
Example of violation: A full-time town employee writes a novel on work time, using her
office computer, and directing her secretary to proofread the draft.
Example of violation: A city councilor directs subordinates to drive the councilor’s wife to
and from the grocery store.
Example of violation: A mayor avoids a speeding ticket by asking the police officer who
stops him, “Do you know who I am?” and showing his municipal I.D.
(d) Self-dealing and nepotism. Participating as a municipal employee
in a matter in which you, your immediate family, your business
organization, or your future employer has a financial interest is
prohibited. (See Section 19)
A municipal employee may not participate in any particular matter in which he or a member
of his immediate family (parents, children, siblings, spouse, and spouse’s parents, children,
and siblings) has a financial interest. He also may not participate in any particular matter in
which a prospective employer, or a business organization of which he is a director, officer,
trustee, or employee has a financial interest. Participation includes discussing as well as
voting on a matter, and delegating a matter to someone else.
A financial interest may create a conflict of interest whether it is large or small, and positive
or negative. In other words, it does not matter if a lot of money is involved or only a little. It
also does not matter if you are putting money into your pocket or taking it out. If you, your
immediate family, your business, or your employer have or has a financial interest in a
matter, you may not participate. The financial interest must be direct and immediate or
reasonably foreseeable to create a conflict. Financial interests which are remote, speculative
or not sufficiently identifiable do not create conflicts.
Example of violation: A school committee member’s wife is a teacher in the town’s public
schools. The school committee member votes on the budget line item for teachers’ salaries.
Example of violation: A member of a town affordable housing committee is also the director
of a non-profit housing development corporation. The non-profit makes an application to the
committee, and the member/director participates in the discussion.
Example: A planning board member lives next door to property where a developer plans to
construct a new building. Because the planning board member owns abutting property, he is
presumed to have a financial interest in the matter. He cannot participate unless he provides
the State Ethics Commission with an opinion from a qualified independent appraiser that the
new construction will not affect his financial interest.
In many cases, where not otherwise required to participate, a municipal employee may
comply with the law by simply not participating in the particular matter in which she has a
financial interest. She need not give a reason for not participating.
There are several exemptions to this section of the law. An appointed municipal employee
may file a written disclosure about the financial interest with his appointing authority, and
seek permission to participate notwithstanding the conflict. The appointing authority may
grant written permission if she determines that the financial interest in question is not so
substantial that it is likely to affect the integrity of his services to the
municipality. Participating without disclosing the financial interest is a violation. Elected
employees cannot use the disclosure procedure because they have no appointing authority.
Example where there is no violation: An appointed member of the town zoning advisory
committee, which will review and recommend changes to the town’s by-laws with regard to a
commercial district, is a partner at a company that owns commercial property in the
district. Prior to participating in any committee discussions, the member files a disclosure
with the zoning board of appeals that appointed him to his position, and that board gives him
a written determination authorizing his participation, despite his company’s financial
interest. There is no violation.
There is also an exemption for both appointed and elected employees where the employee’s
task is to address a matter of general policy and the employee’s financial interest is shared
with a substantial portion (generally 10% or more) of the town’s population, such as, for
instance, a financial interest in real estate tax rates or municipal utility rates.
Regulatory exemptions. In addition to the statutory exemptions just mentioned, the
Commission has created several regulatory exemptions permitting municipal employees to
participate in particular matters notwithstanding the presence of a financial interest in certain
very specific situations when permitting them to do so advances a public purpose. There is
an exemption permitting school committee members to participate in setting school fees that
will affect their own children if they make a prior written disclosure. There is an exemption
permitting town clerks to perform election-related functions even when they, or their
immediate family members, are on the ballot, because clerks’ election-related functions are
extensively regulated by other laws. There is also an exemption permitting a person serving
as a member of a municipal board pursuant to a legal requirement that the board have
members with a specified affiliation to participate fully in determinations of general policy
by the board, even if the entity with which he is affiliated has a financial interest in the
matter. Other exemptions are listed in the Commission's regulations, available on the
Commission’s website.
Example where there is no violation: A municipal Shellfish Advisory Board has been
created to provide advice to the Board of Selectmen on policy issues related to shellfishing.
The Advisory Board is required to have members who are currently commercial fishermen.
A board member who is a commercial fisherman may participate in determinations of general
policy in which he has a financial interest common to all commercial fishermen, but may not
participate in determinations in which he alone has a financial interest, such as the extension
of his own individual permits or leases.
(e) False claims. Presenting a false claim to your employer for a
payment or benefit is prohibited, and causing someone else to do so is
also prohibited. (See Sections 23(b)(4) and 26)
A municipal employee may not present a false or fraudulent claim to his employer for any
payment or benefit worth $50 or more, or cause another person to do so.
Example of violation: A public works director directs his secretary to fill out time sheets to
show him as present at work on days when he was skiing.
(f) Appearance of conflict. Acting in a manner that would make a
reasonable person think you can be improperly influenced is
prohibited. (See Section 23(b)(3))
A municipal employee may not act in a manner that would cause a reasonable person to think
that she would show favor toward someone or that she can be improperly influenced. Section
23(b)(3) requires a municipal employee to consider whether her relationships and affiliations
could prevent her from acting fairly and objectively when she performs her duties for a city
or town. If she cannot be fair and objective because of a relationship or affiliation, she
should not perform her duties. However, a municipal employee, whether elected or
appointed, can avoid violating this provision by making a public disclosure of the facts. An
appointed employee must make the disclosure in writing to his appointing official.
Example where there is no violation: A developer who is the cousin of the chair of the
conservation commission has filed an application with the commission. A reasonable person
could conclude that the chair might favor her cousin. The chair files a written disclosure with
her appointing authority explaining her relationship with her cousin prior to the meeting at
which the application will be considered. There is no violation of Sec. 23(b)(3).
(g) Confidential information. Improperly disclosing or personally
using confidential information obtained through your job is
prohibited. (See Section 23(c))
Municipal employees may not improperly disclose confidential information, or make
personal use of non-public information they acquired in the course of their official duties to
further their personal interests.
III. After-hours restrictions.
(a) Taking a second paid job that conflicts with the duties of your
municipal job is prohibited. (See Section 23(b)(1))
A municipal employee may not accept other paid employment if the responsibilities of the
second job are incompatible with his or her municipal job.
Example: A police officer may not work as a paid private security guard in the town where
he serves because the demands of his private employment would conflict with his duties as a
police officer.
(b) Divided loyalties. Receiving pay from anyone other than the city
or town to work on a matter involving the city or town is
prohibited. Acting as agent or attorney for anyone other than the city
or town in a matter involving the city or town is also prohibited
whether or not you are paid. (See Sec. 17)
Because cities and towns are entitled to the undivided loyalty of their employees, a municipal
employee may not be paid by other people and organizations in relation to a matter if the city
or town has an interest in the matter. In addition, a municipal employee may not act on
behalf of other people and organizations or act as an attorney for other people and
organizations in which the town has an interest. Acting as agent includes contacting the
municipality in person, by phone, or in writing; acting as a liaison; providing documents to
the city or town; and serving as spokesman.
A municipal employee may always represent his own personal interests, even before his own
municipal agency or board, on the same terms and conditions that other similarly situated
members of the public would be allowed to do so. A municipal employee may also apply for
building and related permits on behalf of someone else and be paid for doing so, unless he
works for the permitting agency, or an agency which regulates the permitting agency.
Example of violation: A full-time health agent submits a septic system plan that she has
prepared for a private client to the town’s board of health.
Example of violation: A planning board member represents a private client before the board
of selectmen on a request that town meeting consider rezoning the client’s property.
While many municipal employees earn their livelihood in municipal jobs, some municipal
employees volunteer their time to provide services to the town or receive small
stipends. Others, such as a private attorney who provides legal services to a town as needed,
may serve in a position in which they may have other personal or private employment during
normal working hours. In recognition of the need not to unduly restrict the ability of town
volunteers and part-time employees to earn a living, the law is less restrictive for “special”
municipal employees than for other municipal employees.
The status of “special” municipal employee has to be assigned to a municipal position by
vote of the board of selectmen, city council, or similar body. A position is eligible to be
designated as “special” if it is unpaid, or if it is part-time and the employee is allowed to have
another job during normal working hours, or if the employee was not paid for working more
than 800 hours during the preceding 365 days. It is the position that is designated as
“special” and not the person or persons holding the position. Selectmen in towns of 10,000
or fewer are automatically “special”; selectman in larger towns cannot be “specials.”
If a municipal position has been designated as “special,” an employee holding that position
may be paid by others, act on behalf of others, and act as attorney for others with respect to
matters before municipal boards other than his own, provided that he has not officially
participated in the matter, and the matter is not now, and has not within the past year been,
under his official responsibility.
Example: A school committee member who has been designated as a special municipal
employee appears before the board of health on behalf of a client of his private law practice,
on a matter that he has not participated in or had responsibility for as a school committee
member. There is no conflict. However, he may not appear before the school committee, or
the school department, on behalf of a client because he has official responsibility for any
matter that comes before the school committee. This is still the case even if he has recused
himself from participating in the matter in his official capacity.
Example: A member who sits as an alternate on the conservation commission is a special
municipal employee. Under town by-laws, he only has official responsibility for matters
assigned to him. He may represent a resident who wants to file an application with the
conservation commission as long as the matter is not assigned to him and he will not
participate in it.
(c) Inside track. Being paid by your city or town, directly or
indirectly, under some second arrangement in addition to your job is
prohibited, unless an exemption applies. (See Section 20)
A municipal employee generally may not have a financial interest in a municipal contract,
including a second municipal job. A municipal employee is also generally prohibited from
having an indirect financial interest in a contract that the city or town has with someone
else. This provision is intended to prevent municipal employees from having an “inside
track” to further financial opportunities.
Example of violation: Legal counsel to the town housing authority becomes the acting
executive director of the authority, and is paid in both positions.
Example of violation: A selectman buys a surplus truck from the town DPW.
Example of violation: A full-time secretary for the board of health wants to have a second
paid job working part-time for the town library. She will violate Section 20 unless she can
meet the requirements of an exemption.
Example of violation: A city councilor wants to work for a non-profit that receives funding
under a contract with her city. Unless she can satisfy the requirements of an exemption under
Section 20, she cannot take the job.
There are numerous exemptions. A municipal employee may hold multiple unpaid or elected
positions. Some exemptions apply only to special municipal employees. Specific
exemptions may cover serving as an unpaid volunteer in a second town position, housing-
related benefits, public safety positions, certain elected positions, small towns, and other
specific situations. Please call the Ethics Commission’s Legal Division for advice about a
specific situation.
IV. After you leave municipal employment. (See Section 18)
(a) Forever ban. After you leave your municipal job, you may never
work for anyone other than the municipality on a matter that you
worked on as a municipal employee.
If you participated in a matter as a municipal employee, you cannot ever be paid to work on
that same matter for anyone other than the municipality, nor may you act for someone else,
whether paid or not. The purpose of this restriction is to bar former employees from selling
to private interests their familiarity with the facts of particular matters that are of continuing
concern to their former municipal employer. The restriction does not prohibit former
municipal employees from using the expertise acquired in government service in their
subsequent private activities.
Example of violation: A former school department employee works for a contractor under a
contract that she helped to draft and oversee for the school department.
(b) One year cooling-off period. For one year after you leave your
municipal job you may not participate in any matter over which you
had official responsibility during your last two years of public service.
Former municipal employees are barred for one year after they leave municipal employment from personally appearing before any agency of the municipality in connection with matters that were under their authority in their prior municipal positions during the two years before they left.
Example: An assistant town manager negotiates a three-year contract with a company. The town manager who supervised the assistant, and had official responsibility for the contract but did not participate in negotiating it, leaves her job to work for the company to which the contract was awarded. The former manager may not call or write the town in connection
with the company’s work on the contract for one year after leaving the town. A former municipal employee who participated as such in general legislation on expanded gaming and related matters may not become an officer or employee of, or acquire a financial interest in, an applicant for a gaming license, or a gaming licensee, for one year after his
public employment ceases.
(c) Partners. Your partners will be subject to restrictions while you
serve as a municipal employee and after your municipal service ends.
Partners of municipal employees and former municipal employees are also subject to restrictions under the conflict of interest law. If a municipal employee participated in a matter, or if he has official responsibility for a matter, then his partner may not act on behalf of anyone other than the municipality or provide services as an attorney to anyone but the
city or town in relation to the matter. Example: While serving on a city’s historic district commission, an architect reviewed an application to get landmark status for a building. His partners at his architecture firm may
not prepare and sign plans for the owner of the building or otherwise act on the owner’s
behalf in relation to the application for landmark status. In addition, because the architect has official responsibility as a commissioner for every matter that comes before the commission, his partners may not communicate with the commission or otherwise act on behalf of any client on any matter that comes before the commission during the time that the architect
serves on the commission.
Example: A former town counsel joins a law firm as a partner. Because she litigated a
lawsuit for the town, her new partners cannot represent any private clients in the lawsuit for one year after her job with the town ended.
* * * * *
This summary is not intended to be legal advice and, because it is a summary, it does not
mention every provision of the conflict law that may apply in a particular situation. Our
website, www.mass.gov/orgs/state-ethics-commission, contains further information about
how the law applies in many situations. You can also contact the Commission’s Legal
Division via our website, by telephone, or by letter. Our contact information is at the top of
this document.
Version 7: Revised November 14, 2016.
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *
ACKNOWLEDGMENT OF RECEIPT
I, , an employee at
(first and last name) (name of municipal dept.)
hereby acknowledge that I received a copy of the summary of the conflict of interest law for municipal employees, revised November 14, 2016, on .
(date)
Municipal employees should complete the acknowledgment of receipt and return it to the
individual who provided them with a copy of the summary. Alternatively, municipal
employees may send an email acknowledging receipt of the summary to the individual who
provided them with a copy of it.
Introduction
Chapter 28 of the Acts of 2009, the ethics reform law, imposes education and training requirements on
public employers and public employees. The law authorizes the Commission to establish procedures to
implement and ensure compliance with these requirements, and these Implementation Procedures are
issued pursuant to that authority. The requirements can be summarized as follows: Each year, every
state, county, and municipal employee must be given a summary of the conflict of interest law prepared
by the Ethics Commission and, every two years, they must complete an online training program
prepared by the Commission. Every municipality must designate a liaison to the Commission. All
records of compliance with these requirements must be retained for 6 years. These requirements apply
to all public employees, as defined by the conflict of interest law and described below, except to the
extent that an employing public agency exempts certain categories of employees from these
requirements in accordance with the guidelines set forth below (see section 2). These requirements
also apply to regional public entities, as discussed below in section 6. Former public employees are not
subject to these requirements.
Questions, Comments and Suggestions
The Commission is committed to working with those affected by the law to implement it as efficiently as
possible. Questions about these procedures may be directed to the Commission's Legal Division by
calling (617) 371-9500, or submitted electronically on this website. In addition, the Commission invites
suggestions for improvements to these procedures. You may email suggestions to David Giannotti, the
Commission's Chief of the Public Education and Communications Division, at David.Giannotti@mass.gov,
or by calling 617-371-9505.
1. WHO IS CONSIDERED A PUBLIC EMPLOYEE?
a. Anyone who holds an office or position with, or provides services to, a public entity, is a public
employee.
The statutory definitions of who is a state, county, and municipal employee for purposes of the conflict
of interest law are very broad. These definitions are not limited to paid, full-time public employees.
Everyone who performs services for, or holds an office or position with, a state, county, or municipal
agency is subject to the conflict of interest law. This is true whether the person is paid or unpaid, is a
volunteer, works part-time, is employed only for part of the year or on a seasonal basis, or is a "special"
employee. The law applies to these individuals, regardless of whether the employee is elected,
appointed, or working under a contract.
The conflict of interest law applies to employees of regional entities, including employees of regional
school districts and educational collaboratives, regional retirement systems, regional transit authorities,
regional planning commissions, regional councils of governments, and independent entities such as
water and sewer districts and fire districts and prudential committees. Employees of regional entities
are considered to be employees of each municipality that is a member of, or participates in, the regional
entity.
An individual who has a contract with a state, county or municipal agency to provide services to that
agency is a public employee for purposes of the conflict of interest law. For example, a professor who
contracts with a state agency to serve as an expert witness is a state employee for purposes of the
conflict of interest law, and a musician who contracts with a school department to instruct students in
trumpet playing is a municipal employee for purposes of the conflict of interest law.
b. Vendors and contractors: Most employees of vendors and contractors which do business with
public entities are not public employees, but "key employees" of such private companies are public
employees.
Public agencies frequently enter into contracts with private companies and corporations. In most cases,
the employees of private vendors and contractors that do business with public agencies are not public
employees for purposes of the conflict of interest law, and are not subject to the education and training
requirements that apply to public employees. For example, the employees of a company that delivers
art supplies to school departments are not public employees, and are not subject to the education and
training requirements, and neither are the employees of a bank that provides financial services to
various municipalities.
However, in certain limited circumstances, an employee of a private company may also be a public
employee for purposes of the conflict of interest law and the training and education requirements. If a
public agency expressly or impliedly contracts for the personal services of a particular individual
employed by a private company, then the particular employee is a "key employee" and is considered a
public employee for purposes of the conflict of interest law. For example, if a public agency hires a real
estate consulting firm to provide development services, and the contract specifies that a particular
partner will provide those services, then the partner is a public employee. Similarly, if both parties to
such a contract intend that a particular partner will provide those services but do not say so expressly in
the contract, the partner will be a public employee. By contrast, if a school department contracts with a
school bus company to drive its students and the company can assign any of its drivers to do that work,
the drivers are not public employees for conflict of interest law purposes. Employees of consultant firms
who provide specialized services, such as legal, design, or architectural services, are more likely to be
considered "key employees" than are employees of companies that provide goods or non-specialized
services (See Advisory 06-01). Questions about whether employees of a particular company are public
employees for purposes of the education and training requirements may be directed to the
Commission's Legal Division by calling (617) 371-9500.
c. Advisory Committee members may be public employees.
Public agencies and officials sometimes seek advice and input on public policy questions from advisory
committees. In certain circumstances, advisory committee members are considered public employees,
and therefore are subject to the education and training requirements of the conflict of interest law. If
the advisory committee was legally required to be created (such as by a statute, regulation, or
ordinance), has formal procedures and work product, and performs functions or tasks expected of
governmental employees, its members will be considered public employees. However, if the advisory
committee was created by discretionary action, has no formal procedures or work product, and
represents viewpoints of persons and entities outside of government, then its members will likely not be
considered public employees. Questions about whether members of a particular advisory committee are
public employees for purposes of the conflict of interest law, and the education and training
requirements, may be directed to the Commission's Legal Division by calling (617) 371-9500.
2. EXEMPTIONS FROM THE EDUCATION AND TRAINING REQUIREMENTS
Ideally, all public employees in the Commonwealth would be trained in the conflict of interest law.
However, cost and other practical circumstances require that a principled way be found to exempt
certain categories of public employees from the education and training requirements without
compromising the objectives of those requirements. The Commission therefore establishes the
following guidelines to enable public employers to determine which of their employees are exempt from
the education and training requirements.
Each public employer may use the guidelines below to develop a list of positions for which distribution
of summaries of the conflict of interest law and/or online training are not required. Employers are not
required to obtain the Commission's approval of such lists, but must maintain such lists as public records
and provide them to the Commission on request. If the Commission determines that such a list includes
positions which should be subject to the requirements of distribution of summaries and/or online
training, it may direct that such positions be removed from the list. Questions about whether particular
positions should be subject to the education and training requirements may be submitted to the
Commission's Legal Division by calling (617) 371-9500.
a. Positions for which distribution of summaries and online training are required
• All elected public positions, whether compensated or uncompensated.
• All compensated, full-time public employee and official positions.
• All compensated, part-time public employee and official positions, (except for temporary or
seasonal employee positions in which employees do not have or exercise governmental
authority and do not participate in or have responsibility for government decision-making,
contracting, hiring, investigation or any other discretionary governmental action, as set forth
below in subsection b).
• Any position, including volunteer positions, whether chosen by election, appointment or
otherwise, in which the employee personally serves in or provides services to a public agency,
whether paid or unpaid, and participates in or has responsibility for any government decision-
making, contracting, hiring, investigation or any other discretionary government action or
otherwise has or exercises governmental authority.
b. Positions which may be exempted from the distribution of summaries and the online training
requirements
A public employer may choose to exempt any or all of the following positions from one or both of the
education and training requirements:
Unpaid volunteer positions in which employees do not have or exercise governmental authority and do
not participate in or have responsibility for government decision-making, contracting, hiring,
investigation or any other discretionary governmental action.
Examples:
• library volunteer positions in which employees re-shelve books or read books to children during
a story hour;
• school volunteer positions in which employees come into the schools a few times a year to help
with parties and projects, shelve books in the school library, or chaperone field trips and other
school events;
• volunteer positions in which employees pick up litter at parks or beaches, or participate in a
town "Clean Up Day";
• Senior Center or Parks and Recreation volunteer teacher positions;
• Positions in which volunteers assist with an event, such as a town July 4 th celebration, by selling
tickets, engaging in face painting, or helping "police" the grounds.
Short-term temporary or seasonal compensated positions in which employees do not have or exercise
governmental authority and do not participate in or have responsibility for government decision-
making, contracting, hiring, investigation or any other discretionary governmental action.
Examples:
• poll worker positions.
• non-supervisory seasonal positions, such as, for example, lifeguards and snowplow operators.
• substitute teachers who work less than one day per week.
• Participants in senior citizen tax abatement programs pursuant to General Laws chapter 59,
section 5K, and Senior Corps, the Retired and Senior Volunteer Program, Foster Grandparents,
Senior Companions and comparable programs.
• Medical Reserve Corps volunteers.
• High school, college and graduate school students participating in summer and work-study
employment, whether paid or unpaid.
• Participants in programs of the Department of Mental Health who are patients in a therapeutic
program that includes employment.
• Individual vendors and contractors to public agencies who provide one day or less of services
per calendar year.
• Participants in volunteer programs whose names are not available or known to any public
agency, such as, for instance, town residents who help shovel snow or clean up after a flood.
3. DISTRIBUTION OF SUMMARIES OF THE CONFLICT OF INTEREST LAW
The Commission has prepared, and will update as necessary, summaries of the conflict of interest law
for state, county, and municipal employees, respectively. These summaries are available on this website
in English, Spanish and Portuguese. The summaries must be distributed to public employees as
described below unless the employing agency has exempted the employee's position from this
requirement pursuant to section 2 above. Summaries are available here.
Most employees of private companies that are contractors, vendors, or consultants to a public agency
are not required to be given summaries of the conflict of interest law. An employee of a vendor or
contractor is only required to be given a summary if the public agency expressly or impliedly contracted
for that particular individual's personal services, thereby making him or her a public employee for
purposes of the conflict of interest law. This is explained in more detail in section 1 above.
a. Responsibility for distribution
Responsibility for distributing summaries and collecting acknowledgments of receipt is as follows:
• Appointed state and county employees shall be furnished with the summary by, and file an
acknowledgment of receipt with, the employee's appointing authority, or his or her designee.
• Elected state and county employees shall be furnished with the summary by, and file an
acknowledgment of receipt with, the Commission.
• Municipal employees shall be furnished with the summary by, and file an acknowledgment of
receipt with, the city or town clerk.
There are several ways for state and county appointing authorities (or their designees), and city and
town clerks, (hereinafter collectively referred to as "employers"), to comply with the requirement that
they distribute summaries of the law and maintain acknowledgments of receipt by their employees. The
Commission will accept any of the ways set forth below, or a combination of them, as satisfying the
requirements of the law.
b. Compliance deadlines for summaries
Every public employee must be provided with a summary of the law within 30 days of becoming such an
employee, and annually thereafter. Employers must distribute the summaries to all current employees
each year by the end of December.
Each employee must provide to his or her employer, as defined herein, an acknowledgment of receipt
within ten (10) business days of receipt of the summary.
c. Distribution of summaries
Summaries may be distributed in paper or electronic format. If summaries are distributed in paper
format, they may be distributed as a stand-alone document or included with some other item
distributed to employees (such as paychecks), or employees may be required to pick them up at a
designated time and place. If summaries are distributed in electronic format, they may be downloaded
from this website and emailed to employees. Employers may use an employee intranet or any other
convenient electronic means to distribute summaries. Employers may combine these methods as they
find convenient to reach all employees.
d. Acknowledgments of receipt
Employees' acknowledgments of receipt of the summary of the law may be accepted and maintained in
paper or electronic format. Employees may use the acknowledgment of receipt form included at the end
of each summary, or the employer may create its own acknowledgment form. Alternatively, employers
may maintain a logbook for acknowledgments of receipt and require employees to sign it. Employers
may scan paper acknowledgment forms and maintain them electronically for purposes of complying
with the conflict of interest law.
If an employer distributes the summary electronically, a return email from the employee will satisfy the
statutory requirement of a written acknowledgment of receipt. If an employer distributes the summary
electronically to employees using the employees' work email accounts, the employer can request "read
receipts" for its emails to employees, and the "read receipts" will satisfy the statutory requirement of a
written acknowledgment of receipt, except that any employee whose electronic mail is opened by
someone else must respond personally to acknowledge receipt of the summary. Electronic
acknowledgments of receipt may be maintained electronically. Employers may also adapt their intranets
to provide records of receipt of summaries, or use any other convenient electronic means.
Employers need not choose one of these methods, but may combine methods as they find convenient
to reach all employees. Whatever method or methods the employer adopts, the acknowledgments must
be maintained in such a manner so as to be readily accessible if requested by the Commission. In
particular, state and county appointing authorities (or their designees), and city and town clerks, must
maintain records of acknowledgments in a manner that would permit them to comply with requests by
the Commission for production of the acknowledgment forms of specific employees and notification of
the names of employees who have not complied.
Each employee must provide to his or her employer, as defined herein, an acknowledgment of receipt
within ten (10) business days of receipt of the summary.
e. Record-keeping requirements
State and county appointing authorities (or their designees), and city and town clerks, must maintain an
annual list of all employees to whom summaries are distributed during that calendar year, and such list
must indicate as to each listed employee whether the employee provided an acknowledgment of
receipt. In addition to the annual list, the acknowledgment of receipt itself must be maintained as a
record of the agency. Both the annual lists and the acknowledgments of receipt must be maintained for
six years.
4. ONLINE TRAINING
In December 2012, the Commission made available two new online training programs for public
employees; one for state and county employees, and one for municipal employees. The programs
provide information on the requirements of the conflict of interest law, including the requirements for
former public employees. All state and county employees will be required to complete the state-county
employee program, and all municipal employees will be required to complete the municipal employee
program. The online programs are available from the Commission's website. Questions about which
program public employees should complete may be directed to the Commission at (617) 371-9500. The
Commission’s compliance cycle for online training begins in December of every even-numbered year,
and the deadline for completing the online training is the first week in the following April. The
Commission will send, via e-mail, instructions to all municipalities, county agencies and state agencies,
at the beginning of every compliance cycle. Requests to be added to the Commission’s e-mail
distribution list may be made by contacting Public Education and Communications Chief David Giannotti
at David.Giannotti@mass.gov. Unless the deadline has been extended by the Commission, all state,
county, and municipal employees must complete the online training program that is on the
Commission's website by the beginning of April, or, if hired after the deadline, within 30 days of
becoming a public employee, and then once every two years afterwards, unless their employing agency
has exempted them from that requirement pursuant to section 2 above. Public employees must
provide a certificate of completion to their employers, as defined herein, and the employers must retain
such certificates for six years (see subparagraph c. below).
Most employees of private companies that are contractors, vendors, or consultants to a public agency
are not required to complete the online training. Employees of vendors and contractors are only subject
to the online training requirement if the public agency expressly or impliedly contracted for that
particular individual's personal services, thereby making him or her a public employee for purposes of
the conflict of interest law. For instance, if a public agency hires an office cleaning firm and the firm can
assign any of its workers to clean the public office, the workers are not considered public employees for
purposes of the conflict of interest law and are not required to complete the online training. Similarly, if
a town hires a bus company to drive its students and the company can assign any of its drivers to do the
work, the drivers are not required to complete the training (although school bus drivers employed
directly by a town will be required to do so). This is explained in more detail in section 1 above.
While we encourage attendance at the Commission's seminars, such attendance is not a substitute for
participating in the required online training and does not fulfill the online training requirement.
There are several ways for public employees to comply with the online training requirement and for
their employers to comply with the requirement that they maintain certificates of completion. The
Commission will accept any of the ways set forth below, or a combination of them, as satisfying the
requirements of the law.
a. Compliance deadlines for online training
Every state, county, and municipal employee not exempted from training as described above in section
2 must complete the Commission's online training program once every two years. New employees must
complete the online training program within 30 days of becoming such an employee, and once every
two years thereafter. The Commission’s compliance cycle for online training begins in December of
every even-numbered year, and the deadline for completing the online training is the first week in the
following April.
If a state, county or municipal agency establishes a compliance period for employees that falls outside
the December through April compliance period, they are reminded that all public employees must
complete the online training program and provide a certificate of completion within the period of ninety
(90) days before, or ninety (90) days after, the two (2) year anniversary date of their last online training
completion date. Such certificates of completion must be provided by state and county employees to
their respective appointing authorities (or designees), and by municipal employees to their respective
city and town clerks. New employees must complete such training within 30 days of the date on which
they commence employment and once every two years thereafter. After completing the online training
program for the first time, new employees should next complete the program along with all other
agency or municipal employees, even if that compliance period occurs prior to the two year anniversary
from their last online training completion date, so that agencies and municipalities have all employees
comply within the same limited time frame without employees exceeding the two year statutory
requirement before they next complete the online training program.
b. Completing online training; Group sessions
Employees can complete the training on work time and on their work computers, or during non-work
time on their home computers or on any other available computer, such as, for instance, at a public
library. After completing the program, each employee should print out two copies of the completion
certificate, one to keep and one for his or her employer.
Employers can organize group online training sessions, to be conducted by a knowledgeable
person. Group sessions must use the online training program available from the Commission's
website. A group training session must be set up so as to ensure that every employee knows the correct
answer to every question by the end of the training. An employer organizing a group session may use a
laptop computer and projector to present the online training from the Commission's
website. Employers who organize group sessions will be able to provide completion certificates for each
of the attendees.
The Ethics Commission will consider requests from public agencies and municipalities to share its online
training application so that it can be posted on the agency or municipality's website for the convenience
of public employees in completing the training and of the public employer in keeping records. The
Commission requires public employers to whom this option is provided to agree to use the application
only for training their own employees, not to provide the application to anyone else, and to exactly
match the application as it appears on the Commission's website. A public employer seeking to do this
should contact David Giannotti, the Commission's Chief of the Public Education and Communications
Division, at the following e-mail address: David.Giannotti@mass.gov or by calling 617-371-9505.
Employers need not choose only one of these methods, but can combine methods as they find
convenient to reach all employees. The Commission also invites employers to propose other means of
achieving compliance; if approved by the Commission, these alternative means will also satisfy the
online training requirement.
c. Certificates of completion of the online training requirement
Each employee who completes the online training should print out two copies of the certificate of
completion showing that he or she has done so, keep one, and give the other to his or her employer, as
follows:
• Appointed state and county employees shall file the certificate of completion with the
employee's appointing authority, or his or her designee.
• Elected state and county employees shall file the certificate of completion with the Ethics
Commission.
• Municipal employees shall file the certificate of completion with the city or town clerk.
• Employees of regional entities that include more than one municipality shall file proof of
compliance with the regional entity.
An employer may authorize its employees to save the certificate of completion electronically and email
it to a designated employee for filing. Employers may maintain certificates of completion received
electronically in electronic form.
Employers may use any of the methods for compliance described above as they find convenient to reach
all employees. Whatever method or methods the employer adopts, the certificates of completion must
be maintained in such a manner so as to be readily accessible for review if requested by the
Commission. In particular, state and county appointing authorities (or their designees), and city and
town clerks, must maintain certificates of completion in a manner that would permit them to comply
with requests by the Commission for production of the certificates of specific employees and
notification of the names of employees who have not complied.
d. Record-keeping requirements
State and county appointing authorities (or their designees), and city and town clerks, must maintain a
list of all employees who are required to complete the online training program, and such list must
indicate as to each listed employee whether the employee provided a certificate of completion. In
addition to the list, the certificate of completion itself must be maintained as a record of the
agency. Both the lists and the certificates of completion must be maintained for six years.
5. DESIGNATION OF MUNICIPAL LIAISONS
The law requires municipalities to designate "a senior level employee of the municipality" as a liaison to
the Commission. The Commission will disseminate information to the liaisons and will conduct
educational seminars or webinars for them. Liaisons should be accessible to public employees in their
municipalities and should check the Commission's website regularly for updates. The Commission may
call upon liaisons to provide information about their towns' compliance with these training and
education requirements, and to assist in locating former public employees of their municipalities.
Municipal liaisons may contact the Commission's Legal Division for advice on behalf of fellow
employees, but, before doing so, they must obtain the permission from the employee to discuss his or
her situation with the Legal Division.
Given the responsibilities of the liaisons, the Commission recommends (but does not require) that
municipalities appoint a full-time administrative employee to the position of municipal liaison, or, if the
municipality has no such full-time employee, then a part-time administrative employee, since such a
person will need to be accessible to municipal employees and situated so as to be able to perform this
role.
6. REGIONAL ENTITIES
The requirements of the ethics reform law apply to all public employees, including employees of
regional entities, such as regional school districts and educational collaboratives, regional retirement
systems, regional transit authorities, regional planning commissions, regional councils of governments,
and independent entities, such as water and sewer districts and fire districts and prudential committees.
When an independent entity, such as a water and sewer district, is contained entirely within a
municipality, the city or town clerk is responsible for complying with the requirements concerning
summaries and on-line training.
When a regional entity is composed of multiple municipalities, or spans the borders of multiple
municipalities, then the regional entity is itself responsible for complying with the requirements
concerning summaries and on-line training, and for designating a liaison to the Commission.
7. PUBLIC EMPLOYEES UNABLE TO COMPLY WITH EDUCATION AND TRAINING REQUIREMENTS
Some public employees may be unable to comply with the education and training requirements,
because of lack of fluency in or ability to read English, special needs, or leaves of absence.
Public employees are exempt from complying with these requirements while on leaves of absence but
should comply with these requirements within 30 days of their return from leave.
If a public employee is unable to comply with these requirements because of lack of fluency in or ability
to read English, or because of any special needs, he or she may request that the employer take
reasonable steps to convey the information contained in the summary and the online training to the
employee, in a manner comprehensible to the employee. Employers should make such
accommodations to the extent feasible. If an employer is not able to make such an accommodation, it
may exempt the public employee from complying with the education and training requirements.
Employers must maintain records of accommodations made and exemptions granted pursuant to this
section.
8. EMPLOYERS' OBLIGATIONS
The law requires public employers to distribute summaries of the law to their employees and to keep
records of compliance with the education and training requirements. The law places responsibility for
acknowledging receipt of the summaries, and for completing the online training, on the public
employees. However, employers must take reasonable steps to assist their employees in complying
with these requirements, including, but not limited to, periodically reminding their employees of their
need to comply, and providing and facilitating group online training sessions for those who need
them. A public employer which has complied with the procedures set forth herein will be considered to
have taken such reasonable steps. If an employee refuses to acknowledge receipt of a summary of the
law or to comply with the online training requirement, then the employer may, but is not required to,
take disciplinary action against the employee. Although the employer is not required to affirmatively
report the employee to the Commission, the employer is required to provide such information if so
requested by the Commission.
Appendix I
Conduct, Discipline and Discharge Policy
Nepotism Policy
1
City of Northampton, Massachusetts
Human Resources Department
Effective Date: 12/3/2004
Updated: 6/11/2012
CONDUCT, DISCIPLINE AND DISCHARGE
POLICY
Although the City of Northampton suppo1is the theory of corrective discipline, management retains
the right to exercise discretion and take whatever disciplinary action is appropriate to the particular
circumstances. Violations of rules or policies or poor performance may result in disciplinary action
that may include, depending on the circumstances and the discretion of management, verbal or
written warnings, suspension (with or without pay) or immediate discharge. These disciplinary
measures do not constitute an exclusive list of possible actions, and may be taken in any order. They
are intended merely as a guide and are not intended to create a contract or modify the employment
at will relationship.
RESPONSIBILITY
The Director of Human Resources is responsible for administration of this policy.
Managers are responsible for the developing, implementing and training related to all City of
Northampton policies and procedures. All managers are responsible for dete1mining when the
process of discipline will start.
Every employee is responsible, as a condition of employment, for complying with all aspects of City
of Northampton policies. Each employee is responsible for notifying his or her manager when there
is reason to believe that a violation of a policy has or will occur. Each employee is responsible for
seeking clarification of any policy if they are unsure about its meaning or application.
CONDUCT
General
City employees are prohibited from engaging in any conduct that could reflect unfavorably upon
city service. City employees must avoid any action which might result in or create the impression of
using public office for private gain, giving preferential treatment to any person/entity when
conducting city business. Employees are expected to keep in mind that they are public employees
and are to conduct themselves in a manner that will in no way discredit the City, public officials or
fellow employees.
Conflict of Interest
No employee shall accept or agree to accept, either directly or indirectly, any favor, gift, loan, fee,
service or other item of value, in any fom1 whatsoever, from an organization or individual if it is
intended to, or gives the impression of, rewarding or influencing the employee in carrying out
2
his/her appointed duties.
No employee shall grant, while carrying out his/her appointed duties, any favor, gift, loan, fee,
service or other item of value, in any form whatsoever, to an organization or individual if it is
intended or gives the impression of rewarding or influencing the organization or individual. Any
individual who is unsure as to whether a conflict of interest might be created by any action is
strongly advised to consult with the Director of Human Resources before taking any action that
might result in loss of employment or state fines.
No city employee shall transact any business in his official capacity with any business entity of
which he is an officer, director, agent or member, or in which he owns a controlling interest.
No city employee shall have personal investments in any enterprise, which will create a substantial
conflict between his private interest and the public interest.
This policy is not meant to prevent an employee from accepting an award or recognition for
meritorious/outstanding achievement for community or government service. Final determination of
any such conflict or prohibition shall rest with the Mayor.
Outside Employment
No employee may engage in additional employment, which, in any manner, interferes with the
proper and effective performance of the duties of his position, results in a conflict of interest or
subjects the city to public criticism or embarrassment.
Privileged & Confidential Information
Employees must not use privileged/confidential information, gained through the performance of
their duties, for financial gain. Nor may employees disclose this information to others for financial
gain or other purposes.
City Property
Employees should not, directly or indirectly, use, or allow the use of, city property of any kind for
other than official use. An employee who has been provided city equipment such as tools, vehicles,
materials, etc. is expected to exercise reasonable care in the use and preservation of such equipment,
and to observe all safety precautions while carrying out the assigned work.
Mail & Telephone Use
Employees should not use city telephone facilities for placing personal phone calls when the placing
of such calls interferes with the employee’s ability to carry out their duties, would incur additional
financial responsibility by the city or would interfere with the use of facilities for official business.
Any such use should be urgent, infrequent and of short duration. Use of city stationary or postage
for personal mail is also prohibited.
GENERAL GUIDELINES
Discipline
3
When an employee is not meeting expectations or they have violated a policy they shall be subject to
discipline. Discipline may include verbal or written warnings, suspension (with or without pay) or
immediate discharge. The City of Northampton retains the right to determine the manner or process
in which an employee is disciplined.
Suspension
When a manager, in consultation with the Director of Human Resources, determines it is desirable
or necessary to remove an employee from the workplace as paid or unpaid time. Examples of
situations where immediate suspension from duty may be appropriate:
1. When the manager deems it necessary for the safety of either the employee, or others; and
2. When an investigation is necessary
Termination
In cases involving more serious misconduct, a manager, in consultation with the Director of Human
Resources may determine that termination is the appropriate disciplinary action. The Director of
Human Resources must approve all management recommendations for termination before final
action is taken. A non-comprehensive list of examples of unacceptable conduct that may result in
involuntary termination are (but are not limited to) as follows:
1. Unauthorized disclosure of information that the City of Northampton regards as confidential
2. Dishonesty of any nature, theft, falsification of reports and/or records
3. Use of alcohol or drugs while on duty, and/or reporting to work after such use (See Drug
Free Workplace Policy)
4. Mistreatment of a co-worker, citizen, or other individual in carry out the duties of your
position
5. Use of abusive, threatening or obscene language
6. Refusal to comply with the direction of a supervisor/manager
7. Disorderly conduct of any kind, fighting, wrestling, or any such activity which is dangerous
to life, limb or prope1iy (See Violence in the workplace policy)
8. Unexcused and/or unauthorized absence from work for three consecutive days
9. Unauthorized absence from duty while "clocked in"
10. Neglect of duty
11. Any other act which is determined to be detrimental to the interests of the City of
Northampton, its employees or its citizens
12. Unauthorized use or misuse of city property
13. Any other violation of City of Northampton policies
These guidelines do not constitute a contract or guarantee of employment in any respect.
The examples cited above are for illustration only and should not be considered comprehensive or
limiting the City's right to discipline or discharge employees, as it deems appropriate. These
guidelines may be changed at any time, with or without notice.
City of Northampton, Massachusetts
Human Resources Department
NEPOTISM
Effective Date: 9/1/98 Revision Date: 4/2/2004
POLICY It is the policy of the City of Northampton to regulate, restrict or prohibit the employment of relatives when it may have a detrimental effect on supervision and morale, and when it is
necessary for proper and efficient operation and delivery of City services. This policy will follow, as a minimum, the standards set forth in the laws of the Commonwealth of Massachusetts under MGL c 268A. SCOPE
This policy applies to all full-time, part-time, and intermittent City employees to include School Department employees and grant-funded position employees. This policy applies to members of City boards, commissions and elected officials who have direct, or indirect, authority in hiring, te1minating, supervising, or evaluating City employees. Also, this policy applies to present employees who later establish a family member relationship with another City employee.
PURPOSE The employment of relatives creates potential problems for the supervisor, the employee and relative, and co-workers as well. Problems which include shift scheduling, vacation scheduling, leave of absence requests, disclosure of confidential information, and charges of favoritism in
promotions, evaluations, and hiring to name a few, may impact upon the operations of the City and potentially impede the maintenance of an efficient and productive workplace. The public scrutiny of City operations mandates that the City's governance, which includes the disbursement of public funds, be above reproach.
DEFINITIONS
A. Family member shall include: spouse; parent (including stepparent or in-law);
grandparent (including step-grandparent); child (including in-law); grandchild; brother (including in-law and step or half-brother); sister (including in-law and step or half-sister); uncle; aunt; cousin; niece; nephew; and any other person, whether related or not, who resides in the same household as the employee.
B. Domestic Partner shall be included in the definition of family member if the person
would meet the eligible criteria established by the City of Northampton's Domestic
Partner Benefits Policy. Responsibility Applicants for employment are required to disclose, on their employment application and to the
Human Resources interviewer, any relationship they have with a current employee that may
violate this policy. In the event that there is a conflict between this policy and other Laws of the Commonwealth (such as Civil Service), the department head must consult with the Appointing Authority and/or
the Human Resources Director prior to taking action.
Nepotism Policy
Family Relationship Disclosure Form
1.) I certify that have read the Nepotism Policy dated 4/2004 and I do not have family members working for the City of Northampton, Northampton Public Schools or family members that are pai1 of the City Council or School Committee. I certify that this information is complete. I understand that an omission will be grounds for
discipline. I fm1her understand that it is my responsibility to notify the Director of Human Resources of any future circumstances that may be a violation of the Nepotism Policy. __________________________________________________________________________
Employee Signature Date 2.) I ___________________________certify that have read the Nepotism Policy dated 4/2004 and I do have family members working for the City of Northampton, Northampton Public Schools or family members that are pai1 of the City Council or School Committee.
Family member's name Relationship Where do they work?
I certify that this information is complete. I understand that an omission will constitute grounds for
discipline. I further understand that it is my responsibility to notify the Director of Human Resources of any future circumstances that may be a violation of the Nepotism Policy.
___________________________________________________________________________
Employee Signature Date
Appendix J
•Guidelines for Procurement, Contracts, & Accounts Payable
•To Add Later: Financial Policy Manual
City of Northampton
Guidelines for Procurement, Contracts,
and Accounts Payable
April 2017
2
Guidelines for Procurement, Contracts
and Accounts Payable
Table of Contents Procurement in Northampton ............................................................................................................ 3
Procurement and Contract Charts ..................................................................................................... 5 Bidding Basics – M.G.L. c. 30B ........................................................................................................ 6
Contracts in Northampton .................................................................................................................. 15
Checklist for Processing Bills ............................................................................................................ 17 Travel Policies ................................................................................................................................... 19
Request for a Vendor Number or Vendor Change ............................................................................ 21 Frequently Asked Questions .............................................................................................................. 22
Appendixes
1. Procurement Exemptions ....................................................................................................... 24 2. Standard Bid Package ............................................................................................................ 28 3. Vendor Contract Cover Sheet – Blank ................................................................................. 35 4. Vendor Contract Cover Sheet – Sample ................................................................................ 36
5. Permit Denial Form ............................................................................................................... 37
6. Uniform Travel Reimbursement Form .................................................................................. 38 7. Vendor Request Form ........................................................................................................... 39 8. Hold or Send Check Form ..................................................................................................... 40 9. Accounts Payable Data Entry Screen .................................................................................... 41
10. Check Status of an Invoice .................................................................................................... 42
3
PROCUREMENT IN NORTHAMPTON
The procurement section of the Guidelines contains a short, plain description of how cities and town procure goods and services in Massachusetts. The Commonwealth of Massachusetts Office of the Inspector General produces The Chapter 30B Manual: Procuring Supplies, Services and Real
Property and can be obtained at www.mass.gov.
The controlling state law is Chapter 30B. The intent of Chapter 30B is based on three premises. 1. Larger contracts should receive more attention than smaller contracts. Chapter 30B cuts the
unnecessary red tape surrounding smaller purchases to enable local governments to devote
resources to larger contracts. 2. Fair, robust competition for larger procurements saves money and promotes integrity and public confidence in government.
3. Uniform contracting procedures promote competition and fairness. Chapter 30B clarified and demystified local contracting for vendors competing for contracts and citizens observing the process.
Northampton has a Chief Procurement Officer who is responsible for ensuring the City’s
compliance with Chapter 30B. Since Northampton has a decentralized procurement system each office or department has in turn a procurement officer who is trained in and is responsible for Chapter 30B compliance within the office or department. If you need training or have a question about how to proceed with procurement, please call the Chief Procurement Officer at 587-1246.
Comments and questions from all City employees, elected officials and members of the public are
always welcome. When compliance with Chapter 30B is required, the procedures must be followed before goods or services are delivered. If a contract is required, goods or services are not ordered prior to the contract being fully executed. Not all contracts for goods and services are subject to Chapter 30B. A list of exemptions is attached as Appendix 1. Please note that even if a procurement is exempt from the quotation or bid requirements of Chapter 30B, a written contract is still required by our local rule if the amount
involved is $10,000 or more. The $10,000 written contract rule does not apply if there is a state
contract or cooperative purchasing contract in place. A mayoral approval of purchases from $2,500 up to $9,999 is needed via email except for CPA funded purchases, Northampton Public Schools and Smith Vocational Agriculture High School.
Mayoral approved threshold may change and the Mayor’s Office will notify departments.
All contract must have a Contract Coversheet and be signed by the Department Head. The Finance Director and Mayor will sign the coversheet to authorize the procurement and the Auditor will sign as to appropriation. The Auditor’s Office will assign a City contract number to the documentation
for tracking purposes. Departments will receive a copy of the contract with a contract number and
can process an order with the vendor. Departments must use the contract number when paying invoices.
4
If you are using a state contract or cooperative contract, please print the following documentation
before you order and send two copies of the documentation to the Chief Procurement Officer. The packet must include a Contract Coversheet and the documentation below. 1. A copy of the state contract page showing that the City is eligible to buy on it. Not all
contracts are statewide. The vendors are sometimes confused about this.
2. A copy of the state contract page showing that the vendor and the goods/services are included in the state contract. The vendors are sometimes confused about this.
3. A copy of the state contract page showing the price we are supposed to be paying. If the
price is defined by a percentage discount we also need the vendor’s retail price list so the Chief Procurement Officer can check that we are getting the correct discount. Minimally, the Chief Procurement Officer reviews contracts when they come to the Auditor’s office
for signature. Compliance with Chapter 30B is reviewed from the information contained in the bid
record or sole source authorization attached to each copy of the contract. The Chief Procurement Officer conducts a pre-procurement review for the following types of procurements.
1. Invitations for Bids 2. Requests for Proposals
3. Sole source requests
4. Designer services, such as surveying, architectural or engineering services 5. Construction services
6. Emergencies (If possible, contact the Chief Procurement Officer prior to making an emergency procurement, if this is not possible, contact the Chief Procurement Officer as soon as possible.)
7. Real Property including temporary use of facilities and leases
8. Any procurement as requested by a department The departmental procurement officer should schedule the pre-procurement review well in advance
to allow for comments and redrafting. The Chief Procurement Officer will work with the
departments to meet scheduling needs wherever possible. A standard bid package for goods and services is attached as Appendix 2 for your use.
No city or town in the Commonwealth has a better record for procurement compliance than the City
of Northampton. We have had no successful bid protests filed against the City since 1987. This perfect record is the result of a team effort between the Chief Procurement Officer, the departmental procurement officers and all of the public employees who provide input to the procurement process. Keep up the great work!
April 2017 revision
5
M.G.L. c. 149 – BUILDING CONSTRUCTION CONTRACTS
Estimated Contract Amount Under $10,000 $10,000 to $50,000 Over $50,000 to $150,000 Over $150,000 Over $10,000,000
Procurement Procedure
Sound business
practices (as defined in M.G.L. c. 30B, § 2).1
Use a written scope-of-
work statement to solicit written responses from no fewer than 3 persons who customarily perform such
work.
Sealed bids (using M.G.L.
c. 30, § 39M).
Sealed bids (using M.G.L. c.
149, §§ 44A – 44J).
Solicit statements of
qualifications prior to soliciting sealed bids (using M.G.L. c. 149, §§ 44A – 44J).
Notice/Advertising Requirements None. Post a notice at least two weeks before responses are due on 1) your jurisdiction’s website; 2) COMMBUYS; 3) in the Central Register; and 4) in a conspicuous place near your office.2
Post a notice 1) in your jurisdiction’s office for at least one week before bids are due; and, at least two weeks before bids are due, publish 2) in the Central Register; 3) in a newspaper; and 4) on COMMBUYS.3
Post a notice 1) in your jurisdiction’s office for at least one week before bids are due; and, at least two weeks before bids are due, publish 2) in the Central Register; 3) in a newspaper; and 4) on COMMBUYS.4
Advertise the request for qualifications at least two weeks before responses are due (1) in a newspaper; (2) in the Central Register; and (3) on COMMBUYS.5
DCAMM Certification No. No. No. Yes. General bidders if more than $150,000 and filed sub-
bidders if more than $25,000.
Yes. General bidders if more than $150,000 and filed sub-
bidders if more than $25,000.
OSHA Training No. Yes. Yes. Yes. Yes.
Prequalification No. No. No. Optional.6 Yes.
Filed Sub-bids No. No. No. Yes, if more than $25,000. Yes, if more than $25,000.
Bid Deposit No. No. 5% of the value of the total bid. 5% of the value of the total bid or sub-bid. 5% of the value of the total bid or sub-bid.
Payment Bond No. 50% payment bond if
contract is >$25,000.7
50% payment bond. 100% payment bond. 100% payment bond.
Performance Bond No. No. No. 100% performance bond. 100% performance bond.
Prevailing Wage Yes. Yes. Yes. Yes. Yes.
Contractor Evaluation No. No. No. Yes. Yes.
OSD or Blanket Contract Option Yes. Yes. No. No. No.
1 M.G.L. c. 149, § 44A(2)(A), as amended by Chapter 218 of the Acts of 2016. M.G.L. c. 30B, § 2, defines sound business practices as “ensuring the receipt of favorable prices by periodically soliciting price lists or quotes.” 2 M.G.L. c. 149, § 44A(2)(B), as amended by Chapter 218 of the Acts of 2016. 3 M.G.L. c. 149, § 44J, as amended by Chapter 218 of the Acts of 2016. 4 M.G.L. c. 149, § 44J, as amended by Chapter 218 of the Acts of 2016. 5 The advertising procedures listed pertain only to the request for qualifications. Within 14 days of the completion of the prequalification process, you are required to post a notice in your jurisdiction and on COMMBUYS listing those general contractors and subcontractors that have been prequalified. A copy of the notice must be sent via first class mail, postage pre-paid, to all prequalified general and subcontractors along with an invitation to bid. The invitation to bid must have a deadline of at least two weeks. Although you may only consider bids from those general and subcontractors who have been prequalified, the advertising requirements for building construction contracts over $150,000 apply. 6 If you decide to use the optional prequalification process for projects over $150,000, follow the procedures listed in the “Over $10,000,000” column. 7 M.G.L. c. 149, § 29.
April 2017 revision
6
M.G.L. c. 30, § 39M, or M.G.L. c. 30B, § 5 – PUBLIC WORKS (NON-BUILDING) CONSTRUCTION CONTRACTS (WITH LABOR)
Estimated Contract Amount Under $10,000 $10,000 to $50,000 Over $50,000 $50,000 or less
M.G.L. c. 30, § 39M M.G.L. c. 30, § 39M M.G.L. c. 30, § 39M M.G.L. c. 30B, § 5 Option1
Procurement Procedure
Sound business practices (as defined in M.G.L. c. 30B, § 2).2
Use a written scope-of-work statement to solicit written responses from no fewer than 3 persons who customarily perform such work.3
Sealed bids. Sealed bids.
Notice/Advertising Requirements
None. Post a notice at least two weeks before responses are due on 1) your jurisdiction’s website; 2) COMMBUYS; 3) in the Central
Register; and 4) in a conspicuous place near your office.4
Post a notice 1) in your jurisdiction’s office for at least one week before bids are due; and, at least two weeks before bids are due, publish 2) in the
Central Register; 3) in a newspaper; and 4) on COMMBUYS.5
Post a notice at least two weeks before bids are due 1) in your jurisdiction’s office, and publish 2) in a newspaper; 3) on COMMBUYS; and 4) in the Central Register.6
OSHA Training No. Yes. Yes. Yes.
Prequalification No. No. Maybe. 7 No.
Bid Deposit No. No. 5% of the value of the total bid. No.
Payment Bond No. 50% payment bond if contract is more than $25,000.8 50% payment bond. 50% payment bond if contract is more than $25,000.9
Performance Bond No. No. No. No.
Prevailing Wage Yes. Yes. Yes. Yes.
OSD or Blanket Contract Option Yes. Yes. No. No.
1 Authorized by M.G.L. c. 30, § 39M(d).
2 M.G.L. c. 30, § 39M, as amended by Chapter 218 of the Acts of 2016. M.G.L. c. 30B, § 2, defines sound business practices as “ensuring the receipt of favorable prices by periodically soliciting price lists or quotes.”
3 M.G.L. c. 30, § 39M, as amended by Chapter 218 of the Acts of 2016.
4 M.G.L. c. 30, § 39M, as amended by Chapter 218 of the Acts of 2016.
5 M.G.L. c. 149, § 44J.
6 M.G.L. c. 30B, § 5, and M.G.L. c. 9, § 20A.
7 Although M.G.L. c. 30, § 39M, does not mandate a contractor prequalification process, prequalification of bidders by the Massachusetts Department of Transportation is required for contracts of $50,000 or more (1) if the awarding authority receives State Aid funds under M.G.L. c. 90, § 34; or (2) the work is on a state road, regardless of whether the awarding authority receives State Aid funds under M.G.L. c. 90, § 34.
8 M.G.L. c. 149, § 29.
9 M.G.L. c. 149, § 29.
April 2017 revision
7
M.G.L. c. 30, § 39M, or M.G.L. c. 30B, § 5 – CONSTRUCTION MATERIALS PROCUREMENTS
(WITHOUT LABOR)
1 Authorized by M.G.L. c. 30, § 39M(d).
2 M.G.L. c. 30, § 39M, as amended by Chapter 218 of the Acts of 2016. M.G.L. c. 30B, § 2, defines sound business practices as “ensuring the receipt of favorable prices by periodically soliciting price lists or quotes.”
3 M.G.L. c. 30, § 39M, as amended by Chapter 218 of the Acts of 2016.
4 M.G.L. c. 149, § 44J.
5 M.G.L. c. 30B, § 5, and M.G.L. c. 9, § 20A.
6 M.G.L. c. 149, § 29.
7 M.G.L. c. 149, § 29.
Estimated Contract Amount Under $10,000 $10,000 to $50,000 Over $50,000 Any Amount
M.G.L. c. 30, § 39M M.G.L. c. 30, § 39M M.G.L. c. 30, § 39M M.G.L. c. 30B, § 5 Option1
Procurement Procedure
Sound business practices (as defined in M.G.L. c. 30B, §
2).2
Use a written scope-of-work statement to solicit written responses from no fewer than 3 persons who
customarily perform such work.
Sealed bids. Sealed bids.
Notice/Advertising Requirements
None. Post a notice at least two weeks
before responses are due on 1) your jurisdiction’s website; 2) COMMBUYS; 3) in the Central
Register; and 4) in a conspicuous place near your office.3
Post a notice 1) in your jurisdiction’s
office for at least one week before bids are due; and, at least two weeks before bids are due, publish 2) in the
Central Register; 3) in a newspaper; and 4) on COMMBUYS.4
Post a notice at least two weeks
before bids are due 1) in your jurisdiction’s office, and publish 2) in a newspaper; 3) on COMMBUYS; and 4) in the Central Register.5
OSHA Training No. No. No. No.
Prequalification No. No. No. No.
Bid Deposit No. No. 5% of the value of the total bid. No.
Payment Bond No. 50% payment bond if contract is more than $25,000.6 50% payment bond. 50% payment bond if contract is more than $25,000.7
Performance Bond No. No. No. No.
Prevailing Wage No. No. No. No.
OSD Option Yes. Yes. Yes. No.
Blanket Contract Option
Yes. Yes. No. No.
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M.G.L. c. 7C, §§ 44-57 – DESIGN SERVICES FOR PUBLIC BUILDING PROJECTS:
Cities, Towns, Regional School Districts and Horace Mann Charter Schools1
Estimated Construction Cost (ECC)/Estimated Design Fee (EDF)
ECC $100,000 or less or EDF less than $10,000 ECC more than $100,000 and EDF $10,000 or more (both ECC and EDF thresholds must be met before the designer selection procedure is required).*
Procurement Procedure None. Recommend soliciting qualifications and prices from at least three designers.
Qualifications-based selection process. Jurisdiction must either (1) set the design fee; or (2) set a not-to-exceed fee limit and then negotiate the fee with the top-ranked designer within the fee limit.
Advertising Required No. Advertise in the Central Register and your local newspaper at least two
weeks before the deadline for filing applications.
Designer Selection Board1 No. No – adopt selection procedure in writing.2,3
Designer Application No. Use “Standard Designer Application Form for Municipalities and Public Agencies not within DSB Jurisdiction (Updated July 2016)”
Designer Evaluation (Submit to DCAMM and Designer Selection Board)
No. Yes. See http://www.mass.gov/anf/property-mgmt-and-construction/design-
and-construction-of-public-bldgs/designer-selection-process/designer-selection-proc-and-evals-for-municipalities/dsgnr-eval-frms-and-info-for-municips-and-pub-agencies.html
Registration Yes. Yes.
Insurance No. 10% of the total cost of the project or $1 million, whichever is less.4
Prevailing Wage No. No.
*See The Designer Selection Board’s Guidelines for City and Town Building Projects, dated September 2015.
1 Executive Departments of the Commonwealth and Commonwealth charter schools are subject to the jurisdiction of the Designer Selection Board when the design fee is $10,000 or more and the construction project is estimated to cost $100,000 or more.
2 Cities, towns, school districts and Horace Mann charter schools are required to adopt their own procedures for selecting designers for building projects. These procedures must conform to the purposes and intent of the designer selection process as outlined in M.G.L. c. 7C, §§ 44 – 57, and noted herein. See this Office’s Model Designer Selection Procedures for Municipalities and Other Local Public Agencies, available at http://www.mass.gov/ig/publications/guides-advisories-other-publications/model-designer-selection-procedures-municipalities-and-other-local-public-agencies.html.
3 Housing Authorities must follow the procedures established by the Department of Housing and Community Development for the design of state-funded housing. Projects requesting funding from the Massachusetts School Building Authority (MSBA) are subject to MSBA rules.
4 M.G.L. c. 7C, § 51.
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M.G.L. c. 30B – PROCUREMENT OF SUPPLIES AND SERVICES
Estimated Contract Amount
Under $10,000 $10,000 to $50,000 Over $50,000
Procurement Procedure Sound business practices.28 Use a written purchase description to solicit written quotations from no fewer than 3 persons who customarily provide the supply
or service.29
Sealed bids or proposals (M.G.L. c. 30B, §§ 5 or 6).
Notice/Advertising Requirements None. None. Post a notice 1) in your jurisdiction’s office, and, at least two weeks before bids or proposals are due, publish 2) in a newspaper, and 3) on COMMBUYS.
If the procurement will exceed $100,000, at least two weeks
before bids or proposals are due, publish in the Goods and Services Bulletin.
Award contract to: Responsible person offering the best price.
Responsible person offering the needed quality of supply or service at the lowest price quotation.
Under § 5, the responsible30 and responsive31 bidder offering the best price. Under § 6, the most advantageous proposal from a responsible and responsive proposer taking into consideration price and non-price proposals.
Written Contract Required32 No. Keep written records as a best practice.
Yes. Yes.
Maximum
Contract Term33
Three years, unless majority vote authorizes longer.
OSD Option Yes.
28 M.G.L. c. 30B, § 2, defines sound business practices as “ensuring the receipt of favorable prices by periodically soliciting price lists or quotes.”
29 M.G.L. c. 30B, § 4, as amended by Chapter 218 of the Acts of 2016.
30 M.G.L. c. 30B, § 2, defines a responsible bidder or offeror as “a person who has the capability to perform fully the contract requirements, and the integrity and reliability which assures good faith performance.”
31 M.G.L. c. 30B, § 2, defines a responsive bidder or offeror as “a person who has submitted a bid or proposal which conforms in all respects to the invitation for bids or request for proposals.”
32 M.G.L. c. 30B, § 17(a), states “All contracts in the amount of $10,000 or more shall be in writing, and the governmental body shall make no payment for a supply or service rendered prior to the execution of such contract.”
33 M.G.L. c. 30B, § 12(b), states “Unless authorized by majority vote, a procurement officer shall not award a contract for a term exceeding three years, including any renewal, extension, or option.”
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Bidding Basics – M.G.L. c. 30B
M.G.L. c. 30B: Applicability o Cities
o Towns
o Districts o Regional school districts o Counties o Agencies, boards, commissions, local authorities, departments, or instrumentalities of the above
Contracts used for: o Purchase of supplies and services with a value of $10,000 or more o Sale of surplus supplies valued at $5,000 or more o Public works construction estimated to cost more than $10,000 but not more than $50,000
o Real property acquisitions and dispositions
Supplies and Services Procurement
Thresholds
Less than $10,000 → “sound business practices”
Between $10,000 → solicit 3 written price quotes
and $50,000
$50,000 or more → competitive sealed bids or proposals
At least $10,000 but less than $50,000:
Price Quotes
1. Develop a written purchase description 2. Provide to at least three vendors 3. The law requires that you solicit three written quotes, not that you receive three quotes 4. Request quote by phone, mail, fax, e-mail
5. Award contract to the lowest-priced vendor that meets your purchase description
Record:
• Names and addresses of every vendor contacted for quotes
• Names of every vendor that submitted quote
• Date and amount of each quote received
• Record must be kept for six years from the final date of payment under the contract
$50,000 or more: INVITATION FOR BIDS (IFB)
1. Prepare the IFB 2. Advertise and distribute the IFB
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3. Receive, open, and record bids 4. Evaluate bids
5. Rule for Award and Best Price
6. Retain records 1. Prepare the IFB IFB includes: A. Purchase description/Scope of services
B. Quality requirements C. Standard forms D. Contract terms and conditions E. Bid submission requirements
A. Purchase Description/Scope of Services
o Describe your needs in sufficient detail to ensure realistic, comparable prices o Don’t forget to include delivery terms, warranty requirements, training or technical support
B. Quality Requirements o Specify standards of quality for the supplies or services to be procured
• Ex: Laser printer must be able to print at least 15 black and white pages per
minute
o Specify qualifications that a vendor must possess in order to properly perform the contract
• Ex: Vendor must have 5 years of experience working with jurisdictions of a
similar size
C. Standard Forms o Certificate of Good Faith (“non-collusion form”)
• Must be submitted by bidders with their bids
• Should be included in IFB package
o Price form should be included in IFB o Bidders must also sign a Tax Compliance Certification (M.G.L. c.62C, §49A) D. Contract Terms and Conditions
o Provide vendors with a copy of the contract that the successful bidder will be required to sign o Consult with your legal counsel to develop a standard contract o Consult the checklist in Chapter 2 of the Inspector General’s manual
E. Bid Submission Requirements
o Date and time when sealed bids are due o Address where bids must be delivered o Any instructions on how to mark bid packages
o Maximum amount of time you reserve to award the contract
o Instructions on correcting, modifying, or withdrawing bids 2. Advertise and Distribute the IFB The advertisement must:
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1. State where, when, and for how long the IFB may be obtained 2. Describe the supply or service needed
3. Include a notice that your jurisdiction reserves the right to reject any/all bids
4. Identify any board (or other body) that must approve the contract 5. Advertising the IFB 6. Post a notice a) in your jurisdiction’s office, and at least two weeks before bids or proposals are due, publish b) in a newspaper, and c) on COMMBUYS.
7. If the purchase will cost $100,000 or more, advertise at least two weeks before bids or
proposals are due in the Goods and Services Bulletin, published by the Secretary of State 3. Receive, Open, and Record Bids o Open all bids at the time specified in the IFB
o Open bids in an open meeting or in front of one or more witnesses
o Reject any late bids
o Keep a record of the names of all bidders and the amounts of the bids o All bids are public records
4. Evaluate Bids
o Follow the rules in your IFB o Be consistent and fair o Determine whether the bidder offering the best price is “responsive and responsible” o “Responsive”: Bidder offers what was specified in IFB
o “Responsible”: Bidder has the capability, integrity, and reliability to perform the contract 5. Rule for Award and Best Price o The rule for award tells bidders how you will determine the best price o Use a rule for award for multi-item bids:
• One contract for all items: The contract will be awarded to the responsive and responsible bidder offering the best price.
• Multiple contracts: The contract(s) will be awarded to the responsive and responsible bidder offering the lowest price for each item.
6. Retain Records - Final IFB Steps o Select the responsive and responsible bidder offering the best price o Award and execute the contract o Retain records for six years from the final date of payment under the contract
o Monitor contractor performance for the term of the contract
Supplies and Services Procurement $50,000 or more continued:
REQUEST FOR PROPOSALS (RFP)
o Jurisdiction must have appointed a Chief Procurement Officer (CPO) o Use when there are factors in addition to price that you want to compare and you may be willing to pay more money for o CPO must make a written determination that the selection of the most advantageous offer
requires comparative judgments in addition to price before soliciting proposals
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Unique RFP Requirements o Develop comparative evaluation criteria for the specific features for which you might be
willing to pay more money
o Decide how comparative criteria will be used to rate proposals
• Highly advantageous
• Advantageous
• Not advantageous
• Unacceptable o Specify in RFP the factors that will differentiate each rating
o Price and non-price proposals must be sealed in separate envelopes
o Proposals may not be opened publicly
o Non-price proposals must be opened at time specified in the RFP in front of one or more witnesses o Register of proposals must be prepared and made available for public inspection
o Individual(s) responsible for evaluating non-price proposals may not see price proposals
until the evaluation of non-price proposals is complete
o Most advantageous proposal is selected, taking into consideration proposal evaluations and proposal prices o Proposals do not become public records until after the evaluation process is complete
Sole-source procurement
o The award of a new contract for supplies or services to a single source, without soliciting price quotes, bids, or proposals o Permitted only for contracts under $50,000, except:
• Educational materials, library books, and software maintenance if only one practicable source
• Regulated utilities: water, gas, electricity, sewer, and telephone if only one practicable source
Before making a sole-source procurement: o Conduct a reasonable investigation to determine whether competition exists o Document in writing that only one practicable source for the supply or service exists o Record of sole-source procurement must include:
1. Vendor’s name 2. Contract amount and type 3. List of supplies or services procured 4. Written determination that only one practicable source existed
Emergency Procurements o When the time needed to comply with any requirement of M.G.L. c. 30B would endanger the health or safety of people or their property, you may waive that requirement
o You must comply with M.G.L. c. 30B to the extent practicable
o Document: 1. Basis for determining that the emergency exists 2. Vendor’s name 3. Contract type and amount
4. List of the supplies or services procured
5. Procedures used to solicit competition
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o Submit the record of emergency procurement to the Goods and Services Bulletin
Disposal of Surplus Supplies o Advertised sealed bid process or public auction required for disposal of surplus supplies with
net resale or salvage value of $5,000 or more
o May award to highest bidder or reject all bids and negotiate a sale price higher than the highest bid o Dispose of supplies with a resale or salvage value of less than $5,000 following written procedures approved by the governmental body
Real Property Transactions o Competitive procedures apply to real property and interests in real property 1. Acquisition with a cost over $35,000
2. Disposition with a value over $35,000
o Advertised proposal process required o Other state statutes and municipal rules may apply o Interest in Real Property: Examples
• Fee/ownership
• Lease/rental or tenancy
• Easement
• Mortgage
• Option to purchase real property
• Licenses are NOT interests in real property
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CONTRACTS IN NORTHAMPTON
A contract is an offer and acceptance, supported by consideration. One party offers an agreement, the other party accepts the agreement and both parties are giving consideration, or something of value, as a
part of the agreement. Contracts in the broadest sense of the word cover goods, services, real property (including short term rentals and long term leases) and grants. Chapter 30B contains the following requirement.
Writing Requirement; Invalidation of Contracts; Forfeiture; Civil Actions [§ 17] (a) All contracts in the amount of ten thousand dollars or more shall be in writing, and the governmental body shall make no payment for a supply or service rendered prior to the execution of such contract.
It is, therefore, imperative that, where a written contract is required, that the contract be fully
executed prior to any goods or services being delivered. Unless there is an existing state or cooperative contract, a City contract is required when the dollar amount equals or exceeds $10,000. This $10,000 threshold includes all possible payments under the
contract, including reimbursements and optional extensions of time. The signatories to a contract are: the vendor, a majority of the board or commission responsible (or the department head if there is no board or commission), the Chief Procurement Officer, the Auditor and Mayor.
The City’s standard contract for goods and services is attached as Appendix 2. Every contract should have three copies. One is for the Auditor, one is for the vendor and one is for the department. Sometimes granting authorities of the Commonwealth or the federal government want an executed copy for their files so please provide extra contract copies for original signatures as needed.
The City’s Vendor Contract Cover Sheet is attached to the contracts. A blank cover sheet is in Appendix 3. This cover sheet provides a standard format for listing the most important information about a contract.
Pursuant to M.G.L. and City Ordinance, the City may garnish payment under a contract when the vendor has outstanding overdue obligations. Before submitting a contract to the Auditor’s Office, if a vendor has a Northampton business location, please complete the Permit Denial Form (Appendix 5) and submit the form to the Collector/Treasurer. Collector/Treasurer will supply notification regarding
the status of the vendor.
Following the Collector/Treasurer’s notification, please complete Section 7. of the Vendor Contract Cover Sheet.
The signature process is as follows.
1. Have the vendor sign the contract. 2. Department Head signs the contract. The superintendant or their designee signs the contract for
Northampton Public Schools and Smith Vocational Agricultural High School.
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3. Send the contracts to the Auditor’s Office.
4. The Chief Procurement Officer signs to indicate that the contract has been reviewed as to content and is in compliance with Chapter 30B.
5. The City Auditor reviews the contract for appropriation only and signs the contract if there are
funds available. If borrowing accounts are used, the Auditor can also sign the contract if the City Council and Mayor has authorized the borrowing. The departments receive the authorizations from the Clerk of the City Council. The Departments are responsible to coordinate the funding and borrowing with the Finance Director.
6. The Mayor will then sign all the contracts and returns them to Auditor’s Office. 7. The Auditor’s Office assigns the contracts a number.
8. The contracts are then distributed. The department mails the vendor an executed copy of the contract. Please allow two to four weeks for the contracts to be processed. If there are extenuating circumstances resulting in a department varying from the policies, a written statement requesting permission for an exception must be submitted to the Chief Procurement Officer.
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CHECKLIST FOR PROCESSING BILLS
1. Invoice must be dated within the current fiscal year. Invoices from prior fiscal years must be authorized by City Council, NPS School Committee or SVAHS Trustees.
2. Bills are paid only from invoices, not the statements. 3. On the invoice, write the vendor number, the account number, and the Purchase Order number (when applicable) to which the bill is being charged. It is recommended that departments keep
copies of all their invoices. 4. The Auditor’s Office checks the invoice entry proof against the corresponding original invoices to verify the following information for accuracy: PO: Enter Purchase Order number, when applicable. Vendor Name: Correct vendor name. Remit Field: Correct address to send payment. Invoice Number: Invoice number assigned by the vendor. Invoice Amount: Amount of the invoice less any discounts and sales tax, or include any
finance charges or late fees. Description Field: City’s contract number, if applicable. If there is not a contract, use the account/customer number or any other pertinent information that will make it easy for the vendor to credit the correct department. Invoice Date: The date on the invoice, not the date of the order, statement or
shipping. 5. If the vendor does not designate an invoice number, use an abbreviate description. For example, the invoice is for a seminar at UMass on May 10, 2017. The description would be “UMass 5/10/17.” That description must be written on the invoice in addition to entering it
into the Invoice Number field in MUNIS. 6. Some vendors have multiple remit addresses. Please check the remit address on the invoice and select the corresponding remit number on the invoice entry screen. This will assure that the check will be sent to the proper address.
7. When printing a batch report to submit your invoices to the Auditor’s Office, remember to select the Include Address Line box so the Auditor’s Office can verify the correct remit address.
8. Multiple invoices for the same vendor must be entered separately. 9. If an invoice requires a contract, the contract must be fully executed before any invoices can be processed, regardless of the dollar amount.
10. When applicable, contract numbers must be written on the invoice and entered in the description field during invoice entry. 11. Submit invoices in the order they appear on the invoice entry proof. MUNIS defaults to
numerical order by vender number.
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12. The Department Head, or their designee, must sign the invoice entry proof before the proof is
submitted to the Auditor’s Office.
13. If you are sending any documentation to the vendor with the check, please provide the Auditor’s office with the two copies. One copy for the Auditors and one copy for the vendor. Include the vendor number on the copies. Remit slips should be removed from the invoice,
clipped together, and sent to the Auditors along with your batch report. Remit slips should be in
vendor number order. 14. Submit a “Hold or Send Check” form (Appendix 8) to the Auditor’s Office when you want a check forwarded to you, or someone in your department, instead of the check being
automatically mailed directly to the vendor by the Collector/Treasurer Office. This assures the
check will be put aside and returned to you and not mailed to the vendor. 15. If there are extenuating circumstances resulting in a department varying from the policies, a written statement requesting permission for an exception must be submitted to the Auditor'
Office.
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TRAVEL POLICIES
On the following page is the City’s Travel Policy (revised 12/16/2011). After reviewing the policy if the employee has any questions please contact the Auditor’s Office for clarification prior to traveling.
For travel expense reimbursements, please submit the following information to the Auditor’s Office: 1. Complete the Uniform Travel Reimbursement form (Appendix 6) and attach the following information:
For mileage reimbursements, the street address and zip code of the starting and ending locations must be entered on the Uniform Travel Reimbursement form and, when applicable, a printout from a computer-mapping program confirming mileage.
Original receipts should be attached to the Uniform Travel Reimbursement Form. All original receipts should be itemized and dated by the restaurant, hotel, etc. Receipts that are not itemized and with only a total dollar amount will not be processed.
The names of the employees covered by the expense must be listed on the back of the receipt to avoid multiple reimbursements for the same expense.
Employees must have original receipts for parking, transponder print out/tolls, and related transportation costs. For example, if tolls are incurred going to and returning from a conference, and only one toll receipt is submitted, it cannot be duplicated. A separate, original receipt must be submitted for reimbursement.
Employees must submit documentation such as, itinerary or conference brochure, with the location of the training or conference, the dates and registration fees. Reimbursements for conferences and training require a copy of the cancelled check or
credit card statement. Individuals are not reimbursed prior to travel or incurring expenses i.e. mileage, hotels, tolls and related fees.
Department Head, or their designee, and the employees must sign the Uniform Travel
Reimbursement Form. 2. Massachusetts General Law Chapter 44, Section 58, prohibits reimbursement for the purchase of alcohol and tobacco.
3. Employees traveling together should fill out a separate Uniform Travel Reimbursement Form. Please confer with your co-worker on expenses to avoid duplication of reimbursement requests. 4. Meals without a receipt will be reimbursed by the rate set by the City Travel Policy or the
Northampton Public School.
5. Business associates, vendors, or family members accompanying an employee traveling for business purposes are not eligible for travel reimbursement costs.
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City of Northampton, Massachusetts Human Resources Department Effective Date: 10/13/1993 Revision Date: 12/16/2011 TRAVEL
POLICY It is the policy of the City of Northampton to reimburse employees who incur reasonable expenses while on
authorized City business. Travel shall be performed by the most economical means. PROCEDURE: An employee who travels on City business and incurs expenses must submit a request for reimbursement with all supporting receipts within thirty days of travel. Employees will not be eligible for reimbursement if such receipts are not submitted in a timely manner. Requests must be submitted on the Uniform Travel Reimbursement form and must be authorized by the employee’s supervisor. (see attached form) ELIGIBLE EXPENSES: Gas/mileage – reimbursement is based on (but may be less than) the current IRS standard deduction rate and is reviewed by the Finance Director annually. If the employee is leaving from home, mileage should be calculated after
subtracting normal commuting miles. All requests for mileage reimbursement will be checked by the Auditor’s Office against a MapQuest map from the starting point to the destination. If the mileage reimbursement request varies 10% or more from the MapQuest mileage indicated, a detailed explanation must be included in the "Additional comments" section of the reimbursement form, or only the MapQuest miles will be reimbursed. Tolls, parking & taxis – keep all receipts.
Airline – economy class only is reimbursed, keep receipts. Car rental – economy car, keep all receipts. Lodging – single room in a moderate range hotel/motel is reimbursed with receipt. Spouse accommodations/meals
are not reimbursed. No incidental room charges will be reimbursed (mini bar consumption, movie, dry cleaning, etc.). Meals – actual amounts with detailed receipts, no alcoholic beverages – the following maximums are applied: Breakfast $5.00 Lunch $10.00 Dinner $20.00 Tipping should not exceed 15%
Employees who pay for travel in advance and are then unable to attend the business function will not be reimbursed for forfeited deposits, etc. Approved: ____________________________ _______________________________ David Narkewicz, Acting Mayor Glenda G. Stoddard Mayor Human Resources Director
Revision History: 12/2011, 2/2006, 1/2002
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Request for a Vendor Number or Vendor Change
o The Vendor Request form (Appendix 7) should be filled out completely with and submitted with the W-9 to the Auditor’s Office.
o A W-9 is not requires if a vender number is requested for a reimbursement, refund or payment for claims. To identify the request as a reimbursement, refund or payment for claims, please enter the type of payment in the “Service or Products Provided” area.
o For an address change, please include the vendor’s number on the Vender Request form.
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Frequently Asked Questions
My department has been authorized to spend money by the Capital Improvements Committee. What do I do now? 1. You need a contract. Contact the Chief Procurement Officer. He will guide you through the procurement process.
2. If the funding is to be borrowed, please coordinate the borrowing with the Finance Director. 3. The department initiating the contract is responsible for making payments to the vendors. The funds must be authorized and the contract must be executed before a vendor is paid. 4. When processing accounts payable, please include the contract number in the description field on the invoice entry screen (see Appendix 9). The Auditor’s Office will provide this number
on the contract vendor cover sheet. When is a contract considered fully executed? A contract is fully executed when it has been reviewed and signed by all necessary parties and the contract has been assigned a City contract number by the Auditor’s Office. Contracts are reviewed and signed by the departmental head, the Chief Procurement officer, the Auditor, the
Finance Director and the Mayor.
When do I need a contract? 1. You need a contract for supplies and services costing $10,000 or greater. The law does not require formal bids for purchases under $10,000. For purchases under $10,000, use sound
business practices.
2. Contracts from $10,000 to $50,000 require price quotes from at least three vendors. Contracts are award to the responsible vendors offering the lowest price for the supply and service. 3. Contracts $50,000 or greater require a formal advertised competition using formal bids or proposals. In a bid competition, you award the contract to the qualified bidder who meets the
specifications and offers the best price.
What is a vendor contract cover sheet? 1. All contracts require a vendor contract cover sheet. The department initiating the contract completes a vendor contract cover sheet. The cover sheet provides the Auditor’s Office with vital information needed to process payments and a sign-off section for City officials.
2. When submitting a contract to the Auditor’s Office, the cover sheet is on top and followed by 3 copies of the contract. For a copy of a blank vendor contract cover sheet see Appendix 3. For an example of a completed cover sheet see Appendix 4. Where do I get the account numbers to put on the vendor contract cover sheet?
1. The funding is either from appropriated funds (departmental budget) or existing borrowed
funds or grants. If the funds are from a new borrowed account or grant, contact the Auditor’s Office for the account number. 4. If the funding is being split between departments, please provide the Auditor’s Office with each account number being charged and the amount of money being charged to each separate code.
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What happens to my contract once I drop it off at the Auditor’s Office? 1. The Chief Procurement Officer reviews the contract for compliance with M.G. L. Chapter 30B. 2. Incomplete contracts are returned to departments or held until the required documentation is
provided.
3. The Auditor verifies that there are available or authorized funds to cover the contract. 4. The Finance Director and the Mayor signs the contracts and they are returned to the Auditor’s Office for distribution. 5. Please allow two to four weeks for a contract to be processed. If an executed contract has not
been returned to your department in two weeks please contact the Auditor’s Office to check
on its status. What happens if I need to spend more that the amount of the contract? 1. You need an amendment. For goods and service contracts under Chapter 30B, amendments are limited to no more that 25% of the original contract. Contact the Chief Procurement
Officer for assistance. How long does it take the Auditor’s Office to process an accounts payable batch? 1. Please allow a minimum of one week under normal circumstances from when you deliver the accounts payable batch to the Auditor’s Office until the vendor check is printed. Departments can check the status of an invoice in MUNIS through accessing the invoice inquiry screen.
Please contact the Auditor’s Office if you need assistance or reference the MUNIS screen
print in Appendix 10. Invoices are processed on a first come, first serve basis. 2. Occasionally emergencies occur. In these cases, please contact the Auditor’s Office and every effort will be made to process the bill(s) as soon as possible. 3. The warrant is printed and signed by the Auditor and the Finance Director. The
Collector/Treasurer’s Office prints and releases the checks. Checks are not available until this
process has been completed.
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Appendix 1. - Procurement Exemptions
Please contact the Chief Procurement Officer to confirm that an exemption applies. 1. Application of chapter
(a) This chapter shall apply to every contract for the procurement of supplies, services or real
property and for disposing of supplies or real property by a governmental body as defined herein. (b) This chapter shall not apply to:
[Clause (1) of subsection (b) effective until February 3, 2006. For text effective February 3,
2006, see below.] (1) a contract subject to the provisions of section thirty-nine M of chapter thirty or sections forty-four A to forty-four J, inclusive, of chapter one hundred and forty-nine;
[Clause (1) of subsection (b) as amended by 2006, 11, Sec. 3 effective February 3, 2006. For text effective until February 3, 2006, see above.] (1) a contract subject to the provisions of section thirty-nine M of chapter thirty, section 11I of chapter 25A or sections forty-four A to forty-four J, inclusive, of chapter one hundred and
forty-nine; (2) a contract subject to the provisions of sections thirty-eight A 1/2 to thirty-eight O, inclusive, of chapter seven;
(3) an intergovernmental agreement subject to the provisions of section four A of chapter forty; (4) a transaction with the commonwealth; (5) a contract for the purchase of materials, under specifications of the state department of
highways, and at prices established by the department, pursuant to advertising and bidding for such purpose, in connection with work to be performed under the provisions of chapter eighty-one or chapter ninety; (6) a contract for the advertising of required notices;
(7) an agreement between agencies, boards, commissions, authorities, departments or public instrumentalities of one city or town; (8) an agreement for the provision of special education pursuant to chapter seventy-one B and
regulations promulgated pursuant thereto; (9) a contract to purchase supplies or services from, or to dispose of supplies to, any agency or instrumentality of the federal government, the commonwealth or any of its political subdivisions or any other state or political subdivision thereof;
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(10) the issuance of bonds, notes or securities in accordance with procedures established by law;
(11) contracts and investments made in accordance with sections fifty-seven or fifty-seven A of chapter thirty-five or sections sixty-seven or sixty-seven A of chapter forty-four; (12) a contract for the procurement of insurance or surety bonds, including an agreement
subject to the provisions of sections one to sixteen, inclusive, of chapter forty M or the
provisions of sections twenty-five E to twenty-five U, inclusive, of chapter one hundred and fifty-two; (13) contracts for the services of expert witnesses for use in an adjudicatory proceeding or
litigation or in anticipation thereof;
(14) any contracts or agreements entered into by a municipal gas or electric department governed by a municipal light board, as defined by section fifty-five of chapter one hundred and sixty-four or by a municipal light commission, as defined by section fifty-six A of said
chapter one hundred and sixty-four; provided, however, that any such board or commission may accept the provisions of this chapter by a majority vote of its members; (15) contracts with labor relations representatives, lawyers, designers, or certified public accountants;
(16) contracts with physicians, dentists, and other health care individuals or persons including nurses, nurses' assistants, medical and laboratory technicians, health care providers including diagnosticians, social workers, psychiatric workers, and veterinarians;
(17) a contract for snow plowing by a governmental body; (18) a contract or lease by a governmental body of its boat slips, berths, or moorings; (19) a contract for retirement board services;
(20) a contract which is funded by proceeds derived from a gift to a governmental body or a trust established for the benefit of a governmental body; (21) a contract for the towing and storage for motor vehicles;
(22) a contract to provide job-related training, educational or career development services to the employees of a governmental body; (23) a contract pursuant to which a governmental body obtains services from a bank, as defined
in section one of chapter one hundred and sixty-seven, subject to the maintenance of a compensating balance; THIS EXEMPTION DELETED NOVEMBER 7, 2016 (24) a contract for ambulance service by a governmental body;
(25) a contract to sell lease or acquire residential, institutional, industrial or commercial real property by a public or quasi-public economic development agency or urban renewal agency
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engaged in the development and disposition of said real property in accordance with a plan approved by the appropriate authorizing authority;
(26) a contract for the collection of delinquent taxes or for the services of a deputy tax collector; (27) contracts or agreements entered into by a municipal hospital or a municipal department of
health;
(28) contracts entered into by a governmental body on behalf of a hospital owned by such governmental body where such contract is funded by expenditures from an operations account, so-called, or a special account, established pursuant to a special act that is maintained for the
benefit of and designated with the name of such hospital;
(29) any contracts, agreements or leases entered into by a municipal airport commission established under the provisions of section fifty-one E of chapter ninety; provided, however, that such contracts, agreements or leases apply to aviation uses or the sale of aviation fuel;
(30) a contract for the collection, transportation, receipt, processing or disposal of solid waste, recyclable or compostable materials; (31) an agreement for the purchase of photography services entered into by a public school;
(32) energy aggregation contracts entered into by a political subdivision of the commonwealth for energy or energy related services arranged or negotiated by such subdivision on behalf of its residents;
(33) energy contracts entered into by a city or town or group of cities or towns or political subdivisions of the commonwealth, for energy or energy related services; provided, however, that within 15 days of the signing of a contract for energy or energy related services by a city, town, political subdivision, or group of cities, towns or political subdivisions said city, town, political subdivision, or group of cities, towns or political subdivisions shall submit to the
department of telecommunications and energy, the division of energy resources, and the office of the inspector general a copy of the contract and a report of the process used to execute the contract; or (34) a contract made in accordance with section 5 of chapter 111C.
(c) This chapter shall be deemed to have been complied with on all purchases made under the provisions of sections twenty-two A and twenty-two B of chapter seven when one political subdivision, as defined in said section twenty-two A, acting on behalf of other political subdivisions, complies with the provisions of this chapter, or when purchases are
made from a vendor pursuant to a contract with the commonwealth for the item or items being purchased. (d) Where a procurement involves the expenditure of federal assistance or contract funds, the provisions of this chapter shall not apply to the extent that such provisions prevent
compliance with mandatory provisions of federal law and regulations.
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(e) Notwithstanding the provisions of any general or special law to the contrary, a governmental body may enter into a contract, in conformance with this chapter, for the
construction and for services at a facility owned by a private party or parties, whether
such facility will be located on public or private land for the disposal, recycling, composting or treatment of solid waste, sewage, septage or sludge without said contract being subject to the competitive bid process as set forth in sections thirty-eight A 1/2 to thirty-eight O, inclusive, of chapter seven, section thirty-nine M of chapter thirty, or
sections forty-four A to forty-four J, inclusive, of chapter one hundred and forty-nine;
provided, however, that this subsection shall not apply to a procurement of proprietary environmental technology in accordance with subsection (5) of section forty-four A of chapter one hundred and forty-nine.
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Appendix 2 - Standard Bid Package
Remember, all bids must be reviewed by the Chief Procurement Officer prior to advertising!
INVITATION FOR BID
The Northampton (Board, Commission or Department) invites sealed bids for (subject of the procurement). The contract estimate is (estimated dollar amount). Bid documents are available M-F, 9-4 at (office address) until
the bid deadline (bid deadline time and date). The City reserves the right to reject any or all bids. INSTRUCTIONS FOR BIDDERS
1. Use the attached bid form. Send your bid to (office, office address) in a sealed envelope marked “Subject of Procurement”. 2. The (Board, Commission or Department) will award the contract within (number of days you need for evaluating your bids). 3. Use additional items as needed for pre-bid conference information, minimum criteria for bidders, etc.
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BID FORM FOR (SUBJECT OF BID) For (completion of work or delivery of supplies) per the attached specifications, the amount of $ is bid. The undersigned certifies under penalties of perjury that this bid or proposal has been made and submitted in good faith and without collusion or fraud with any other person. As used in this certification, the word "person"
shall mean any natural person, business, partnership, corporation, union, committee, club, or other organization, entity, or group of individuals.
Date Name of Bidder By Name of Person Signing Business Address
City and State
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CITY OF NORTHAMPTON MASSACHUSETTS CONTRACT FOR (Non-construction supplies or services) THIS AGREEMENT, executed this day of 20 by and between
(type in Vendor name and address, remember to check Northampton vendors for overdue taxes) hereinafter called "Vendor" and the City of Northampton, a municipal corporation in the County of Hampshire, Commonwealth of Massachusetts, party of the second part hereinafter called "Owner".
WITNESSETH, that for the consideration hereinafter mentioned, the Owner and the Vendor shall agree to the terms and conditions contained in this contract, enumerated as follows: The Owner-Vendor Agreement, Bidding
Documents, Contract Forms, Specifications contained in (attach you specification or vendor quote and reference the document here, if services are going to be rendered on City Property contact the Chief Procurement Officer regarding appropriate insurance requirements), and all addenda issued prior to and all Modifications issued after execution of the Contract. THE OWNER shall pay the Vendor for the performance of this contract in the sum of (type in the dollar amount) dollars in accordance with the terms of this contract. This contract shall not be altered in any particular without the consent of all parties to this contract. All alterations to this contract must be in writing and authorized as such by the Mayor and a Majority vote of the Board, Agency, or Committee signing this contract.
The Vendor shall not delegate, assign or transfer any of its duties delineated in the scope of services without prior written consent from the CITY.
In the event the Vendor is a corporation a certificate that the person executing this contract is duly authorized to sign, must accompany this contract.
Notwithstanding anything in the Contract documents to the contrary, any and all payments which the City is required to make under this Contract shall be subject to appropriation or other availability of funds as certified by the City Auditor. Obligations for payments beyond the current fiscal year are subject to appropriation and this Contract shall be canceled in the event of non-appropriation. Final payment on this contract shall release and discharge the Owner from any and all claims against the Owner on account of any work performed hereunder, or any alteration hereto. The Vendor shall indemnify and hold harmless, the CITY and all of its officers, agents, and employees against all suits, claims or liabilities of every nature, arising out of, or in consequence of, the acts or omissions of the
Vendor, its employees, agents, or sub-contractors in connection with their rendering of services or goods under this AGREEMENT and will, at the Vendor’s own cost and expense, defend any and all such suits and actions
By signing this contract the Vendor agrees to subject any dispute to mediation, at the option of the City, prior to filing suit in any forum.
This contract shall be deemed to be a Massachusetts contract and its interpretation and construction shall be governed by the laws of Massachusetts and the Charter and Ordinances of the Owner.
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The provisions of this contract are severable. If any provision of this contract shall be held unconstitutional by any court of competent jurisdiction, the decision of such court shall not affect any other provisions of this contract. The City of Northampton is not bound by this contract until approved by the Mayor of Northampton. Pursuant to M.G.L. Chapter 62C, Section 49A, I certify under the penalties of perjury that I have, to my best knowledge and belief, complied with the law of the Commonwealth relating to taxes, reporting of employees and contractors, and withholding and remitting child support. I further authorize the City of Northampton to deduct from the amounts due under this contract, any overdue taxes, real or personal, or any other fees due to
the City of Northampton from the vendor which become due and payable by the vendor or its officers, directors or agents during the term of this contract or until the final amounts due under this contract are paid in full.
Check one: The vendor does not have a Northampton office. IN WITNESS WHEREOF the Owner caused these presents to be signed in quadruplicate and approved by Gina-Louise Sciarra its Mayor and the said Vendor has caused these presents to be signed in quadruplicate and its official seal to be hereto affixed by its officer or agent thereunto duly authorized (by the attached corporate resolution). This instrument shall take effect as a sealed instrument. Vendor:
Vendor it's
Authorized Signatory
Title Date
Certificate by Corporation to Sign Contract At a duly authorized meeting of the Board of Directors of the (Name of Corporation)
held on . (Date) At which all the Directors were present or waived notice, it was voted that, the Authorized Signatory of this company, be and he hereby is authorized to execute contracts and bonds in the name and behalf of said company, and affix its Corporate Seal thereto, and such execution of any contract or obligation in this company's name on
its behalf by such officer under seal of the company, shall be valid and binding upon this company, A TRUE COPY, ATTEST: (Clerk)
Place of Business Date of this Contract
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CITY OF NORTHAMPTON: BY: Northampton’s Board or Commission
Signatures of the Board or Commission
Date
Date
Chief Proc. Officer, approved as to form and c. 30B compliance Date
City Auditor, approved as to appropriation. Date Mayor Gina-Louise Sciarra
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City of Northampton, Massachusetts BID RECORD Subject of Procurement Department
Informal Quotes (under $50,000) Formal Bid If yes, date advertisement appeared in the newspaper
Date of Bid Opening and Time
Recorded By Bidder Name Bidder Address Bid Price Comments
1.
2.
3.
4.
5.
This list is a complete and accurate record of the bids or quotes received for the named supply or service.
Signed under penalties of perjury. (Sign if purchase is over $24,999.)
Procurement Officer Witness
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ATTACH SPECIFICATIONS HERE IF NECESSARY SPECIFICATION CHECKLIST
The following items may need to be addressed in your contract specification. Please check them
off as you consider them and retain this page for your procurement file for this purchase. 1. Payment Terms - When does the Vendor get paid? Are there milestones that trigger payment? It is always best to pay for goods or services after they are received.
2. Warranty - Are you expecting a warranty and, if so, what does it cover and for how long? 3. Delivery - How long does the Vendor have to deliver the goods or services? Do not forget to include shipping costs in your bid! FOB Northampton instead of FOB
Vendor’s site is better because they carry the risk of loss in transit.
4. Technical Requirements - Does your specification adequately describe the goods or services so you will be satisfied when the goods or services are delivered? For example, if you do not say products must be new you may get used products.
5. ___ Workers’ Compensation Insurance Certificate. If a vendor’s employees will be working on City Property get an insurance certificate from the vendor that shows the vendor has Workers’ Comp. Insurance.
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Appendix 3.
City of Northampton
Vendor Contract Cover Sheet
(To Accompany All City Contracts to City Auditor, Purchasing and Mayor’s Office)
1. Department and/or Division Name: 2. Vendor Name: 3. MUNIS Vendor I.D.#: Department Contract # (if any):
4. Source and Amount of Funds: Please Fill in Below
Source: (Check all that
apply)
Account Name: Account Number: Amount: Total Per Source:
Budget:
Grant:
Revolving:
Borrowing:
Other: Total Amount of Contract:
5. Period of Contract Coverage (If Applicable): 6. Brief Description of Goods and/or Services being provided (e.g., Is this a part of a larger project, stand alone, or is it an amendment to a contract?):
7. Does the vendor have a Northampton Office? Yes No (If local) Taxes owed? Yes No
8. Please list time and dates that contracts were delivered:
Date Received Date Completed
Originating Department:
Auditor, Joyce Karpinski:
Ch. Proc. Off., Joe Cook:
Finance Director, Charlene Nardi:
Mayor Gina-Louise Sciarra:
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Appendix 4.
City of Northampton Vendor Contract Cover Sheet
(To Accompany All City Contracts to City Auditor, Purchasing and Mayor’s Office)
1. Department and/or Division Name: Dept. of Public Works
2. Vendor Name: Premier Supply Group
3. MUNIS Vendor I.D.#: 1250 Department Contract # (if any): 07-52
4. Source and Amount of Funds: Please Fill in Below
Source: (Check all that
apply)
Account Name: Account Number: Amount: Total Per Source:
Budget:
Grant:
Revolving: DPW Revolving 2419420-543000 $15,855.94 $15,855.94
Borrowing:
Other:
Total Amount of Contract: $15,855.94
5. Period of Contract Coverage (If Applicable): FY 09
6. Brief Description of Goods and/or Services being provided (e.g., Is this a part of a larger project, stand alone,
or is it an amendment to a contract?): Plumbing Supplies for Pole Barn
7. Does the vendor have a Northampton Office? X Yes No
(If local) Taxes owed? Yes X No 8. Please list time and dates that contracts were delivered:
Date Received Date Completed
Originating Department: DL 4/12/09 Auditor, Joyce Karpinski:
Ch. Proc. Off., Joe Cook:
Finance Director, Charlene Nardi: Mayor Gina-Louise Sciarra:
SAMPLE
FORM
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Appendix 5.
Permit Denial Form
TO: Collector/Treasurer Office
REQUESTED BY: Name of Person, Corporation or Business:
Location of Property, Location of Service or Address:
Parcel: Your prompt attention is appreciated.
For Tax Collector/Treasurer’s Office Use Only Please list below any tax, assessed to your office, that is unpaid for twelve (12) months or more
after its due date, unless there is a pending abatement or appeal before the Appellate Tax Board, for the person, corporation, or business entity noted above.
Signed: Dated: Ordinance No. 14.21 (Section 1) – 1992 City of Northampton
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Appendix 6. CITY OF NORTHAMPTON UNIFORM TRAVEL REIMBURSEMENT FORM
Date: Department
Employee Name:
Purpose of Meeting: Conference Location:
Dates Attended: SUMMARY OF EXPENSES:
Mileage ___________________ x $ _____ per mile = $
Address of Start Location Address of End Location
*Tolls & Parking
*Meals *Lodging
*Air Fare Miscellaneous:____________________________
____________________________
Trip Total $ Additional comments or instructions:
*Receipts must be attached.
Employee Signature: Approved:
Department Manager Signature:
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Appendix 7.
VENDOR REQUEST
New / Change (Circle one) Vender Name:
DBA: City, State, Zip Code:
Telephone #:
Fax #: Email Address:
Remit Address: Social Security #:
Federal ID#:
Incorporated? 1099 Vendor? YES NO
W-9 form submitted to Auditor’s Office YES NO (Circle one)
Service or Products Provided:
Name: Dept.:
Date:
For Auditor’s Office Use:
Vendor Number Assigned:
New Remit Number:
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Appendix 8.
City of Northampton
Accounts Payable Departmental Hold Form
Vendor No. (List in numerical order)
Vendor Name $ Amount (List checks separately)
Hold For
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Appendix 19
Accounts Payable Data Entry Screen
1. Enter purchase order number, when applicable. 2. Check the vendor number and name. Make sure they are correct. Also, check the remit number. There can be multiple remit numbers for one vendor. Check that the remit address on the vendor invoice matches the remit address in MUNIS.
3. Enter the invoice number assigned by the vendor.
4. Amount of the invoice less any discounts and sales tax, or include any finance charges or late fees. 5. Include account numbers, contract numbers, or other pertinent information in the description field.
6. The voucher number is your department number. Some larger departments use their batch
number as the voucher number. 7. The date on the vendor invoice, not the statement. 8. Enter Org. and Obj. of account to be debited.
1.
2.
3. 4. 5.
6.
7.
8.
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Appendix 10
To Check the Status of an Invoice
From the MUNIS Main Menu select the Vendor Inquiry/Reports. There are several ways to access the
Vendor Inquiry/Reports and it may vary depending on a user’s MUNIS permissions. The above screen illustrates from the MUNIS Main Menu: 1. Select Dept
2. Select Vendor Inquiry/Reports
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To Check the Status of an Invoice Continued:
The Vendor Inquiry Screen
1. Select FIND.
2. Put the vendor number you want to inquire about in the vendor field and select the ENTER key on the keyboard. 3. Select Invoice Inquiry from the side menu. 4. Enter the year/period (and the invoice number if you know it) and select the ENTER key on the keyboard.
1.
2.
3.
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To Check the Status of an Invoice Continued:
The Invoice Browse Screen
The Invoice Browse screen has the invoice number, invoice date, the purchase order (if applicable), the warrant number, status of the check (“P” for paid, “V” for void or blank if not paid), the check number and the amount of the check. You can sort the fields by clicking on the names of the columns. This
screen will give you the information you need to verify that a vendor has been paid.
Appendix K
•Grievance and Arbitration Procedures
•Grievance Procedures Under the ADA
1
Article 5
Grievance and Arbitration Procedures
from the
Northampton Administrative and Professional Employee Association
(NAPEA)
5.01. A "grievance" or "dispute" is hereby defined as a dispute arising from a complaint by an
Employee or Employees of the Association covered by this Agreement, relating to the meaning, interpretation or application of any of the express terms and provisions of this Agreement.
5.02. Any grievance or dispute which may arise between the parties concerning the application
or interpretation of the express terms of this Agreement shall be settled in the following manner:
Step 1. Any aggrieved employee shall present his grievance orally to his immediate supervisor or Appointing Authority who shall attempt to adjust the grievance informally. An employee may be accompanied by an Association Representative if desired. The
grievance must be presented within ten (10) calendar days of or knowledge of the
occurrence of the event giving rise to the grievance.
Step 2. If the grievance is not settled at Step 1, it shall be presented in writing to the representative which may consist of, but not limited to, the following officials: Appointing
Authority of the employee, member of the Law Department, Human Resources Director,
and the Mayor, within ten (10) calendar days from the date of presentation at the Step 1 level. The written grievance will state clearly the act or acts complained of, the provisions of the Agreement that are allegedly violated, when the problem occurred and the remedy sought.
Step 3. If the grievance is not resolved at the Step2 level within ten (10) calendar days from the date of presentation at the Step 2 level, the Association may submit the grievance to arbitration. Such submission to arbitration must be made within thirty (30) calendar days after the expiration of the ten (10) calendar days. Prior to going to formal Arbitration, the
parties shall seek grievance mediation through the Massachusetts Board of Conciliation and
Arbitration.
5.03. The arbitrator shall be selected by mutual agreement of the parties hereto. If the parties fail to agree on a selection in the first instance, the American Arbitration Association (AAA) shall be
requested to provide a panel of arbitrators from which a selection shall be made in accordance with
the applicable rules of the AAA. Expenses for the arbitrator's services shall be shared equally by the parties.
5.04. Written submission of grievances at Step 2 shall be in not less than triplicate, on forms
provided by the Association, and shall be signed by the Employee or his Association representative
2
filing the grievance. If a grievance is adjusted at any step of the grievance procedure, the
adjustment shall be noted on the grievance form. At any step of the grievance procedure where no
adjustment is reached, the grievance shall bear a notation that the grievance is unsettled, shall be signed by the Employer's representative and the Association representative then handling the grievance, and shall be referred to the next step in the grievance procedure as provided herein.
5.05. A grievance not filed or processed within any of the time limits or in accordance with any
of the conditions prescribed at steps one through three, inclusive shall be deemed waived for all purposes. Grievances not answered by the City within the limits prescribed shall automatically proceed to the next step of the procedure. Time limits as specified, may be changed by mutual agreements of the parties, in writing.
5.06. Any incident which occurred or failed to occur prior to the effective date of this Agreement shall not be subject of any grievance hereunder. This section shall have no impact on grievances that are currently pending.
5.07. The arbitrator hereunder shall be without power to alter, amend, add to or detract from the
language of this Agreement. The arbitrator's award shall be in writing within thirty (30) days of the hearing and shall set forth his findings of fact, reasoning and conclusion. The arbitrator shall be without power or authority to make any award which requires the commission of an act prohibited by law. It is clearly understood that the arbitrator may not contradict or modify the terms of this
Agreement in conflict with the express provisions of this Agreement or of any law. The
Arbitrator's jurisdiction is expressly limited to the express terms of this Agreement which are applicable to the particular issue at hand, and to the rendition of an award which in no way adds to, subtracts from, changes or amends or conflicts with any term provision or condition of this Agreement.
Northampton Grievance Procedure
Under the
Americans with Disabilities Act
This Grievance Procedure is established to meet the requirements of the Americans with Disabilities Act of 1990 ("ADA"). This may be used by anyone who wishes to file a complaint alleging discrimination
on the basis of disability in the provision of services, activities, programs, or benefits by the City of
Northampton. The City of Northampton's Personnel Policy governs employment-related complaints of disability discrimination. The complaint should be in writing and contain information about the alleged
discrimination such as name, address, phone number of complainant and location, date, and description
of the problem. Alternative means of filing complaints, such as personal interviews or a tape recording of the complaint, will be made available for persons with disabilities upon request. The complaint should be submitted by the grievant and/or his/her designee as soon as possible but no
later than 60 calendar days after the alleged violation to:
ADA Coordinator, 210 Main Street, 2nd Floor, Northampton, MA 01060. Within 15 calendar days after receipt of the complaint, the Northampton ADA Coordinator or ADA Coordinator designee will meet with the complainant to discuss the complaint and the possible
resolutions. Within 15 calendar days of the meeting, ADA Coordinator or ADA Coordinator will
respond in writing, and where appropriate, in a format accessible to the complainant, such as large print, Braille, or audio tape. The response will explain the position of the City of Northampton and offer options for substantive resolution of the complaint.
If the response by ADA Coordinator or ADA Coordinator does not satisfactorily resolve the issue, the
complainant and/or his/her designee may appeal the decision within 15 calendar days after receipt of the response to the Mayor's Chief of Staff or Chief of Staff’s designee. Within 15 calendar days after receipt of the appeal, the Mayor's Chief of Staff or Chief of Staff’s
designee will meet with the complainant to discuss the complaint and possible resolutions. Within 15
calendar days after the meeting, the Mayor's Chief of Staff or Chief of Staff’s designee will respond in writing, and, where appropriate, in a format accessible to the complainant, with a final resolution of the complaint.
All written complaints received by Northampton ADA Coordinator or ADA Coordinator designee,
appeals to the Mayor's Chief of Staff or Chief of Staff’s designee, and responses from these two offices will be retained by the those respective offices for at least
1
Appendix L
CITY OF NORTHAMPTON CDBG RECORD RETENTION POLICY December 2022 Contents
Introduction ............................................................................................................ 2
Part 1: General Record Keeping Policies and Procedures .......................................... 3
Access to Records ........................................................................................................................................... 3
Length of Retention ........................................................................................................................................ 3
Part 2: Required Record Types ................................................................................. 3
List of Required Record Types ......................................................................................................................... 3
Record of Received Funds ............................................................................................................................... 3
Deposit and Expense Accounts ....................................................................................................................... 4
Subrecipient and Contractor Applications ...................................................................................................... 4
Project Suitability Determination and National Objectives ............................................................................ 4
Subrecipient or Contractor Agreement .......................................................................................................... 6
Subrecipient Activity Records ......................................................................................................................... 7
Record of Expenses ......................................................................................................................................... 8
Part 3: Federal and State Record Retention Schedules ........................................... 10
General Schedule .......................................................................................................................................... 10
2
Federal Laws on Subrecipient Record Retention .......................................................................................... 10
Federal Recordkeeping Schedules ................................................................................................................ 11
State Recordkeeping Schedule...................................................................................................................... 13
Introduction
This document covers policy for keeping records on expenditures, staffing, facilities, equipment,
other policies, and procedures associated with administering the Community Development
Block Grant (CDBG). While carrying out CDBG program activities is the City of Northampton’s
main focus, it is important to keep documentation to provide the evidence that grant funds
were spent and activities were completed appropriately. HUD audits and monitoring reviews
from CPD offices cite lack of documentation and questionable costs as the most common
findings among grantees. The following are some of the most common recordkeeping
problems.
• Disorganized or missing files
• Inadequate accounting source documentation (invoices, timesheets, etc.)
• Inadequate accounting of receipts and disbursement of grant funds
• Indirect costs charged to grant without an approved indirect cost rate plan
• Inadequate procedures for verification of allowable costs
• Inadequate procedures for certifying sub-grantee financial systems
• Inadequate separation of duties
The rule of thumb for CDBG is to document as much as possible and reasonable. The City, called
grantee for the rest of the document, will take care to create and maintain appropriate
documentation. And it will stress to the subrecipients the importance of maintaining
appropriate documentation.
Part 1: General Record Keeping Policies and Procedures Access to Records
• HUD and authorized representatives have the right to access the grantee and subrecipient
agencies’ program records.
• All CDBG grantees are required to provide citizens with reasonable access to records
regarding the current and past funded programs, consistent with applicable State and local
laws regarding privacy and confidentially. Length of Retention
The federal and state governments have overlapping requirements when it comes to recordkeeping.
Whichever is the strictest should be in effect. For plans and annual evaluation reports, the length is
usually permanent. For other record types, the state requirement of at least six years may apply, which
is usually stricter than the federal requirement of three years. For a detailed schedule, please refer to
Part 3: Federal and State Retention Schedules. Part 2: Required Record Types
This part first lists the required record types and goes into each type in detail. List of Required Record Types
Record of Received Funds
• Record of Received CDBG funds
• Deposit and Expense Accounts
• Subrecipient and Contractor Applications
• Project Suitability Determination and National Objectives
o National Objective Determination, called Determination of Eligibility or DoE
o Environmental Reviews
o Pre-Monitoring Risk Assessment
• Subrecipient or Contractor Agreement
• Record of Expenses
• Subrecipient Activity Records Record of Received Funds
Before and at the beginning of the program year, the grantee will receive two important documents
from HUD confirming the CDBG award amount for the new program year.
• HUD Award Letter: This is an initial narrative letter that arrives normally around May of each
year and summarizes the award amount for the next program year.
• HUD Formal Grant Agreement: The Funding Approval/Agreement on form HUD-7082, which
authorizes the funds and puts them into HUD’s IDIS electronic system for draws. This formalizes
the award letter and is a proof of guaranteed funding for the Auditor’s Office.
Please note the CDBG is a reimbursement grant. The above documents indicate funding available to
draw after incurring expenses. HUD will not deposit a lump sum into the grantee’s bank account at the
beginning of the program year. Deposit and Expense Accounts
Each CDBG program year’s grant has a unique grant number. The numbers are usually the same
except for two digits that indicate the program year. The CDBG funds received must be
accounted for separately by grant number so that the total CDBG funds deposited (credit) and
expensed (debit) can be verified for any given grant year with line records of each expense or
deposit activity. This can be done by creating corresponding deposit and expense accounts.
Upon receiving the HUD award letter, the grantee should request the Auditor’s Office to create
corresponding debit accounts for expenditures for each grant and activity categories before the
beginning of each program year. For example, if there are six activity categories, e.g. housing
and public service, for a program year, the grantee would create six corresponding debit
accounts. The grantee should also request the Auditor to create a deposit account for each
grant and one program income deposit account for each program year. Deposit accounts do not
need to be broken into activity categories. A common practice is to create the accounts with
the same numbers except for two digits at the end which indicate the grant years. Subrecipient and Contractor Applications
The CDBG program makes a distinction between subrecipients and contractors, which is important for
drafting the application template and the award agreement. Subrecipients run specific programs on the
grantee’s behalf. Contractors are vendors that provide general services and products they provide to
other entities.
While CDBG allows for various ways to select subrecipients, the most common way to accept proposals
is through a formal application. Contractors for projects exceeding a threshold are usually subject to
rigorous state and federal competitive bid laws. The application should collect all required details about
a proposed project along with supporting documents such as budget and internal policy documents,
which are required of all CDBG subrecipients, but not contractors. Although an application is not
required for projects directly done by the grantee, using the application form to document the grantee’s
own projects can help create a consistent set of records. Project Suitability Determination and National Objectives
Laws on CDBG and other federal program mandate certain documentation to determine the suitability
of the proposed project and its subrecipient or contractor prior to committing any funds. The main
documents are:
• National Objective Determination, called Determination of Eligibility or DoE: While HUD does
not provide a standard form, grantees must have its own standardized form to document key
factors for eligibility such as whether the project meets the national objectives.
• Environmental Reviews: Required for almost all federal projects. HUD provides a standard
template via its HEROS system.
• Pre-Monitoring Risk Assessment: Assessing the risk of subrecipients and contractors based on
factors such as experience level and prior criminal records is essential for deciding to commit
funds. While HUD does not provide a standard form, it has recommended templates in its
guidebooks.
The following table show the minimum set of national objective records required:
National
Objective Criteria Records to be Maintained
LMA
Area Benefit
• Boundaries of the area Income data of residents and percent LMI
• If less than 51% LMI, exception criteria data
LMC
• Documentation that facility/service designed for or used
exclusively by one of the eligible presumptive groups
Limited Clientele • Documentation of nature and location of the facility/service such
that it can be presumed to service LMI or data on household size
and income of each person receiving the benefit
LMH
• Copy of written agreement with landlord/developer with total no.
of units and no. to be occupied by LMI persons.
Housing • Total cost of project (CDBG and non-CDBG funds)
• Income and household size data for occupants/purchasers
• Rent charged (rental housing only)
LMJ If qualifying under jobs available to LMI:
Job Creation • Copy of written agreement with required provisions
• Listing by job title of permanent jobs filled, which were
available to LMI and evidence of first consideration to LMI
If qualifying under “jobs held by LMI”
• Copy of written agreement with required provisions
• Listing by job title of permanent jobs filled and which were
initially held by LMI
• For each LMI person hired, household size and annual income
prior to hiring
LMJ • Evidence that without CDBG, jobs will be lost
Job Retention • Listing by job title of permanent jobs retained (include part-
time and those held by LMIs)
• Information on job turnover, including jobs to be available to
and filled by LMI persons
• For each job retained and held by a LMI person, family size
and income
SBA
Slum/Blight Area
• Boundaries of the area
• Description of the conditions which qualified the area For
residential rehab
• Local definition of substandard Pre-rehab inspection report
with noted deficiencies
• Details of CDBG-funded rehab
SBS
Slum/Blight Spot
• Description of the specific condition of blight or decay treated
• Description of specific conditions detrimental to public health
and safety (rehab only)
• Details of CDBG-funded rehab (rehab only)
Slum/Blight
Urban Renewal
• Copy of Urban Renewal Plan Maps and supporting
documentation
URG
Urgent Need
• Nature and degree of seriousness of condition requiring
assistance
• Certification that CDBG activity designed to address the need
• Timing of development of the serious condition
• Evidence that other financial resources were not available
Subrecipient or Contractor Agreement
If the grantee makes a financial commitment to a project above a certain cost threshold, it needs to sign
a formal agreement with the entity carrying out the project, whether it is a subrecipient or contract as
defined in the above section, “Subrecipient and Contractor Application.” These agreements require
authorization from the department director, auditor, chief procurement officer, chief financial officer,
and the mayor.
HUD distinguishes the agreement types by using the term Subrecipient Agreement for subrecipients and
Contract for contractors. The City of Northampton groups all under the term Vendor Contract. The
subrecipient agreement uses a standard template that follows applicable federal and state laws. The
contract also are subject to similar laws, but it usually includes the full set of bidding documents since
most contracts are through competitive bids.
Both of these agreement types require two core components which are:
• Scope of Work (Usually labeled Appendix A in the Subrecipient Agreement): It describes the
scope of service. The grantee must take care to not exclude essential tasks and to not make it so
specific as to improperly limit what the vendor can do.
• Budget (Usually labeled Appendix B in the Subrecipient Agreement): Subrecipients need to
include a table of budget items broken down by broad categories. Contractors depending on the
complexity of the project may have a budget breakdown table or simply list one activity.
The agreement is one of the most important documents to carefully retain since it is proof of a financial
commitment and scope of work the vendor is obligated to perform. The Auditor’s office retains hard
copies of all contracts, and the CDBG staff should retain at least digital copies of all contracts in a secure
location.
Subrecipient Activity Records
As a part of carrying out the subrecipient agreement, the subrecipient must submit to the grantee on an
agreed-upon schedule, usually within two weeks after the end of each quarter:
• Progress report
• A final report documenting all sources of funding besides CDBG for the project. It is usually a
part of the last quarter’s report
• Invoices and other records of expenses as detailed in the section, “Record of Expenses.”
It should also maintain and produce upon the grantee’s request:
• Audits, if applicable.
• Beneficiary/client records: The grantee must take care to not make copies of beneficiary/client
records with sensitive data. It should rather look at the documents during on-site visits and
immediately return them to the subrecipient.
The grantee must maintain the following documents about subrecipients:
• Subrecipient monitoring reports: CDBG requires periodic monitoring of the subrecipients by the
grantee. Soon after monitoring, it must be shared with the subrecipient
• Other relevant correspondence such as emails. Emails about agreeing on a contract amendment
are especially important.
Both the grantee and subrecipients must maintain financial management systems that provides
accurate, current, and complete disclosure of the financial status of each grant-supported activity. The
three key regulatory cost principles are that costs must be allowable, reasonable, and allocable. The
system must maintain all relevant financial records and be capable of generating any financial status
reports required. The system should include procedures for determining whether charges to the grant
are reasonable, allowable, and allocable.
Both the grantee and subrecipients must maintain timesheets if CDBG funding is used for staff salaries
and fringe benefits. For staff-time charged to the CDBG program activity, staff should generate monthly
time sheets. If an employee’s time is split between CDBG and another funding source, there must be
time distribution records supporting the allocation of charges among the sources. These monthly time
sheets will list activities performed during the period and be verified by the appropriate directors. Record of Expenses
The City of Northampton’s CDBG program operates on a reimbursement basis. No CDBG funds will be
advanced to the subrecipients. Subrecipients and contractors must submit draw requests containing
supporting documents, typically invoices. The CDBG staff will then submit the invoices as a batch to the
Auditor. Once the Auditor processes the batch and the Treasures sends out the checks, the CDBG staff
makes drawdown requests to HUD using HUD’s IDIS system. For small expenses, a standard purchase
receipt may suffice, but in most cases, the Auditor requires invoices from the vendors with the following
information:
1. Document clearly saying “Invoice” in the title, (voucher, estimate, or statement will not be
accepted)
1. Organization Letterhead or logo
2. Billed-To entity and Address, e.g. City of Northampton, [Department Name]
3. Detailed list of scope/description of service or materials and price per service or material
4. Total amount minus sale tax, if any
5. Invoice date
6. Invoice number (freely set by the vendor)
7. Organization name
8. Program Name (Required for CDBG subrecipients but not contractors )
9. Remit Address (where to send payment)
10. City of Northampton Contract # (Can be entered by City employee but better if the vendor does
it since many vendors have multiple contracts, and it can be very confusing. Note that expenses
below a certain threshold do not require a contract)
11. MUNIS Vendor # (Added by City employee)
12. MUNIS Account # to Pay to include Org/Obj/Project Code (Added by City employee)
Invoices and receipts usually must have supporting documents such as timesheets, bundle of receipts,
and trip reimbursement form. As of December 2022, expenses at or greater than $2,500 and less than
$10,000 do not require contracts, but must have a proof of spending authority from the mayor.
Supporting documentation is necessary to show that the CDBG costs are:
• Incurred during the effective period of the subrecipient’s agreement with the grantee
• Actually paid off or properly accrued
• Expended on allowable items
• Approved by the responsible official in the subrecipient organization
Approved by the grantee’s Auditor to make sure it is spent per the contract terms and within
budget.
The grantee should also maintain a corresponding ledger book where each line is an invoice. Each line
should include key information from the invoice:
1. Vendor number
2. Vendor name
3. Invoice date
4. Invoice number
5. Contract number if applicable
6. Paying account number
7. Corresponding HUD activity ID
8. The invoice batch number since the CDBG staff will submit the invoices for processing to the
Auditor as a batch
Since invoices will be processed as a batch, the grantee should also maintain a book of invoice batches,
which contains the following:
1. Batch number
2. Batch status (whether in progress, check sent out, or HUD reimbursement received)
3. Date of batch submission to the Auditor
4. Date of reimbursement (draw) request to HUD.
5. Total amount grouped by the accounts. This can be done automatically if the ledger book is
configured properly to communicate with the book of batches.
CDBG staff should set up the books correctly so status fields can indicate whether the grantee has paid
an invoice or not and whether it has received reimbursements from HUD.
CDBG staff should maintain the corresponding invoice batch documentation submitted to the Auditor’s
Office. Once the Auditor’s Office clears the batch, the Treasurer will send out the checks. CDBG staff will
then submit a draw request to HUD and at the same time, submit to the Treasurer a standard City of
Northampton AD9 form which directs to which deposit accounts the HUD funds should go into. CDBG
staff should maintain the AD9 forms as well.
Part 3: Federal and State Record Retention Schedules General Schedule
• All records pertaining to CDBG grants must be retained for six years from the date the final
expenditure report is submitted by the grantee to HUD in the CAPER or completion and
resolution of the audit or litigation - whichever is later.
• If there are any litigation, claim, or audit findings that extend beyond the above period, the
grantee must retain the records until all litigations, claims, or audit findings involving the
records have been resolved
• Records for most capital improvement (e.g. facilities, parks), property acquisition, and
housing rehabilitation projects using grant funds shall be retained for the duration of the
loan plus five years after the final closeout. The closeout will begin once the grant is
forgiven. For rehabilitation projects, a grant is typically forgiven after 15 years. Federal Laws on Subrecipient Record Retention
The federal and state recordkeeping requirements also apply to subrecipients. The grantee will expect
to see adequate documentation of all program activities when monitoring the subrecipient’s program.
To ensure all program records are readily available and accessibly by the public, the subrecipient must
retain its records for extended periods, even though the activity may have been completed for some
time.
For all subrecipients, the provisions of 2 CFR 200.334 as modified by 24 CFR 570.502(a)(7)(ii) apply:
In general, the subrecipient must retain records on CDBG-funded activities for the longest of the
following:
1. Three years after the expiration or termination of the subrecipient agreement.
2. Three years after the grantee’s submission of the CAPER in which your specific activity is
reported for the last time (24 CFR 570.502(a)(7)(ii)(A)).
The subrecipient must retain records for individual activities subject to the reversion of assets provisions
at 24 CFR 570.503(b)(7) for as long as this provision continues to apply to the activity (24 CFR
570.502(a)(7)(2)(B)).
Reversion of assets. How and when your subrecipient must transfer remaining CDBG funds and accounts
receivable to you when the agreement ends and how to use or dispose of real property acquired or
improved with CDBG funds in excess of $25,000. (24 CFR 570.503(b)(7)). 570.502(a)(7), and 570.505
The subrecipient must retain records for individual activities for which there are outstanding loan
balances, other receivables, or contingent liabilities until such receivables or liabilities have been
satisfied (24 CFR 570.502(a)(7)(ii)(C)).
If any litigation, claim, audit, negotiation, or other action involving the subrecipient’s records has started
before the expiration of the 3-year period, the subrecipient must retain such records until all findings
involving them have been resolved and final action is taken (2 CFR 200.334(a)).
§ 200.334 Retention requirements for records.
Financial records, supporting documents, statistical records, and all other non-Federal entity records
pertinent to a Federal award must be retained for a period of three years from the date of submission of
the final expenditure report or, for Federal awards that are renewed quarterly or annually, from the
date of the submission of the quarterly or annual financial report, respectively, as reported to the
Federal awarding agency or pass-through entity in the case of a subrecipient. Federal awarding agencies
and pass-through entities must not impose any other record retention requirements upon non-Federal
entities. The only exceptions are the following:
(a) If any litigation, claim, or audit is started before the expiration of the 3-year period, the records must
be retained until all litigation, claims, or audit findings involving the records have been resolved and final
action taken.
(b) When the non-Federal entity is notified in writing by the Federal awarding agency, cognizant agency
for audit, oversight agency for audit, cognizant agency for indirect costs, or pass-through entity to
extend the retention period.
(c) Records for real property and equipment acquired with Federal funds must be retained for 3 years
after final disposition.
(d) When records are transferred to or maintained by the Federal awarding agency or pass-through
entity, the 3-year retention requirement is not applicable to the non-Federal entity.
(e) Records for program income transactions after the period of performance. In some cases recipients
must report program income after the period of performance. Where there is such a requirement, the
retention period for the records pertaining to the earning of the program income starts from the end of
the non-Federal entity's fiscal year in which the program income is earned.
(f) Indirect cost rate proposals and cost allocations plans. This paragraph applies to the following types
of documents and their supporting records: Indirect cost rate computations or proposals, cost allocation
plans, and any similar accounting computations of the rate at which a particular group of costs is
chargeable (such as computer usage chargeback rates or composite fringe benefit rates).
(1) If submitted for negotiation. If the proposal, plan, or other computation is required to be submitted
to the Federal Government (or to the pass-through entity) to form the basis for negotiation of the rate,
then the 3-year retention period for its supporting records starts from the date of such submission.
(2) If not submitted for negotiation. If the proposal, plan, or other computation is not required to be
submitted to the Federal Government (or to the pass-through entity) for negotiation purposes, then the
3-year retention period for the proposal, plan, or computation and its supporting records starts from the
end of the fiscal year (or other accounting period) covered by the proposal, plan, or other computation. Federal Recordkeeping Schedules
Record Series
Title
Retention Schedule Citation Description
CDBG funded
activities
Longer of the two:
Expiration or
termination of the
subrecipient
agreement, plus 3
years
OR
Grantee’s submission
of the CAPER in which
specific activity is
reported for the last
time
2 CFR 200.334,
24 CFR
570.502(a)(7)(ii)
In general, City must
retain records on
CDBG-funded
activities.
Financial records,
supporting
documents,
statistical
records, and all
other non-
Federal entity
records pertinent
to a Federal
award
From the date of
submission of the final
expenditure report
(CAPER) – plus 3 years
2 CFR 200.334
Individual
activities subject
to the reversion
of assets
provisions
For as long as this
provision continues to
apply to the activity
(24 CFR
570.502(a)(7)(2)(B))
24 CFR
570.503(b)(7),
570.502(a)(7), and
570.505
Reversion of assets -
how and when
subrecipient must
transfer remaining
CDBG funds and
accounts receivable
to the City when the
agreement ends and
how to use or
dispose of real
property acquired or
improved with
CDBG funds in
excess of $25,000.
Individual
activities with
outstanding loan
balances, other
receivables, or
contingent
liabilities
Until such receivables
or liabilities have been
satisfied
24 CFR
570.502(a)(7)(ii)(C)
Any litigation,
claim, audit,
negotiation, or
other action
involving your
records
If started before the
expiration of the 3-
year period, City
records must be
retained until all
findings involving
records have been
resolved and final
action is taken
2 CFR 200.334(a))
State Recordkeeping Schedule
Grants Awarded
By Municipality
Program
development and
policy records
including copies
of blank forms
Retain permanently Admin of programs
to grant funds or aid
to individuals,
institutions, the
community, or
agencies based on
predetermined
qualifications and
subsequent review.
Includes
documentation of
grant program
structure and
policies, applications
forms, interim and
final reports and
grant deliverables.
Also includes
accounting records
related to dispersal
of funds.
Final reports and
project
deliverables
Retain permanently
All other records,
including grant
accounts payable
records
Retain for a minimum
of six years, beginning
on the first day after
the final payment
under the grant
OR
Such longer period as
is necessary for the
resolution of any
litigation, claim,
negotiation, audit or
other inquiry
involving the grant.
Grants Received
by Municipality –
Development
and Proposal
Records
Summary
planning
documents and
proposals that
reflect the
direction of the
agency
Retain permanently Efforts to develop
and submit grant
proposals for outside
funding. Including
discussion notes,
lists of potential
topics, sample grant
proposals from
outside agencies,
copies of
rejected and
accepted grant
proposals and
related
correspondence.
Unfunded Grants Retain 3 years
All other records Retain until
administrative use
ceases. Permission
from Supervisor of
Public Records not
required for
destruction.
Grants received
by Municipality -
Grant
Administration
Records
Summary
documents and
final reports
Retain permanently
All other records
including
accounts
receivable
Retain for a minimum
of six years, beginning
on the first day after
the final payment
under the grant, or
such longer period as
is necessary for the
resolution of any
litigation, claim,
negotiation, audit or
other inquiry
involving the grant.
CDBG Loans When the loan has
been paid off or fully
24 CFR Includes borrower
files, project files,
amortized or forgiven,
plus 5
years.
570.502(a)(16);
24 CFR Part 85.42
(b) & (c); OMB Cir.
A- 102, 133
loan agreements and
documents, and
payment
information.
Appendix M
Computer/Internet/Network Use
City of Northampton
Human Resources Department
Computer/Internet/Network Use
Effective Date: 7/1/97 Updated: 5/4/06
Policy It is the policy of the City of Northampton that as a condition of providing a computer, internal and external e-mail, and Internet access to employees, certain procedures and restrictions will be
followed. The City reserves the right, for legitimate business purposes, to monitor, review and
retrieve any information stored on or transmitted with City equipment and, therefore, users should not have the expectation that their email communication or documents stored on City equipment will remain private. City computers, internal and external City e-mail accounts, and Internet access through the City are, in fact, City property and are considered tools to be used to reduce paper,
facilitate communications, and improve customer support. Generally, official City business is to be conducted utilizing these tools with certain restrictions regarding personal use. The restrictions on personal use are to ensure laws are not violated and do not cause consumption of large amounts of resources that interfere with legitimate business uses.
Scope This policy applies to all full-time, part-time, and intermittent City employees to include School Department and Smith Vocational School District employees, as well as grant-funded position employees. This policy also applies to contractors, consultants, temporaries, interns, members of City boards, commissions, elected officials of the City of Northampton, including those users
affiliated with third parties who access the City of Northampton computer networks. Note: Throughout this policy, the word "user" will be used to collectively refer to all such individuals indicated above. This policy also applies to all computer and data communication systems (telecommunication systems) used at, owned by, and/or administered by the City of
Northampton. Procedures A. Employee use of a City computer, internal and external e-mail accounts, Internet access through the City, and use of network and telecommunications systems provided by the City
of Northampton generally must be used only for business purposes with the following practices strictly prohibited: 1) Distribution or printing of copyrighted materials (including articles and software)
violating copyright laws.
2) Sending, receiving, printing or otherwise distributing proprietary data or other
confidential information of the City of Northampton violating City policy.
3) Offensive, improper, or harassing statements or language including disparagement of
others based on their race, marital status, national origin, sex, sexual orientation, age,
disability, religious or political beliefs (note: originators of-mail messages can be
identified.)
4) Sending, voluntarily receiving, or soliciting sexually oriented messages or images. To
include visiting sites with inappropriate content. Accessing pornographic sites or sites
that have pornographic content is strictly prohibited.
5) Operating a business or soliciting money for personal gain.
6) Sending chain letters, gambling, or engaging in any activity that violates the law.
B. Incidental personal use is permissible within the following restrictions: 1. Use does not consume more than a trivial amount of resources that could otherwise be
used for business purposes.
2. Use does not interfere with user productivity;
3. Use does not preempt any city-business activity.
4. Use is not for any purposes that will produce personal financial gains.
5. Use is not for the distribution or printing of copyrighted materials (including articles
and software) violating copyright laws.
6. Use is not for sending, receiving, printing or otherwise distributing proprietary data or
other confidential information of the City of Northampton violating City policy.
7. Use is not for sending, voluntarily receiving or soliciting offensive, improper, or
harassing statements or language including disparagement of others based on their race,
marital status, national origin, sex, sexual orientation, age, disability, religious or
political beliefs.
8. Use is not for visiting sites with inappropriate adult content or pornography.
9. Use is not for sending, voluntarily receiving or soliciting sexually oriented messages or
images.
10. Use is not used for sending chain letters, gambling, or engaging in any other activity
that violates the law.
Note: Permissible incidental use of a City computer would, for example, involve responding to an E-mail message about a luncheon. Activities that do not preempt any business activity would, for example, involve checking GIS maps for personal, noncommercial purposes after business hours.
Separately, examples of personal use include game playing and writing a resume after business
hours. Personal uses that are not allowed include, but are not limited to downloading music or movie files, listening to music, Internet radio broadcasts or watching videos over the network. C. The City of Northampton reserves the right to monitor and disclose employee e-mail
messages and computer use. Violations of this policy may result in suspension of
computer/Internet/network privileges and/or progressive discipline action up to, and including, discharge.
Appendix P
Subrecipient Monitoring Plan
Introduction
The purpose of the City of Northampton’s Subrecipient Monitoring Plan is to describe how the City
of Northampton (City) will monitor subrecipients that have entered into a subrecipient agreement
with the City to assist in the implementation of the Community Development Block Grant (CDBG).
This Subrecipient Monitoring Plan will be used for all CDBG funded programs and activities. The
plan is based on monitoring strategies recommended by the U.S. Department of Housing and Urban
Development (HUD) for its CDBG program and is described in the City’s Consolidated Plan.
The main objective of monitoring is to assist the Subrecipient in carrying out their program
responsibilities. The CDBG staff, currently composed of the Community Development Planner and the
Grants Administrator, will maintain an on-going dialogue with the subrecipient throughout the
monitoring process to keep the subrecipient informed as to how the monitoring is progressing, to engage
in discussions with the subrecipient regarding any areas of concern, to provide the Subrecipient an
opportunity to make adjustments to ensure that the requirements are being met, and to ensure that
quality services listed within the contract’s scope of work are being delivered.
Furthermore, the plan identifies the actions that will be taken, such as an assessment of the
subrecipient’s performance, pre-award risk-assessment, the type of monitoring review to be
conducted (e.g., desk or on-site), the programs and functions to be monitored, expected monitoring
dates, identifying deficiencies and designing corrective actions and follow up.
The basic steps for Northampton’s Monitoring Plan is:
1. Risk Based Assessment
2. Develop Monitoring Plan
3. Pre-Award Orientation Session, including:
a. Technical Assistance
b. Subrecipient feedback
c. Review of the Risk Based Assessment
d. Pre-Monitoring of New and High Risk Subrecipients
e. Discuss Monitoring Plan
4. Execution of Subrecipient Agreements
5. Notification of Monitoring Visit
6. Monitoring
7. Post-Monitoring Follow Up
Monitoring is an ongoing process, which involves continuous communication and evaluation to
assess the quality of the subrecipient’s performance over the program year. The primary objectives
are:
• Identify potential problem areas
• Assist the subrecipient in complying with applicable laws and regulations
• Assess if the subrecipient has a the capacity to carry out the approved project
• Determine if a subrecipient is carrying out its activities in a timely manner and in accordance
with the subrecipient agreement
• Assist subrecipients in resolving compliance problems through discussion, negotiation, and
the provision of technical assistance and training
• Provide adequate follow-up measures to ensure that performance and compliance
deficiencies are corrected by subrecipients
• Comply with the Federal monitoring requirements of Uniform Administrative Requirements,
Cost Principles and Audit Requirements for Federal Awards (24 CFR 570.501(b) and 2 CFR
200)
• Determine if any conflict of interests exist in the operation of the program (24 CFR 570.611)
• Ensure that the subrecipient is maintaining required records to demonstrate compliance
with applicable regulations Risk Based Assessment
The first step in the monitoring process begins before a subrecipient agreement is even signed. The
Community Development Planner will conduct a risk-based assessment for each subrecipient
activity (i.e. program). The results of a risk-based assessment will inform which activities are
monitored, how often, and what type of monitoring is conducted (e.g. desk or on-site). Higher risk
activities will be monitored more expeditiously and monitoring efforts will focus more on on-site
monitoring rather than desk monitoring. Frequencies of the future monitoring sessions will
ultimately be determined by the outcomes of the monitoring reviews.
The risk-based assessment is an important program tool used to identify program risks and specific
areas that may be high risk. In addition, using the risk-based assessment will aid in prioritizing
higher risk programs and determine the immediacy of providing technical assistance and monitoring.
The risk-based assessment will assist the Community Development Planner in prioritizing what
information will be requested from the subrecipient and reviewed prior to an on-site monitoring. The
risk-based assessment is a standard calculation using weighted measures across several dimensions.
Each CDBG project will get its own scoring. Monitoring Plan
Based on the risk-based assessment for all activities, the Community Development Planner will
develop a monitoring plan connecting the monitoring activities and strategies to the risk-based
assessment. New and higher risk projects will be prioritized for monitoring. The Community
Development Planner may choose to adjust monitoring frequency based on day to day management,
review of performance results, time since last monitoring review, risk-based assessment and other
criteria. Low-risk grantees may be monitored via desk monitoring rather than on-site with
documentation in the file.
Pre-Award Orientation Session
A pre-award orientation session with subrecipients will include overview of the CDBG procedures,
technical assistance and request from the subrecipients on feedback from the subrecipient on how
the City can better implement the CDBG program.
Also at the meeting review of the monitoring plan, the risk-based assessment of the subrecipients,
and a review of any documents requested. That part of the meeting is the pre-monitoring session.
Pre-Monitoring
Pre-monitoring shall be reserved for new and high-risk subrecipients. To prepare for the pre-
monitoring, the Community Development Planner will:
• Become thoroughly familiar with the program and subrecipient
• Develop a clear understanding of the governing statutes, regulations and
official guidance
• Review and analyze reports, available data, and financial information, from
previous monitoring reports and issues
• Determine the programs/areas/functions to be reviewed
• Determine the data or information to be submitted by the Subrecipient prior
to monitoring (if any)
• Notify the subrecipient at least a month in advance, requesting needed
information for the above items and the names of any subrecipient staff members
who will need to be consulted during the monitoring
Pre-Award Risk Based Assessment
The Risk-Based Assessment is an important program tool used to:
• Minimize negative impact to the programs
• Determine the timing and level of monitoring necessary
• Identify, evaluate, and estimate potential areas of concern
Factors Possible
Score Score
Total
Points
Contracted Dollars Weight = 8
$60,000 - Above 10 0
$45,000 - $59,999 8 0
$30,000 - $44,999 6 0
$15,000 - $29,000 4 0
$0 - $14,999 2 0
Program Oversight Weight = 8
Audit with moderate to serious findings 10 0
No Audit Although Required 10 0
Financial Audit and/or Compliance Audit Available 1 0
Audit with minor findings 1 0
Type Of Contract Weight = 6
Public Service 10 0
Economic Development 8 0
Neighborhood Revitalization 8 0
Acquisition/Construction 8 0
Public facilities, planning, & infrastructure 4 0
Number Of Clients Served Weight = 6
100+8 0
50-99 6 0
Less than 50, but greater than 10 4 0
Less than or equal to 10 2 0
Key Organizational Change Weight = 6
Executive Director & Financial Manager 10 0
Executive Director and/or Financial Manager 7 0
Program Director/Manager 4 0
None 2 0
Goals Weight = 6
Essential to accomplish City CDBG goals 10 0
Not-essential to accomplish City CDBG goals 2 0
Program Participants Weight = 6
CDBG Program schedule/delayed - Non-COVID 10 0
CDBG Program schedule/delayed - COVID 5 0
CDBG Program began on schedule 2 0
Performance Measurements Weight = 4
Subrecipient has history of not submitting reports timely 10 0
Subrecipient has history of submitting reports timely 4 0
Contract Experience History Weight = 5
New Provider 10 0
1 - 3 years 5 0
4 years +2 0
Last Monitoring Visit Weight = 6
New Provider 10 0
2 Years of More 7 0
Less than 2 Years 4 0
Corrective Action (Any Monitoring)Weight = 4
Current Major Findings: Affects services, clients, or
potential for payment error 10 0
Current Concerns: Findings that require provider’s action.5 0
New Program 0 0
No Findings 0 0 0
Documentation & Internal Controls Weight = 6
1 - 6 Documents or Internal Controls Produced 10 0
7 - 13 Documents or Internal Controls Produced 5 0
14 - 19 Documents or Internal Controls Produced 2 0
Initially, each criteria is scored using the above risk assessment matrix above, using predetermined
weighting and scoring thresholds. The combined scores determine the overall risk score. The Risk
Assessment is used to determine the initial risk score of the activity. Risk assessments should be
conducted after the Sub-recipient agreement is signed and updated as needed.
● Low Risk: 158-338
● Medium Risk: 339-519
● High Risk: 520 - 698
The recommended frequency and number of files to review is based on the below chart:
Risk Level Monitoring Frequency
High 1 time per 6 months
Med 1 time per 12 months
Low 1 time per 18 - 24 months
Execution of Subrecipient Agreement
The Subrecipient Agreement is the next step in ensuring CDBG program compliance and appraising
subrecipients of the monitoring process. The agreement consists of three components for
subrecipient program performance and compliance. They are reviewed with the subrecipient during
contract negotiations prior to signing the agreement. These three components are what will be
reviewed during the monitoring process.
The three components are:
● Program Operations
● Financial Management
● Administrative and Project Delivery
Monitoring
The monitoring phase includes a Desk Review or an On-Site Review. Desk Reviews are done
using documentation provided. The City understands that it is essential that each step of the
monitoring process be adequately documented. The CDBG staff will work to maintain
documents used during the review process to determine compliance or non-compliance as
required by the contract. Desk Review
Desk reviews are a key component of basic monitoring activities. The desk review involves the
City examining information and materials provided by the Subrecipient during a pre-defined
period to track performance, determine compliance, and identify potential problem areas.
The Desk Review Checklist is designed to assess and document compliance with the requirements
based on:
• File reviews to determine the accuracy of the information, using both automated
and manual data and reports submitted to the City by the Subrecipient
• Interviews with the City staff to clarify and determine the accuracy of the information,
assess level of satisfaction with the provision of services and document performance.
• The documents reviewed include:
Activity status reports
Quarterly project updates
Quarterly review of the project schedule
Financial information to assess performance and look for indicators of
performance or compliance problems
In addition, Subrecipients may submit progress reports that include the activity showing the
progress of completing contract deliverables, accomplishments, barriers, spending patterns
against planned operations and accomplishments. On-Site Review
The on-site reviews will involve monitoring the Subrecipient’s overall program administration
during a pre-defined period. It includes visiting the Subrecipient’s office and using results and the
information obtained during the desk-review to perform a more in-depth review to determine
compliance. Prior to the on-site review, the Community Development Planner will:
• Examine the Subrecipient Agreement
• Examine previous monitoring reviews, if available
• Examine desk review documents and any correspondence
• Be thoroughly familiar with the applicable federal, state, and program
requirements
Notification of Monitoring Visit
The City will communicate with the Subrecipient to establish the date and location for the
monitoring visit. Unless there are extenuating circumstances, this notification will be sent at
least four weeks prior to the monitoring.
The notification will include:
• Monitoring schedule
• Files to be reviewed
• Identification of the areas to be reviewed
• Subrecipient staff to be available during the monitoring
• Names and titles of the City staff conducting the monitoring
• Discuss the three phases of the monitoring visit: entrance conference, data collection, and exit
conference Entrance Conference
At the beginning of the monitoring visit, the subrecipient will be given instructions of the
purpose, scope, and schedule for the upcoming on-site monitoring visit. During the meeting, the
Community Development Planner will explain how the on-site visit will be conducted, provide
an opportunity to answer the Subrecipient’s questions, and address any concerns. Data Collection and Analysis
This phase of the on-site monitoring visit includes acquiring data for further analysis from the
Subrecipient which will provide documentation of their compliance with the Subrecipient
Agreement. In circumstances where the Community Development Planner may not obtain a copy
of the records, the On-Site Monitoring Checklist must indicate the documents reviewed.
Interviews with key personnel may also take place during the on-site visit. Exit Conference
At the end of the on-site monitoring review, the Community Development Planner will conduct an
exit conference with the appropriate staff to discuss preliminary observations. The subrecipient
will have an opportunity to correct any misconceptions or misunderstandings and to report on the
steps the organizations may already be taking to address areas of noncompliance. The exit
conference also serves to confirm the accuracy and completeness of the information used to form
the basis for the monitoring observations. If additional information is needed to complete the
review, the date for the Subrecipient to provide this information to the City is discussed.
The Community Development Planner is responsible for using the On-Site Monitoring Checklist
to prepare for the exit conference by clearly summarizing the conclusions, and to document the
issues discussed at the exit conference, the date and time of the meeting, and the names and titles
of the attendees. Any objections by the Subrecipient should be should be noted on the checklist Post-Monitoring Follow Up
After the monitoring visit, the Community Development Planner will provide the
Subrecipient with a formal written notification of the results of the monitoring visit. The letter
will outline any concerns, findings, recognize successes, and deadline for a written response
to any corrective actions.
HUD makes a distinction between findings and concerns:
Finding
Deficiency in program performance based on material noncompliance with a statutory,
regulatory, or program requirement for which sanctions or corrective actions can be posed.
More serious than a concern.
Concern
Deficiency in program performance not based on statutory, regulatory, or program
requirements, and sanctions or corrective actions are not posed.
A fundamental principle of the monitoring process is that the City makes findings when there
is evidence that a statute, regulation, or requirement has been violated but it retains discretion
in identifying appropriate corrective actions to resolve deficiencies. An equally fundamental
principle is that subrecipient has a process to respond and resolve findings.
Monitoring deficiencies that rise to the level of a finding require corrective action. A key piece
of effective monitoring is the ability to identify the root causes of any identified deficiencies, or
whether the problem is an isolated occurrence or systemic. Such knowledge leads to the
development of optimal corrective actions. In some cases, the City may need to determine
appropriate action if compliance is not possible (e.g. recouping funds, reducing or limiting
contract funding amount, technical assistance).
The corrective action responsibility rests both with the City and the Subrecipient being
monitored. The Community Development Planner must validate that there is sufficient
documented information and/or evidence to support a finding of noncompliance. The
Subrecipient being monitored has a responsibility to determine, or assist the Community
Development Planner in determining, the reason why a requirement was violated or provide
evidence of compliance.
If the Subrecipient fails to meet a target date and has not notified the Community
Development Planner as to the reasons prior to the date the Community Development Planner
will follow-up with a reminder. If the Subrecipient has not responded within 15 working days
after the date of the reminder, a letter will be sent to the Subrecipient requesting the status of
the corrective actions and warning the Subrecipient of the possible consequences of a failure
to comply. If the Subrecipient is unresponsive or uncooperative, the City will consider
carrying out progressive sanctions in accordance to the subrecipient agreement.
When the Subrecipient notifies the Community Development Planner that the corrective actions
have been implemented staff will review the submitted information. A letter will be sent to the
Subrecipient within 30 working days of receipt of its submission.
The correspondence will either inform the Subrecipient that a finding has been:
• Closed
• Acknowledge any interim actions that have been taken and reaffirm an existing date
• State that additional information/action is needed and establish a new target date to
resolve the deficiency
Appendix U
Assignment of Proceeds Procedure
1.Income Certification of Applicant
2.Initial Inspection - rehab need assessment
3. Estimate of work to be completed
4. Tier II Environmental Review Completed
a.Electronic or scanned copy sent to City for completion
5. Applicant and CAPV agree on rehab work plan
6.Sign the City-Owner Housing Rehabilitation Agreement and General Assignment of
Proceeds with the applicant
7.City-Owner Housing Rehabilitation Agreement
a. Can be electronic
b.Filled out by CAPV Staff
c.Will need:
i.Rehab description
ii.Assessor’s Map ID #
iii.Book and Page # from the Deed
d. Can use DocuSign or send to the City to use its DocuSign, will need owners email
address
e.Signed in following order
i.Owner
ii. Director of Planning & Sustainability
iii.Mayor
iv. Signed copy sent to CAPV and City
8.General Assignment of Proceeds
a.Once City-Owner Agreement is executed
b.Must be paper
c. Filled out by CAPV Staff
d. Must be printed on one-sided paper
e. Will need:
i. Loan (rehab) amount
ii. Book and Page # from the Deed
iii. Payback schedule filled within the document
iv. Notary public present for Owner Signature
f. File General Assignment of Proceeds with the Hampshire County Register of
Deeds in person
i. 60 Railroad Ave, Northampton, MA 01060
ii. $105
iii. Photocopy sent to Planning Office staff (email)
iv. Ensure the new Book and Page # are clearly visible
9. After Rehabilitation work is Complete, signed Detailed Assignment of Proceeds with
applicant
10. Discharge previously registered Assignment of Proceeds
11. Detailed Assignment of Proceeds
a. Filled out by CAPV Staff
b. Must be printed on one-sided paper
c. Will need:
i. Final Loan (rehab) amount
ii. First reference to the Book and Page # will come from the original Deed
iii. Second reference to the Book and Page # will from when the General
Assignment of Proceeds was filed at the registry of deeds
iv. Assignment Date
v. Payback schedule (adjusted for final loan amount)
vi. Notary public present for Owner Signature
d. File with the Hampshire County Register of Deeds in person
i. 60 Railroad Ave, Northampton, MA 01060
ii. $105
iii. Photocopy sent to Planning Office staff (email)
iv. Ensure the new Book and Page # are clearly visible
Appendix V
Residential Anti-Displacement
& Relocation Policy and Plan
1
Signed
D
Date:
2
*Residential Anti-Displacement and Relocation PlanThe legislation requiring the City of Northampton to develop, make public and adhere to this plan can be found in Section 104(d) of the Housing and Community Development Act of 197 4 as revised in 1989. This plan contains addresses: (1) the City's policies to avoid or minimize displacement of people from their homes and neighborhoods and (2) commits to the replacement of housing units available to people with low and moderate incomes that are demolished or converted to another use utilizing Community Development Block Grant funding and to address any relocation that is associated with the loss of those housing units. It describes displacement and relocation, as well as optional temporary relocation policies. Included in the Appendices are descriptions of: (1) Relocation Assistance Process Steps (2)General Relocation Requirements (3) Relocation Payment Information (4) RelocationAssistance for Tenants (5) Relocation and One for One Replacement Requirements (6)Optional Temporary Relocation Assistance Policy and (7) a glossary of common terms.Section One -Steps to be taken to minimize displacement of people from
their homes The following steps will be taken by the City to avoid or mitigate displacement and its adverse effects, when deemed necessary. A.Coordinate code enforcement with rehabilitation and housing assistance programs.B.For projects with sufficient scale, stage rehabilitation of apartment units to allowtenants to remain in the building during and after rehabilitation, working with empty units first, to the extent permissible by health and safety standards. C.Establish a Relocation Assistance Program utilizing Community Development BlockGrant Funds if available, to assist Project Sponsors with arranging for alternate housing placements for people who must be relocated temporarily during rehabilitation. Text taken from HUD' s "Anti-Displacement Plan, Replacement Housing and Relocation Assistance"
document. July 2016.
Appendix W
Small Business Grant Polices
SMALL BUSINESS GRANT PROGRAM
POLICIES & PROCEDURES
FOR CDBG-CV FUNDS
City of Northampton
Office of Planning and Sustainability
What is the purpose of the City of Northampton Small Business Grant (SBG) Program?
The COVID-19 pandemic has economically damaged small businesses everywhere including in Northampton, causing layoffs and closures. The City of Northampton has
received $266,402 in special Community Development Block Grants (CDBG) funds from
the US Department of Housing and Urban Development (HUD) under the “Coronavirus
Aid, Relief, and Economic Security Act’’ (CARES Act) for preventing, preparing for, and
responding to COVID-19.
The Northampton Office of Planning & Sustainability, has created the Small Business
Grant (SBG) Program to provide grants to Microenterprise Businesses to keep them
operating. A micro-enterprise is a business that employs five people or less, including
the owner. Businesses that employ more than five people will not be eligible for this program.
Eligibility Requirements
• Low Moderate Income Northampton Microenterprise
• For-profit business with five or fewer employees including the business owner
• Business has a Unique Entity Identify from SAM.gov
• Documentation showing loss of business do to COVID-19
• All purchases/payments will be reimbursed at one time, with the submittal of receipts of purchase/payments and an invoice billed to the City of Northampton
• Be current on any taxes with the City of Northampton
Must businesses be located in Northampton to be eligible for SBG Funds?
Yes. There must be a brick-and-mortar business location in Northampton.
How does an LMI Microenterprise qualify?
1. The microenterprise has a low-moderate income owner.
A microenterprise that is owned by a low-moderate income (LMI) owner may qualify for
a grant if the owner is LMI based on household size and income limits, using the “HUD
2022 Income Guidelines.” The owner will initially indicate the number of persons
(related or not) that reside in owner’s household and the combined annual gross
income in the household pursuant to the
table below, based on the most current Adjusted HOME Income Limits from HUD (2022
here). However, owner household income will have to be verified as per paragraph 2
below.
Number of persons in household
With gross annual income not to exceed: Number of persons in household
With gross annual income no to exceed:
1 $52,750 5 $81,350
2 $60,250 6 $87,350 3 $67,9800 7 $93,400 4 $75,300 8 $99,400
2. LMI owners must self-certify household income for all household members 18+ such as the
most recent tax returns, profit & loss reports detailing payments to owners, and similar
documents. The Office of Planning & Sustainability will rely on Annual Income as defined in
accordance with 24 CFR Part 5.609.
For Microenterprise Business owners who exceed the 80% LMI Limits
Business owners who exceed the 80% LMI threshold are still eligible for SBG Funds, however,
additional requirements are necessary for the receipt of funds. The business owner must
certify and track LMI job creation and/or retention National Objective. Under this objective, the
business must lead to the creation or retention of full-time-equivalent (FTE) permanent jobs, at
least 51% of which will be available to or held by LMI persons.
Businesses will be required to report job creation or retention of FTE jobs to the Office of Planning and Sustainability for three years from the date of the signed grant agreement.
Requirements for Job Creation or Retention Applicants
A main criterion of the CDBG-CV Small Business Grant program is that the businesses being assisted must be able to accurately document that certain jobs they will retain and create will be for persons in low- and moderate-income households.
Low/Moderate Income Jobs Description
There is a two-part test to determine if a job can be counted as a Low/Moderate Income Job
(LMI Job) for the purpose of this grant.
1. The job does not require any education requirements beyond high school or required
any specialized job training prior to employment.
2. The household income of the person retained or hired by the business is not above the
Department of Housing and Urban Development (HUD) household limits for their particular family size.
LMI Jobs are determined not by the pay rate of the particular job, but by the actual household
income of the person who has or obtains the job. For example, two people employed in the
same job title, and paid the same rate, but with different household incomes, can mean that
one position may count as an LMI Job and another position will not be considered an LMI Job if
the household income is above the HUD allowed limits.
Job Retainage/Job Creation
A retained job is a job position that was filled by someone as of March 1, 2020 and that person
is still employed (whether FT or PT) or if the person is furloughed or unemployed, that person
will be rehired. If you are unsure whether someone who is furloughed or unemployed will
accept re-employment, you can still count the job as being retained as long as you intend to offer them the same job position at similar hours.
A created job is a job position that did not exist as of March 1, 2020 or a job that will be filled by
a person not previously employed by the business.
Documenting LMI Jobs Retained/Created
For jobs that are being retained, employees will complete a self-certification indicating the
number of persons in the household and the income category that they fall into.
For jobs that are to be created, the business would have to have documentation that the job was filled by an LMI person (through the use of the following employee self-certification). If the
job was not filled by an LMI person, the business would have to document that it made the job
opening available to such LMI persons.
An employee can also be considered as filing an LMI Job if the address in which they live is located in a low-income census tract, regardless of their household income. City of Northampton Office of Planning & Sustainability will help a business owner determine how
many employees might qualify through this criterion.
Each business would have to document that at least 51% of jobs retained or created with
CDBG-CV assistance are for LMI jobs, so the City will want to ensure it’s providing funding to businesses that will easily be able to achieve this level.
Below is a sample of the self-certification form questions that retained or new employees
would complete to document their household income level along with demographic
information about race and ethnicity. An example of the certification form can be found in
Appendix A.
What can SBG funds be used for?
SBG funds awarded by the Office of Planning & Sustainability may be used to pay the
commercial rent/lease/mortgage, utilities, marketing, professional services, or supplies. The
applicant’s assisted business will be required to submit copies of paid checks and invoices for
reimbursement of award.
Businesses may generally apply for assistance only once but this policy may change depending
upon factors such as whether sufficient funds remain after initial allocations and whether the
City receives additional funds from HUD for COVID-19 related purposes.
SBG funds are to pay for reimbursement of expenses incurred prior to date of execution of the
agreement to be entered into between the City and SBG applicants. SBG funds may not be used
to pay arrearages or amounts past due for commercial lease/rent/mortgage or utilities, late
fees or penalties under any circumstances, or invoices paid prior to the date of the signed
agreement.
Do businesses have to pay back SBG funds to Northampton?
No. Such funds if used for eligible costs do NOT have to be repaid as they are grants.
What is the maximum grant allowed?
The maximum grant for a low-moderate income microenterprise is $5,000.
When can businesses apply for the SBG funds?
Applications will be available from February 23, 2022 9:00 AM through March 31, 2022, 11:59
PM. Only completed applications submitted with ALL required supporting documents will be
considered for funds; partial or incomplete submittals will not be reviewed for eligibility.
What types of businesses are ineligible for SBG funds?
Gun shops, pawn shops, cannabis businesses, franchises of national or regional chains, social
clubs, home-based businesses, and adult entertainment businesses.
What other factors must Office of Planning & Sustainability establish via application,
documentation or records?
1. That the business has experienced a measurable loss of revenue due to COVID-19 as
documented through weekly or monthly sales or income documentation.
2. That the business has less than $1,000,000 in gross annual receipts as through profit and loss
statement.
3. That the business can establish through acceptable documentation that it’s been in
operation as of September 24, 2019; at least six months prior to March 24, 2020 when
Governor Baker ordered all but essential businesses closed.
What are the requirements for the Invoices submitted with receipts of purchases/payments?
• Bill to the City of Northampton at: City of Northampton, Planning & Sustainability, 210 Main St., 2nd Floor, Northampton, MA 01060
• Invoice must include description of service or materials and price per service
or material. This does not need to be extensive in detail
• Total amount
• Remit address of where to send payment
• Corresponding backup documents, e.g. receipts from your vendor, cancelled checks,
etc. Copies and digital printouts are okay.
• Please send all documents electronically
• Do Not includes sensitive personal identifiable information such as social security
number
• Cover Letters are NOT required
What is meant by avoidance of “Duplication of Benefits”?
Under the federal Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford
Act), the City must ensure that it prevents the “duplication of benefits” when using CDBG-CV
funds, such as those used by the City under its SBG Program to assist small businesses impacted
by COVID-19.
Further HUD guidance is forthcoming and will be summarized here within a reasonable time
after receipt of such guidance by the City. Essentially, duplication of benefits occurs when a
person, household, business, or other entity receives assistance from multiple sources for the
same purpose and the total assistance received for that purpose is more than the total need.
Example: if a grantee receives Northampton SBG funds in the amount of $2,000 per month for
September, October, and November, and the business receives $2,000 in other funds for these
same months, this is a duplication of benefits.
Each applicant will have to sign an affidavit that it will not apply for or accept other federal,
state, local or private loans or grants or other assistance for the same purposes for which
Northampton SBG funds will be used or in excess of total costs for that same purpose.
The Duplication of Benefits Affidavit is attached in Appendix B.
How does a business obtain SBG funds?
1. An applicant must complete the required SBG funding application and submit ALL required
To complete the application online register for the application:
https://portal.neighborlysoftware.com/northamptonma/Participant
2. Select “Microenterprise Assistance Program”
3. Complete application and attach required documentation. Applicants will provide an
electronic signature within the application to submit.
4. The applicant will be required to sign, under penalty of perjury, an AFFIDAVIT stating the
applicant has not accepted/will not accept other federal, state, or local loans/grants for the
same purpose for which the business will receive SBG funds from the City. Other fund sources
include, but are not limited to, SBA Disaster Loans and the Paycheck Protection Program (PPP).
Applicants must also assert that there are no outstanding state or local tax liens or legal
judgements. Finally, the AFFIDAVIT requires that if the business does so accept such other
assistance the business will immediately notify the Office of Planning & Sustainability and may
be required to reimburse the City some or all SBG funds.
5. Once submitted, Office of Planning & Sustainability will review applications and required
supporting documents for completeness. Office of Planning & Sustainability staff will contact
you if to obtain any missing documents, which you must send as soon as possible as only
complete application packages will be reviewed for grant eligibility.
6. Microenterprise assistance will be limited to a cost reasonableness review.
7. Incomplete application packages (e.g., incomplete application form, failure to submit ALL
required supporting documents) WILL NOT be accepted by Office of Planning & Sustainability.
A business cannot reserve its place in the application queue by submitting a partial or
incomplete application.
8. The Office of Planning & Sustainability will review the completed application package and
based on it and any required underwriting analysis will either accept or deny the application and
will notify applicant by email. If an application is denied, the Office of Planning & Sustainability
will state the reason why.
9. The City will provide the applicant with an executed copy of the Agreement. The Office of
Planning & Sustainability will notify the applicant that invoices and other acceptable documents
asking for grant funds may be submitted.
What documents must an SBG applicant submit with the application?
Documents required to be submitted with a SBG Application include:
1. DBA License/Certificate from City of Northampton
2. Signed IRS Form W9
3. Unique Entity Identifier (UEI)
The Office of Planning & Sustainability reserves the right to ask for further information under
these Policies and Procedures in order to approve applications and/or process payments,
including but not limited to, paystubs, cancelled checks, receipts, or copies of bank statements.
City reserves right to amend Policies and Procedures
Commented [TB1]: This will end up being based on the size of business
The City cannot foresee all contingencies and therefore reserves the right to make exceptions
to these Policies and Procedures.
Contact Information Keith Benoit, Community Development Planner kbenoit@northamptonma.gov
413-587-1288
Appendix A
SAMPLE EMPLOYEE JOB CERTIFICATION
DATE:
EMPLOYEE:
JOB TITLE:
Please provide the information requested on this form so that we can verify to the City of
Northampton Office of Planning & Sustainability that your employment here is achieving the
goals of the COVID-19 Small Business Grant Assistance Program. The information will be
placed in your confidential personnel file and is available to only a limited number of
company officials. This information is also subject to verification by the Office of Planning &
Sustainability and representatives of the United States Department of Housing and Community Development. Thank you.
STEP 1: CIRCLE THE SIZE OF YOUR FAMILY AND FAMILY INCOME. COUNT
YOURSELF AND ALL FAMILY MEMBERS LIVING AT HOME.
CIRCLE FAMILY SIZE CIRCLE INCOME
Family Size Low Income 80% Very Low Income 50% Extremely Low Income
30%
1 47,850 29,900 17,950
2 54,650 34,200 20,500
3 61,500 38,450 23,050
4 68,300 42,700 26,200
5 73,800 46,150 30,680
6 79,250 49,550 35,160
7 81,700 52,950 39,640
8 90,200 56,400 44,120
4/1/2020
STEP 2: PLEASE CIRCLE ABOVE OR BELOW IN THE FOLLOWING QUESTION:
CURRENT EMPLOYMENT, WAS YOUR FAMILY'S TOTAL ANNUAL INCOME ABOVE OR BELOW THE AMOUNT FOR YOUR FAMILY SIZE AS STATED ABOVE
STEP 3: A. Please Indicate Your Racial Group
Ethnic Category Total Persons #Also Hispanic
White
Black/African American
Asian
American Indian/Alaskan Native
Native Hawaiian/Other Pacific Islander
American Indian/Alaskan Native and White
Asian and White
Black/African American and White
American Indian/Alaskan Native and Black/African American
Other Individuals Reporting more than One Race
B. Sex: Male Female C. Are You A Female Head Of Household? Yes No D. Are You A Person With A Disability? Yes No STEP 4: PLEASE COMPLETE.
NAME:
SIGNATURE: DATE:
Appendix B
City of Northampton
Duplication of Benefits Affidavit
Business Name:
UEI Number:
Part 1
This section identifies any sources of funds that the business has applied for or received as a result of the COVID-19 Global Health Crisis other than insurance. Sources of funds include but are not limited to: Federal, state and local
loan/grant programs, private or bank loans, nonprofit donations or loans. Please mark any of the boxes below which
apply to your business regarding any prior assistance.
I HAVE NOT applied for or received funding assistance from Federal, state, local programs or from other sources.
I HAVE received funding assistance from the following programs to assist in responding to the impact of the
Covid-19 Global Health Crisis:
1 Lender:
Assistance Program Name:
Amount Requested:
Amount Received:
Date Received:
How funds were used (ie. Salaries including coverage dates, supplies, professional services, etc.)
2 Lender:
Assistance Program Name:
Amount Requested:
Amount Received:
Date Received:
How funds were used (ie. Salaries including coverage dates, supplies, professional services, etc.)
3 Lender:
Assistance Program Name:
Amount Requested:
Amount Received:
Date Received:
How funds were used (ie. Salaries including coverage dates, supplies, professional services, etc.)
I HAVE APPLIED FOR funding assistance, and my application is PENDING from the following programs:
1 Lender:
Assistance Program Name:
Amount Requested:
Date Requested:
How funds will be used (ie. Salaries including coverage dates, supplies, professional services, etc.)
2 Lender:
Assistance Program Name:
Amount Requested:
Date Requested:
How funds were used (ie. Salaries including coverage dates, supplies, professional services, etc.)
3 Lender:
Assistance Program Name:
Amount Requested:
Date Received:
How funds will be used (ie. Salaries including coverage dates, supplies, professional services, etc.)
Part 2: CERTIFICATION
As a recipient of a CDBG-CV funds under the applicable Agreement, I assert that:
1. I will not apply for more funding than needed for the eligible activity or project for which CDBG-CV funds are
provided. For example, if I have $100 available from another source CDBG-CV funds are provided. Towards each monthly gas bill and I am applying for SBG funds to pay for my total monthly gas bill of $500, SBG funds will be limited to $400 per month for up to three months.
2. I understand that duplication of benefits (DOB) are prohibited under the federal Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act).
3. I will immediately report to the City of Northampton’s Office of Planning & Sustainability if I apply for or accept any
financial assistance from other funding sources (federal, state, local or private) that constitute a duplication of benefits received under the Microenterprise and Small Business Relief Grant Programs.
4. I acknowledge that any duplication of funds may either have to be paid back to the City or that the grant funds may be reduced by a corresponding amount.
5. I understand that this affidavit is appended to and part of the applicable Agreement that the Business Applicant executes with the City for CDBG-CV funds and is a condition of the receipt of such funds.
I certify that the information that I have provided above is an accurate and complete disclosure. I understand that to
perjure myself in order to obtain assistance is a fraudulent offense for which I can be prosecuted.
Date:
Business Applicant Signature:
Business Applicant Printed Name: