HomeMy WebLinkAboutORANGE COUNTY MENTAL HEALTH ASSOCIATIONCity of Santa Ar-
Clerk of the Coun-c,
t REEMENT TERMINATION
Please complete this form when the attached agreement is no longer in effect.
Return form to the Clerk of the Council Office (M-30).
Call 647-6520 if you have any questions.
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NOTE: PLEASE INCL^UDE ALL AMENDMENTS IF NY. THANK YOU. � "
The agreement with &y�,kK cte-�
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and final payment has been made.
Department:
Phone/Ext.:
Signature:
Date:
Revised 12-07-07
INSURANCE ON FILE
WORK MAY PROCEED
UNTIL INSURANCE EXPIRES
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nnTe NOV 2 4 N09
AGREEMENT BETWEEN THE CITY OF SANTA ANA
AND ORANGE COUNTY ASSOCIATION FOR MENTAL HEALTH
FOR THE USE OF EMERGENCY SHELTER GRANT FUNDS
(With Provisions Relating to Compliance with Title X
and 24 CFR Part 35 Relating to Lead Based Paint)
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A-2009-041-008
THIS AGREEMENT, is hereby made and entered into this I' day July, 2009, by and be-
tween the City of Santa Ana, a charter city and municipal corporation of the State of California
("CITY") and Orange County Association for Mental Health, a California nonprofit organization
("SUBRECIPIENT").
WITNESSETH
Recitals:
1. CITY is the recipient of Emergency Shelter Grant ("ESG") funds from the United
States Department of Housing and Urban Development ("HUD") pursuant to the Stewart B.
McKinney Homeless Assistance Act: Emergency Shelter Grants Program 42 USC 11331 et seq.
2. CITY has approved the provision of federal funds under the ESG to be used in the op-
eration of an emergency shelter program for the homeless of the City of Santa Ana ("said pro-
gram") as further described by a Scope of Work and Schedule of Performance in Exhibit A, at-
tached hereto and by this reference incorporated herein.
3. SUBRECIPIENT represents that it has expertise and experience in the provision of
emergency shelter programs for the homeless and is willing to use said federal funds to operate
said program.
4. SUBRECIPIENT agrees to assist homeless individuals and families in obtaining:
appropriate supportive services including, but not limited to, temporary and permanent housing,
medical health treatment, mental health treatment, counseling supervision and other services es-
sential for achieving independent living, as well as other federal, state, local and private assis-
tance available for such individuals.
5. Title X of the 1992 Housing and Community Development Act (Title X) established
requirements relating to lead based paint ("LB!"') in housing receiving federal assistance,
with particular requirements relating to (i) notification (including pamphlet distribution, disclo-
sure to purchasers and lessees, notice of lead hazard presumption or results of evaluation, and/or
lead hazard reduction), (ii) lead hazard evaluation (including visual assessment, paint testing,
and/or risk assessment), (iii) lead hazard reduction (including paint stabilization, interim con-
trols, standard treatments, or abatement depending on the requirements for housing activity type),
(iv) ongoing maintenance, if required, and (v) response to children with environmental interven-
tion blood lead levels, as required; and
6. On September 15, 1999 HUD adopted implementing regulations to Title X that became
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effective September 15, 2000 as set forth in 24 CFR Part 35, et seq. ("LBP Regs."), which estab-
lish specific rules regarding notification to owners and occupants about the existence of LBP ha-
zards, identification of LBP hazards, and control of LBP hazards; and
7. Residential structures built after January 1, 1978 are exempt from lead -based paint re-
quirements as the use of lead -based paint was banned for use in residences after this date by
Congress (24 CFR Part 35.115). Therefore, the Title X requirements set forth herein shall not be
applicable if the structures involved were built after January 1, 1978.
8. Subpart K - Acquisition, Leasing, Support Services, and Operation of the LBP Regs, sets
forth specific requirements relating to housing providers, such as SUBRECIPIENT, who admi-
nister local programs that provide supportive housing for special needs populations and are
funded by HUD Office of Community Planning and Development ("CPD") programs, including
ESG funds, as provided to SUBRECIPIENT under this Agreement; and
9. In connection with the grant of funds under this Agreement, CITY requires that
SUBRECIPIENT comply and show evidence of compliance with all applicable requirements of
Title X and the LBP Regs, in particular Subpart K relating to acquisition, leasing, support servic-
es, or operations, and Subpart J relating to rehabilitation, as and when applicable; and
10. In connection with the grant of funds under this Agreement, CITY requires that
SUBRECIPIENT comply and show evidence of compliance with all applicable requirements of
Title X and the LBP Regs, in particular Subpart M relating to tenant based rental assistance, as
and when applicable; and
11. Attached and hereby fully incorporated to this Agreement are the following notification
attachments: Attachment No. I entitled "Protect Your Family From Lead In Your Home",
EPA747-K-99-001, Attachment No. 2 entitled "Sample Disclosure Format for Target Housing
Sales, Disclosure of Information on Lead -Based Paint and Lead -Based Paint Hazards", and At-
tachment No. 3 entitled "Sample Summary Risk Assessment Notice Format"; provided however,
that such attachments are not intended to modify or limit SUBRECIPIENT'S obligation to fully
comply with all applicable provisions of Title X and the implementing regulations in the LBP
Regs; and
12. By this Agreement SUBRECIPIENT will accept assignment from the CITY of all respon
sibilities set forth in Subpart K of the LBP Regs; and
13. SUBRECIPIENT agrees that it will adhere to the performance measurements and out-
comes as indicated on Exhibit A-1 (Outcome Tracking). Failure to follow the measurements and
meet the stated outcomes 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.
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14. The CITY and SUBRECIPIENT have duly executed this Agreement for the expenditure
of such funds; and
WHEREFORE, it is agreed by and between the parties, that the foregoing Recitals are a subs-
tantive 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. SUBRECIPIENTS'S OBLIGATIONS
A. Non -Profit Status - Representations and Warranties.
(1) SUBRECIPIENT acknowledges that its operations and the services it provides to
the community are subject to Subpart K, and, in some instance(s) Subpart J and/or Subpart M, of
the LBP Regs.
(2) SUBRECIPIENT acknowledges that its operations and the services it provides in-
clude: (a) acquisition, leasing, or ownership of residential property for the purpose of providing
affordable housing for persons with special needs, such as transitional housing, or (b) housing for
persons with special needs, such as the disabled, or (c) financial assistance to assist transitional
housing participants to move to permanent housing by paying for the first month's rent or securi-
ty deposit, or (d) tenant -based rental assistance to program participants who choose their own
housing units, and by provision of such services such housing is subject to the requirements of
the LBP Regs.
(3) Representations:
(a) Authority. SUBRECIPIENT is a duly organized and existing non-profit
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.
(b) Experience. SUBRECIPIENT is a qualified provider of the services to be
provided hereunder.
(c) Familiarity With Services Required. By executing this Agreement,
SUBRECIPIENT warrants that (i) it has thoroughly investigated and considered the services to
be performed and provided hereunder, (ii) it has carefully considered how the services should be
performed, and (iii) it fully understands the facilities, difficulties and restrictions attending per-
formance of the services under this Agreement, inclusive of compliance with the LBP REGS.
Should SUBRECIPIENT discover any latent or unknown conditions materially differing from
those inherent in the work or as represented by CITY, it shall immediately inform CITY of such
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fact and shall not proceed except at SUBRECIPIENT'S risk until written instructions are re-
ceived from CITY'S representative.
(d) 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.
(e) No Bankruptcy. SUBRECIPIENT is not the subject of any current or threat-
ened bankruptcy proceeding.
(f) No Pending Legal Proceedings. SUBRECIPIENT is not the subject of a cur-
rent or threatened litigation that would or may materially affect SUBRECIPIENT'S performance
under this Agreement.
(g) Application Veracity. All provisions of and information provided in
SUBRECIPIENT'S application for funding submitted to CITY including any exhibits are true
and correct in all material respects.
(h) No Pending Investigation. SUBRECIPIENT is not aware 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, that would relate to affect
performance of the Agreement or provision of services hereunder.
(4) Compliance with Subpart K of LBP Rees. Subpart K — Acquisition, Leas-
ing, Support Services, or Operation
(a) SUBRECIPIENT acknowledges and agrees that it shall comply with and im-
plement the requirements set forth in Title X and the LBP Regs to eliminate, as far as practicable,
LBP hazards in all residential property that is under its ownership, possession, or control and/or
residential property occupied by persons or families that receive financial or other assistance
from SUBRECIPIENT.
(b) SUBRECIPIENT shall provide a notice to all residents/occupants of residen-
tial property that is under its ownership, possession, or control and/or residential property occu-
pied by persons or families that receive financial or other assistance from SUBRECIPIENT in
accordance with Section 35.125 of the LBP Regs.
(i) SUBRECIPIENT acknowledges that in connection therewith a
visual assessment is not considered an evaluation for purposes of the LBP
Regs.
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(c) Notification (24 CFR 35.130). SUBRECIPIENT shall provide the LBP ha-
zard information pamphlet in accordance with Section 35.130 of the LBP Regs to all occupants,
owners, and purchasers of housing.
(i) The pamphlet shall be the EPA/HUD/Consumer Product Safety
Commission lead hazard information pamphlet or an EPA -approved equivalent.
The current form and version of the pamphlet is attached as Attachment No. l
to this Agreement.
(ii) SUBRECIPIENT shall cause to be disclosed to all purchasers
and lessees available information and knowledge regarding the presence of LBP
and LBP hazards prior to selling or leasing a housing unit in accordance with 24
CFR 35, Subpart A. The current form and version of such notice is attached as
Attachment No. 2 to this Agreement.
(iii) SUBRECIPIENT shall ensure that all occupants, owners, and
purchasers of housing be notified in writing of the results of the presumption of
LBP and/or LBP hazards, and results of any lead hazard evaluation, and any lead
hazard reduction work in accordance with 24 CFR 35, Subpart A. The current
form and version of such notice is attached as Attachment No. 3 to this Agree-
ment.
(d) Lead Hazard Evaluation (24 CFR 35.125). SUBRECIPIENT shall conduct
all activities described in Section 35.1015 relating to visual assessment, paint stabilization, risk
assessment, and maintenance with regard to all residential property that is under its ownership,
possession, or control and/or residential property occupied by persons or families that receive
financial or other assistance from SUBRECIPIENT, except for the exemptions described below
in section 4 (d)(i)(1).
(i) SUBRECIPIENT shall cause a visual assessment to identify de-
teriorated paint in all residential property that is under its ownership, possession, or control
and/or residential property occupied by persons or families that receive financial or other assis-
tance from SUBRECIPIENT.
(1)Section 35.115(a) provides exemptions from Subparts B
through R of the LBP Regs. including without limitation, (a) short term emergency assistance
lasting less than 100 days cumulatively is exempted from compliance with Subpart K as to such
short term rental assistance units, and (b) exemption for zero -bedroom units, including SRO
units, for which occupancy by a recipient of SUBRECIPIENT'S services is for less than 100
days, and (c) exemption for residential housing units constructed after January 1, 1978.
(ii) To the extent that the assistance provided by SUBRECIPIENT
to persons or households meets one or more of the exemptions set forth in the LBP Regs, then
compliance with the notification, evaluation, reduction, clearance and other requirements of the
LBP Regs is not required related to the subject housing unit due to such exemption.
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(iii) SUBRECIPIENT shall comply with the applicable provisions
of both Subpart K and Subpart M (Tenant Based Rental Assistance) of the LBP Regs. as to all
tenant -based long term housing assistance, i.e., assistance to persons/households residing in
housing units cumulatively for more than 100 days. If SUBRECIPIENT has knowledge that an
assisted family or household will occupy a dwelling unit for more than 100 days, the LBP Regs
require evidence of compliance prior to occupancy. Funding to be provided hereunder is condi-
tioned upon evidence of compliance.
(1) Subpart M applies to all dwelling units occupied to be
occupied by families or households that have one or more children of less than 6 years of age, as
well as the common areas servicing such dwelling units, and exterior painted surfaces associated
with such dwelling units or common areas. LBP compliance requirements relating to such dwel-
ling units includes, without limitation: notification, evaluation by visual assessment, paint stabi-
lization utilizing safe work practices, and clearance.
(2) CITY advises SUBRECIPIENT that in the event the
services provided hereunder include rental assistance payments, such as first and last month's
rent and/or security deposit, and the assisted tenant executes a lease for long term occupancy, in-
cluding occupancy in the same dwelling unit for more than 100 days, then the provisions of Sub-
part M (Tenant Based Rental Assistance), will apply (unless otherwise informed and directed by
HUD). In this regard, CITY advises SUBRECIPIENT that Subpart M requires HQS inspection
of each dwelling unit prior to occupancy and prior to compliance with applicable notification,
evaluation by visual assessment, reduction through paint stabilization utilizing safe work practic-
es, and clearance requirements of the LBP REGS.
(e) Lead Hazard Redaction Work. SUBRECIPIENT shall cause LBP hazard
reduction, such as paint stabilization, interim controls, standard treatments, or abatement of all
residential property that is under its ownership, possession, or control and/or residential property
occupied by persons or families that receive financial or other assistance from SUBRECIPIENT,
except as exempted as described in subsection 4(dxi)(1) above.
(1) If paint stabilization occurs, SUBRECIPIENT shall cause paint stabi-
lization of each deteriorated surface and clearance of residential units pursuant to Section
35.1330(a) and (b) shall occur before occupancy of a vacant dwelling unit, or where a unit is
occupied, immediately after receipt of the ESG FUNDS hereunder.
(2) Safe Work Practices shall be used in all LBP hazard reduction work.
(3) Clearance shall be conducted to confirm that no LBP hazards remain
when LBP hazard reduction work is complete. Confirmation of clearance by written certification
of a qualified inspector is required on an annual basis in connection with submittal of the April
15 quarterly report
(f) Ongoing Maintenance. SUBRECIPIENT shall incorporate ongoing LBP
maintenance activities into regular building operations in accordance with Section 35.1355(a) for
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all residential property that is under its ownership, possession, or control and/or residential prop-
erty occupied by persons or families that receive financial or other assistance from
SUBRECIPIENT, except as exempted as described in subsection 4(d)(i)(1) above.
(1) Ongoing maintenance includes confirmation of clearance which shall
be conducted to confirm that no LBP hazards remain when LBP hazard reduction work is com-
plete.
(2) Ongoing maintenance also includes confirmation of clearance by writ-
ten certification of a qualified inspector on an annual basis in connection with submittal of the
April 15 quarterly report.
(3) A part of such ongoing maintenance obligation includes notification of
the results of clearance confirmation and annual confirmation of clearance.
a. SUBRECIPIENT shall cause to be provided a notice to all oc-
cupants of all residential property that is under its ownership, possession, or control and/or resi-
dential property occupied by persons or families that receive financial or other assistance from
SUBRECIPIENT in accordance with Sections 35.125(b)(1) and (c), describing the results of the
clearance examination and the results of annual certification.
(g) Units Cleared Prior to Date of Agreement: Confirmation of Clearance.
In the event the requirements of the LBP REGS relating to lead hazard evaluation, lead hazard
reduction, and lead hazard clearance have been completed on the subject dwelling units prior to
the Date of Agreement, then the SUBRECIPIENT shall provide to the CITY with the April 15
quarterly report a certificate from a qualified inspector evidencing a recent inspection and con-
firmation of clearance of LBP and LBP hazards from the subject dwelling unit(s).
5. LBP Informational Summary. For purposes of information only and in no
respect intended to be a representation or warranty of the provisions of the LBP REGS, the CITY
has caused to be prepared an information summary relating to the LBP REGS and application to
dwelling units that may be occupied by recipients of services and/or funding from
SUBRECIPIENT under this Agreement. Attachment No. 4 to this Agreement, attached and he-
reby fully incorporated by this reference, is such information summary. CITY staff will coope-
rate with and make themselves available to SUBRECIPIENT to assist in implementation of
compliance with the LBP REGS as to residential dwelling units to be assisted by
SUBRECIPIENT. The parties acknowledge and agree the CITY is and shall not be liable or re-
sponsible for the accuracy of such summary, and the SUBRECIPENT is directed to the LBP
REGS and implementing guidance published and provided by HUD relating to compliance with
such LBP BEGS.
B. Amount of Grant: Quarterly Disbursement and Match Funds. The amount
granted to SUBRECIPIENT is $27.000 ("ESG FUNDS"), and such funds shall be expended by
SUBRECIPIENT on or before June 30.2010. The ESG FUNDS shall be disbursed by CITY to
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SUBRECIPIENT on a quarterly basis, subject to and upon receipt and approval of a complete
quarterly activity report, with the final payment subject to the satisfaction of the condition
precedent of submittal of complete reporting information due on or before July 15 of the applica-
ble funding year, as hereinafter more fully set forth. SUBRECIPIENT shall be obligated to per-
form such duties as would normally extend beyond the term, including but not limited to obliga-
tions with respect to indemnification, audits, reporting, data retention/reporting, and accounting.
In accordance with 42 USC 11375(a), SUBRECIPIENT agrees to match all federal funds
Provided by CITY to SUBRECIPIENT with an equal amount of funds from sources other than
these or other ESG funds. SUBRECIPIENT cannot use ESG funds from other jurisdictions in
order to meet this match requirement. Match documentation showing new, previously unused
match dollars, must be provided with each quarterly report.
C. Use of Funds. SUBRECIPIENT agrees to use said funds pursuant to this
Agreement to pay for necessary and reasonable costs allowable under the federal law and regula-
tions to operate said program only. Said amounts shall include and will be limited to, essential
services, homeless prevention, and/or operations costs. Allowable program costs are detailed in
the Budget, as set forth in "Exhibit B," attached hereto and by this reference incorporated herein.
SUBRECIPIENTS failure to perform as required may, in addition to other remedies set forth in
this Agreement, result in readjustment of the amount of funds CITY is otherwise obligated to pay to
SUBRECIPIENT pursuant to the terns hereof. SUBRECIPIENT agrees that the homeless shelter
and services under said program shall be made available for the entire period during which said
funds are provided.
D. Allowable Costs. SUBRECIPIENT agrees to complete said program on or before
and to use said funds to pay for necessary and reasonable costs allowable under the federal law and
regulations to operate said program. Said amounts shall include essential services, homeless
prevention, and/or operations costs. Other allowable program costs are detailed in the Budget, as
set forth in "Exhibit B," attached hereto and by this reference incorporated herein.
SUBRECIPIENT shall use all income received from said funds only for the same purposes for
which said funds may be expended pursuant to the terms and conditions of this Agreement
E. 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 SUBRECIPIENTs
operations hereunder. Such licensing requirements include obtaining a City business license, as
applicable.
F. Zoning. SUBRECEPIENT agrees that any facility/property used in furtherance of
said program shall be specifically zoned and permitted for such use(s) and activity(ies). Should
SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local,
state or federal rules and regulations relating thereto, SUBRECIPIENT shall immediately make
good -faith efforts to gain compliance with local, state or federal rules and regulations following
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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 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.
G. Separation of Accounts. All funds received by SUBRECIPIENT from CITY
pursuant to this Agreement shall be maintained separate and apart from any other funds of
SUBRECIPIENT, or of any principal or member of SUBRECIPIENT, in an account in a federally
insured banking or savings and loan institution with record keeping of such accounts maintained
pursuant to applicable legal requirements. No monies shall be withdrawn from such account except
for expenditures relating to essential services, homeless prevention and/or operations costs, as
authorized hereunder.
H. Audit Report Requirements. SUBRECIPIENT agrees that if SUBRECIPIENT
receives Five Hundred Thousand Dollars ($500,000.00) 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 October 1 of the year following
the program year in which this Agreement is executed. Further, SUBRECIPIENT shall comply
and/or cause compliance with audit report(s) required by applicable provisions of Title X and the
LBP Regs.
I. Record K=ing/Reporting. SUBRECIPIENT shall keep and maintain complete
and adequate records and reports to assist CITY in meeting and maintaining its record keeping
responsibilities under the ESG REGS, Title X, and the LBP Regs, including the following:
(1) Records
a. Documentation evidencing income level of persons and/or families par-
ticipating in or benefiting by the SUBRECIPIENT program.
b. Documentation of the number of persons and/or families participating in
or benefiting by the SUBRECIPIENT program.
c. Household information shall include number of persons, identification
of head of household, mce/ethnicity, age of children, seniors, income
verification.
d. Documentation of homelessness pursuant to 42 U.S.C. 11374(a)(4)
and 24 CFR 576.21.
e. Documentation of all ESG FUNDS received from CITY.
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f. Documentation of expenses as identified in the Budget Proposal, in-
cluding evidence of incurring the expense, invoices for goods or services, copies of
any and all contracts or documentation pertaining to costs for subcontractors, plus
all other invoices for which ESG FUNDS were expended, and payment therefor.
g. Any such other related records as CITY shall reasonably require or as
required to be maintained pursuant to the ESG REGS.
h. Documentation evidencing compliance with all applicable provisions
of Title X and the LBP Regs, in particular Subpart K and, as applicable Subpart J
and/or Subpart M.
(i) Specific documentation, as required, evidencing com-
pliance with all applicable provisions of such LBP Regs in-
cluding: (i) notification, including distribution of the lead ha-
zard information pamphlet (Attachment No. 1), disclosure and
notices of hazard evaluation and reduction (Attachments No. 2
and 3); (ii) evaluation of lead hazard(s), including paint test-
ing and risk assessment; (iii) reduction of lead hazard(s), in-
cluding safe work practices and clearance, and confirmation
of clearance; and (iv) ongoing maintenance, as and if appli-
cable for multifamily properties.
(ii) in this regard SUBRECIPIENT shall track information on
all persons/households assisted and the housing units assisted
with the ESG FUNDS. Attachment No. 5 hereto is a sample
form for tracking persons/households and housing units as-
sisted with the ESG FUNDS. All categories of information set
forth in such tracking form shall be prepared and submitted to
the CITY with the April 15 quarterly report.
(iii) In the event that such information and reports are not com-
plete and reasonably satisfactory information submitted in order
for CITY staff to review and evaluate compliance with applica-
ble ESG REGS and LBP Regs, then the final quarterly dis-
bursement payment shall be withheld from the
SUBRECIPIENT.
(iv) Documentation of clearance confirmation as provided
herein.
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(2) Reoorts
(i) Payment Request. Concurrently with the submittal of each
quarterly report, on or before the I Sth day of October, January,
April and July, SUBRECIPIENT shall submit both: an original
invoice and true copies of invoices, receipts, agreements or oth-
er documentation supporting and evidencing how the ESG
FUNDS have been expended during the applicable quarter.
(ii) Quarterly Activity Report: Including in such reports
evidence of compliance with all applicable provisions of Title X
and the LBP Regs, in particular Subpart K and, as applicable
Subpart J, as further described in subsection (d) hereinafter, and
Subpart M, if SUBRECIPIENT provides long term tenant -based
rental assistance. SUBRECIPIENT agrees to provide CITY with
written cumulative (year-to-date) reports of its activities on or
before the 15th day of October, January, April and July for the
period beginning July 1, and through and including the previous
three-month reporting period setting forth the activities, program
accomplishments, new program information and year-to-date
program statistics on expenditures, caseload and activities. When
appropriate, pictures should be included.
(iii) Quarterly certification of match, plus documentation of
match source.
(iv) Any such other reports as CITY (or HUD) shall reasonably
require and/or request, including but not limited to the following
information: monthly records of all ethnic and racial statistics of
persons and families benefited by SUBRECIPIENT in the per-
formance of its obligations under this Agreement, including, but
not limited to, the activities, program accomplishments, new pro-
gram information, match fund certification and current program
statistics on expenditures, caseload and activities. When appro-
priate, picwres/slides should be included-
(3) Recordkeepin of f Ongoing Maintenance under the LBP Reg s If the services and
program activities provided by SUBRECIPIENT hereunder establish an ongoing relationship
with a property (such as long term tenant based rental assistance program (Subpart M) or transi-
tional or permanent housing operated or administered by the SUBRECIPIENT), then the
SUBRECIPIENT shall provide a report to the CITY evidencing that SUBRECIPIENT and/or the
property owner(s), as applicable, has performed ongoing maintenance of the subject property.
Ongoing maintenance shall include evidence of an annual clearance certification of the subject
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residential property conducted by a DHS certified technician to ensure that LBP hazard reduction
measures are maintained. All maintenance activities shall be conducted to ensure the threat of
LBP hazards is minimized.
(4) Recordkeepine under the LBP Rees. The SUBRECIPIENT shall keep records of dis-
tribution of notifications, all visual assessment, evaluations, inspections, repairs, and any other
lead hazard evaluation, reduction, safe work practices, and clearance activities.
(a) The SUBRECIPIENT shall keep records evidencing distribution of all lead
hazard information pamphlet(s).
(b) The SUBRECIPIENT shall keep records evidencing each LBP evaluation re-
port, LBP hazard reduction documentations, (such as job specifications), and all clearance or ab-
atement report(s).
(c) The SUBRECIPIENT shall keep ongoing maintenance records and records of
relevant building operations for use during reevaluations of subject property for LBP and/or LBP
hazards.
1. Such records shall be maintained for not less than longer of
(A) four (4) years after the activities cease or (B) the period re-
quired by applicable program regulations. Under the ESG REGS
records shall be retained for not less than five (5) years after the ac-
tivities cease.
2. The SUBRECIPIENT shall provide a copy of any of the
above records to the CITY or to HUD upon request of either or
both.
(d) Tracking Report. If the SUBRECIPIENT has provided, or is providing, rental
assistance payments directed to a housing unit or housing units for more than 100 days, or it is
anticipated that during the last quarter of funding that such rental assistance payment will be for
more than 100 days, then the April 15 quarterly report shall contain information and evidence of
compliance with the requirements herein relating to tracking of housing units, cumulative days of
rental assistance, proper notifications to occupants and owners, HQS inspection, visual assess-
ment, work write-up, stabilization and clearance of LBP and LBP hazards, if any. The proposed
form of such tracking information is attached hereto as Attachment No. 5 and fully incorporated
by this reference. In the event such April 15 quarterly report does not fully satisfy the reporting
requirements set forth herein and in the LBP Regs, then the final installment payment of the
ESG FUNDS shall be withheld from disbursement to SUBRECIPIENT.
J. Access to Records. CITY and the United State Government and/or their representatives
shall have access for purposes of monitoring, auditing, and examining SUBRECIPIENT s activities
and performance, to books, documents and papers, and the right to examine records of
SUBRECIPIENTs subcontractors, bookkeepers and accountants, employees and participants in
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regard to said program. CITY and the United States Government and/or their representatives shall
also schedule on -site monitoring at their discretion. Monitoring activities may also include, but are
not limited to, questioning employees and participants in said program and entering any premises or
any site in which any of the services or activities funded hereunder are conducted or in which any of
the records of SUBRECIPIENT are kept. Nothing herein shall be construed to require access to any
privileged or confidential information as set forth in federal or state law.
K. Location of Records ftuired Length of Record Keeping. All accounting records,
reports, and evidence pertaining to all costs, expenses and the ESG 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 after completion of an audit in conformity with the ESG REGS, except as
hereinafter provided relating to retention of any records or documentation existing, created, or
maintained in compliance with Title X or the LBP Regs. 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. All records relating to, or created or
maintained in compliance with, Title X and/or the LBP Regs shall be retained and maintained by
SUBRECIPIENT indefinitely, including without limitation, all inspection report(s), disclosure
staternent(s), and clearance report(s). 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.
L. Compliance with Law Income. SUBRECIPIENT acknowledges that the
funds being provided by CITY for said program are received by CITY pursuant to applicable
ESG guidelines and that expenditures of these funds shall be in accordance with the ESG guide-
lines and all pertinent regulations issued by agencies of the federal government.
SUBRECIPIENT agrees to comply fully with all federal, state and local laws and court orders
applicable to its operation whether or not referred to in this Agreement, and all Program Re-
quirements. Program income received by SUBRECIPIENT shall be returned to CITY unless
otherwise provided for in this Agreement. SUBRECIPIENT agrees to comply fully with all fed-
eral, state and local laws and court orders applicable to its operation whether or not referred to in
this Agreement.
M. Standing. SUBRECIPIENT shall be in good standing, without suspension by the
California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in
the corporate status or suspension of SUBRECIPIENT shall be reported immediately to CITY.
N. Confidentiality. Without prejudice to any other provisions of this Agreement,
SUBRECIPIENT shall, where applicable, maintain the confidential nature of information pro-
vided to it concerning participants in accordance with the requirements of federal and state law.
SUBRECIPIENT certifies that it will develop and implement procedures to ensure the confrden-
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tiality of records pertaining to any individual provided family violence prevention or treatment
services under any project assisted under the Emergency Shelter Grants Program and that the ad-
dress or location of any family violence shelter project assisted under the Emergency Shelter
Grants Program will, except with written authorization of the person or persons responsible for
the operation of such shelter, not be made public (24 CFR 576.56). However, SUBRECIPIENT
shall submit to CITY and or HUD or its representatives, all records requested, including audit,
examinations, monitoring and verifications of reports submitted by SUBRECIPIENT, costs in-
curred and services rendered hereunder.
O. Independent Contractor. SUBRECIPIENT agrees that the performance of
obligations hereunder are rendered in its capacity as an independent contractor and that it is in no
way an agency of CITY.
P. 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 ESG 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
expenditure of the ESG funds granted hereunder, SUBRECIPIENT shall be required to reimburse
the CITY of all such funds that were obtained/spent under fraudulent circumstances.
Q. Equipment. SUBRECIPIENT agrees to maintain a record for each item of non -
expendable personal property acquired under the terms of this Agreement in accordance with 24
CFR 85.32. Said record shall be made available to CITY upon request. The term "non -expendable
personal property" shall include leased and purchased equipment.
R. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use
funds provided through this Agreement to pay for entertainment, meals or gifts.
S. Lobbying 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 C," 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.
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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 (see C-1).
T. Financial Interest. SUBRECIPIENT agrees that except for the use of ESG funds
to pay salaries and other related administrative or personnel costs, no persons who exercise or have
exercised any function with respect to ESG activities assisted 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 such activities, may obtain a financial interest or benefit from a ESG-assisted activity of
SUBRECIPIENT, 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 agencies, or the SUBRECIPIENT.
U. Davis -Bacon Act. All laborers and mechanics employed by contractors or
subcontractors in the performance of construction work, including alterations and repairs, in excess
of $2,000.00, financed in whole or in part with federal 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 276a - 276a-5. Any such construction contract
shall include and comply with the required contract provisions and rules set forth in 29 C.F.R. §5.5.
Further, the payroll reports (along with the "Statement of Compliance") and basic records are
required to be maintained and submitted, or made available, pursuant to 29 C.F.R. §5.5(a)(3). No
payment, advance, grant, loan or guarantee of funds shall be approved by the federal agency unless
there is on file with the agency a certification by the contractor that the contractor and its
subcontractors have complied with the provisions of 29 C.F.R. §5.5. A breach of the contract
clauses in 29 C.F.R. §5.5 may be grounds for termination of the contract, and for debarment as a
contractor/subcontractor, as provided in 29 C.F.R. §5.12. Labor standards interviews/investigations
shall be made as necessary to assure compliance [29 C.F.R. §5.6(a)(3)].
V. Homeless Involvement. SUBRECIPIENT certifies that it will involve, to the
maximum extent practicable, homeless individuals and families in constructing, renovating,
maintaining, and operating facilities assisted under the ESG program, and in providing services for
occupants of these facilities [24 CFR 576.56(b); 42 USC 11375(d)].
W. Drug Free Workplace. SUBRECIPIENT certifies that it has established the fol-
lowing drug -free workplace policy:
1. The unlawful manufacture, distribution, dispensing, possession or use of a con-
trolled substance is prohibited in the workplace for any employee involved in a federally funded
program.
15
5ro5
2. As an employee working in conjunction with a federally funded program, the em-
ployees of SUBRECIPIENT will be required to:
a) Abide by the terms above in statement 1.
b) Notify appropriate officials of SUBRECIPIENT and CITY officials of any
criminal drug statute conviction for a violation occurring in the workplace not later than five days
after such conviction.
3. The City and the United States Department of Housing and Urban Development
will be notified within ten days after receiving notice of any such violation.
4. Within 30 days of receiving such notice, appropriate personnel action will be tak-
en against such employee, up to and including termination.
5. Each such employee shall be required 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.
X. Expenditure of Funds: SUBRECIPIENT must spend all of its grant amount within 24
months of the grant award (24 CFR 576.35). Any funds not obligated within said timeframe
shall be reallocated.
II. CITY'S OBLIGATIONS
A. CITY shall pay to SUBRECIPIENT from funds received under the ESG when, if and
to the extent received from HUD, amounts expended by SUBRECIPIENT in carrying out said
program pursuant to this Agreement up to a maximum aggregate amount of Twenty -Seven
Thousand Dollars ($27,000) in installments determined by CITY. Payments shall be made to
SUBRECIPIENT through the submission of quarterly invoices (on or before the 15th day of Oc-
tober, January, April and July) in a form prescribed by CITY, detailing such expenses. CITY shall
pay such invoices within thirty (30) days after receipt thereof, provided CITY is satisfied that
such expenses have been incurred within the scope of this Agreement and that SUBRECIPIENT
is in compliance with the terms and conditions of this Agreement.
Costs incurred prior to the effective date of this Agreement, accrued as of the first day of
July 1, for purposes identified herein will be allowable for reimbursement upon presentation of
evidence of and invoices for such expenditures.
B. Audit: CITY shall include an audit of the account maintained by SUBRECIPIENT in
CITY's annual audit of all funds pursuant to the Code of Federal Regulations and other applica-
ble federal laws and regulations.
C. Common Rule: Pursuant to CFR 85.40(a), the CITY manages the day -today operations
of each grant and subgrant supported activities. CITY staff has detailed knowledge of the grant
16
5105
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.
D. Environmental Review: In accordance with 24 CFR 58, the CITY is responsible for
undertaking environmental review and maintaining environmental review records for each appli-
cable project.
E. Performance Monitoring: CITY shall monitor the performance of the
SUBRECIPIENT against goals and performance standards required herein. Substandard per-
formance as determined by the CITY will constitute non-compliance with this Agreement. If ac-
tion to correct such substandard performance is not taken by the SUBRECIPIENT within a rea-
sonable period of time after being notified by the CITY, contract suspension or termination pro-
cedures will be initiated.
III. NONDISCRIMINATION
SUBRECIPIENT agrees that no person on the ground of race, color, national origin, reli-
gion or sex will be excluded from participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity funded in whole or in part with ESG funds.
IV. CONFLICT OF INTEREST
Pursuant to the conflict of interest requirements set forth in 24 CFR 576.57 and OMB Circu-
lars 1-102 and A-110, SUBRECIPIENT agrees that no officer, employee, agent or assignee of
CITY having direct or indirect control of any ESG monies granted to the CITY, inclusive of the
subject ESG FUNDS, shall serve as an officer of SUBRECIPIENT. Further, any conflict or poten-
tial 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 mod-
ifications to its board of directors and list of officers
V. SPECIAL CERTIFICATION FOR RELIGIOUS ENTITIES
In addition to, and not in substitution for, other provisions of this Agreement regarding
said program using federal funds, SUBRECIPIENT:
A. Represents that it is, or may be deemed to be, a religious or denominational institution
or organization or an organization operated for religious purposes that is supervised or controlled
by or in connection with a religious or denominational institution or organization;
B. Agrees that, in connection with said program:
1. It will not discriminate against any employee or applicant for employment on the
17
MR,
basis of religion and will not limit employment or give preference in employment to persons on
the basis of religion;
2. It will not discriminate against any person applying for participation in said pro-
gram on the basis of religion and will not limit such participation or give preference to persons
on the basis of religion;
3. It will provide no religious instruction or counseling, conduct no religious worship
or services, engage in no religious proselytizing, and exert no other religious influence in said
program;
4. The funds received under this Agreement shall not be used to construct, rehabili-
tate, or restore any facility that is owned by SUBRECIPIENT and in which said program is to be
implemented; provided that, minor repairs may be made if such repairs (1) are directly related to
said program; (2) are located in a structure used exclusively for non -religious purposes and (3)
constitute in dollar terms only a minor portion of the federal fund expenditure for said program.
VI. CONDITIONS ON PROVISIONS OF DEVELOPMENT AND IMPLEMENTING
HOMELESS PREVENTION ACTIVITIES
In addition to, and not in substitution for, other provisions of this Agreement regarding
said program using federal funds, SUBRECIPIENT:
A. Represents that it is, or may be deemed to be, a Homeless Prevention Program [24
CFR 576.21(a)(4)] and will implement homeless prevention activities subject to the limitations
in 42 USC I I374(a)(4);
B. Agrees that, in connection with said program, if ESG funds are to be used to assist
families that have received eviction notices or notices of termination of utility services, the fol-
lowing conditions will be met:
1. The inability of the family to make the required payments must be the result of a
sudden reduction in income;
2. The assistance must be necessary to avoid eviction of the family or termination of
services to the family;
3. There must be a reasonable prospect that the family will be able to resume pay-
ments within a reasonable period of time; and
4. The assistance must not supplant funding for preexisting homeless prevention ac-
tivities from any other source.
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5105
VII. 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 "imme-
diate 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.
VIII. 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
Community Development Agency (M-25)
20 Civic Center Plaza
P.O. Box 1988
Santa Ana CA 92702-1988
TO SUBRECIPIENT: Jeffrey A. Thrash
Orange County Association for Mental Health
822 Town & Country Road
Orange, CA 92868
IX. ASSIGNABILITY
None of the duties of, or work to be performed by, SUBRECIPIENT under this Agree-
ment 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.
X. HOLD HARMLESS
SUBRECIPIENT shall defend, indemnify and save harmless CITY, its officers, agents,
employees, representatives and volunteers from and against any and all damages to property or
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, agents, employees, rep-
resentatives and volunteers from and against any and all claims, demands, suits, actions or pro-
ceedings of any kind or nature, including, but not by way of limitation, workers compensation
19
5105
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 SUBRECI-
PIENT's performance of this Agreement.
XI. TERMINATION
This Agreement may be terminated in accordance with Federal Register 24 CFR Part 576
as follows:
A. This Agreement may be terminated by CITY on thirty (30) days' written notice by ei-
ther party. In the event of such termination, SUBRECIPIENT shall only be entitled to reim-
bursement for approved expenses incurred to the effective date of termination.
B. This Agreement may be suspended or terminated by CITY upon five (5) days' written
notice for violation by SUBRECIPIENT of Federal, state and/or local laws governing the use of
Emergency Shelter Grant funds. Furthermore, the SUBRECIPIENT shall comply with the Con-
ditional Use permit requirements. For failure to comply with the aforementioned terms, suspen-
sion or termination shall result, and SUBRECIPIENT shall only be entitled to reimbursement for
approved expenses incurred up to the effective date of suspension or termination.
C. In the event SUBRECIPIENT defaults by failing to fulfill all or any of its obligations
hereunder, CITY may declare a default and termination of the 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 no-
tice, 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 pay-
ments made for services not subsequently performed in a timely and satisfactory manner, and (2)
costs incurred by CITY in obtaining substitute performance.
D. The grant of funds under this Agreement may be terminated for convenience.
E. 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 de-
scribed in Exhibits A and B or failure to meet the performance standards and program goals set
forth therein.
F. In the event this Agreement is terminated as set forth in Section X.A through X.E, in-
clusive, 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 under this Agree-
ment.
20
X1I. LIMITATION OF FUNDS
The United States of America, through HUD, may, in the future, place programmatic or
fiscal limitations on the use of ESG funds which limitations are not presently anticipated. Ac-
cordingly, CITY reserves the right to revise this Agreement in order to take account of actions
affecting HUD program funding. In the event of funding reduction, CITY may, in its sole and
absolute discretion, reduce the budget of this Agreement as a whole or as to costs category, may
limit the rate of SUBRECIPIENT's authority to commit and spend funds, or may restrict SUB-
RECIPIENT's use of both its uncommitted and its unspent funds. Where HUD has directed or
requested CITY to implement a reduction in funding, in whole or as to a cost category, with re-
spect 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 allowed to de -scope accordingly. Where CITY has reasonable grounds to question SUBRE-
CIPIENT's fiscal accountability, financial soundness, 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 le-
gally 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 HUD cash withdrawal guidelines.
XIII. INSURANCE
A. SUBRECIPIENT shall famish CITY's Clerk of the Council with an insurance certifi-
cate from its workers' compensation insurance carrier certifying that it carries such insurance and
that the policy shall not be canceled nor the coverage reduced except upon thirty (30) days prior
notice to CITY.
B. SUBRECIPIENT shall undertake self-insurance, or shall obtain, at its sole cost, a pol-
icy or policies of commercial general liability insurance, or equivalent form, with a combined
single limit of not less than $1 Million Dollars per occurrence.
Such insurance shall: (I) name the City of Santa Ana, its officers, agents, employees and
volunteers as additional insureds; (2) be primary with respect to insurance or self-insurance pro-
grams maintained by the CITY; (3) contain standard separation of insureds provisions; and (4)
give to CITY prompt and timely notice of claim made or suit instituted arising out of SUBRECI-
PIENT's operations hereunder.
SUBRECIPIENT shall: (i) 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; (ii) provide that such insurance shall
not be materially changed or terminated except on thirty (30) days prior written notice to the
21
Will
CITY; (iii) maintain such insurance for the period covered by this Agreement; and (d) replace
such certificates for policies expiring prior to the expiration of this Agreement.
XIV. EXCLUSIVITY AND AMENDMENT TO AGREEMENT
This Agreement supersedes any and all other agreements, either oral or in writing, be-
tween the parties hereto with respect to the use of CITY's ESG funds by SUBRECIPIENT and
contains all the covenants and agreements between the parties with respect to such employment
in any manner whatsoever. Each party to this Agreement acknowledges that no representations,
inducements, promises or Agreements, orally or otherwise, have been made by any party, or any-
one 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.
XV. 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.
XVI. VALIDITY
The invalidity in whole or in part of any provision of this Agreement shall not void or af-
fect the validity of any other provision of this Agreement.
XVH. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the power,
authority and right to bind their respective parties to each of the tennis 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.
b. All Exhibits and Attachments referenced herein and attached hereto shall be incorporated
as if fully set forth in the body of this Agreement.
c. No delay or omission by either party hereto to exercise any right or power accruing
upon any noncompliance or default by the other parry 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 oth-
er covenant, condition or agreement herein contained.
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IN WITNESS WHEREOF, the parties hereto have executed this Agreement on the date
and year first above written.
ATTEST:
J�'� PATRICIA E. HEALY
v Clerk of the Council
APPROVED AS TO FORM:
JOSEPH W.FLETCHER
City Attorney
By: LISA E. STORCK
Assistant City Attorney
DATED:
23
CITY OF SANTA ANA
a municipal corporation -
DAVID N. REAM
City Manager
SUBRECIPIENT:
Name A. THRASH
Title:Executi Director
Tax ID: 95-2036972
City of Santa Ana
Scope of Work
Name of Organization Orange County Association for Mental Health
Name of Funded Program City of Santa Ana Outreach
Annual Accomplishment Goal
1. Total number of unduplicated clients (Santa Ana and Non -Santa Ana Residents) anticipated to be served by the
funded program, named above, during the 12-month contract period.
F----2-0-001 Persons
II. Number of unduplicated Santa Ana residents expected to be served by the funded program during the 12-month
contract riod.
Persons
Program and Funding Description
III. Description of Work - In the space below, describe the program to be funded during the 12-month contract period.
What specific activities will be undertaken during the contract period. Please be concise in your response. Only the
viewable space will print.
the primary goals fof hte outreach program is to first, locatae, then engage the mentally -ill homeless of Santa
Ana and assess their social, mental and medical needs. Secondly, program staff will assist consumers in
accessing the mental health, social services and medical services that they need to improve their situations and
end their homelessness. An important by tertieary goal is to provide mental health expertise and networking
to services offerented by existing general homeless services providers in Santa Ana. The Outreach team will
egage 550 unduplicated homeless individuals in the City of Santa Ana over the course of the program year and
provide at least 3000 units of services to those involved in the program. Of the 550 unduplicated homeless
individuals engaged in the City of Santa Ana, 300 will be actively linked to the psychosocial, mental health and
medical services that they need to begin the process of ending their homelessness and provide them a more
successful and satisfying life. Through thiis grant, MHA will provide a half-time bilingual/bicultural spanish-
speaking Outreach Worker to the various existing sites providing services to the general homeless in Santa Ana
to assess for signs of mental illness and to act as a port of entry to obtaining mental health services. Homeless
Outreach will be provided by this bilingual outreach counselor exclusivelyto the City of Santa Ana and will
include street outhreach and ride-alongs with the Santa Ana Police, in addition to outreach to local homeless
providers, feeding centers and shelters of Santa Ana.
Schedule of Performance
Estimate the number of unduplicated Santa Ana residents to be served by the funded program during the 12-month
contract period per quarter. (Enter number of new Santa Ana clients served each quarter. If they were served in
quarter 1 do not count them again in quarter 2
Quarter 1: July 1 - September 30U550
Persons
Quarter 2: October 1 - December 31Persons
Quarter 3: January 1 - March 31 Persons
Quarter 4: April 1 -June 30 Persons
Total unduplicatedSanta Ana Residents to be served
Schedule of Invoicing
Estimate the amount of grant funds to be requested duringthe 12-month contract period on a quarterly basis.
Quarter 1: July 1 - September 30 M27000.00
Quarter 2: October 1 - December 31
Quarter 3: January 1 - March 31
Quarter 4: April 1 -June 30
Total Grant
Exhibit A
Page 1 of 1
City of Santa Ana
Performance Outcome Tracking
Activity/
Program
Outcome Tracking
Goal
HUD Outcome Tracking
HUD Goal
Supportive
Track individuals who
50% of individualsRamilies
Number of persons assisted:
Accessibility for the
Services for
received support services that
receiving support services
-with new access to a service
purpose of creating
ESG
were linked to one or more
will be linked to one or
-with improved access to a service
Suitable Living
additional support service
more additional support
-where activity was used to meet a
Environments
and/or appropriate housing.
service and/or appropriate
quality standard or measurably improved
housing.
quality, report the number that no longer
only have access to substandard service
Describe how you will gather the tracking information, noted above, for that activity.
Staff is responsible for the daily recording of homeless individuals on hte following program forms: Daily
Schedule of sites attended, Database form (new clients only), Client Track Record. All information is
input into a central Database (located in the Program office at 2416 S. Main Street, Santa Ana) where
statistical information is extracted as needed. Program Staff meet weekly to discuss program
participants, while processing individual service plans and to monitor ancillary services at a variety of
Santa Ana sites each week where homeless individuals gather for services.
The quantities outcome measurement will include all data pertaining to all areas of access client as
received from outreach program staff. These include, but are not limited to all pertinent reports to
programs as well as administrations to formulate other ways to help and guide clients to end
homelessness. The collection of data enables MHA to guide the staff in hand to get areas of access
clients we would not normally find.
Due to the sensitvitiy of being homeless and with a persistant mental illness accomplishments are
achieved, yet the timeline could have a number of variances. Although clients are reluctant to access
services with a sandwich or a bottle of water or even a friendly face seen time and time again clients can
become more comfortable and more willing to access services offered therefore starting the process to
end homelessness.
Exhibit A-1
Page 1 of 1
Organization Name
Program Name
Final Budget
Expenditures
for Mental Health
Category
Expenses Funded by
Santa Ana
Expenses Funded
by Other Sources
Total Program
Budget
Total Organizational
Budget
Administrative Staff
Salaries & Benefits
$ -
$
-
$
475,000
Program Staff Salaries &
Benefits
$ 27,000
$
116,000
$
143,000
$
4,200,000
Contractual/Professional
Services
$ -
$
-
$
1,200,000
Office Supplies
$
5,000
$
5,000
$
121,500
Rent
$
9,200
$
9,200
$
600,000
Communications
$
11,000
$
11,000
$
110,000
Utilities
$
-
Insurance
$
5,000
$
5,000
$
80,000
Other: List below
1 Travel
$
12,000
$
12,000
$
110,000
2 Program Supplies
$
8,000
$
8,000
$
150.000
3 Training
$
2,500
$
2,500
$
16,000
4 Repair & Maintenance
$
3,500
1 $
3,500
1 $
801000
5 Miscellaneous
$
12,000
1 $
12,000
$
252,000
Total
$ 27,000
1 $
184,200
$
211,200
1 $
7,394,500
LIST ALL OTHER PROGRAM FUNDS THAT HAVE BEEN SECURED
(Total Funds for Program must equal Total Program Budget above)
Source Amount
Santa Ana
$
27,000
NOFA
$
7,500
County of Orange
$
165,500
Donations
$
11,200
Total Funds for the Program
$
211,200
Exhibit B
Page 1 of 1
Funded Personnel
Name of Organization: Orange County Association for Mental Health
Name of Program City of Santa Ana Outreach
ADMINISTRATIVE STAFF
Position Title
(only list funded positions)
Annual
Salary
Annual
Benefits
Total
Compensation
Funds Requested
for this position
Percent of
time serving
Santa Ana
Maximum
Amount of
eligible
Compensation
No Funding Allowed Under ESG
$
$
$
$
$
$
Total Amount Requested
$
PROGRAM STAFF
Position Title
(only list funded positions)
Annual
Salary
Annual
Benefits
Total
Compensation
Funds Requested
for this position
Percent of
time serving
Santa Ana
-
Maximum
Amount of
eligible
Compensation
Outreach Worker
$ 30 685
$ 6 139
$ 36,824
$ 27,000
75%
$ 27 618.00
$
$
$
$
$
$
$
$
$
$
$
$
Total Amount Requested
$ 27,000
r nNTRACTI IAI JPRnFR.SSTnNAI. SERVICES
Type of Service
(only list funded services)
Annual Contract Amount
Total
Compensation
Funds Requested
for this position
Percent of
time serving
Santa Ana
Maximum
Amount of
eligible
Compensation
Total Amount Request
$
Exhibit B-I
Page 1 of 1
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/01
#DIV/01
#DIV/01
#DIV/01
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DTV/0!
#DIV/0!
#DIV/O!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DfV/0!
#DIV/0!
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
Name of Certifying Officer Signature Date
EXHIBIT C
Page 1 of 2
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 I.
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.
EXHIBIT C
Page 2 of 2
ACORD. CERTIFICATE OF LIABILITY INSURANCE DATE (MNIDVIYYYY)
07/15/2009
PRODUCER '(.949)700-8800 FAX (949)709-1668 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION
Comprehensive Insurance Services ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE
22342 Avenida Em resa HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR
P ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW.
Suite 255
RSM, CA 92688 INSURERS AFFORDING COVERAGE NAIC4
INSURED UISURERA: NONPROFITS' INSURANCE ALLIANCE DIP CA
Mental Health Association of Orange County INSURER B:
822 Towne•& Country Rd. INSURER C:
Orange, CA 92668 INBURERD:
COVERAGES
THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMEO ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING
ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAYBE ISSUED OR
MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH
POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
INBR
0.
DD
NBR
TYPE OF INSURANCE
POLICYNUMBfiR
POLICY EPPEOMS
POLICY EXPIRATION
LIMITS
OENERALLUBIUTY.
2009-68472-NPO
07J7.2/2009
07/12/2010
EACH OCCURRENCE
s 1 000 OOO
X COMMERCIAL GENERAL LIABILITY
CLAIMS MADE �X OCCUR
DAMA £T RE TEO
PREMIS• Ea occurrence
E SOO 00O
MEO EXP(My one poison)
a 20 000
PERSONAL SADV INJURY
$ 1,000,000
A
GENERAL AGGREGATE
3 2,000.00
GENT AGGREGATE LIMIT APPLIES PER:
PRODUCTS• COMP/OP ADD
F 2 ODO ODO
POUCY PRp X LOC
AUTOMOBILE
LIABILITY
ANYAUTO
2009-08472-NPO
07/IZ/2009
07/12/2010
COMBINED SINGLE LIMIT
(En aced I
$ 1,000,000
BODILY INJURY
ALL OWNED AUTOS
A
SCH EDULED AUTOS
(Perpenon)
BODILY INJURY
(Per acoldenl)
HIRED AUTOS
NON-0WNED AUTOS -
S
PROPERTYDAMAOE
(Peraccldenq
S
OARAOB LIABILITY
AUTO ONLY -EA ACC;Cc::
$
ANYAUTO
OTHER THAN EAACC
S
AUTO ONLY: AGO
EXCE881UMBRELULMBMIW
2009-08472-UMB-NPO
07/12/2009
07/12/2010
EACH OCCURRENCE
s 2 000 000
X OCCUR CLAIMS MADE
AGGREGATE
S 2,000,000
$
A
S
DEDUCTIBLE
S
X RETENTION F 10,000
WORKERS COMPEHBATION
AND B IPLOYERW LIABILITY
ANY PROPRIETOR/PARTNER/EXECUTIVE YIN
OFFICER/MEMBER EXCLUDED?
&_
TORwo ST T - OTH•
EL EACHACCIDENT
$
EL DISEASE - EA EMPLOYEE
S
(Mandarory In NH)
fflyas, de,aIbe under
SPECIAL PROVISIONSbelew
EL DISEASE -POLICY LIMIT
S
OTHER
Assi
is Attcrney
DESCRIPTION OF OPERATIONS /LOCATW NS /VEHICLES / BXCLUSIONS ADDED BY EHOOR8B11ENT/ aPECIAL PROW elONB
ERTIFICATE HOLDER IS NAMED AS ADDITIONAL PER ATTACHED AGREEMENT
EXCEPT 10 DAYS FOR NON-PAYMENT
SLaJ4F1.
CITY OF SANTA ANA, ITS OFFICERS, AGENTS AND
EMPLOYEES
ATTN: FRANK HERNANDEZ
20 CIVIC CENTER PLAZA, M-25
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION
DATE THEREOF, THE ISSUING INSURER WILL*XXXOHS)FII MAIL *30 DAYSWRITTEN
NOTICE TO THE CERTIFICATE HOLDER HAMAD TO THE LEFT, X&VAXx"7I6&a*MX&
K#KikWb`N§Yi6Xi[dLXd�LYe4%DF761IXK9(ifii(d(IYd614JtXdCWKJ6ItKXiCcKYT1Kik5'6X ',
AUTHORIZED REPRESENTATIVE
Richard Evnon. CIC/IEREMY -B•�Z!
reserved.
The ACORD name and logo are registered marks of ACORD
IMPORTANT
If the certificate holder Is an ADDITIONAL INSURED, the pollcy(tes) must be endorsed. A statement
on this certificate does not confer rights to the certificate holder In Ileu of such endorsement(s).
If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may
require an endorsement. A statement on this certificate does not confer rights to the certificate _
holder In lieu of such endorsement(s).
DISCLAIMER
This Certificate of Insurance does not constitute a contract between the Issuing insurar(s), authorized
representative or producer, and the certificate holder, nor does It affirmatively or negatively amend,
extend or alter the coverage afforded by the policies listed thereon.
ACORD
Insurance Company NONPROFITS INSURANCE ALLIANCE OF CA
agreement
This
=xWmwrr=t modifies such insurance as is afforded by the provislons of Policy
# '2nno 0o�, relating to the following;
1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California
92701; its officers, employees, agents and volunteers are named as additional insureds,
("additional Insureds") with regard to liability and defense of suits arising from the
operations and uses performed by or on behalf of the named insured.
2. With respect to claims arising out of the operations and uses performed by
or on behalf of the named insured, such insurance as Is afforded by this policy is
primary and is not additional to or contributing with any other insurance carried by or for
the benefit of the additional insureds.
PLEASE REFER
TO CG0001 PORTION OF THE POLICY ATTACHED
4. With respect to the additional insureds, this insurance shall .not be
canceled, or materially reduced in coverage or limits except after thirty (30)kdays written
notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana,
California 92701. *EXCEPT 10 DAYS FOR NON-PAYMENT OF PREMIUM
(Completion of the following, including countersignature, is required to make this
endorsement effective.)
agreement
Effective 7/12/2009 this I00idlibrm as a part of
Policy* 2009J18472 NPO
Issued to MENTAL HEALTH ASSOCIATION OF ORANGE COUNTY
Named Insured
Countersigned by��=�
Authorized Representative
("l
n
COMMERCIAL GENERAL LIABILITY
CG 00 0107 98
COMMERCIAL GENERAL LIABILITY COVERAGE FORM
Various provisions in this policy restrict coverage.
Read the entire policy carefully to determine rights,
duties and what Is and Is not covered.
Throughout this policy the words "you" and "your" refer
to the Named Insured shown in the Decimations, and
any other person or organization qualifying as a
Named Insured under this policy. The words "we", "us"
and "our" refer to the company providing this insur-
ance.
The word "insured" means any person or organization
qualifying as such under Section II — Who Is An In-
sured.
Other words and phrases that appear in quotation
marks have special meaning. Refer to Section V —
Definitions.
SECTION I — COVERAGES
COVERAGE A BODILY INJURYAND PROPERTY
DAMAGE LIABILITY
Insuring Agreement
a. We will pay those sums that the insured be-
comes legally obligated to pay as damages be-
cause of "bodily injury' or "properly damage" to
which this insurance applies. We will have the
right and duty to defend the Insured against any
"suit" seeking those damages. However, we will
have no duly to defend the insured against any
"suit" seeking damages for "bodily Injury' or
"property damage" to which this Insurance does
not apply. We may, at our discretion, Investi-
gate any "occurrence" and settle any claim or
suit" that may result. But:
(1) The amount we will pay for damages is
limited as described in Section lit — Limits
Of Insurance; and
(2) Our right and duly to defend end when we
have used up the applicable limit of Insur-
ance in the payment of judgments or set-
tlements under Coverages A or B or medi-
cal expenses under Coverage C.
No other obligation or liability to pay sums or
perform acts or services Is covered unless ex-
plicitly provided for under Supplementary Pay-
ments — Coverages A and B.
b, This Insurance applies to "bodily injury" and
"property damage" only If.-
(1) The "bodily injury" or "property damage" is
caused by an "occurrence" that takes place
In the "coverage territory"; and
(2) The "bodily Injury" or "property damage"
occurs during the policy period..
c. Damages because of "bodily Injury" Include
damages claimed by any person or organize -
lion for care, loss of services or death resulting
at any time from the "bodily injury".
2. Exclusions
This Insurance does not apply to:
a. Expected Or Intended Injury
"Bodily injury" or "property damage" expected
or Intended from the standpoint of the insured.
This exclusion does not apply to "bodily Injury"
resulting from the use of reasonable force to
protect persons or property.
b. Contractual Liability
"Bodily Injury" or "property damage" for which
the Insured Is obligated to pay damages by
reason of the assumption of liability in a con-
tract or agreement.. This exclusion does not
apply to liability for damages:
(1) That the Insured would have In the absence
of the contract or agreement; or
(2) Assumed in a'contract or agreement that is
an "Insured contract", provided the "bodily
Injury' or "property damage" occurs subse-
quent to the execution of the contract or
agreement. Solely for the purposes of liabil-
ity assumed in an "Insured contract", rea-
sonable attorney fees and necessary Riga -
lion expenses incurred by or for a party
other than an insured are deemed to be
damages because of "bodily Injury" or
"property damage", provided:
(a) liability to such party for, or for the cost
of, that party's defense has also been
assumed In the same "Insured contract";
and
CG 00 0107 98 Copyright, Insurance Services Office, Inc., 1997
Pagel of 13 O
(b) Such attorney fees and litigation ex-
penses are for defense of that party
against a civil or alternative dispute reso-
IuOon proceeding In which damages to
which this Insurance applies are alleged.
c. Liquor Liability
"Bodily injury" or "property damage" for which
any insured may be held liable by reason of:
(1) Causing or contributing to the Intoxication of
any person;
(2) The furnishing of alcoholic beverages to a
person under the legal drinking age or un-
der the influence of alcohol; or
(3) Any statute, ordinance or regulation relating
to the sale, gift, distribution or use of alco-
holic beverages.
This exclusion applies only If you are in the
business of manufacturing, distributing, selling,
serving or furnishing alcoholic beverages.
d. Workers' Compensation And Similar Laws
Any obligation of the insured under a workers'
compensation, disability benefits or unemploy-
ment compensation law or any similar law.
e. Employer's Liability
"Bodily injury' to:
(1) An "employee" of the Insured arising out of
and in the course of:
(a) Employment by the Insured; or
(b) Performing duties related to the conduct
of the Insured's business; or
(2) The spouse, child, parent, brother or sister
of that "employee" as a consequence of
Paragraph (1) above.
This exclusion applies:
(1) Whether the insured may be liable as an
employer or in any other capacity; and
(2) To any obligation to share damages with or
repay someone else who must pay dam-
ages because of the Injury.
This exclusion does not apply to liability as-
sumed by the insured under an "insured con-
tract".
Page 2 of 13
f. Pollution
(1) "Bodily injury' or "property damage" arising
out of the actual, alleged or threatened dis-
charge, dispersal, seepage, migration, re-
lease or escape of "pollutants":
(a) At or from any premises, site or location
which is or was at any time owned or
occupied by, or rented or loaned to, any
Insured, However, this subparagraph
does not apply to:
(i) "Bodily injury" if sustained within a
building and caused by smoke,
fumes, vapor or soot from equipment
used to heat that building;
(II) "Bodily injury' or "properly damage"
for which you may be held liable, if
You are a contractor and the owner
or lessee of such premises, site or
location has been added to your pol.
Icy as an additional Insured with re-
spect to your ongoing operations per-
formed for that additional insured at
that premises, site or location and
such premises, site or location is not
and never was owned or occupied
by, or rented or loaned to, any in-
sured, other than that additional In-
sured; or
(III) "Bodily injury' or "property damage"
arising out of heat, smoke or fumes
from a "hostile fire";
(b) At or from any premises, site or location
which is or was at any time used by or
for any insured or others for the han-
dling, storage, disposal, processing or
treatment of waste;
(c) Which are or were at any time trans-
ported, handled, stored, treated, dis-
posed of, or processed as waste by or
for any Insured or any person or argent-
zation for whom you may be legally re-
sponsible; or
Copyright, insurance Services Office, Inc., 1997 CG 00 0107 08 11
SECTION IV— COMMERCIAL GENERAL LIABILITY
CONDITIONS
1. Bankruptcy
Bankruptcy or Insolvency of the Insured or of the
insured's estate will not relieve us. of our obliga-
tions under this Coverage Part.
2. Duties In The Event Of Occurrence, Offense,
Claim Or Suit
b. To sue us on this Coverage Part unless all of
Its terms have been fully compiled with.
A person or organization may sue us to recover on
an agreed settlement or on a final judgment
against an Insured obtained after an actual trial;
but we will not be liable for damages that are not
payable under the terms of this Coverage Part or
that are in excess of the applicable limit of insur-
ance. An agreed settlement means a settlement
a, You must see to It that we are notified as soon and release of liability signed by us, the insured
as practicable of an "occurrence" or an offense and the claimant or the claimant's legal represen-
which may result in a claim. To the extent pos- tative.
sible, notice should Include: 4, Other Insurance
(1) How, when and where the "occurrence" or If other valid and collectible insurance is available
offense took place; to the insured for a loss we cover under Cover-
(2) The names and addresses of any Injured ages A or B of this Coverage Part, our obligations
persons and witnesses; and are limited as follows:
(3) The nature and location of any injury or a. Primary Insurance
damage arising out of the "occurrence" or This insurance is primary except when b. below
offense. applles. If this Insurance is primaryour oblige -
b. If a claim is made. or "suit" Is brought against
any insured, you must:
-(1) immediately record the specifics of the
claim or "suit" and the date received; and
(2) Notify us as soon as practicable.
You must see to It that we receive written no-
tice of the claim or "suit" as soon as practica-
ble.
c. You and any other involved insured must:
(1) Immediately send us copies of any de-
mands, notices, summonses or legal pa-
pers received In connection with the claim
or "suit';
(2) Authorize us to obtain records and other
Information;
(3) Cooperate with us in the investigation or
settlement of the claim or defense against
the "suit"; and
(4) Assist us, upon our request, In the en-
forcement of any right against any person or
organization which may be liable to the In-
sured because of Injury or damage to which
this Insurance may also apply.
d. No insured will, except at that Insured's own
cost, voluntarily make a payment, assume any
obligation, or Incur any expense, other than for
first aid, without our consent.
3. Legal Action Against Us
No person or organization has a right under this
Coverage Part:
a. To join us as a party or otherwise bring us Into
a "suit" asking for damages from an insured; or
tions are not affected unless any of the other
insurance is also primary. Then, we will share
with all that other Insurance by the method de-
scribed in c. below.
b. Excessinsurance
This insurance is excess over:
(1) Any of the other Insurance, whether pri-
mary, excess, contingent or on any olhar
basis:
(a) That is Fire, Extended Coverage,
Builder's Risk, Installation Risk or similar
coverage for "your work";
(b) That is Fire insurance for premises
rented to you or temporarily occupied by
you with permission of the owner;
(c) That is insurance purchased by you to
cover your liability as a tenant for "prop-
erty damage" to premises rented to you
or temporarily occupied by you with
permission of the owner; or
(d) If the loss arises out of the maintenance
or use of aircraft, "autos" or watercraft to
the extent not subject to Exclusion g. of
Section I — Coverage A — Bodily Injury
And Property Damage Liability.
(2) Any other primary Insurance available to
you covering liability for damages arising
out of the premises or operations for which
you have been added as an additionalin-
sured by attachment of an endorsement,
CG 00 0107 98 Copyright, insurance Services Office, Inc., 1997
Page 9 of 13 ❑