HomeMy WebLinkAboutCATHOLIC CHARITIES OF ORANGE COUNTY (3)INSURANCE NOT ON FILE A-2020-085-08
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CLERK OF COUNCIL
DATE:
AGREEMENT BETWEEN THE CITY OF SANTA ANA AND
CATHOLIC CHARITIES OF ORANGE COUNTY FOR USE OF
CCORONAVIRUS AID, RELIEF, AND ECONOMIC SECURITY ACT
T C A Ui(MCk,,�\ ce�--,, tea✓ \ (CARES ACT) FUNDS
This Agreement is hereby made and entered into this 1 st day of October 2020,
by and between the City of Santa Ana, a charter city and municipal corporation organized and
existing under the Constitution and laws of the State of California ("CITY'), and Catholic Chanties
of Orange County, a California nonprofit corporation ("SUBRECIPIENT" or "CONTRACTOR").
RECITALS:
A. On March 27, 2020, a special allocation of funds was authorized by the Coronavirus Aid,
Relief, and Economic Security Act ("CARES Act"), Public Law 116-136, Section 601(a) of
the Social Security Act, to prevent, prepare for, and respond to the coronavirus ("COVID-
IT) pandemic.
B. On August 4, 2020, the Santa Ana City Council authorized the City Manager to utilize
CARES Act funding for various programs in response to the COVID-19 pandemic, including
the Santa Ana CARES for Tenant Rental Assistance Program, which is aimed at assisting
residents within the City of Santa Ana that have been affected by COVID-19 and need
assistance in surviving and recovering through this pandemic.
C. SUBRECIPIENT has been selected by the CITY to receive CARES Act Funds in order to
administer the CITY's Santa Ana CARES for Tenant Rental Assistance Program, in
accordance with the Scope of Work attached hereto as Exhibit A and incorporated herein by
reference ("said program"). SUBRECIPIENT represents that it is qualified and willing to
operate said program and certifies that the administration of said program carried out with
funds provided under this Agreement will meet the CARES Act's objectives to respond to
this historic COVID-19 public health crisis.
D. SUBRECIPIENT agrees that it will adhere to the eligibility requirements, required
documentation, and project expectations as indicated in Exhibit A for said program. Failure
to follow the requirements and meet the stated expectations may constitute breach of contract
that could result in termination of this Agreement or serve as reason for the CITY to recapture
the grant fimds awarded to SUBRECIPIENT pursuant to this Agreement.
E. SUBRECIPIENT agrees to administer said program in accordance with the Scope of Work
attached hereto as Exhibit A and incorporated herein by reference.
WHEREFORE, it is agreed by and between the parties that the foregoing Recitals are a
substantive part of this Agreement and the following terms and conditions are approved and together
with all exhibits and attachments hereto, shall constitute the entire Agreement between the CITY and
SUBRECIPIENT:
I. CARES ACT PROGRAM PROVISIONS
A. Scope of Work. SUBRECIPIENT shall be responsible for the specific tasks and
services of said program, and agrees to administer said program in compliance with the size of the
grant, the eligibility requirements, the eligible expenses for said program, the disbursement of funds,
the required information/documents to qualify for grant award, and the project expectations as
described in the Scope of Work attached hereto as Exhibit A. SUBRECIPIENT's failure to perform
as required may, in addition to other remedies set forth in this Agreement, result in readjustment of
the amount of funds for said program or termination of this Agreement.
B. Term of Agreement. The term of said Agreement shall commence on the date first
written above and continue through December 30, 2020 ("Term"), unless terminated earlier
pursuant to the terms of this Agreement. SUBRECIPIENT shall administer said program during
said Term pursuant to the Scope of Work attached hereto as Exhibit A. This Agreement shall also
cover any and all services provided by the SUBRECIPIENT to the CITY since the date the CARES
Act Funds were awarded to the CITY. Additionally, the Term of this Agreement may be extended
by a writing executed by the City Manager, or her designee, and the City Attorney.
C. Amount of Grant Funding. The total amotmt of funds provided for said program
shall not exceed Nine Hundred Thousand Dollars ($900,000.00) ("CARES Act Funds") during the
Term of the Agreement. SUBRECIPIENT agrees to administer said program as outlined in Exhibit
A, and within the terms of this Agreement, and to use said CARES Act Funds to administer said
program pursuant to the regulations in Exhibit A attached hereto and incorporated herein by
reference.
(1) Funds For Santa Ana CARES for Tenant Rental Assistance Program
SUBRECIPIENT will be disbursed funds up to an amount not to exceed Eight Hundred and Ten
Thousand Dollars ($810,000.00) to be used solely for grants to eligible participants in said program
in accordance with Exhibit A.
(2) Administrative Funds. CITY shall make administrative fee payment(s) to
SUBRECIPIENT in the amount of ten percent (10%) of program funding for administering said
program, which equals a total amount not to exceed Ninety Thousand Dollars ($90,000.00), pursuant
to the terms detailed in Exhibit B. Final administrative fee payment will be based on ten percent
(10%) of the total grant funds issued.
D. Disbursement of Funds. Said CARES Act Funds shall be disbursed by CITY to
SUBRECIPIENT pursuant to the terms found in the Compensation/Payment attached hereto as
Exhibit B, with payments subject to the submittal of invoices and other reporting requirements,
as hereinafter more fully set forth. SUBRECIPIENT shall be obligated to perform such duties as
would normally extend beyond the term, including, but not limited to, obligations with respect to
indemnification, audits, reporting, data retention/reporting, and accounting. Failure to provide any
of the required documentation and reporting will cause CITY to withhold all or a portion of a
request for CARES Act Funds, or return the entire request to SUBRECIPIENT, until such
documentation and reporting has been received and approved by CITY.
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(1) Reduction in CARES Act Funding. The CITY reserves the right to reduce the
amount of CARES Act Funds to, SUBRECIPIENT, or to completely terminate this Agreement, in
the CITY's sole discretion? if there is a reduction in CARES Act Funds provided to the CITY.
(2) Reduced Distribution of Funds. The CITY reserves the right to reduce the
grant application if the CITY's fiscal monitoring indicates that SUBRECIPIENT's rate of
expenditure will result in unspent funds at the end of the program term. Amendments in the grant
allocation will be made after consultation with SUBRECIPIENT.
(3) Reversion of Assets. SUBRECIPIENT agrees that any and all funds received
under this Agreement shall be disbursed during the Term of this Agreement, and that any and all
funds remaining as of the end of the Term, which have not been disbursed, shall be retiumed by
SUBRECIPIENT to the CITY within thirty (30) days of the expiration or earlier termination of the
Agreement. No expense of SUBRECIPIENT will be reimbursed by CITY if incurred after the end
of the Term of the Agreement.
E. Grant Program Requirements.
(1) SUBRECIPIENT acknowledges that the source of funding for said program is the
federal CARES Act Fund, and that payments from the CARES Act Funds are only to be used to make
necessary expenditures incurred due to the public health emergency with respect to COVID-19.
(2) SUBRECIPIENT acknowledges that CARES Act Fund provisions allow the use
of CARES Act Funds for expenses associated with the provision of economic support in connection
with the COVID-19 public health emergency, such as expenditures related to the provision of grants
from local government to reimburse the costs of business interruption caused by required closures,
and will not use these funds for any other uses
(3) SUBRECIPIENT shall follow the process and determination of eligibility for
participants in said program as outlined in Exhibit A.
F. Performance Monitoring.
(1) SUBRECIPIENT shall submit program performance information as often as
requested by CITY, but no less than the submission of monthly reports and a final report to CITY
with the information requested by and in the format acceptable to CITY. Each monthly report is due
within thirty (30) days of completion of work for each month. The final report is due within thirty
(30) days after the termination or expiration of this Agreement.
(2) CITY will evaluate SUBRECIPIENT's management and operation of said
program on factors, including but not limited to grant volume, disbursed funds, management,
reporting and strategic results with respect to the project expectations as described in Exhibit A.
(3) CITY will review the audit of the SUBRECIPIENT to ensure that grant funds are
used for authorized purposes in compliance with laws, regulations, and the provisions of contracts or
grant agreements under this Agreement, including attachments and exhibits.
(4) If action to correct any substandard performance is not taken by the
SUBRECIPIENT within a reasonable period after being notified by CITY, suspension or termination
procedures may be initiated by CITY.
(5) All performance shall be subject to review by the CITY or other regulatory
agencies at all times. SUBRECIPIENT shall provide adequate cooperation to any inspector or other
CITY representative to permit the same to determine SUBRECIPIENT's conformity with the terms
of this Agreement. If any services performed by SUBRECIPIENT are not in conformance with the
terms of this Agreement, the CITY shall have the right to require SUBRECIPIENT to perform the
services in conformance with the terms of the Agreement at no additional cost. The CITY may also
terminate this Agreement for default and charge SUBRECIPIENT for any costs incurred by the CITY
because of SUBRECIPIENT's failure to perform.
(6) SUBRECIPIENT shall establish adequate procedures for self -monitoring and
quality control and assurance to ensure proper performance under this Agreement; and shall permit a
CITY representative or other regulatory official to monitor, assess, or evaluate SUBRECIPIENT's
performance under this Agreement at any time, upon reasonable notice to SUBRECIPIENT.
G. Audit.
(1) SUBRECIPIENT shall maintain complete and accurate records and supporting
documentation to facilitate financial and/or program audits by CITY. This requirement shall apply
to any records and documentation CITY shall reasonably require or as required to be maintained
pursuant to the CARES Act regulations.
(2) The books and accounts, files, and other records of SUBRECIPIENT, which are
applicable to this Agreement, shall be available for inspection, review, and audit during normal
business hours by CITY to determine the proper application and use of all CARES Act Funds
provided to or for the account or benefit of SUBRECIPIENT.
(3) SUBRECIPIENT assumes responsibility for reimbursement to CITY a sum of
money equivalent to the amount of any expenditures disallowed should the CITY, or an authorized
agency, rule through audit, exception, or some other appropriate means, that expenditures from funds
allocated to SUBRECIPIENT for direct and/or administrative costs were not made in compliance
with the applicable cost principles, regulations, or the provisions of this Agreement.
(4) SUBRECIPIENT agrees to comply with the requirements of OMB Uniform
Guidance 2 CFR Part 200. SUBRECIPIENT further agrees to provide CITY with a copy of
completed independent auditors' report within thirty (30) days of CITY's request for such report. If
the report contains instances of non-compliance with federal laws and regulations that bear directly
on the performance or administration of this Agreement, SUBRECIPIENT shall provide CITY copies
of responses to auditors' reports, a plan for corrective action, and auditors' response that the
noncompliance has been resolved. All reports prepared in accord with the requirements of OMB
Uniform Guidance 2 CFR Part 200 shall be available for inspection by representatives of CITY or the
federal government during normal business hours.
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(5) All accounting records, reports, and evidence pertaining to all costs, expenses
and the CARES Act Funds of SUBRECIPIENT and all documents related to this Agreement shall
be maintained and kept available at SUBRECIPIENT' S office or place of business for the duration
of the Agreement and thereafter for five (5) years from the date of final payment under this
Agreement. Records which relate to: (a) complaints, claims, administrative proceedings or
litigation arising out of the performance of this Agreement; or, (b) costs and expenses of this
Agreement to which CITY or any other governmental agency takes exception, shall be retained
beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims,
or exceptions. In the event SUBRECIPIENT does not make the above -referenced documents
available within the City of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and
reasonable expenses incurred by CITY in conducting any audit at the location where said records and
books of account are maintained.
H. Ownership/Use of Materials. SUBRECIPIENT agrees that all materials, reports or
products in any form, including electronic, created by SUBRECIPIENT for which
SUBRECIPIENT has been compensated pursuant to this Agreement shall be the sole property of
the CITY. The material, reports, or products may be used by the CITY for any purpose that the
CITY deems to be appropriate, including, but not limit to, duplication and/or distribution within
the CITY or to third parties. SUBRECIPIENT agrees not to release or circulate in whole or part
such materials, reports, or products without prior written authorization of the CITY.
I. Close -Out. SUBRECIPIENT agrees to comply with the closeout procedures
detailed in 2 CFR §200.343, including the following:
(1) SUBRECIPIENT must submit, no later than ninety (90) calendar days after the
end date of the period of performance, all financial, performance, and other reports as required by
the terms and conditions of this Agreement;
(2) SUBRECIPIENT must promptly refund any balances of unobligated cash that
the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for
use in other projects (See OMB Circular A-129 and 2 CFR §200.345); and,
(3) CITY should complete all closeout actions for the Federal award no later than
one year after receipt and acceptance of all required final reports.
II. SUBRECIPIENT'S OBLIGATIONS
A. Representations and Warranties.
(1) Authority. SUBRECIPIENT is a duly organized and existing nonprofit
corporation in good standing and authorized to do business under the laws of the State of
California. SUBRECIPIENT has full right, power and lawful authority to accept the funding
hereunder and to undertake all obligations as provided herein and the execution, performance and
delivery of this Agreement by SUBRECIPIENT has been fully authorized by all requisite actions
on the part of SUBRECIPIENT.
(2) Experience. SUBRECIPIENT is qualified to provide the administrator services
for said program detailed herein.
(3) Familiarity With Services Required. By executing this Agreement,
SUBRECIPIENT warrants that: (i) it has thoroughly investigated and considered the administrator
services to be performed and provided for said program as detailed in Exhibit A; (ii) it has
carefully considered how the services should be performed; and, (iii) it fully understands the
facilities, difficulties and restrictions attending performance of the services under this Agreement.
(4) No Conflict. To the best of SUBRECIPIENT'S knowledge,
SUBRECIPIENT'S execution, delivery and performance of its obligations under this Agreement
will not constitute a default or a breach under any contract, agreement or order to which
SUBRECIPIENT is a party or by which it is bound.
(5) No Bankruptcy. SUBRECIPIENT is not the subject of any current or
threatened bankruptcy proceeding.
(6) No Pending Legal Proceedings. SUBRECIPIENT is not the subject of a
current or threatened litigation that would or may materially affect SUBRECIPIENT'S
performance under this. Agreement.
(7) Proposal Veracity. All provisions of and information provided in
SUBRECIPIENT's management proposal submitted to CITY, including any exhibits, are true and
correct in all material respects.
(8) No Pending Investigation. SUBRECIPIENT has no knowledge that it is the
subject of any current or threatened criminal or civil action investigation by any public agency,
including without limitation a police agency or prosecuting authority, which would relate to or
affect performance of the Agreement or provision of services hereunder.
B. Licensing. SUBRECIPIENT agrees to obtain and maintain all required licenses,
registrations, accreditation and inspections from all agencies governing its operations.
SUBRECIPIENT shall ensure that its staff shall also obtain and maintain all required licenses,
registrations, accreditation and inspections from all agencies governing SUBRECIPIENT's
operations hereunder. Such licensing requirements include obtaining a City business license, as
applicable.
C. Zoning. SUBRECIPIENT agrees that any facility/property used in furtherance of said
program shall be specifically zoned and permitted for such use(s) and activities. Should
SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local,
state or federal rules and regulations relating thereto, SUBRECBPIENT shall immediately make good -
faith efforts to gain compliance with local, state or federal riles and regulations following written
notification of said violation(s) from the CITY or other authorized citing agency. SUBRECIPIENT
shall notify CITY immediately of any pending violations. Failure to notify CITY of pending
violations, or to remedy such known violation(s) shall result in termination of grant funding
hereunder. SUBRECIPIENT must make all corrections required to bring the facility/property into
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compliance with the law within sixty (60) days of notification of the violation(s); failure to gain
compliance within such time shall result in termination of grant funding hereunder.
D. Separation of Accounts. All funds received by SUBRECIPIENT from CITY pursuant
to this Agreement shall be maintained in an account in a federally insured banking or savings and
loan institution with record keeping of such accounts maintained pursuant to applicable 2 CFR
200.302 requirements. SUBRECIPIENT is not required to maintain separate depository accounts for
CARES Act Funds; provided however, the SUBRECIPIENT must be able to account for receipt,
obligation, distribution and expenditure of CARES Act Funds pursuant to applicable 2 CFR 200.302
requirements.
E. Audit Report Requirements. SUBRECIPIENT agrees that if SUBRECIPIENT
expends Seven Hundred Fifty Thousand Dollars ($750,000) or more in federal funds,
SUBRECIPIENT shall have an annual audit conducted by a certified public accountant in accordance
with the standards as set forth and published by the United States Office of Management and Budget.
SUBRECIPIENT shall provide CITY with a copy of said audit by April 1 of the year following the
program year in which this Agreement is executed.
F. _Compliance with Law/Program Income. SUBRECIPIENT acknowledges that the
funds being provided by CITY for said program are received by CITY pursuant to the CARES Act,
as amended, and that distribution and expenditure of these CARES Act Funds shall be in accordance
with the CARES Act and all pertinent regulations issued by agencies of the federal government,
including, but not limited to, all regulations found at Title 24 of the Code of Federal Regulations. Any
program income received by SUBRECIPIENT shall be returned to CITY, unless otherwise provided
for in this Agreement. SUBRECIPIENT agrees to comply fully with all federal, state and local laws
and court orders applicable to its operation and administration of said program, whether or not referred
to in this Agreement.
O. Debarment. To protect the public interest and ensure the integrity of Federal
programs, CITY may only conduct business with responsible persons and may not make any award
or permit any award to any party which is debarred or suspended or is otherwise excluded from or
ineligible for participation in Federal assistance programs under Executive Order 12549,
"Debarment and Suspension". See also 24 CFR 570.609. SUBRECIPIENT must review and sign
Exhibit D "Debarment', which is attached hereto and incorporated herein by this reference.
SUBRECIPIENT shall be in good standing, without suspension by the California Secretary of State,
Franchise Tax Board or hrternal Revenue Service. Any change in the corporate status or suspension
of SUBRECIPIENT shall be reported immediately to CITY.
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H. Confidentiality, Without prejudice to any other provisions of this Agreement,
SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided
to it concerning participants in accordance with the requirements of federal and state law. However,
SUBRECIPIENT shall submit to CITY or its representatives, all records requested, including audit,
examinations, monitoring and verifications of reports submitted by SUBRECIPIENT, costs incurred
and services rendered hereunder.
I. Independent Contractor. SUBRECIPIENT agrees that the performance of obligations
hereunder is rendered in its capacity as an independent contractor and that it is in no way an agent of
CITY.
J. Violation of Terms and Conditions. SUBRECIPIENT agrees that if SUBRECIPIENT
violates any of the terms and conditions of this Agreement or any prior Agreement whereby CARES
Act Funds were received by SUBRECIPIENT, or if SUBRECIPIENT reports inaccurately, or if on
audit there is a disallowance of certain expenditures, SUBRECIPIENT agrees to remedy the acts or
omissions causing the disallowance and repay CITY all amounts spent in violation thereof. If
SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify distribution or expenditure
of the CARES Act Funds granted hereunder, SUBRECIPIENT shall be required to reimburse the
CITY of all such funds that were obtained, distributed and/or spent under fraudulent circumstances.
K. Fraud. SUBRECIPIENT shall immediately report all suspected or known instances
and facts concerning possible fraud, abuse or criminal activity related to said program for the CARES
Act Funds under this Agreement.
L. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use
CARES Act Funds provided through this Agreement to pay for entertainment, meals or gifts, or other
prohibited uses.
M. Lobbvine. SUBRECIPIENT certifies that it will comply with federal law (31 U.S.C.
1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds may be
expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person
for influencing or attempting to influence an officer or employee of any agency, Member of Congress,
or an officer or employee of a Member of Congress in connection with awarding of any federal
contract, the making of any federal grant or loan, entering into any cooperative agreement and the
extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative
agreement. SUBRECIPIENT shall sign a certification to that effect in a form as set forth in Exhibit
E, attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said
signed certification to CITY prior to performing any of its obligations under this Agreement and prior
to any obligation arising on the part of CITY to pay any sums to SUBRECIPIENT under the terms
and conditions of this Agreement.
If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any agency, a Member
of Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit a "Disclosure Form to Report Lobbying," in accordance with its instructions
(Exhibit E).
N. Financial Interest. SUBRECIPIENT agrees that except for the use of administrative
fees to pay salaries and other related administrative or personnel costs, no persons who exercise or
have exercised any function with respect to administering said program under the terms of this
Agreement, or who are in a position to participate in a decision -making process or gain inside
information with regard to the administration of said program, may obtain a financial interest or
benefit from said program, either for themselves or those with whom they have family or business
ties, during their tenure or for one year thereafter. This prohibition applies to any person who is
an employee, agent, consultant, officer, or elected or appointed official of CITY, or of any
designated public agency, or the SUBRECIPIENT.
O. Labor Standards. The SUBRECIPIENT agrees to comply with the requirements of
the Secretary of Labor in accordance with the Davis -Bacon Act as amended, the provisions of
Contract Work Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and all other applicable
Federal, state and local laws and regulations pertaining to labor standards insofar as those acts
apply to the performance of this Agreement. The SUBRECIPIENT agrees to comply with the
Copeland Anti -Kick Back Act (18 U.S.C. 874 et seq.) and its implementing regulations of the U.S.
Department of Labor at 29 CFR Part 5. The SUBRECIPIENT shall maintain documentation that
demonstrates compliance with hour and wage requirements of this part. Such documentation shall
be made available to the CITY for review upon request.
P. Equal Employment Opportunities. SUBRECIPIENT shall make every effort to
ensure that all projects funded wholly or in part by CARES Act Funds shall provide equal
employment opportunities for minorities and women.
Q. Women and Minority -Owned Businesses (WIMBE)_ SUBRECIPIENT will use its
best efforts to afford small businesses, minority business enterprises, and women's business
enterprises the maximum practicable opportunity to participate in the performance of this
Agreement in accordance with the requirements of 2 CFR 200.321 "Contracting with small and
minority businesses, women's business enterprises, and labor surplus area firms". As used in this
Agreement, the term "small business" means a business that meets the criteria set forth in section
3(a) of the Small Business Act, as amended (15 U.S.C. 632), and "minority and women's business
enterprise" means a business at least fifty-one percent (51%) owned and controlled by minority
group members or women. For the purpose of this definition, "minority group members" are
African -Americans, Spanish-speaking, Spanish surnamed or Spanish -heritage Americans, Asian -
Americans, and American Indians. SUBRECIPIENT may rely on written representations by
businesses regarding their status as minority and female business enterprises in lieu of an
independent investigation.
R. Drug Free Workplace. SUBRECIPIENT agrees to provide a drug -free workplace and
to execute a certification as set forth in Exhibit F attached hereto and incorporated herein by this
reference.
S. Uniform Administrative Requirements Cost Principles and Audit Requirements
for Federal Awards. The following requirements and standards must be complied with: 2 CFR
Part 200 et al. SUBRECIPIENT shall procure all materials, property, or services in accordance
with the requirements of 2 CFR 200,318-326,
III. CITY'S OBLIGATIONS
A. Audit of Account. CITY shall include an audit of the account maintained by
SUBRECIPIENT in CITY's audit of all CARES Act Funds in accordance with Title 24 of the Code
of Federal Regulations and other applicable federal laws and regulations:
B. Common Rule: Pursuant to 2 CFR 200,328(a), the CITY manages the day-to-day
operations of each grant and subgrant supported activities. CITY staff has detailed knowledge of the
grant program requirements and monitors grant and subgrant supported activities to assure
compliance with federal requirements. Such monitoring covers each program, function and activity
and performance goals are reviewed periodically.
C. Project Expectations: CITY shall monitor the performance of SUBRECIPIENT
against goals and performance standards required herein. The SUBRECIPIENT shall be
responsible to accomplish the project expectations as set forth in Exhibit A, and report such results
to the CITY. If the SUBRECIPIENT estimates such goals will not be met, the SUBRECIPIENT
is to contact the CITY, at which time the CITY will determine if any adjustments to the grant
award is appropriate. Substandard performance as determined by the CITY will constitute non-
compliance with this Agreement. Should the CITY determine that the SUBRECIPIENT has not
performed its obligations as stated in this contract in a satisfactory manner, or if the CITY
determines that insufficient supporting information has been submitted, the CITY shall notify the
SUBRECIPIENT in writing of its determination specifying in fall detail the objections that it has
to the SUBRECIPIENT's performance. If action to correct such substandard performance is not
taken by the SUBRECIPIENT after being notified by the CITY, within a reasonable period of time
as stipulated in the written notification, contract suspension or termination procedures will be
initiated.
IV. GENERAL PROVISIONS
A. Non -Discrimination,
1. SUBRECIPIENT agrees to comply with Executive Order 11246, which requires
that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against
any employee or applicant for employment because of race, religion, sex, color or national origin.
Such action shall include, but not be limited to the following: employment, upgrading, demotion, or
transfer, rates of pay or other forms of compensation, and selection for training, including
apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and
applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the
provisions of this nondiscrimination clause.
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2. SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964,
which indicates that no person shall, on the ground of race, color or national origin, be excluded from
participation in, be denied the benefits of, or be subject to discrimination under any program of activity
receiving federal financial assistance.
3. No person shall, on the grounds of race, sex, creed, color, religion, marital status,
national origin, age, sexual orientation, or physical or mental handicap be excluded from participation
in, be refused the benefits of, or otherwise be subject to discrimination in any activities, programs or
employment supported by this Agreement. SUBRECIPIENT is prohibited from discrimination on
the basis of age or with respect to an otherwise qualified handicapped person as provided for under
Section 109 of the Housing and Community Development Act of 1974, as amended.
4. SUBRECIPIENT agrees to comply with the Age Discrimination Act of 1975,
which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to
discriminate against any employee or applicant for employment because of age. Such action shall
include, but not be limited to the following: employment upgrading, demotion, or transfer, rates of
pay or other forms of compensation, and selection for training, including apprenticeship.
SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for
employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this age
discrimination clause.
5. SUBRECIPIENT agrees to comply with Section 504 of the Rehabilitation Act of
1973, which requires that no otherwise qualified individual with a disability in the United States, shall,
solely by reason of his or her disability, be excluded from the participation in, be denied the benefits
of, or be subjected to discrimination under any program or activity receiving federal financial
assistance or under any program or activity conducted by any executive agency or by the United
States Postal Service.
B. Conflict of Interest. Pursuant to the conflict of interest requirements set forth in 24
CFR 570.611 and 2 CFR 200.112, SUBRECIPIENT certifies that no member, officer, employee,
agent or assignee of CITY having direct or indirect control of any CARES Act Funds granted to the
CITY, inclusive of the subject CARES Act Funds, shall serve as an officer of SUBRECIPIENT.
Further, any conflict or potential conflict of interest of any officer of SUBRECIPIENT shall be fully
disclosed in writing prior to the execution of this Agreement and said writing shall be attached and
deemed fully incorporated as a part hereof. Notice shall be sent by SUBRECIPIENT to CITY
regarding any changes or modifications to its board of directors and list of officers.
C. Snecial Certification for Religious Entities. If SUBRECIPIENT is a religious entity,
SUBRECIPIENT hereby . agrees that in connection with the provision of the services
SUBRECIPIENT shall provide with CARES Act Funds, in accordance with 24 CFR 570.2000):
1. SUBRECIPIENT shall not discriminate against any employee or applicant for
employment on the basis of religion and shall not limit employment or give preference in employment
to persons on the basis of religion.
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2. SUBRECIPIENT shall not discriminate against any person applying for the
services SUBRECIPIENT agrees to provide under the terms ofthis Agreement on the basis ofreligion
and shall not limit such services or give preference to applicants for such services on the basis of
religion.
3. SUBRECIPIENT shall NOT provide religious instruction or counseling, conduct
any religious worship or services, or engage in any religious proselytizing, or exert any religious
influence in the provision of the services in said program. The parties agree that this covenant is
intended to and shall be construed for the limited purpose of assuring compliance with respect to the
use of CITY funds by SUBRECIPIENT with applicable constitutional limitations respecting the
establishment of religion as set forth in the establishment clause under the First Amendment of the
United States Constitution and Article I, Section 4 of the California Constitution, and is not in any
manner intended to restrict other activities of SUBRECIPIENT.
4. Where the services to be provided under said program are rendered on property
owned by the primarily religious entity SUBRECIPIENT, CARES Act Funds may also be used for
minor repairs to such property, which are directly related to the cost of rendering the services under
said program, where the cost constitutes in dollar terms only an incidental portion of the CARES Act
expenditure for rendering the services under said program.
D. Prohibition of Nepotism. SUBRECIPIENT agrees not to hire or permit the hiring of
any person to fill a position funded through this Agreement if a member of that person's immediate
family is employed in an administrative capacity by SUBRECIPIENT. For the purposes of this
section, the term "immediate family" means spouse, child, mother, father, brother, sister, brother-in-
law, sister-in-law, father-in-law, mother-in-law, son-in-law, daughter-in-law, aunt, uncle, niece,
nephew, stepparent and stepchild. The term "administrative capacity" means having selection, hiring,
supervisor or management responsibilities.
E. Notices. Notices to the parties shall, unless otherwise requested in writing, be sent by
U.S. Mail, postage prepaid, and addressed as follows:
TO CITY: City of Santa Ana
Steven Mendoza
Executive Director
Community Development Agency
20 Civic Center Plaza
P.O. Box 1988
Santa Ana, California 92702-1988
TO SUBRECIPIENT: Catholic Charities of Orange County
1820 E. 16s' Street
Santa Ana, CA 92701
Tel: (714) 347-9673
F. Assignability. None of the duties of, or work to be performed by, SUBRECIPIENT
under this Agreement shall be subcontracted or assigned to any agency, consultant, or person
without the prior written consent of CITY. SUBRECIPIENT must submit all subcontracts and
12
other agreements that relate to this Agreement to CITY. No subcontract or assignment she
terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement.
G. Indemnification/Hold Harmless. SUBRECIPIENT shall indemnify, defend and save
harmless CITY, its officers, employees, agents, representatives and volunteers from and against any
and all damages to or for loss of use of property and for injuries to or death of any person or persons,
including property and employees or agents of CITY, and shall defend, indemnify and save harmless
CITY, its officers, employees, agents, representatives and volunteers from and against any and all
claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of
limitation, workers compensation claims and including attorney fees and reasonable expenses for
litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or
omissions of SUBRECIPIENT, its officers, directors, employees, agents, subcontractors and
suppliers arising out of SUBRECIPIENT's performance of this Agreement.
H. Insurance.
1. Commercial General Liability. SUBRECIPIENT agrees to obtain and keep
in force during the term of this Agreement a policy of comprehensive commercial public liability
insurance insuring the CITY, and SUBRECIPIENT against any liability for accident, injury or
death arising out of or in consequence of this Agreement. Such insurance shall be in an amount
not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or
persons in any single accident or occurrence. Said policy of comprehensive liability insurance
shall be endorsed to provide to CITY at least thirty (30) days written notice prior to cancellation;
name CITY, its officers, agents, employees, and volunteers, additional insured; and state that such
coverage is primary to any other coverage or self-insurance and CITY. Governmental entities may
provide proof of self-insurance.
(a) Such insurance shall: (1) name the City of Santa Ana, its officers, agents,
representatives, employees and volunteers as additional insured's; (2) be primary with respect to
insurance or self-insurance programs maintained by the CITY; (3) contain standard separation of
insured's provisions; and (4) give to CITY prompt and timely notice of claim made or suit
instituted arising out of SUBRECIPIENT's operations hereunder.
(b) SUBRECIPIENT shall: (1) prior to exercising any right under this
Agreement, furnish properly executed certificates of insurance and additional insured endorsement
to the CITY which shall clearly evidence all coverages required above; (2) provide that such
insurance shall not be materially changed or terminated except on 30 days prior written notice to
the CITY; (3) maintain such insurance for the period covered by this Agreement; and (4) replace
such certificates for policies expiring prior to the expiration of this Agreement.
(i) Certificates shall list the City as a Certificate Holder as
follows:
13
City of Santa Ana
Risk Management Division
20 Civic Center Plaza, 4th Floor
Santa Ana, CA 92701
2. Automobile Liability Coverage. SUBRECIPIENT shall also obtain and
maintain, during the effective period of this Agreement, broad form automobile liability coverage
with a $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -
owned automobiles used by SUBRECIPIENT employees or participants in performance of this
Agreement, or, in the event that SUBRECIPIENT will not utilize such owned/leased automobiles
but intends to require employees, participants or other agents to utilize their own automobiles in
the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all
such employees, participants, or agents as self -certification of automobile insurance coverage.
Governmental entities may provide proof of self-insurance.
3. Workers' Compensation. If SUBRECIPIENT is an "employer", as set forth
in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth
in California Labor Code Section 3350 et seq., SUBRECIPIENT shall obtain and keep in force
during the term of this Agreement full Workers' Compensation insurance coverage for injuries
suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days
written notice of cancellation or modification.
4. Proof of Insurance. Certificates and endorsements must be submitted and
approved by CITY prior to any work under this Agreement. SUBRECIPIENT understands that
CITY will make no payments under this Agreement until the required certificates and
endorsements have been approved by CITY.
I. Termination.
1. This Agreement maybe terminated on thirty (30) days' written notice by either
party. In the event of such termination, SUBRECIPIENT shall only be entitled to reimbursement for
approved expenses incurred to the effective date of termination.
2. This Agreement may be suspended or terminated by CITY upon five (5) days'
written notice for violation by SUBRECIPIENT of Federal Laws governing the use of CARES Act
Funds. In the event of such suspension or termination, SUBRECIPIENT shall only be entitled to
reimbursement for approved expenses incurred up to the effective date of suspension or termination.
3. Pursuant to 2 CFR 200.340, in the event SUBRECIPIENT defaults by failing to
fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this
Agreement by written notice to SUBRECIPIENT, which default and termination shall be effective
on a date stated in the notice which is to be not less than ten (10) days after certified mailing or
personal service of such notice, unless such default is cured before the effective date of termination
stated in such notice. If terminated for cause, CITY shall be relieved of further liability or
responsibility under this Agreement, or as a result of the termination thereof, including the payment
of money, except for payment for approved expenses incurred for services satisfactorily and timely
14
performed prior to the mailing or service of the notice of termination, and except for reimbursement
of: (1) any payments made for services not subsequently performed in a timely and satisfactory
manner; and, (2) costs incurred by CITY in obtaining substitute performance.
4. The grant of funds under this Agreement may be terminated for convenience by
either the CITY or SUBRECIPIENT, in whole or in part, by setting forth the reasons for such
termination, the effective date, and, in the case of portion termination, their portion to be terminated.
However, if in the case of a partial termination, the CITY determines that the remaining portion of
the award will not accomplish the purpose for which the award was made, the CITY may terminate
the award in its entirety.
5. The grant of funds under this Agreement may be terminated due to the non-
performance of SUBRECIPIENT and/or failure of SUBRECIPENT to perform the work described
in Exhibit A or failure to meet the project expectations set forth in Exhibit A.
6. The grant of funds under this Agreement may be terminated due to the failure of
the CITY to receive sufficient or anticipated funding for the CARES Act program for any term subj ect
to this Agreement.
7. In the event this Agreement is terminated as set forth in subparagraphs I(I)
through I(6), inclusive, SUBRECIPIENT agrees to immediately return to CITY upon CITY's demand
and prior to any adjudication of SUBRECIPIENT's rights, any and all funds not used, and to comply
with the Reversion of Assets requirements in this Agreement.
J. Limitation of Funds. The United States of America may in the future place
programmatic or fiscal limitations on the use of CARES Act fiords, which limitations are not presently
anticipated. Accordingly, CITY reserves the right to revise this Agreement in order to take account
of actions affecting CARES Act program funding. In the event of funding reduction, CITY may, in
its sole and absolute discretion, reduce the budget of this Agreement, may limit the rate of
SUBRECIPIENT's authority to disburse funds, or may restrict SUBRECIPIENT's use of
uncommitted funds. Where CITY has been directed to implement a reduction in funding, with respect
to funding for this Agreement, CITY's City Manager or delegate is authorized to act for CITY in
implementing and effecting such a reduction and in revising, modifying, or amending the Agreement
for such purposes. If such a reduction in funding occurs, SUBRECIPIENT shall be pernutted to de -
scope accordingly. Where CITY has reasonable grounds to question SUBRECIPIENT's fiscal
accountability or compliance with this Agreement, CITY may suspend the operation of this
Agreement for up to sixty (60) days upon five (5) days written notice to SUBRECIPIENT of its
intention to so act, pending an audit or other resolution of such questions. In no event, however, shall
any revisions made by CITY affect expenditures and legally binding commitments made by
SUBRECIPIENT before it received notice of such revision, provided that such amounts have been
committed in good faith and are otherwise allowable and that such commitments are consistent with
CARES Act Funds withdrawal guidelines.
K. Exclusivity and Amendment of A eement. This Agreement supersedes any and all
other agreements, either oral or in writing, between the parties hereto with respect to the use of CITY's
CARES Act funds by SUBRECIPIENT and contains all the covenants and agreements between the
15
parties with respect to SUBRECIPIIENT's administration of said program. Each party to this
Agreement acknowledges that no representations, inducements, promises or agreements, orally or
otherwise, have been made by any party, or anyone acting on behalf of any party, which are not
embodied herein, and that no other agreement or amendment hereto shall be effective unless executed
in writing and signed by both CITY and SUBRECIPIENT.
L. Laws Governing this Agreement. This Agreement shall be governed by and construed
in accordance with the laws of the State of California, and all applicable federal laws and regulations.
M. Validity and Severabilitv. The invalidity in whole or in part of any provision of this
Agreement shall not void or affect the validity of any other provision of this Agreement. Whenever
possible, each provision of this AGREEMENT shall be interpreted in such manner as to be
effective and valid under applicable law,.but if any provision of this AGREEMENT is held to be
prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent.
of such prohibition or invalidity, without invalidating the remainder of such provisions of this
AGREEMENT,
N. Waiver. No delay or omission by either party hereto to exercise any right or power
accruing upon any noncompliance or default by the other party with respect to any of the terms of
this Agreement shall impair any such right or power or be construed to be a waiver thereof. A
waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be
performed by the other shall not be construed to be a waiver of any succeeding breach thereof or
of any other covenant, condition or agreement herein contained.
O. Federal Award Identification Information. SUBRECIPIENT's pertinent Federal
Award Identification Information, including DUNS Number and Federal Award Identification
Number (FAIN), as well as the applicable information for the CARES Act Coronavinis Relief
Programs, are included in Exhibit C attached hereto and incorporated herein by this reference.
P. Miscellaneous Provisions.
1. Each undersigned represents and warrants that its signature herein below has the
power, authority and right to bind their respective parties to each of the terms of this Agreement, and
shall indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or
damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is
withdrawn.
2. All Exhibits and Attachments referenced herein and attached hereto shall be
incorporated as if fully set forth in the body of this Agreement.
3. This Agreement must be signed below and may be signed in counterpart and
delivered by fax, email as a PDF (Portable Document Format) file attachment, or by other means that
displays the original or a copy of the signatures. Any subsequent amendments may be signed and
delivered in the same manner.
Ice
IN WITNESS WIIEREOF, the parties hereto have executed this Agreement as of the last date and
year written below.
ATTEST:
5 DAISY GOMEZ
Clerk of the Council
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorney
By: RY O ODGE
Assistant ity ttorney
FOR APPROVAL:
STEVEN MENDOZA
Executive Director
Community Development Agency
17
CITY OF SANTA ANA
s�
NIPPON
I.. -
SUBRECIPIENT:
Name: Ellen Roy
Catholic Charities of Orange County
Tax ID#:95-3031389
D-JNS#:0278440086
EXHIBIT A
SCOPE OF WORK
City of Santa Ana CARES ACT Scope of Work
Name ofOrgan izalon - Catholic Charities of Orange County
Name of Funded Program _ Santa Ana CARES for Tenants Program
Annual Accomplishment Goal
Schedule of Performance
(estimated)
Month 1: OCT 1. OCT 31
Month 2: NOV 1 - NOV 30
Month 3: DEC 1- DEC30
to be seivad
Unduplicated
Participants
the scheduled
Estimated
Invoicing
$
270,000.00
$
270,000.00
$
270,000.00
$
810,000,00
This assistance is intended to be an emergency grant that is issued to pay rent in response to solving an
unexpected crisis. Families facing a financial crisis because of COVID-19 are eligible for $3,000 in rental relief
payable to their landlord on their behalf.
Eligibility Crlteria:
Santa Ana residents unable to pay rent due to impacts related to Coronavirus Disease 2019 (COVID-19)
Households at or below SO%AMI (see 2020 HUD Income Limits)
Households that are behind and/or on a payment plan due to Coronavirus Disease 2019 (COVI D-19)
Program Details:
This program will be advertised by the City of Santa Ana via Nixie, on the City WebsAG, via social media and via
direct email(s)
Residents will apply online via a link on the City of Santa website. Two local nonprofits are available to assist in
completing the application process, if needed. Once the applications is submitted, all applications will be
lotterized and selected applications will be assigned to one of the following nonprofits to check eligibility,
contact and receive documents from the landlord.
The nonprofit agency will submit periodic Invoices with back-up documentation (canceled rent checks) for
reimbursement and reports will be provided through the application software.
State CARES Act funding will be used for rent payments directly to landlords on behalf of Santa Ana residents
and indirect expenses.
The CARES for Tenants Program was originally launched in May 2020 using federal Community Development
Block Grant- Coronavirus (CDBG-CV) funds to provide $1,500In rental relief per household. In October 2020,
the City revised the Program Guidelines to increase the amount of assistance per household from $1,500to
$3,000to more effectively address the needs of families facinga financial crisis. The two local nonprofits are
responsible to ensure that the families who originally received only $1,500from May 2020to September 2020
are recertified to receive an additional $1,500in rental relief. As such, every family under the CARES for Tenants
Program would receive $3,000 per household, including those families that were already assisted.
IU
EXHIBIT B
Compensation/Payment
FISCAL YEAR 2020-2021
Compensation/Payment
Organization Name, Catholic Charities of Orange County
Program Name Santa Ana CARES for Tenants Program
Compensation/Payment
Fntpr hl jdgpt ratponri.t pnH nrnfcrtc,i cv nonrn+„roe Fnr 4he nwmnr.enA
Category
Expenditures
Funded By
Santa Ana
CARES Act
Expenditures
Funded By
Other Sources
Program
Budget
Total
Organization
Budget
Program/Administrative Staff
Salaries
$81,081
$81,081
$81,081
So
-$-
$0
$-
$0
$-
$0
$-
Direct Rental Assistance
$810,811
$-
$810,811
$810,811
Indirect Costs 18.50%
$8,108
$ -
$8,1081
$8,108
TOTAL BUDGET
$900,000
$
$900,0001
$900,000
* Indirect cost rate: 10.00%
®—�Federaly negotiated Indirect cost rate, see documentation in Exhibit B-2
PROGRAM RESOURCES
LIST ALL OTHER PROGRAM RESOURCES FOR 2020-2021
Funding Source Total must equal Program Budget Total listed above.
FUNDING SOURCE
AMOUNT
Santa Ana CARES Act
$900,000
Foundation Grants
Other Federal Funding
Individual Donations
TOTAL
1 $900,000
19
r�►:�.n�lra
FEDERAL AWARD IDENTIFICATION INFORMATION
ATTACHEMENT C
FEDERAL AWARD IDENTIFICATION INFORMATION
The General Program Requirements were designed to provide the framework where the
CONTRACTOR will provide CARES Act Coronavirus Relief Programs identified in this
attachment.
I. GOVERNANCE
The CONTRACTOR agrees to comply, remain informed, and deliver services consistent
with the provisions of the Coronavirus Aid, Relief, and Economic Security Act ("CARES
Act') Section 5001 under the Social Security Act Section 601(a).
Where local policy has not been set, The CONTRACTOR agrees to adhere to state and/or
federal policy, as appropriate.
H. GOVERNANCE REFERENCES
A. Additional state and federal agencies that provide funding to the CITY may be
incorporated herein.
B. Information Bulletins, Directives, and any other federal and state guidance documents
pertaining to the CARES Act Coronavirus Relief Funds.
C. Actions, directives, and policy and procedures issued by the CITY.
D. CITY policies, as applicable.
In accordance with the requirements of 2 CFR 200.330 (Subreeipient and CONTRACTOR
determination) and for the purpose of this CONTRACT, Managed Care Solutions Services
Corporation is determined to be a CONTRACTOR.
20
IV. FEDERAL AWARD IDENTIFICATION
FAIN INFORMATION
A.
CONTRACTOR Name:
Catholic Charities of Orange County
B.
CONTRACTOR'S Unique
027840086
Identifier (D-U-N-S):
Federal Award
C.
Identification Number
B-20-MW-06-0508
(FAIN):
D.
Federal Award Date:
04/24/2020
E.
Subaward Period of
October 1, 2020 — December 30, 2020
Performance:
Total Amount of Federal
F.
Funds Obligated by the
$900,000
Action:
Total Amount of Federal
G.
Funds Obligated to the
$900,000
CONTRACTOR:
H
Total Amount of the
28,000,000
Federal Award:
I
Federal Award Project
CARES Act Coronavirus Relief Fund for State Territorial
Description:
Local and Tribal Governments
J.
Federal Awarding Agency:
U.S. Department of the Treasury
K.
Name of PTE:
State of California
L
Contact Information for the
Kristine Ridge, City Manager
Awarding Official:
Phone Number:
(714) 647-5200
E-mail Address:
kridgena,santa-ana.org
M.
CFDA Number:
21,019
CFDA Name:
CARES Act Coronavirus Relief Fund for State Territorial
Local and Tribal Governments
N.
Whether Award is R&D:
No
O'
Indirect Cost Rate for the
N/A
Federal Award:
21
EXHIBIT D
DEBARMENT
ATTACHEMNT D
DEBARMENT CERTIFICATION
Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion
Lower Tier Covered Transactions
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 29 CFR Part 98, Section 98,510, Participants' responsibilities. The regulations were
published as Part VII of the May 26,1988 Federal Regis (pages 19160-19211).
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION -
Attached)
(1) The prospective recipient of federal assistance funds certifies, by submission of this proposal,
that neither it nor its principals are presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in this transaction by any
federal department or agency.
(2) Where the prospective recipient of federal assistance funds is unable to certify to any of the
statements in this certification, such prospective participant shall attach an explanation to this
proposal.
Name and
22
INSTRUCTIONS FOR CERTIFICATION
By signing and submitting this proposal, the prospective recipient of federal assistance funds
is providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was
placed when this transaction was entered into. If it is later determined that the prospective
recipient of federal assistance funds knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government, the Department of Labor
(DOL) may pursue available remedies, including suspension and/or debarment.
3. The prospective recipient of federal assistance funds shall provide immediate written notice
to the person to which this proposal is submitted if at any time the prospective recipient of
federal assistance funds learns that its certification was erroneous when submitted or has
become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal,"
and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions
and Coverage sections of rules implementing Executive Order 12549. You may contact the
person to which this proposal is submitted for assistance in obtaining a copy of those
regulations.
5. The prospective recipient of federal assistance funds agrees by submitting this proposal that,
should the proposed covered transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is debarred, suspended, declared ineligible,
or voluntarily excluded from participation in this covered transaction, unless authorized by
the DOL.
6. The prospective recipient of federal assistance funds further agrees by submitting this
proposal that it will include the clause titled "Certification Regarding Debarment, Suspension,
Ineligibility and voluntary exclusion - Lower Tier Covered Transactions," without
modification, in all lower tier covered transactions and in all solicitations for lower tier
covered transactions.
A participant in a covered transaction may rely upon a certification of a prospective participant
in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the certification is erroneous. A
participant may decide the method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to check the List of Parties Excluded
from Procurement or Non -Procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of
records in order to render in good faith the certification required by this clause. The
knowledge and information of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business dealings.
23
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in
a covered transaction knowingly enters into a lower tier covered transaction with a person
who is suspended, debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal Government, the DOL may
pursue available remedies, including suspension and/or debarment.
24
EXHIBIT E
LOBBYING
ATTACHMENT E
CERTIFICATION REGARDING LOBBYING
Certification Regarding Lobbying
Certification for Contracts Grants Loans and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that;
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of
any Federal contact, grant, loan or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance
with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontract, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who
fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and
not more than $100,000 for each such failure.
Grantee/Contactor Organization
Program Title
Name of Certifying OfIcer Signature Z)- Date
25
SUBRECIPIENT warrants the following
1. SUBRECIPIENT will comply with Public Law 88-352, Title VI of the Civil Rights Act of 1964
(42 U. S. C. section 2000 et seq.) and implementing regulation in 24 CFR Part 1.
2. No person in the United States shall on the ground of race, color, religion, national origin, or
sex, be excluded from participation in, or be denied the benefits of, or be subjected to
discrimination under any program or activity funded in whole or in part with community
development funds made available pursuant to the ACT.
3. All laborers and mechanics, employed by contractors or subcontractors in the performance of
construction work financed in whole or in part with community development funds shall be paid
wages at rates not less than those prevailing on similar construction in the locality as determined
in accordance with the Davis -Bacon Act, as amended, 40 U. S. C. Sections 276 a 1-5, except for
individuals who perform services for which they volunteered; do not receive compensation for
such services; or are paid expenses, reasonable benefits, or a nominal fee for such services; and
are not otherwise employed at any time in construction work.
4. SUBRECIPIENT will comply with all Federal statutes applicable to projects funded with
community development funds, except that (a) SUBRECIPIENT does not assume CITY'S
environmental responsibilities described at 24 CFR 570.604; and (b) SUBRECIPIENT does not
assume CITY'S responsibility for initiating the review process under Executive Order 12372.
26
EXHIBIT F
DRUG -FREE WORKPLACE
ATTACHMENT F
CERTIFICATION REGARDING DRUG -FREE WORKPLACE
Certification Regarding Drug -Free Workplace Requirements
The certification set out below is a material representation upon which reliance is placed by the
U.S. Department of Housing and Urban Development in awarding the grant. If it is later
determined that the contractor knowingly rendered a false certification, or otherwise violates the
requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban
Development, in addition to any other remedies available to the Federal Government, may take
action authorized under the Drug -Free Workplace Act.
A. The contractor certifies that it will provide a drug -free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession or use of a controlled substance is prohibited in
the contractor's workplace and specifying the actions that will be taken against
employees for violation of such prohibition;
(b) Establishing a drug -free awareness program to inform employees about —
(1) The dangers of drug abuse in the workplace;
(2) The contractor's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance
program; and
(4) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;
(c) Making it a requirement that each employee who will be engaged in the
performance of the grant be given a copy of the statement required by paragraph
(a);
(d) Notifying the employee in the statement required by paragraph -(a) that, as a
condition of employment under the contract, the employee will -
(1) Abide by the terms of the statement; and
(2) Notify the employer of any criminal drug statute conviction for a violation
27
occurring in the workplace no later than five days after such conviction.
(e) Notifying the U.S. Department of Housing and Urban Development within ten days
after receiving notice under subparagraph (d)(2) from an employee or otherwise
receiving actual notice of such conviction;
(f) Taking one of the following actions, within 30 days of receiving notice under
subparagraph (d)(2), with respect to any employee who is so convicted -
(1) Taking appropriate personnel action against such an employee, up to and
including termination; or
(2) Requiring such employee to participate satisfactorily in a drug abuse
assistance or rehabilitation program approved for such purposes by a
Federal, State, or local health, law enforcement, or other appropriate
agency;
(g) Making a good faith effort to continue to maintain a drag -free workplace through
implementation of paragraphs (a), (b), (c), (d), (e) and (f).
B. The contractor shall insert in the space provided on the attached "Place of Performance"
form the site(s) for the performance of work to be carried out with the grant funds
(including street address, city, county, state, and zip code) .the contractor further certifies
that, if it is subsequently determined that additional sites will be used for the performance
of work under the contract, it shall notify the U.S. Department of Housing and Urban
Development immediately upon the decision to use such additional sites by submitting a
revised "Place of Performance" form.
Authorized Signature Date
M.
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG -FREE
WORKPLACE REQUIREMENTS
The Contractor shall insert in the space provided below the site(s) expected to be used for the
performance of work under the contract covered by the certification:
Place of Performance (include street address, city, county, state, zip code for each site):
29