HomeMy WebLinkAboutORANGE COUNTY UNITED WAYINSURANCE NOT ON FILE
o WORK MAY NOT PROCEED
C CLERK OF COUNCIL
A-2021-021-04
ry DATE:
c> AGREEMENT BETWEEN THE CITY OF SANTA ANA AND
ORANGE COUNTY UNITED WAY FOR USE OF
EMERGENCY RENTAL ASSISTANCE PROGRAM (ERAP) FUNDS
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This Agreement is hereby made and entered into this I st day of March, 2021, 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 ("CnY'), and Orange County United Way, a
California nonprofit corporation ("SUBRECIPIENT" or "CONTRACTOR").
RECITALS:
A. On December 27, 2020, the federal Consolidated Appropriations Act of 2021, Pub. L. No.
116-260, a $900 billion COVID-19 relief bill, was signed into law and, pursuant to Section
501 of Division N, included $25 billion allocated to the United States Treasury for the
Emergency Rental Assistance Program ("ERAP") to assist households that are unable to pay
rent or utilities due to the COVID-19 pandemic. The funds were provided directly to States,
U.S. Territories, local governments, and Indian tribes ("Grantees"). Grantees must use the
ERAP funds to provide assistance to eligible households through existing or newly created
rental assistance programs. Grantees may use the ERAP funds to make subawards to other
entities, including non-profit organizations and local governments, to administer an ERAP on
behalf of the Grantees. Grantees may also enter into contracts using ERAP payments for
goods or services to implement an ERAP. Not less than 90 percent of awarded funds must be
used for direct financial assistance, including rent, rental arrears, utilities and home energy
costs, utilities and home energy costs arrears, and other expenses related to housing.
Remaining funds are available for administrative costs.
B. As an eligible grantee with a population greater than 200,000 and an existing rental assistance
program, the CITY applied for a direct allocation of ERAP funds from the Department of
Treasury on January 12, 2021. On January 21, 2021, the CITY's application was approved
and the CITY received a direct allocation of $9,880,391.30 ("CITY Allocation"). As part of
the CITY Allocation, the CITY executed a U.S. Department of the Treasury Emergency
Rental Assistance Agreement attached hereto as Exhibit H and incorporated herein by
reference.
C. On January 28, 2021, the California Legislature passed the COVID-19 Tenant Relief Act
("SB 91 "), creating a mechanism to deploy $2.6 billion in ERAP resources to assist struggling
tenants and landlords impacted by the economic damage of COVID-19. The State received
a direct allocation of ERAP funds from the Department of Treasury that must be designated
for the CITY in the amount of $10,633,695.01 ("State Allocation"). The total amount of
ERAP funds designated for the CITY is a total of $20,514,086.31.
D. On February 16, 2021, the Santa Ana City Council allocated $8,892,352.27 of the CITY
Allocation to the CITY's CARES for Tenants Program, an existing rental assistance program
that the CITY has been administering since May 1, 2020. The remaining $988,039.03 (10%
of the total grant) of the CITY Allocation will be used for administration of the Program by
the CITY and shared proportionally with the SUBRECIPIENT.
LEGAL_US_W # 107345383.2
E. SUBRECIPIENT has been selected by the CITY to receive ERAP Funds in order to
administer the CITY's CARES for Tenants 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 ERAP objectives to respond to this historic COVID-19 public health
crisis.
F. SUBRECIPIENT agrees that it will adhere to the eligibility requirements, required
documentation, and project expectations as indicated in Exhibit A for said program and in
compliance with Section 501 of Division N of the Consolidated Appropriations Act of 2021,
the Department of Treasury's Frequently Asked Questions, and the CARES for Tenants
Program Guidelines and Frequently Asked Questions established for the 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 funds awarded to SUBRECIPIENT pursuant to this Agreement.
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. ERAP PROVISIONS
A. Scone 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 September 30, 2021 ("Term"), unless terminated earlier
pursuant to the terms of this Agreement. This Agreement shall also cover any and all services
provided by the SUBRECIPIENT to the CITY since the date the CITY Allocation of ERAP Funds
was 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 Fundine. The total amount of funds provided for said program
shall not exceed Nine Million, Eighty -Nine Thousand, Nine Hundred and Sixty Dollars
($9,089,960.00) ("ERAP 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 ERAP Funds to administer said program pursuant to the regulations in Exhibit B attached hereto
and incorporated herein by reference.
LEGAL US W # 107345383.2
(1) Direct Financial Assistance. SUBRECIPIENT will be responsible to disburse
direct financial assistance individual payments for up to an amount not to exceed Eight Million, Eight
Hundred and Ninety -Two Thousand, Three Hundred and Fifty One Dollars and Ninety Cents
($8,892,351.90) to be used solely for grants to eligible participants in said program in accordance
with Exhibit A. The direct financial assistance will be disbursed by the United Way of Orange
County as a third party on behalf of the SUBRECIPIENT.
(2) Administrative Funds. CITY shall make administrative fee payment(s) to
SUBRECIPIENT in an amount not to exceed One -Hundred, Ninety -Seven Thousand, Six Hundred
and Eight Dollars and Ten Cents ($197,608.10), pursuant to the terms detailed in Exhibit B.
D. Disbursement of Funds. Said ERAP Funds shall be disbursed by CITY to the
SUBREMIENT. Said Administrative Funds shall be disbursed by CITY to the 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. 25% of the Direct Financial Assistance will be disbursed after the Agreement is
fully executed and 25% of the Administrative Funds will be disbursed after the Agreement is fully
executed. 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 ERAP
Funds, or return the entire request to SUBRECIPIENT, until such documentation and reporting
has been received and approved by CITY.
(1) Reduction in ERAP Funding. The CITY reserves the right to reduce the
amount of ERAP Funds to SUBRECIPIENT, or to completely terminate this Agreement, in the
CITY's sole discretion, if there is a reduction in ERAP 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 returned 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.
(4) Interest on Funds. ERAP Funds made by Treasury to local governments, Tribes,
and TDHEs are not subject to the requirement of 2 CFR 200.305(b)(8)-(9) to maintain balances in an
interest -bearing account and remit payments to Treasury.
LEGAL_US_W # 107345383.2
E. Grant Program Requirements.
(1) SUBRECIPIENT acknowledges that the source of funding for said program is the
federal ERAP Funds, and that payments from the ERAP Funds are only to be used to make necessary
expenditures incurred due to the public health emergency with respect to COVID-19 in compliance
with Section 501 of Division N of the Consolidated Appropriations Act of 2021, the Department
of Treasury's Frequently Asked Questions, and the CARES for Tenants Program Guidelines and
Frequently Asked Questions established for the Program.
(2) SUBRECIPIENT acknowledges that ERAP Fund provisions allow the use of
ERAP Funds for expenses associated with the provision of rental assistance in connection with the
COVID-19 public health emergency, 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.
(4) CITY entered into a U.S. Department of the Treasury Emergency Rental
Assistance Agreement receiving and recognizing the CITY Allocation of ERAP Funds to be used by
CITY to provide rental assistance. A true and correct copy of the U.S. Department of the Treasury
Emergency Rental Assistance Agreement is attached hereto as Exhibit R and incorporated herein by
this reference. Subcontractor has been made aware of the U.S. Department of the Treasury
Emergency Rental Assistance Agreement and agrees to comply with all the conditions of the U.S.
Department of the Treasury Emergency Rental Assistance Agreement and the applicable
requirements governing the use of ERAP grant funds.
F. Performance Monitoring.
(1) The subrecipient monitoring and management requirements set forth in 2 CFR
200.331-200.333 will apply to SUBRECIPIENT. SUBRECIPIENT shall submit program
performance information as often as reasonably requested by CITY, but no less than the submission
of weekly reports and a final report to CITY with the information requested by and in the format
acceptable to CITY. Each weekly report is due within three (3) business days of completion of work
for each week. 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.
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(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 ERAP 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 ERAP 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.
(5) All accounting records, reports, and evidence pertaining to all costs, expenses
and the ERAP 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
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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
organization 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.
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(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) SUBRECIPIENT has
reviewed and comprehends Section 501 of Division N of the Consolidated Appropriations Act of
2021 and the Department of Treasury's Frequently Asked Questions for the ERAP, and will be
responsible for keeping itself apprised of any and all updates or amendments to said documents.
(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 materially adversely 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 adversely
affect performance of the Agreement or provision of services hereunder.
B. Licensine. 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. CITY shall provide a license to the application software used for the CARES for Tenants
Program.
C. Reserved.
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
ERAP Funds; provided however, the SUBRECIPIENT must be able to account for receipt, obligation,
distribution and expenditure of ERAP Funds pursuant to applicable 2 CFR 200.302 requirements.
LEGAL_US_W # 107345383.2
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 111 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 ERAP, and
that distribution and expenditure of these ERAP Funds shall be in accordance with the ERAP 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 refunds 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.
G. 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 E "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 Internal Revenue Service. Any change in the corporate status or suspension
of SUBRECIPIENT shall be reported promptly to CITY.
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 ERAP
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, except to
the extent that SUBRECIPIENT's violation or inaccurate reporting (as applicable) was caused by the
fraudulent acts or fraudulent document submittals by a tenant or landlord that received assistance
from SUBRECIPIENT pursuant to the Rental Assistance Program and SUBRECIl'IENT's
LEGAL_US_W k 107345383.2
reasonable reliance on the accuracy and truthfulness thereof. If SUBRECIPIENT engaged in
fraudulent activity to obtain and/or justify distribution or expenditure of the ERAP 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 promptly report all suspected or known instances and
facts concerning possible fraud, abuse or criminal activity related to said program for the ERAP Funds
under this Agreement.
L. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use
ERAP Funds provided through this Agreement to pay for entertainment, meals or gifts, or other
prohibited uses.
M. LobbvinQ. 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
F, 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 F).
N. Financial Interest. SUBRECIPIENT hereby agrees that no officer of
SUBRECIPIENT and no employee of SUBRECIPIENT that has decision -making authority in
implementing the Rental Assistance Program may obtain rental assistance pursuant to the Rental
Assistance Program, either for themselves or those with whom they have immediate family or
business ties.
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
LEGAL_US_W 8 107345383.2 9
demonstrates compliance with hour and wage requirements of this part. Such documentation shall
be made available to the CITY for review upon reasonable request.
P. Reserved.
Q. Women and Minority -Owned Businesses (W/MBE). To the extent required by
applicable law, in the event SUBRECIPIENT subcontracts any of the services hereunder to any
for -profit entity other than Protiviti/Robert Half, SUBRECIPIENT will endeavor to afford small
businesses, minority business enterprises, and women's business enterprises the maximum
practicable opportunity to participate in the performance of this Agreement. 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 G 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.
RI. CITY'S OBLIGATIONS
A. Audit of Account. CITY shall include an audit of the account maintained by
SUBRECIPIENT in CITY's audit of all ERAP 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-
LEGAL_US_W N 107345383.2 10
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 full 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.
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.
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
LEGAL_US_W # 107345383.2 11
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 ERAP Funds granted to the CITY,
inclusive of the subject ERAP 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. Reserved.
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 mnediate 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: Orange County United Way
18012 Mitchell South
Irvine, CA 92614
Tel: (949) 263-6112
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
other agreements that relate to this Agreement to CITY. No subcontract or assignment shall
terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement.
LEGAL_US_W p 107345393.2 12
G. hidemnification/Hold Harmless. SUBRECIPIENT shall indemnify, defend, and
hold harmless CITY and its officers, officials, employees, representatives and agents (collectively,
the "Indemnitee"), with counsel reasonably acceptable to CITY, from and against any and all
claims, causes of action, liabilities, and damages of any kind or nature, and for, from and against
any suits, claims or demands, including legal fees and expenses (collectively, "Claims"), on
account of or arising out of the willful misconduct or fraud of SUBRECIPIENT or any of
SUBRECIPIENT's employees in the performance of this Agreement; provided, however, that
SUBRECIPIENT shall have no obligation to indemnify CITY to extent any of such Claims arise
out of the willful misconduct or fraud of CITY.
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:
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
LEGAL_US_W # 107345383.2 13
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.
Termination.
1. This Agreement may be 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 tenmination.
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 ERAP 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 thirty (30) 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
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.
LEGAL_US_W # 107345383.2 14
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 ERAP program for any term subject 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 promptly 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 ERAP funds, which limitations are not presently
anticipated. Accordingly, CITY reserves the right to revise this Agreement in order to take account
of actions affecting ERAP 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 permitted 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 ERAP Funds withdrawal
guidelines.
K. Exclusivity and Amendment of Agreement. 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
ERAP funds by SUBRECIPIENT and contains all the covenants and agreements between the 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.
LEGAL_US_W 4 107345383.2 15
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 Severability. 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 ERAP, are included in Exhibit D
attached hereto and incorporated herein by this reference.
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.
{Signatures on followingpage)
LEGAL_US W # t07345383.2 16
A-2021-021-04
IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the last date and
year written below.
ATTEST:
- A
DAISY GOMEZAw 1 e'
Clerk of the Council
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorney
- 041",
By: RY O ODGE
Assistan -City ttorney
RECOMMENDED FOR APPROVAL:
c -Al�
STEVEN MENDOZA
Executive Director
Community Development Agency
LEGAL nS_W # 107345383.2 17
CITY OF SANTA ANA
KRISTINE RIDGE
City Manager
SUBRECIPIENT:
r'
�Emilee Tello
Chief Financial Officer
DUNS #: 076064914
EXHIBIT A
SCOPE OF WORK
LGGAL_US W # 1073453832 18
City of Santa Ana ERAP Scope of Work
Program Year 2021 (March 1, 2021 - September 30, 2021)
Name of Organization United Way of Orange County
Name of Funded Program CARES for Tenants
Annual Accomplishment Goal
Unduplicated Participants anticipated to be served during the 7-month contract period.
2,506 TOTAL I L2,5061 Santa Ana Participants 1 100%25061 Low Income Participants
Schedule of Performance
Unduplicated
(estimated)
Month 1: MAR 1 - MAR 31
Month 2: APR 1 - APR 30
Month 3: MAY 1 - MAY 31
Month 4: JUN 1 - JUN 30
Month 5: JUL 1 -JUL 31
Month 6: AUG 1 - AUG 31
Month 7: SEP 1 - SEP 30
Program and Funding Description
Direct Financial
Assistance
Families at risk of homelessness due to a financial crisis because of COVID-19 are eligible for a one-time payment of
$5,500 in rental relief payable to their landlord on their behalf. Families who previously received $3,000through
CARES for Tenants are able to re -certify their application and, if eligible, receive an additional $2,500 for a total of
$5,500 per household.
-The United Way will make $8,892,351.90 in direct financial assistance payments for approximately 2,506 families.
Approximately 876 families will receive a payment of $5,500 in direct financial assistance and approximately 1,630
families will re -certify and receive a payment of $2,500 in direct financial assistance.
-If a landlord does not agree to accept payment and participate in the program, the United Way will document their
outreach to the landlord by sending a request in writing, by mail, to the landlord with a deadline to respond in 14
calendar days or document at least three attempts to contact the landlord by phone, text, or e-mail over a 10
calendar -day period to request the landlord's participation. If the landlord still refuses to participate, the United Way
will make the direct financial assistance payment directly to the tenant.
-The family's eligibility for direct financial assistance will be established and determined by one of four partner
organizations: Families Forward, Catholic Charities of Orange County, The Salvation Army, or Latino Health Access.
-The United Way will coordinate with the City, State of California, Local Initiatives Support Corporation, and/or any
other local partner of LISC to verify that there is not a duplication of benefits of direct financial assistance between the
State Allocation and the CITY Allocation.
Program Details:
-Residents will apply online via the Neighborly Software application available on the City of Santa's website following
the CARES for Tenants Program Guidelines and Frequently Asked Questions.
-Four nonprofit organizations will admnister the tenant eligibility portion of the program, including:
application review, eligibility verification, collection of required supporting documentation,
communication/coordination with the tenant, coordination with the tenant's landlord for the tenant's lease/sublease
EXHIBIT A
agreement and rent amount, and general qua litication and eligibility otthe tenant
-The four nonprofit organizations will ensure that each tenant is qualified and determined eligible In compliance with
Section 501 of Division N of the Consolidated Appropriations Act of 2021, the Department of Treasury's Frequently
Asked Questions, and the CARES for Tenants Program Guidelines and Frequently Asked Questions established for the
Program.
-Afterthe family is determined eligible, the assigned nonprofit organization will approve the family for direct financial
assistance. The City of Santa Ana will then transmit the applicant's information to the United Way of OC who will
make payment to the Landlord or tenant after all required landlord documentation/Information is received by the
United Way.
-The United Way will conduct all landlord engagement in order to make the payment on behalf of the nonprofit
organization that approved the applicant for direct financial assistance including:
obtain the landlord's W-9, confirm that the landlord's name matches the name on the applicant's original application
and lease/sublease agreement, maintain and record all payment documentation to the landlord or tenant (proof of
payment via ACH or copy of the check), written notification by email to the landlord and service provider that payment
has been made on behalf of the tenant and must be applied to the tenant's retroactive rent first.
-If a landlord refuses to participate, make reasonable efforts to obtain the cooperation of the landlord to accept
payments from the CARES for Tenants Program.
-United Way will provide weekly updates to the City and to the four nonprofit organizations regarding payments to
landlords and tenants.
-ERAP funding will be used for $8,892,351.90 in direct financial assistance and $197,608.10 in administrative
expenses.
EXHIBIT A
EXHIBIT B
COMPENSATION/PAYMENT
LEGAL_US_W # 107345383.2 19
PROGRAM YEAR 2021
PROGRAM BUDGET
Organization Name United Way of Orange County
Program Name CARES for Tenants
EXPENDITURES
Enter budget categories and projected expenditures for the proposed program:
Expenditures
Funded By
Expenditures
Total
Santa Ana
Funded By
Program
Organization
Category
ERAP
Other Sources
Budget
Budget
Administrative costs attributa ble to
providing Direct Financial Assistance
$197,608
$197,608
$ 197,608
Direct Financial Assistance
$8,692,352
$8,892,352
$ 8,892,352
$0
$
$0
$
$
$0
$ -
T®TAL BUDGET
$9,089,960
$0
$9,089,960
$9,089,960
PROGRAM RESOURCES
LIST ALL OTHER PROGRAM RESOURCES FOR 2019-2020
Funding Source Total must equal Program Budget Total listed above.
FUNDING SOURCE
AMOUNT
Santa Ana ERAP
$ 9,089,960
Foundation Grants
$
Other Federal Funding
Individual Donations
TOTAL
$ 9,089,960
EXHIBIT B
2021 ERAP BUDGET LINE ITEMS
ADMINISTRATIVE STAFF
Annual Salary
ERAP Funds
Position Title
& Benefits
Requested
Description
Administrative costs
Landlord engagement In order to make the payment on
attributable to providing
behalf of the nonprofit organization that approved the
Direct Financial Assistance
$ 197,608
applicant for direct financial assistance
PROGRAM STAFF
Position Title
Annual Salary
& Benefits
ERAP Funds
Requested
Description
CONTRACTUAL/PROFESSIONAL SERVICES
Type of Service
Contract
Amount
ERAP Funds
Requested
Description
OTHER LINE ITEMS
Line Item
Program
Amount
ERAP Funds
Requested
Description
Direct Financial Assistance
$ 8,892,352
Direct rental relief payments to landlords ortenants
EXHIBIT B-1
EXHIBIT C
PROJECT SCHEDULE
LEGAL US_W 11107345383.2 20
EXHIBIT D
FAIN INFORMATION
A.
CONTRACTOR Name:
United Way of Orange County
B.
CONTRACTOR'S Unique
076064914
Identifier (D-U-N-S):
Federal Award
C.
Identification Number
(FAIN):
D.
Federal Award Date:
January 21, 2021
E.
Subaward Period of
Performance:
March 1, 2021— September 30, 2021
Total Amount of Federal
F.
Funds Obligated by the
$9,089,960
Action:
Total Amount of Federal
G.
Funds Obligated to the
$9,089,960
CONTRACTOR:
H.
Total Amount of the
$9,880,391.30
Federal Award:
I
Federal Award Project
Department of Treasury Emergency Rental Assistance
Description:
Program
J.
Federal Awarding Agency:
U.S. Department of the Treasury
K,
Name of PTE:
L.
Contact Information for the
Judson Brown, Housing Division Manager
Awarding Official:
Phone Number:
(714) 667-2241
E-mail Address:
'brown@santa-ana.org
M.
CFDA Number:
21.023
CFDA Name:
Department of Treasury Emergency Rental Assistance
Program
N.
Whether Award is R&D:
No
®'
Indirect Cost Rate for the
N/A
Federal Award:
LEGAL_US_W # 107345383.2 21
t.. d
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 Pall VII of the May 26,1988 Federal Register (pages I9160-19211).
(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.
nd Title of
e �r� , c- - o
Representative
�/W C
Signature Date
LEOAL_US W R 107345383.2 22
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.
LEGAL_US_W # 107345383.2 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.
LEGAL_GS_W # 107345383.2 24
EXHIBIT F
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.
1 1rcl�L r a-JYj, l V4c.J
Grantee/Contalotor Organi/z/atieA Program Title
1M_ r lei .E G L- /� 62,2,7 . 1C.7� I ZZIts,-,-2i
Signature
LEGAL US_W 9 1e73453832 25
EXHIBIT G
DRUG -FREE WORKPLACE
Certification Retarding 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.
CERTIFICATION
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
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;
LEGAL_US W S 107345383.2 26
(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 drug -free workplace through
implementation of paragraphs (a), (b), (c), (d), (@) and (i).
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 promptly upon the decision to use such additional sites by submitting a
revised "Place of Performance" form.
ganizat'on
Authorized Signature _
LEQAL_US_W D 107345383.2 27
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Data
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):
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LBCAL_US W 0 107345383.2 28
EXHIBIT H
U.S. DEPARTMENT OF THE TREASURY EMERGENCY RENTAL
ASSISTANCE AGREEMENT
LEGAL_US_W # 107345383.2 29
OMB Approved No.: 1505-0266
Expiration Date: 7/31/21
Recipient name and address:
City of Santa Ana
20 Civic Center Plaza
Santa Ana, CA 92701-0000
U.S. DEPARTMENT OF THE TREASURY
EMERGENCY RENTAL ASSISTANCE
DUNS Number:
08-315-3247
Taxpayer Identification Number:
95-6000785
Section 501.(a) of Division N of the Consolidated Appropriations Act, 2021, Pub. L. No. 116-260 (Dec. 27,
2020) authorizes the Department of the Treasury ("Treasury") to make payments to certain recipients to be
used to provide emergency rental assistance.
Recipient hereby agrees, as a condition to receiving such payment from Treasury, to the terms attached
hereto.
Authorized Representative Name: Kristine Ridge
Title: City Manager
Date signed: January 1.1, 2021
U.S. DEPARTMENT OF THE TREASURY
EMERGENCY RENTAL ASSISTANCE
1. Use of Funds. Recipient understands and agrees that the funds disbursed under this award may only be
used for the purposes set forth in Section 501 of Division N of the Consolidated Appropriations Act,
2021, Pub. L, No. 116-260 (Dec. 27, 2020) (referred to herein as "Section 501").
2. Repayment and reallocation of funds.
a. Recipient agrees to repay excess funds to Treasury in the amount as may be determined by
Treasury pursuant to Section 501(d). Such repayment shall be made in the manner and by the
date, which shall be no sooner than September 30, 2021, as may be set by Treasury.
b. The reallocation of funds provided by Section 501(d) shall be determined by Treasury and shall
be subject to the availability of funds at such time.
3. Availability of funds,
a, Recipient acknowledges that, pursuant to Section 501(e), funds provided under this award shall
remain available only through December 31, 2021, unless, in the case of a reallocation made by
Treasury pursuant to section 501(d), Recipient requests and receives from Treasury an extension
of up to 90 days.
b. Any such requests for extension shall be provided in the form and shall include such information
as Treasury may require.
c. Amounts not expended by Recipient in accordance with Section 501 shall be repaid to Treasury
in the manner specified by Treasury.
4. Administrative costs.
a. Administrative expenses of Recipient may be treated as direct costs, but Recipient may not cover
indirect costs using the funds provided in this award, and Recipient may not apply its negotiated
indirect cost rate to this award.
b. The sum of the amount of the award expended on housing stability services described in Section
501(c)(3) and the amount of the award expended on administrative expenses described in Section
501(c)(5) may not exceed 10 percent of the total award.
a. Recipient agrees to comply with any reporting obligations established by Treasury, including the
Treasury Office of Inspector General, as relates to this award, including but not limited to: (i)
reporting of information to be used by Treasury to comply with its public reporting obligations
under section 501(g) and (ii) any reporting to Treasury and the Pandemic Response
Accountability Committee that may be required pursuant to section 15011(b)(2) of Division $ of
the Coronavirus Aid, Relief, and Economic Security Act (Pub. L. No. 116-136), as amended by
Section 801 of Division O of the Consolidated Appropriations Act, 2021 (Pub. L. No. 116-260).
Recipient acknowledges that any such information required to be reported pursuant to this
section may be publicly disclosed.
b. Recipient agrees to establish data privacy and security requirements as required by Section
501(g)(4).
6. Maintenance of and Access to Records
2
a. Recipient shall maintain records and financial documents sufficient to support compliance with
Section 501(c) regarding the eligible uses of funds.
b, The Treasury Office of Inspector General and the Government Accountability Office, or their
authorized representatives, shall have the right of access to records (electronic and otherwise) of
Recipient in order to conduct audits or other investigations.
c. Records shall be maintained by Recipient for a period of five (5) years after all funds have been
expended or returned to Treasury.
7. Cost Sharing, Cost sharing or matching funds are not required to be provided by Recipient.
8, Compliance with Applicable Law and Regulations.
a. Recipient agrees to comply with the requirements of Section 501 and Treasury interpretive
guidance regarding such requirements. Recipient also agrees to comply with all other applicable
federal statutes, regulations, and executive orders, and Recipient shall provide for such
compliance in any agreements it enters into with other parties relating to this award.
b. Federal regulations applicable to this award include, without limitation, the following:
i. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards, 2 C.F.R. Part 200, other than such provisions as Treasury may determine
are inapplicable to this Award and subject to such exceptions as may be otherwise
provided by Treasury. Subpart F — Audit Requirements of the Uniform Guidance,
implementing the Single Audit Act, shall apply to this award.
ii. Universal Identifier and System for Award Management (SAM), 2 C.F.R. Part 25 and
pursuant to which the award term set forth in Appendix A to 2 C.F.R. Part 25 is hereby
incorporated by reference.
iii. Reporting Subaward and Executive Compensation Information, 2 C.F.R. Part 170,
pursuant to which the award term set forth in Appendix A to 2 C.F.R. Part 170 is hereby
incorporated by reference,
iv. OMB Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement), 2 C.F.R. Part 180 (including the requirement to include a term or
condition in all lower tier covered transactions (contracts and subcontracts described in 2
C.F.R. Part 180, subpart B) that the award is subject to 2 C.F.R. Part 180 and Treasury's
implementing regulation at 31 C.F.R. Part 19.
v. Recipient Integrity and Performance Matters, pursuant to which the award term set forth in
2 C.F.R. Part 200, Appendix XII to Part 200 is hereby incorporated by reference,
vi. Governmentwide Requirements for Drug -Free Workplace, 31 C.P.R. Part 20.
vii. New Restrictions on Lobbying, 31 C.F.R. Part 21.
c. Statutes and regulations prohibiting discrimination applicable to this award, include, without
limitation, the following:
i. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.) and Treasury's
implementing regulations at 31 C.F.R. Part 22, which prohibit discrimination on the
grounds of race, color, or national origin under programs or activities receiving federal
financial assistance;
ii. The Fair Housing Act, Title VIII-IX of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et
seq.), which prohibits discrimination in housing on the basis of race, color, national origin,
sex, familial status, or disability;
iii. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which
prohibits discrimination on the basis of handicap under any program or activity receiving
or benefitting from federal assistance;
iv. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.) and
Treasury's implementing regulations at 31 C.F.R. Part 23, which prohibit discrimination
on the basis of age in programs or activities receiving federal financial assistance; and
v. The Americans with Disabilities Act of 1990, as amended (42 U.S.C. §§ 12101 et seq.),
which prohibits discrimination on the basis of disability under programs, activities, and
services provided or made available by state and local governments or instrumentalities or
agencies thereto.
9. False Statements. Recipient understands that false statements or claims made in connection with this
award may result in fines, imprisonment, debarment from participating in federal awards or contracts,
and/or any other remedy available by law.
10. Publications. Any publications produced with funds from this award must display the following
language: "This project [is being] [was] supported, in whole or in part, by federal award number [enter
project FAIN] awarded to [name of Recipient] by the U.S. Department of the Treasury."
11. Debts Owed the Federal Government.
a. Any funds paid to Recipient (1) in excess of the amount to which Recipient is finally determined
to be authorized to retain under the terms of this award; (2) that are determined by the Treasury
Office of Inspector General to have been misused; or (3) that are not repaid by Recipient as may
be required by Treasury pursuant to Section 501(d) shall constitute a debt to the federal
government.
b. Any debts determined to be owed the federal goverment must be paid promptly by Recipient. A
debt is delinquent if it has not been paid by the date specified in Treasury's initial written
demand for payment, unless other satisfactory arrangements have been made. Interest, penalties,
and administrative charges shall be charged on delinquent debts in accordance with 31 U.S.C. §
3717 and 31 C.F.R. § 901.9. Treasury will refer any debt that is more than 180 days delinquent
to Treasury's Bureau of the Fiscal Service for debt collection services.
c. Penalties on any debts shall accrue at a rate of not more than 6 percent per year or such other
higher rate as authorized by law. Administrative charges, that is, the costs of processing and
handling a delinquent debt, shall be determined by Treasury.
d. Funds for payment of a debt must not come from other federally sponsored programs.
12. Disclaimer.
a. The United States expressly disclaims any and all responsibility or liability to Recipient or third
persons for the actions of Recipient or third persons resulting in death, bodily injury, property
damages, or any other losses resulting in any way from the performance of this award or any
other losses resulting in any way from the performance of this award or any contract, or
subcontract under this award.
b. The acceptance of this award by Recipient does not in any way constitute an agency relationship
between the United States and Recipient.
13. Protections for Whistleblowers.
a. In accordance with 41 U.S.C. § 4712, Recipient may not discharge, demote, or otherwise
discriminate against an employee as a reprisal for disclosing information to any of the list of
persons or entities provided below that the employee reasonably believes is evidence of gross
mismanagement of a federal contract or grant, a gross waste of federal funds, an abuse of
authority relating to a federal contract or grant, a substantial and specific danger to public health
or safety, or a violation of law, rule, or regulation related to a federal contract (including the
competition for or negotiation of a contract) or grant.
b. The list of persons and entities referenced in the paragraph above includes the following:
i. A member of Congress or a representative of a committee of Congress;
ii. An Inspector General;
iii, The Government Accountability Office;
iv. A Treasury employee responsible for contract or grant oversight or management;
v. An authorized official of the Department of Justice or other law enforcement agency;
vi. A court or grand jury; and/or
vii. A management official or other employee of Recipient, contractor, or subcontractor who
has the responsibility to investigate, discover, or address misconduct.
c, Recipient shall inform its employees in writing of the rights and remedies provided under this
section, in the predominant native language of the workforce.
14. Increasing Seat agh Use in the United States Pursuant to Executive Order 13043, 62 FR 19217 (April
S, 1997), Recipient should and should encourage its contractors to adopt and enforce on-the-job seat
belt policies and programs for their employees when operating company -owned, rented or personally
owned vehicles.
15. Reducing Text Messaging While Driving,, Pursuant to Executive Order 13513, Recipient should
encourage its employees, subrecipients, and contractors to adopt and enforce policies that ban text
messaging while driving, and Recipient should establish workplace safety policies to decrease
accidents caused by distracted drivers.