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97-090 County of Santa Clara-Community Development Block Grant (CDBG) 97/98 l t r COMMUNITY DEVELOPMENT BLOCK GRANT COUNTY/CITY CONTRACT Contract No. CU-98-00 THIS Contract is made and entered into by and between the COUNTY OF SANTA CLARA, a political subdivision of the State of California (hereinafter "COUNTY"), and the CITY/TOWN OF CUPERTINO (hereinafter "CITY") participating as a member of the County of Santa Clara COMMUNITY DEVELOPMENT BLOCK GRANT (hereinafter "CDBG") Joint Powers Agreement. The allocation of funds pursuant td this Contract shall be a grant. COUNTY approved the allocation and disbursement of CDBG funds to CITY on May 6. 1997 WITNESSETH WHEREAS, COUNTY has received CDBG Entitlement Program funds from the United States Department of Housing and Urban Development (hereinafter HUD) as an entitlement jurisdiction pursuant to the provisions of Title 1 of the Housing and Community Development Act of 1974, as amended; and, • WHEREAS, COUNTY has agreed to the use by CITY, as a subrecipient, of a portion of COUNTY'S CDBG entitlement for a housing program to be operated within COUNTY and which shall benefit low and very low income households; • NOW, THEREFORE, the parties agree as follows; • I. PROGRAM COUNTY agrees to allocate a portion of its CDBG entitlement, and/or program income as defined in 24 CFR 570 Subpart J, "Grant Administration" (570.504), to the CITY, as a subrecipient of the County . being the sum of Two Hundred Fifty Thoucand Fnur Hundred Twenty-Two Dollars and Ninety-Six Cents Dollars ($ 250,422.96 for the purpose of reimbursing the .City for costs incurred .to implement the housing program (hereinafter "PROGRAM"). A lump sum figure is allocated for this contract and the parties understand and agree that the • 1 en- allocation is distributed by the COUNTY through reimbursing the CITY for allowed expenses, and no lump sum distribution of CDBG •funds is made at the outset of this contract. Reimbursement for fiscal year 1997/98 shall not exceed the total sum of the beginning fiscal year Cash Control Sheet (fiscal year CDBG allocation of funds to CITY, and roll-over. of unexpended • .CDBG funds from previous years allocations to CITY.) CITY is granted authority to also expend funds for eligible CDBG Housing activities from its approved rehabilitation program revolving loan fund account, including accrued Program Income. Such authority is based on CITY being in compliance with all Federal Rules and Regulations governing the CDBG PROGRAM, and the COUNTY CDBG Reallocation Guidelines. • As a condition to this conitact CITY shall submit numerous exhibits marked as noted herein, attached to this contract, incorporated by this reference, as though fully set forth as follows: Exhibit "A" (Agency Description), Exhibit "B" (Project Work Plan), Exhibit "C" (Proposed Implementation Time Schedule) Exhibit "D" (Budget), Exhibit "E" (Certifications), Exhibit "F" (Assurances), and Exhibit "G" (Insurance), or an equivalent acceptable format for providing this information, for all allocated CITY projects awarded funding during fiscal year 1997/98 . The approved versions of such submittals shall become a part of this Contract by being attached hereto and by this reference incorporating such submittals. II. TERM A. The purpose of this Contract is for the COUNTY to disburse CDBG funds. Unless amended prior to it's expiration, the term of this Contract for disbursement purposes shall begin on July 1. 1997 and shall terminate on June 30, 1998 or unless terminated earlier pursuant to Section V or Section VII of this Contract. Invoices requesting disbursements submitted after the expiration of the contract will be honored only for charges incurred during the contract term. B. The term of expenditure by City for the grant amount provided for herein shall begin on July 1, 1997 and terminate on the earliest of the following dates as set forth herein: June 30, 1998 , or later date per amendment to this Contract; the date of .the expenditure of 2 the total grant, and/or program income amount provided for herein; upon the termination date established pursuant to Section V or Section VII of this Contract. III. OBLIGATIONS OF CITY A. City shall: • 1 . Provide COUNTY with written certification that the following information will be on file at the CITY offices, and will be subject to monitoring by HUD and/or COUNTY HCD staff, or their representatives. a. Names and addresses of the current CITY Manager and CITY Councilmembers; b. Copy, of CITY'S approved Affirmative Action Plan; and c. Records of all CITY Council meetings dealing with CDBG matters. 2. CITY shall provide COUNTY with information and housing objectives for the Urban County Comprehensive Housing Affordability strategy (CHAS) and/or the Consolidated Plan upon request at the beginning of each program year. B. Program Performance by CITY. CITY shall: 1 . Conduct the PROGRAM within Santa Clara County, for the purpose of benefiting low and very low income households. 2. File quarterly reports with COUNTY on the type and number of services rendered through the operation of the PROGRAM and a description of the beneficiaries of these services, which reports shall evaluate the manner in which the PROGRAM is achieving its objectives and goals as a participating non-entitlement city. • 3 C. Fiscal Responsibilities of CITY. CITY shall: 1 . Appoint and submit the name of the CITY managerial staff who shall be responsible for the financial and accounting CDBG activities of CITY, including the receipt and disbursement of CITY CDBG funds. The COUNTY shall immediately be notified in writing of the appointment of a new fiscal agent and that agent's name, and CITY will submit three (3) new signature cards if applicable. 2. Establish and maintain an accounting system that shall be in conformance with generally accepted principles of accounting. The accounting system shall be subject to review and approval of COUNTY. - 3. Document all PROGRAM costs by maintaining records in accordance with Section III, Paragraph D below. 4. Submit to the COUNTY request for reimbursement, as needed, supported by documentation as agreed to by CITY and COUNTY. 5. Certify current and continuous insurance coverage of CITY, subject to approval of COUNTY and in accordance with requirements as outlined in Exhibit "G" (Insurance); and obtain certificate of sufficient insurance from all subrecipients which shall list CITY as additional insured. 6. Subparagraph C. 1) through 5) above are express conditions precedent to disbursement of any COUNTY funding and failure to comply with these conditions may, at the discretion of COUNTY, result in the suspension of funding or termination of specific projects in non- • compliance; or initiate the suspension of funding or termination of this Contract as provided for herein. 7. CITY is liable for repayment of all disallowed costs and ineligible activities. Disallowed costs and ineligible activities may be identified through audits, monitoring or others sources. CITY shall be required to respond to any adverse findings which may lead to disallowed costs, subject to provisions of OMB Circular A-87, "Cost Principles for State and Local Governments", and A-128, "Single 4 Audits of State and Local Governments". CITY shall be required to respond to any adverse findings which may lead to ineligible activities, subject to provisions of 24 CFR Part 570.201 -206 "Eligible Activities" and 24 CFR Part 570-207 "Ineligible Activities". D. Establishment and Maintenance of Records. CITY shall: 1 . Maintain complete and accurate records of all its CDBG transactions including, but not limited to, contracts, invoices, time cards, cash receipts, vouchers, canceled checks, bank statements, client statistical records, personnel, property and all other pertinent records sufficient t6 reflect properly: a. All direct and indirect costs of whatever nature claimed to have been incurred .or anticipated to be incurred to perform this Contract or to operate the PROGRAM; and b. All other matters covered by this Contract. E. Preservation of Records. CITY shall preserve and make available its records: 1 . Until the expiration of five years from the date of final payment to CITY under this Contract; or 2. For such longer period, if any as is required by applicable law; or 3. If this Contract is completely or partially terminated, the records relating to the work terminated shall be preserved and made available for a period of five years from the date of termination. F. Examination of Records: Facilities. At any time during normal business hours, and as often as may be deemed reasonably necessary, CITY agrees that HUD and the. COUNTY, and/or any duly authorized representatives may until expiration of: (a) five years after final payment is made pursuant to this Contract, (b) five years from the 5 date of termination of this Contract, or (c) such longer period as may be prescribed by law: have access to and the right to examine Subrecipient CDBG records and facilities. The CITY shall provide . language in it's Contracts with all Subrecipients stipulating that at any time during normal business hours, and as often as may be deemed reasonably necessary, Subrecipient agrees that HUD and the COUNTY, and/or any duly authorized representatives may until expiration of: (a) five years after final payment is made pursuant to this Contract, (b) five years from the date of termination of this Contract, or (c) such longer period as may be prescribed by law: have access to and the right to examine Subrecipient CDBG records and facilities. CITY also agrees that COUNTY or any duly authorized representatives sha have the right to audit, examine, and make excerpts or transactions of and from, such records and to make audits of all contracts and subcontracts, invoices, payrolls, records of personnel, conditions of employment, materials and all other data relating to the PROGRAM and matters covered by this Contract. CITY will be notified in writing of intended audits. CITY will be notified in writing of intended inspections of records and facilities and of intended audits no less than three business days before such inspections or audits. CITY will be required to respond in writing to the HCD Program Manager to any audit findings, and have the . responses included in the final audit report. The cost of any such audit will be borne by COUNTY. G. Compliance with Law. CITY staff shall become familiar and comply with and require all its subcontractors, independent contractors and employees, if any, to become familiar and comply with all applicable Federal, State and local laws, ordinances, codes, Regulations and decrees including, but not limited to, those Federal rules and Regulations, executive orders, and statutes identified in "F" ASSURANCES. Specifically, CITY shall comply with the requirements of OMB Circular No. A-87, "Principles for Determining Costs Applicable to Grants and Contracts with State, Local and Federally recognized Indian Tribal Governments", and OMB Circular A-128 "Audits of State and Local Governments". In addition, CITY will comply•with Federal Regulations as cited in 24 CFR Part 570, Subpart J, and 24 CFR Part 85, and all other local, 6' • State or Federal laws applicable to this PROGRAM. IV. OBLIGATIONS OF COUNTY A. Method of Payment. During the term of this Contract, COUNTY shall reimburse CITY for all allowable costs and expenses incurred in connection with the PROGRAM, not to exceed the total sum of the beginning fiscal year Cash Control Record plus all Program Income accrued during the fiscal year. Reimbursement for eligible expenses will be paid by COUNTY within thirty days (30) of the date the reimbursement request is received by COUNTY HCD staff, under the provision that the CITY has complied with all PROGRAM regulations, and contract conditions agreed to by CITY and COUNTY. Reimbursement may be held back, in part or in full, by COUNTY, in the event of CITY'S non-compliance to PROGRAM regulations and conditions. Substantial non-compliance includes, but is not limited to, incomplete documentation of expenses, failure to submit adequate documentation of PROGRAM progress as described in III, paragraph B.2, of this Contract, failure to provide and maintain an accounting system that shall be in conformance with generally accepted principles of accounting, or based on the suspension or termination of the Grant to COUNTY made pursuant to the Housing and Community Development Act of 1974, as amended. B. In the case of CITY substantial non-compliance prior to exercising any recourse authorized herein, COUNTY shall initiate the following procedure: 1 . Notify the CITY Coordinator in writing of the alleged substantial non-compliance and request an immediate meeting between CITY Coordinator and COUNTY HCD Program Manager to resolve issue(s). If issue(s) is(are) not resolved satisfactorily • within thirty (30) days, notify CITY Manager in writing requesting an immediate meeting between CITY Manager, CITY Coordinator and COUNTY HCD Program Manager to resolve the issue(s). 7 • 2. Determine if any portion of the reimbursement request meets all eligible criteria, and if so, authorize payment for the eligible portion of the reimbursement request; 3. Review the procedure to be followed under V. C. of this Contract (CONTRACT COMPLIANCE, Corrective Action Procedure); and '4. If applicable, forward a written report to HUD's Regional Office detailing the substantial non-compliance issues and the steps being instituted to correct performance, copy to the CITY Manager. C. Compliance with Law. COUNTY shall become familiar and comply with and require all its subcontractors and employees, if any, to become familiar and comply with all applicable Federal, State and • local laws, ordinances, codes, regulations and decrees including, but not limited to, those Federal rules and regulations, executive orders, and statues identified in "F" ASSURANCES. Specifically, COUNTY shall comply with the requirements of OMB Circular No. A-87, "Principles for Determining Costs Applicable to Grants and Contracts with State, Local, Federally recognized Indian Tribal Governments", and OMB Circular A128 "Audits of State and Local Governments". In addition, COUNTY will comply with Federal Regulations as cited in 24 CFR Part 570, Subpart J, and 24 CFR Part 85, and all other Local, State or Federal laws applicable to this PROGRAM. V. CONTRACT COMPLIANCE A. Monitoring and Evaluation of Services. Evaluation and monitoring of the PROGRAM performance shall be the mutual responsibility of both COUNTY and CITY, with the understanding that HUD looks to COUNTY as the sole responsible party for meeting PROGRAM requirements. CITY shall furnish data, statements, records, information and reports as mutually agreed to by CITY and COUNTY as necessary for COUNTY to monitor, review and evaluate the performance of the PROGRAM and its components. COUNTY shall have the right to request 8 the services of an outside agent to assist in any such evaluation. Such services shall be paid for by COUNTY. B. Contract Non-compliance. If CITY fails to comply with any provision of this Contract (24 CFR 85.43 "Enforcement") COUNTY shall have the right to terminate this contract or to require corrective action to enforce compliance with such provision. Examples of non-cortipliance include but are not limited to: 1 . If CITY knowingly has made any material misrepresentation of any nature with respect to any information or data furnished to COUNTY in connection with the PROGRAM. 2. If there is pending litigation with respect to the performance by CITY of any of its duties or obligations under this Contract which may materially jeopardize or adversely affect the undertaking of or the carrying out of the PROGRAM. The CITY and COUNTY may negotiate a reinstatement of this Contract following termination or conclusion of such litigation. 3. If CITY has taken any action pertaining to the PROGRAM, which action required COUNTY approval, and such approval was not obtained. 4. If CITY is in default under any provision of this Contract. 5. If CITY makes improper use of COUNTY funds. 6. If CITY fails to meet all provisions of the COUNTY CDBG Reallocation Guidelines, or Joint Powers Agreement. C. Corrective Action Procedure. Once non-compliance is established the following procedure shall be initiated: 1 . COUNTY HCD Program Manager and CITY Manager shall negotiate a time frame and course of action for correcting the non- compliance; 9 . 1 2. Under this Contract, CITY shall provide COUNTY with a written plan and time frame for correcting the non-compliance issue (s). Such plan shall be submitted by CITY to COUNTY within thirty (30) days of the initial non-compliance meeting between CITY and COUNTY. 3. CITY must initiate the corrective action procedure within sixty (60) days of the initial non-compliance meeting between the COUNTY HCD Program Manager and the CITY Coordinator (COUNTY, at their discretion, may extend this time line for extenuating circumstances); 4. COUNTY shall -riave the right to require the presence of CITY officers at any hearing or meeting called for the purpose of considering corrective action; and 5. CITY has the right to appeal all findings of non-compliance, and subsequent corrective action, with both the COUNTY Board of Supervisors and HUD. D. Termination for Cause. Notwithstanding anything to the contrary contained in the foregoing, COUNTY may terminate or suspend this Contract by written notice to CITY for any of the following reasons: 1 . The non-compliance issue(s) as set forth in Section V, B have not been addressed and resolved within the aforementioned corrective action plan time period; 2. If CITY is in bankruptcy or receivership; 3. If a member of CITY'S management is duly found to have committed wrongful acts in connection with the CDBG program (termination or suspension shall be applied only to that portion of the CDBG program for which the person who committed wrongful act is responsible); 4. If there is reliable evidence that CITY is unable to operate the PROGRAM. 10 Suspension of payment or termination under this section shall be effective on the date notice of termination is received by CITY, or such later date as may be specified in the notice. VI. PROGRAM COORDINATION A. COUNTY. The County Executive shall assign a single PROGRAM MANAGER for COUNTY who shall render overall supervision of the progress and performance of this Contract by COUNTY. All services agreed to be performed by COUNTY shall be under the overall direction of the PROGRAM MANAGER. B. CITY. As of the date hereof, CITY has designated Vera Gil to serve as CITY CDBG Program Coordinator, and CITY MANAGER Donald Brown (or assignee approved by the CITY Council) to assume overall responsibility for the progress and execution of this Contract. The COUNTY shall be immediately notified in writing of the appointment of a new CITY CDBG Program Coordinator, or a new CITY Manager (or assignee approved by the CITY Council). • C. NOTICES. All notices or other correspondence required or contemplated by this Contract shall be sent to the parties at the following addresses: COUNTY Charles Chew, HCD Program Manager Housing and Community Development Program 1735 North First Street, Suite 265 San Jose, CA 95112 • CITY City of Cupertino Name of CITY 10300 Torre Avenue, Cupertino, CA 95014 Address of CITY Donald Brown Name of CITY MANAGER 11 All notices shall either be hand delivered or sent by United States mail, registered or certified, postage prepaid. Notices given in such a manner shall be deemed received when hand delivered or seventy-two (72) hours after deposit in the United States mail. Any party may change his or her address for the purpose of this section by giving five days written notice. .of such change to the other party in the manner provided in this section. • VII. TERMINATION A. In addition to the COUNTY'S right to terminate for cause set forth in Section V, either COUNTY or CITY may suspend or terminate this Contract as provided for in 24 CFR 570, at Subpart J "Grant Administration", and%or 24 CFR 85.44 "Termination for Convenience". Provisions of the Reallocation Guidelines will apply, but may be adjusted if termination is for cause. B. Upon termination, either under this Section VII or Section V, CITY shall: 1 . be paid for all documented services actually rendered to COUNTY to the date of such termination; provided, however, COUNTY shall be obligated to compensate CITY only for that portion of CITY'S services which are allowable costs and expenses as determined by an, audit or other monitoring device; 2. turn over to COUNTY immediately any and all copies of studies, reports and other data, whether or not completed, prepared by CITY or its subcontractors or subrecipients, if any, in connection with this Contract. Suchmaterials shall become property of COUNTY. CITY; however, shall not be liable for COUNTY'S use of completed documents if used for other than the services contemplated by this Contract; and 3. transfer to the COUNTY any CDBG funds on hand and any accounts receivable attributable to the use of CDBG funds. All assets acquired with CDBG funds shall be returned to the COUNTY unless otherwise negotiated by separate Contract per the provisions of the Santa Clara County CDBG REALLOCATION GUIDELINES. 12 C. Upon termination of this Contract, CITY shall immediately provide • COUNTY access to and copies of (if requested) all documents, records, payroll, minutes of meetings, correspondence and all other data pertaining to the CDBG entitlement fund granted to CITY pursuant to this Contract. VIII. USE AND DISPOSAL OF REAL OR PERSONAL PROPERTY CITY and COUNTY will be accountable for all applicable Federal Regulations as detailed by 24 CFR Part 570, Subpart J, i.e. 570.500 (Definitions), 570.503 (Agreements with Subrecipients), 570.504 (Program Income), and 570.505 (Use of Real Property) with regards to the • use and disposal of Real of Personal Property purchased in whole, or in part, with CDBG funds. A. In addition, 24 CFR Part 85 (The Common Rule) includes definitions under 24 CFR Part 85.3, however, Common Rule 85.31 (Real Property) DOES NOT APPLY TO CDBG ACTIVITIES. The following definitions will apply to this Contract: B. Definitions. 24 CFR, Part 85 (Common Rule) 85.3 1 . Equipment means tangible, non-expendable, personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. 2. Title . as defined in detail in 24 CFR,, Part 85.32 (a). 3. Use as defined in detail in 24 CFR, Part 85.32 (c) (1). 4. Supplies as defined in detail in 24 CFR, Part 85.33. 5. Procurement, Use and Disposition of Real Property as defined in detail by 24 CFR, Part 570.503 (Agreements With Subrecipients), 570.505 (Use of Real Property), and 570.504 (Program Income). 13 • IX. PROGRAM INCOME Income generated by the PROGRAM shall be regulated by all provisions of 24 CFR 570 Subpart J "Grant Administration", and the Santa Clara County CDBG REALLOCATION GUIDELINES. (C. 1. a.c . ) X. INDEPENDENT CONTRACTOR This is a Contract by and between independent contractors and is not intended and shall not be construed to create the relationship of agent, servant, employee, partnership, joint venture or association between CITY and COUNTY. CITY, including its officers, employees, agents, independent contractors or subcontractors, shall not have any claim under this Contract or otherwise against COUNTY for any Social Security, Worker's Compensation, or employee benefits extended to employees of COUNTY. XI. ASSIGNABILITY A. This Contract may not be assumed nor assigned to another CITY, CORPORATION, PERSON, PARTNERSHIP or any other entity without the prior written approval of COUNTY. B. None of the work or services to be performed hereunder shall be assigned, delegated or subcontracted to third parties without the prior written approval of COUNTY. Copies of all third party contracts shall be submitted to COUNTY at least ten days prior to the proposed effective date. In the event COUNTY approves of any such assignment, delegation or subcontract, the subcontractors, assignees or delegates shall be deemed to be employees of CITY, and CITY shall be responsible for their performance and any liabilities attaching to their actions or omissions. The use of the word "employees" in this paragraph is limited solely to activities by those persons described herein, related to the management and potential repayment of the program funds provided for in the Contract. The use of the term here does not create liability for personal injuries, worker's compensation or other forms of liability, obligation or responsibility which flow from employee/employer relationships. 14 XII. DISCLOSURE OF CONFIDENTIAL CLIENT INFORMATION COUNTY and CITY agree to maintain the confidentiality of any information regarding applicants for services offered by the PROGRAM pursuant to this Contract or their immediate families which may be obtained through application forms, interviews, tests, reports from public agencies or counselors, or any other source. Without the written permission of the applicant, such information shall be divulged only if permitted by law or as necessary for purposes related to the performance •or evaluation of the services and work to be provided pursuant to this Contract, and then only to persons having responsibilities under this Contract, including those furnishing services under the PROGRAM through approved subcontracts. XIII. HOLD HARMLESS CITY shall indemnify and hold harmless, the COUNTY, its employees and elected officials, boards and commissions, with respect to any damages, including attorney's fees and court costs, arising from: 1 . Any negligent act or omission, or willful misconduct arising out of any work or service performed by CITY, its officers, employees, agents or subcontractors under the PROGRAM or this Contract, including but not limited to the evaluation and monitoring of subrecipients PROGRAM performance. COUNTY shall indemnify, defend and hold harmless, the CITY, its employees, officers, officials, boards and commissions, and agents, with respect to any claims, causes of action, or damages, including attorney's - fees and court costs, arising from: 1 . The failure of COUNTY to. reimburse CITY for eligible costs as defined by HUD and this Contract; and 2. Any negligent act or omission, or willful misconduct arising out of any work or service performed by COUNTY, its officers, employees, agents or subcontractors under the PROGRAM or this Contradt. • 15 All additional provisions set forth in Exhibits "A" - "G", attached hereto and incorporated herein by this reference, e.g. Insurance "G", shall be required by CITY of all its program recipients. XIV. WAIVER OF RIGHTS AND REMEDIES In no event shall any payment by COUNTY constitute or be construed to be a waiver by COUNTY of any breach of the covenants or conditions of this Contract or any default which may then exist on the part of CITY, and the making of any such payment while any such breach or default shall exist shall in no way impair or prejudice any right or remedy available to COUNTY with respect to such breach or default. In no event shall payment to CITY by COUNTY in any-way constitute a waiver by COUNTY of its rights to recover from CITY the amount of money paid to CITY on any item which is not eligible for payment under the PROGRAM or this Contract. XV. NONDISCRIMINATION In connection with the performance of this Contract, CITY assures that no person shall be subject to discrimination because of sex, race, religion, ethnic background, sexual preference, age, handicapped status, or union activity. XVI. AMENDMENTS Amendments to the terms or conditions of this Contract shall be requested in writing by the party desiring such amendments, and any such amendment shall be effective only upon the mutual Agreement in writing of the parties hereto. XVII. INTEGRATED DOCUMENT This Contract, in conjunction with the Santa Clara County CDBG Joint Powers Agreement, contains the entire agreement between COUNTY and CITY with respect to the subject matter hereof. No written or oral agreements, other than the Santa Clara County CDBG Joint Powers Agreement, with any officer, agent or employee of COUNTY prior to execution of this Contract shall affect or modify any of the terms of obligations contained in any documents comprising this Contract. • 16 • • XVIII. ATTORNEY'S FEES In the event it becomes necessary for any party to obtain legal counsel to enforce the terms of this contract, the prevailing party shall be entitled to recover reasonable attorney's fees and costs. XIX. MISCELLANEOUS A. The captions of this Contract are for convenience of reference only, and the words contained therein shall in no way be held to explain, modify, amplify or aid in the interpretation, construction or meaning of the provisions of this Contract. B. All exhibits attached hereto and referred to in this Contract are incorporated herein by this reference as if set forth fully herein. IN WITNESS WHEREOF, the parties have executed this Contract in duplicate the day and year above written. ATTEST: COUNTY OF SANTA CLARA C4,1k; a 6)1 2 641144 Cler6 Board of Suttors hairperson, Board of Supervisors PHYLLIS A. PEREZ JAMES T. BEALL, JR. APPROVED AS TO FORM AND CITY LEGALITY: L a (AR: Deputy County Counsel BTI. • APPR•VEDA/ 0 6R/ //4// City Attorney • • jc.contracts #2 17 Exhibits A-D :"7777:7-47-77,7-7777:7777 CDBG TWENTY FIRST PROGRAM YEAR (1995-96) PROGRAM DESCRIPTION Contract Agency Program Manager Titic, City of Cupertino Vera Gil Planner II Street address Telephone Date 10300 Torre Avenue (408) 777-3251 Atigust 27, 1997 City State ZIP Fax# ePeriod:Colveled— Cupertino California 95014 (408) 777-3330 , '7/1/97- 6/30198- CIL19841,5Affortlable:Hoiisiiig Rind - • 7 ,:f•?; PROGRAM DESCRIPTION Provide non-profits with funds to construct affordable housing units in the City of Cupertino WORK PLAN Not Applicable ANNUAL GOALS 1. Provide 54 newly constructed affordable units 2. 3. SCHEDULE July 1, 1997-June 30, 1998 BUDGET $97,261 Exhibits A-D • CDBG TWENTY FIRST PROGRAM YEAR (1995-96) PROGRAM DESCRIPTION a.... - .xa.n...zn._.�.._.�.v.i,m .�.�....�......., w...........«.mr ..».dv»,,,.,.x.., rsw.�..-a.. e.«..�,�.o.w..�.n..-v.�-u...........m,... r±A '�e.Y u.w�a.u.�.._.. Contract Agency Program Manager Title City of Cupertino Vera Gil Planner II Street address Telephone Date 10300 Torre Avenue (408) 777-3251 August 27, 1997 City State ZIP Fax# Period Covered a s' Cupertino California 95014 (408) 777-3330 7/1!9,7 6130/98 Protect CU;98-53U ban`CountyRehabilitationSerytc""e' . .,„ _ PROGRAM DESCRIPTION Funds are to be used to cover urban county staffing costs associated with Cupertino's rehabilitation program. Staff consists of County rehabilitation specialist and clerical support. WORK PLAN Not applicable ANNUAL GOALS 1. Assist in conducting 5 rehabilitation projects. 2. 3. • SCHEDULE July 1, 1997-June 30, 1998 BUDGET • $15,000.00 Exhibits A-D ";?"t + .�.1 ,-- 71 :s r :' r +m- a , ,_- ,' :.erg a �.',a r:«& �ua� x.3„x.xa. _�. .. „„„�., -. �...�. :mTa,..::..a.a..u..��x.a. .�. �..w.b,E«:;i..: . �z,„m,;. a' *,rr+ �. ,� CDBG TWENTY FIRST PROGRAM YEAR (1995-96) PROGRAM DESCRIPTION Contract Agency Program Manager Title City of Cupertino Vera Gil Planner II Street address Telephone Date _10300 Torre Avenue (408) 777-3251 August 27, 1997 City State ZIP Fax# Period Covered.w` "• Cupertino California 95014 (408) 777-3330 7/1197 "6l30/98wr Prject#'`andTitle • CU-98 54'Cuper'tino Community Services, -Transitional Housing Tree:Replaeemeni r _ '..: s , < .v. _..r ._. PROGRAM DESCRIPTION Funds are to be used by Cupertino Community Services to remove and replace trees at a transitional housing development. • WORK PLAN Not applicable. ANNUAL GOALS 1. Remove and replace trees 2. 3. SCHEDULE July 1, 1997-June 30, 1998 BUDGET $2,500 Exhibits A-D L'",372:47'itla ,..-,a..0§,� .y ....., a ....... >_...._5..a. .,° .. (..:.,�.F. t ..w.a._.....r.:�. ..a:.; CDBG TWENTY FIRST PROGRAM YEAR (1995-96) PROGRAM DESCRIPTION =.r..i..°,Tw... , n' •a.._,,.Ha*�1. a.....,..;a:e:i...-..,-..._>v .�.,.�,.,..>. , - .«, a .�?. " ..�ti ;,�.ra'F(',w »-"?2a.. ., • Contract Agency Program Manager Title City of Cupertino Vera Gil Planner II Street address Telephone Date 10300 Tone Avenue (408) 777-3251 August 27, 1997 City State ZIP Fax# yPeriod Covered` ,s Cupertino California 95014 (408) 777-3330 711/96 .6/30/,•97 rolect#=and Title PROGRAM DESCRIPTION Provide free legal services to seniors at the local senior center. WORK PLAN Not applicable. ANNUAL GOALS 1. Provide legal assistance to 40 individuals. 2. 3. '- SCHEDULE July 1, 1997-June 30, 1998 BUDGET $5,000.00 • Exhibits A-D CDBG TWENTY FIRST PROGRAM YEAR (1995-96) PROGRAM DESCRIPTION Contract Agency Program Manager Title City of Cupertino Vera Gil Planner II Street address Telephone Date 10300 Tone Avenue (408) 777-3251 August 27, 1997 City State ZIP Fax# Period Covered Cupertino California 95014 (408) 777-3330 7/1/97 -;6/30/98 Project/Can-(I Title CU-98.31 Cupertino:Comniunity Services -Rotating Shelter PROGRAM DESCRIPTION Transitional Housing Program operated between 14"host"churches for a period of up to 90 days at each church. The hosting shelter has the responsibility of housing,feeding,and providing fellowship support for the participants. WORK PLAN Not applicable. ANNUAL GOALS 1. Provide shelter to very low and low income homeless, provide shelter to 10-12 individuals per quarter.. 2. 3. SCHEDULE July 1, 1997-June 30, 1998 BUDGET $15,000.00 Exhibits A-D CDBG TWENTY FIRST PROGRAM YEAR (1995-96) PROGRAM DESCRIPTION rrtr7 ' Contract Agency 77- Program Manager Title City of Cupertino Vera Gil Planner II Street address Telephone Date 10300 Torre Avenue (408) 777-3251 August 27, 1997 City State ZIP Fax# Period Covered Cupertino California 95014 (408) 777-3330 7/1/97-6/30/98 Project iiand,Title. CU 98-32 !`Cupertino;Community§ervices-Affordable,Placement' ." _ = ., ,. s�, .„, : , n. PROGRAM DESCRIPTION Screen and place eligible clients into current affordable units and into units as they are developed throughout Cupertino. CCS will also provide support services to these clients. WORK PLAN Not Applicable. ANNUAL GOALS 1. Recruit and screen 54 applicants,maintain eligibility list and provide support services. 2. 3. SCHEDULE July 1, 1997-June 30, 1998 BUDGET $13,185.00 Exhibits A-D CDBG TWENTY SECOND PROGRAM YEAR (1996-97) PROGRAM DESCRIPTION Contract Agency Program Manager Title City of Cupertino Vera Gil Planner II Street address Telephone Date 10300 Torre Avenue (408) 777-3251 August 27, 1997 City State ZIP Fax# Period Covered _ , Cupertino California 95014 (408) 777-3330 7/1•/97- 6/30/98 _ Project#, and'title _ CU-98-91 --Genera Administration PROGRAM DESCRIPTION Administration of the CDBG grant. WORK PLAN 17%-Planner II(Vera Gil) ANNUAL GOALS 7ffz.C® (— 1. Administer CDBG allocation and coordinate twenty-seermd year CDBG. 2. 3. SCHEDULE July 1, 1997-June 30, 1998 BUDGET $15,000.00 • Exhibits A-D CDBG TWENTY FIRST PROGRAM YEAR (1995-96) PROGRAM DESCRIPTION s_... _...... w.v..."? a.s.-., ..._....r..._...a Yeb .......u...im..m...%...".`..0 .L...«.... v_. ...., __ .f. . r:J._ �.u...- .-._ .0 ..v—Jr: > Contract Agency Program Manager Title City of Cupertino Vera Gil Planner II Street address Telephone Date 10300 Tone Avenue (408) 777-3251 August 27, 1997 City State ZIP Fax# •Period Covered• Cupertino California 95014 (408) 777-3330 7/1197;-'6/30/98,r) Project# and Title CU-98-92 Public Service Grantlmplementatiou.. . F. , -.: . . - _: . -_ '. m._•... • PROGRAM DESCRIPTION Review and monitor CDBG subrecipient agreements. Meet with subrecipients as needed,negotiate and amend agreements,and monitor agency. • WORK PLAN 7%Planner II(Vera Gil) ANNUAL GOALS 1. Negotiate agreements,monitor contract compliance and oversee reimbursements. iii 2. 3. SCHEDULE July 1, 1997-June 30, 1998 • BUDGET $8,000.00 x • � 7.•„,';-•„•„.„•„, P • �...... v� w u .S__T—..'..—...w..«.s �uJ..'.... ".... cm... ....v_.........u.u.3:1L...vm.oua"..... ...—... ...i�.w_._ .".�..e..."........" .«....,. _.a.s.w 'i Exhibits A-D `.WxG..la...».�Y4' '""i` , ,., jw�., �-.' ,+.a...r�..`aa'7.. . ,�e .-�".. `-. ,f _.�r x.�,..�,:,...`'> .- �# ' . ..,_,,.,.'*�.s•ri� CDBG TWENTY FIRST PROGRAM YEAR(1995-96) PROGRAM DESCRIPTION Contract Agency Program Manager Title City of Cupertino Vera Gil Planner II Street address Telephone Date 10300 Tone Avenue (408) 777-3251 August 27, 1997 City State ZIP Fax# Per'iod Coverede; l`, Cupertino California 95014 (408) 777-3330 17/1197,---;6/30/98'Y " Project."# andTitle " _en CU- 9t; , . ...,,. -2 PROGRAM DESCRIPTION Purchase equipment for program staff. WORK PLAN Not applicable. ANNUAL GOALS 1. Acquire two typing chairs. 2. 3. - SCHEDULE July 1, 1997-June 30, 1998 BUDGET $1,000.00 ' CERTIFICATIONS EXHIBIT E • In accordance with the applicable statutes and the regulations governing the consolidated plan regulations, the jurisdiction certifies that: Affirmatively Further Fair Housing — The jurisdiction will affirmatively further fair housing, which means ft will conduct an analysis of Impediments to fair housing choice within the jurisdiction, take appropriate actions to overcome the effects of any impediments identified through that analysis, and maintain records refecting that analysis and actions in this recard. Anti-displacement and Relocation Plan — It will comply with the acquisition ant r&ccaticn, recuiremenfs of the Uniform Relocation Assistance and Real Property Accuisiiicn Yo.iciec Act C- amended, imp _menun; = - ns at 49 CFR 24; -__ of i tt7, as and n��a c,n_. _ - l:ic::0.. and it has in c,. .a =mg ._ following a residential antidispiacement and relocation assistance plan required under sector. sing and Act i(1-�-i C),oi the r�OU_.:i� Community _c.eiCGmeni of 1974, as amended, in CC C..c......,. with any activity assisted with funding under the 0083 or HOME procrams. Drug Free Workplace — It will or will continue to provide a drug-free workplace by: 1 . Publishing a statement notifying employees that the unlawful manufacture, distribution„ dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and SpeCINIRC the actions that will be taken against employees fCC violation of such prohibition; • • 2. Establishing art ongoing CPUC-freeawareness program to inform employees about - (a) Tne dangers of drug abuse in the workplace; (b) The grantee's policy of maintainlr:c a drug free workplace; (c) Any available drug _ rehabilitation, and employee assistance prccrams: and (d) Tne penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; 3. Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph 1; 4. Notifying the employee in the statement required by paragraph 1 that, as a condition of employment under the grant, the employee will - (a) Abide by the terms of the sta:em=nt: and (b) Notify the employer in ,'ritn_ of or her conviction'for a violation of a criminal C.'=C statute C,courrino in the workplace- no later than five calendar days after such conviC:io ; • Notilvinc the agency in •::ritinc, ten calendar days after receiving notice unser subpara'crach 4(b) from an employee or tom.;hen.ase receiving actual notice of surf'. • conviction. Employers of convicted employees must provide notice, including position • a.o-.14,141 u.un title, to every Grant officer or other designee, on whose gran( activity the convicted , employee was working, unless the Federal agency has designated a centra) point for the receipt of such notices. Notice shall include the identification number(s) of each • affected grant; C. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph 4(b), with respect to an: employee who is so convicted - (a) Taking acprcoriate personnei a_'.cn acain=_t such an employee, up to and including . termination, consiste.nt ;'.c __..e...c...= of the Rehabilitation Act of (Cis, as amended; or Fecuirinc such employee to ;_ _a.e satisfactorily in a druc abuse assistance rr rehabilitation program _ _ .-az for such p poses by a Federal, Ste e, r iCCci ;yea.,'. law t-!tOrCECTIErli, or other -e agency; 7. Making a Coop faith effort to continue to maintain a drug-free workplace through implementation of paragraphs i. 2. 2, 4, = and 6. • Anti-Lobbying -- To the best of the jurisdiction's knowledge and belief: 1 . No Federal appropriated funds have been paid or will be paid, by cr on behalf of ft, tc any person for influencing or a temptir..g 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 Federal Grant, the making of'any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, °rant, loan, cr cooperative e agreement; 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or anemptin.g to influence an officer or employee of any agenov, a Member of Congress, an officer or e. :icVee of Congress, or an employee of a Member of Congress in connection with this Federal cdntract, grant, loan, or cooperative agreement, it will complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions; and 3. It will require that the language of paragraph (n) of this certification be included in the award documents for all suba lards of ail tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecicients shall certify and disclose acccrdin;l':. ALrthcriiy of Jurisdiction — The plan is authorized under State and local (as applicable) and the jurisdiction p --_--__ the ,_gal authority to carry out the proc;ams for which it is seekirc funding, in Gogo; _:h_ with applicable HUD regulations. • Consistency with plan — The housing activities to be undertaken with C080, HOME, E. , • and HOPWA. funds are consistent ' s:rail_ an. • Dna-April b,un Section 3 — tt will comply with section 3 of the Housing and Urban Development Act of 1°65, and implementing regulations at 24 CFR Part 135. � eig1J I/Nf MAY 131957 Sic nature/Authorized Ci la! Data County Executive • ii+e • • • on6-A'ril U.W . Specific CDBG Certifications . The Entitlement Community certifies that: Citizen Participation — It is in full compliance and following a detailed citizen participation plan that satisfies the requirements of 24 CF 91.105. Community Development Plan — Its aviidated housing and community development plan identifies community Le/eIC. c. i erreaand specitie.s both shat-term and .. - ,ehT . CmmuRlfy dei cfdC man: . bi9C:: r_. Ara provide decent nCusinr; expand economic cpcc,iunities primarily for persons and moo:a are income. (See CFR 24 570.2 and CFR 24 part 5/'0) • Following a Plan -- .. is following a current consolidated plan (or Comprehensive. ousinc .' ,- -...-, Cir-._r, •• ^_4 been b, HUED. .twig. :lilts ... c:c_ /, ',hat has _AAAA _ _ .- __ . ."_. Use of Funds -- It has complies w ,it :he ;oi!owinc. criteria: i 1 . Maximum Feasible Prior b/. With resper: to activities expected to be assisted with C:_ funds, it certifies that it has developed its Action Plan so as to give maximum feaslofe priority to activities which benefit low and moderate income families or aid in the Prevention or elimination of slums or :.aG1C 1 fie Action Plan may also include activities YNC; the grcn. -c certifies are designed :0 meet other community development needs having a oaiC'ular urgency ho---a"ec e.-s- '- conditions pose a serious and 'ruffian:a:e threat to the health cc welfare of the community, and other financial resources are not available); 2. Overall B accrecate usefunds including section 108 guaranteed cnefit, The acreate c, ��'o - loans during procram year(s) 7 (a peeriod spec tied by the grantee Consisting of one, two, or three specific consecutive orooram years), shall principally benefit persons of low and mccera:e income in a manner that ensures that at least percent of the amount is expended for aotivlt:eS that benefit such persons Curing the designated period; • 3. Soecial Assessments. It will net attempt to recover any capital costs. of public improvements assisted with COEG funds including Section 108 loan guaranteed funds by assessing any amount against properties owned and occupied by persons of low and moderate income, including any fee charged or assessment made as a condition of obtaining access to such public improvements. However, if CDSG funds are used to pay the proportion of a fee or assessment that relates to the capital costs of pun..- C.o/amen. (assisted in gut with CEEG financed from other revenue sources. en assessment or charge may be made acains: :he property with! respect to the public improvements financed by a source other than CO• funds. The jurisdiction will net attempt ._ recover Jer an:' capital costs of public imcrcvements assisted with CDEG funds, incl.._. _ Section ; CS. unless COBS funds aro used to he • proper-don of fee er assessment a _pie to .he capital costs of public improvements • Dr.n-April u,1275 • financed from other revenue sources- In.this this rase, an assessment or charge may be made against the property with respect to the public improvements financed by a source • other than CDBG funds. Also, in the case of properties owned and occupied by moderate- income (not low-income) families, an assessment or charge may be made against the property for public improvements financed by a source other than CDBG funds if the jurisdiction certifies that it lacks CDBG funds to cover the assessment. Excessive Force -- It has adopted and is enforcing: 1 . A policy orohibitino the use of - ===iv-= fcres by law enforcement agencies within its - urisdiction acains: any individuals erga_ed in r.cn-violent civil rients demcnstca:ons; a.. 2. A policy of enforcing, applicable. S.a:e a.:. :cca laws against physically barrin. entrance t= or exit from a facility cr Iccafioh whicn is :he subject of such non-violent civil nchts demonstrations within its Iunsdic cn; Compliance With Anti-discrimination laws -The crant will be conducted and administered in conformity with title VI of the Ci ii nights Act of 1964 (42 USC 2000d), the Fair Housing. Ac: (42 USC 3601-3619), and implementing regulations. Lead-Based Paint - Its notification, inspection, testing and abatement procedures concerning lead-based paint will cornciy with the requirements of 24 CFR 6570.608; • Compliance with Laws - It will comply with applicable laws. SicnatureiA•uthorizec O sic:al Da:'- • County Executive Ttle • • • • Dna-Aril U.uz] • Specific HOME Certifications The HOME participating jurisdiction certifies that: • • Tenant Based Rental Assistance — if the participating jurisdiction intends to provide teenant • - based rental assistance: • The use of HOME funds for tenant-based rental csistance is an essential element of the carie catinC jurisdiction's consoiicc:cc plan for expanding the supply, a ordatilit/, ai'c availability of decent, sate, Sc:u.c. :, and attcrdacfe housinc. • Eligible Activities and Costs — it is a7C •.ail use HOME funds for eiieibie activities a.d costs, as descr iced in 24 C; J . tnrcuch 92 2C9 and that it is not usinc and '.•wi : use HOME funds for prohibited ac:ivi_es, as described in s 97714. Appropriate Financial Assistance — before committing any funds to a project, it rail eraisate the project in accordance with the ^defines that it adopts for this purpose and wilt not invest any more HOME funds in comb6'ia ion with other Federal assistance than is necessary to provide affordable, housing; • (141y) � � MAY 13 i �7 Sicnature;Authcrized Oftic'al Date County Executive Title • • OntiApe' U,U,1 • • ESG Certifications • The Emergency Shelter Grantee certifies that: Major rehabilitation/conversion — It will maintain any building for which assistance is used under the ESC procram as a shelter for homeless individuais and families for at least 10 years. If the jurisdiction plans to use to ids for purposes less than tenant-based rental assistance, the applicant will maintain any building for which assistance is used under the ESC procram as a shelter for homeless individuals and families for at least 3 years. Essential Services -- it will provide _c ,..,2E Cr d-_ ._r to homeless incii.r.duals and ferniii=z .d. e atlas. during which the ESC acs._._. .__ is _ c ...._ci, without retard a -:tic:1.a. site .. structure as Ion,: as the same ---e. = -_ :.. _ ser;-ed. Renovation -- Any renovation =Tied -._. ...:- assistance shall be sufficient that the buildinc involved is safe and s_..,:a . • Supportive Services -- It will assist - .es: :r;C: saes in obtaining ac_rccrat= services, including permanent icu :i„c; medical and mental health treatment,tmen', CcunseiL c supervision, and other services essential fcc a_:tie-vine independent IMn , and other Federal State, local, and private assistance. Matching Funds -- It will obtain matching amounts required under §575.71 of this title. Confidentiality -- It will develop and implement procedures to ensure the confldenziality cf records pertaining to any individual provided .d' 'violence. prevention 0r t eatment se. .::es under any project assisted under the ESC procram, including protection acainst the release of the address or location of any family violence sheiter p rolect excect with the wricen authorization of the person responsible for he operation of that shelter. Homeless Persons Involvement — i o the maximum extent practicable, it will involve, th o__ employment, volunteer services, or othen::sa homeess individuals and ferniiine in constructing, renovating, ma:ntaininc, p, era., z iac:l:ties, and providing services assisted through this program. Consolidated Plan — It It is following a current HUD-approved Consolidated Plan or CHAS. • • 141144,1 MAY 111-f7 L Sicnature?Authorized O argil Gate County Executive I Itie • • • • !TM • • • • APPENDIX TO CERTIFICATIONS INSTRUCTIONS CONCERNING LOBBYING AND DRUG-FREE WORKPLACE REQUIREMENTS: A. Lobbvinc Certification '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, this :,f, U.S. Code. Any person who fa-lis f::e the required certification shall be subject to civil penalty of not less than -._.,_ anc more than S 00,000 for each septi failure. _.. :'rug-F ee Workplace Cer:ificat cn I. Sy signing and/or submit in_ this __ :a..cn or crant a_eeme^t, the _ra`ee is providing the certification. 9. The certification is a material re cJc:.tai c ii of fact upon which reliance is placed when the agency awards the grant. If it is later determined that the Grantee knowingly rendered a false certification, Cr c:,�4 er,+ise violates the requirements of the Drug-Free Workplace Act, HUD, in addition to any other remedies available to the Federal Government, may take action authorized under the Druc-Free Workplace Act. S. For grantees other than indivicua:s, A:tern:ate applies. (i fids is the infcrntatioc to which jurisdictions certify). 4. For cr ntees who are individuals, Alternate II applies. (Not applicable jurisdictions. E. Workplaces l : ger C(Ont_, fo d�ar,.--- other. than individuals, need not be identified on the certification. it kno::n, they may be identified in the plant application. If the grantee does not identity the workplaces at the time of application, or upon award, (f there is no application, the Grantee must keep the identity of the workplace(s) on file in its office and make the information available for Federal inspection. Failure to identify all known workplaces constitutes a violation of the Grantee's drug-free workplace requirements. G. Workplace identifications mus: include the actual address of buildings (or parts of buildincs) or other sites where e wor`.: under the grant takes place. Categorical descriptions may be used (e.d., ail vehicles of a mass transit authority or State highway department white in operation, State employees in each local unemployment office. performers ih concert halls or radio stations). 7. If the workplace identified to the a_enct during the performance of the crank the Grantee shall inform the agency of the change(s), if it previously identified the workplaces in c_estidn (see oaracraph five). • O..n-Lrii U,VTI 8. The grantee may insert in the space provided below the site(s) for the performance of work done in connection with the specific grant Place of Performance (Street address, city, county, state, zip code) County of Santa Clara Housing and Community Development Program 1735 North First Street, Suite 265 San Jose, CA 95112 Check, if there are-non-:places - _ .-_. are not identified here; The . = .fica. ._ :itiedard to the drug- re= - _ ace e _..ed 24. C-- part _ , subpart F. c. Definitions of terms in the Ncrprocurez.em Suspension and Debarment common rein and Orgc-: rag V:orkplaes d,..,-cn rule apply to this certitcation. Grantees' c-ent!cr is called, in __..._ciar, to tre following definitions from these rules: • "Controlled substance" means a controlled substance in Schedules [ through V of the Controlled Substances ,'Act (21 U.S.C.812) and as further defined by regulation (21 CFR 1208.11 through 1208.15); • . "Conviction" means a finding of Guilt (including a plea of nolo contendere) cr imposition of sentence, cr both, by any judicial body charced with the responsibility to determine violations of :he Federal or State criminal &Lc statutes; ' "Criminal druc statute" means a Federal or non-Federal criminal statute involving the manufacture, dist:iticter., aspensina, use, or possession of any controlled substance; "Employee" means the employee of a grantee directly engaged in the performance of work under a cr ant, Including: (I) All "direct charge" employees; (ii) all "indirect charge" employees unless their impact or involvement is insignificant to the performance of the Grant; and (iii) temporary personnel and consultants who are directly enraged in the performance of work under the grant and who are on the grantee's payroll. This definition does not include workers not on the payroll of the grantee (e.g., volunteers, even if used to meet a matching requirement; consultants cr independent contractors not or, the • grantee's payroll; or employees cf s"_bra'cic.ients or subcontractors in covered workplaces). • • • onn-.ydi v,un • • • EXHIBIT F ASSURANCES CITY hereby assures and certifies that it will comply with all regulations, policies, guidelines and requirements applicable to the acceptance and use of Federal funds for this Federally-assisted program and will be responsiblefor implementing and complying with all relevant future changes to Federal Regulations or OMB Circulars. Specifically CITY gives assurances and certifies with respect to the PROGRAM that it is in compliance with the following Regulations as defined by 24 CFR Part 570, Subpart J; 24 CFR Part 570, Subpart K; and will be conducted and administered in conformity with "Public Law 88-352 and Public Law 90-284.": 1. 570.601. Public Law 88-352 and Public Law 90-284; affirmatively furthering fair housing; Executive Order 11063, as amended by Executive Order 12259 adkiiesses discrimination. HUD regulations implementing Executive Order 11063 are contained in 24 CFR, Part 107. 2. 570.602. Section 109 of the Act addresses discrimination. 3. 570.603. Labor Standards. 4. 570.604. Environmental Standards. 5. 570.605. National Flood Insurance Program. 6. 570.606. Relocation, Displacement and Acquisition. 7. 570.607. Employment and Contracting Opportunities. 8. 570.608. Lead Based Paint. 9. 570.609. Use of Debarred, Suspended, or Ineligible Contractors or Subrecipients. 10. 570.610. Uniform Administrative Requirements and Cost Principles. The COUNTY, its subrecipients, agencies or instrumentalities, shall comply with the policies, guidelines, and requirements of 24 CFR, Part 85, and OMB Circulars A-87 (Cost Principles for State and Local Governments), A-110 (Grants and Agreements with Non-Profit Organizations), A-122 (Cost Principles for Non-Profits), A-128 (Audits of State and Local Governments-implemented at 24 CFR Part 24), and A-133 (Audits of Institutions of Higher Education and Other Non-Profit Institutions), as applicable, as they relate to the acceptance and use of Federal funds under this part. The applicable sections of 24 CFR Part 85 • and OMB Circular A-100 are set forth at 570.502. EXHIBITF-ASSURANCES 1 REVISED 7/16/96 11 . 570.611. Conflict of Interest. 12. 570.612. Executive Order 12372 allows States to establish its own process for review and comment on proposed Federal financial assistance programs, specifically the use of CDBG funds for the construction or planning of water or sewer facilities. • • jc.legal docs#1 EXHIBIT F-ASSURANCES 2 REVISED 7/16/96 EXHIBIT "G" BASIC INSURANCE AND BOND REQUIREMENTS FOR COUNTY/CITY CONTRACTS Definition of Contractor: The "Contractor" as the word is used herein .is the party contracting with the County of Santa Clara for the direct distribution of CDBG funds. If the contractor (the City) will not use the funds directly, but will distribute them to a subrecipient (i.e., non-profit organization) to undertake a Program (as defined in this County/City Contract) then the requirements set forth herein shall be complied with by the subrecipient/non-profit for the protection of both the City and the County. Indemnity The Contractor shall indemnify, defend, and hold harmless the County of Santa Clara (hereinafter "County"), its officers, agents and employees from any claim, liability, loss, injury or damage arising out oft or in connection with performance of this Contract by Contractor and/or its agents, employees or subcontractors, excepting only loss, injury or damage caused by the sole negligence or willful misconduct of. personnel employed by the County. It is the intent of the parties to this Contract to provide the broadest possible coverage for the County. The Contractor shall reimburse the County for all costs, attorneys' fees, expenses and liabilities incurred with respect to any litigation in which the Contractor is obligated to indemnify, defend and hold harmless the County under this Contract. Insurance • Without limiting the Contractor's indemnification of the County, the Contractor shall provide and maintain at its own expense, during the term of this Contract, or as may be further required herein, the following insurance coverages and provisions: • EXHIBIT G - CITIES 1 REVISED 6/8/95 A. Evidence of Coverage Prior to commencement of this Contract, the Contractor shall provide on the County's own form or a form approved by the County's Insurance Manager an original plus one copy of a Certificate of Insurance certifyina that coverage as required herein has been obtained and remains in force for the period required by this Contract. The contract number and project name must be stated on the Certificate of Insurance. The • County's Special Endorsement form shall accompany the certificate. Individual endorsements executed by the insurance carrier may be substituted for the County's Special Endorsement form if they provide the coverage as required. In addition, a certified copy of the policy or policies shall be provided by the Contractor upon request. This verification of coverage shall be sent to the address as shown on the County's Certificate of Insurance form and to the Housing and Community Development Program at the address set forth in this Contract at VI. PROGRAM COORDINATION, Paragraph C. NOTICES. The Contractor shall not issue a Notice to Proceed with the work under this Contract until it has obtained all insurance required and such insurance has been approved by the County. This approval of insurance shall neither relieve nor decrease the liability of the Contractor. B. Notice of Cancellation or Chanae of Coverage Insurance afforded by this policy shall not be cancelled or changed so as to no longer meet the herein specified County insurance requirements without 30 days' prior written notice of such cancellation or change being delivered to the Clerk of the Board of Supervisors, 70 W. Hedding Street, 10th Floor, San Jose, CA, 95110, and to the Housing and Community Development Program at 1735 North First Street, Suite 265, San Jose, CA 95112. C. Qualifying Insurers 1 . All coverages, except surety, shall be issued by companies which hold a current policy holder's alphabetic and financial size category rating of not less than A VIII., according to the current Best's Key Rating Guide, or a company of equal financial stability that is EXHIBIT G - CITIES 2 REVISED 6/8/95 C' approved by the County's Insurance/Risk Manager. D. Insurance Required 1 . Comprehensive General Liability Insurance - for bodily injury (including death) and property damage which provides limits of not less than one million dollars ($1 ,000,000) combined single limit (CSL) per occurrence. CR • 2. Commercial General Liability Insurance - for bodily injury (including death) and -property damage which provides limits as • follows: a. General limit per occurrence - $1 ,000,000 b. General limit aggregate $2,000,000 c. Products/Completed Operations- $1 ,000,000 aggregate d. Personal Injury limit - $1 ,000,000 If coverage is provided under a Commercial General Liability Insurance form, a minimum of 50% of each of the aggregate limits must remain available at all times. If over 50% of any aggregate limit has been paid or reserved, the County may require additional coverage to be purchased by the Contractor to restore the required limits. 3. ' For either type of insurance, coverage shall include: a. Premises and Operations b. Products/Completed Operations with limits of one million dollars ($1 ,000,000) per occurrence/ aggregate to be maintained for two (2) years following acceptance of the work by the County. EXHIBIT G - CITIES 3 REVISED 6/8/95 c. Contractual Liability expressly including liability assumed under this Contract. d. Personal Injury liability. e. Independent Contractors' (Protective) liability. f. Severability of Interest clause providing that the coverage applies separately to each insured except with • respect to the limits of liability. • 4. For either type of insurance, coverage shall include the following endorsements. copies of which shall be provided to the County: a. Additional Insured Endorsement: Such insurance as is afforded by this policy shall also apply to • the County of Santa Clara, and members of the Board of Supervisors of the County of Santa Clara, and the officers, agents and employees of the County of Santa Clara, individually and collectively, as additional insureds. b. Primary Insurance Endorsement: Such insurance as is afforded by the additional insured endorsement shall apply as primary insurance, and other insurance maintained by the County of Santa Clara, its • officers, agents, and employees shall be excess only and not contributing with insurance provided under this policy. c. Notice of Cancellation or Change of Coverage Endorsement: Insurance afforded by this policy shall not be cancelled • or changed so as to no longer meet the specified County insurance requirements without 30 days' prior written notice of such cancellation or change being delivered to the County of Santa Clara at the address shown on the • EXHIBIT G - CITIES 4 REVISED 6/8/95 Certificate of Insurance. d. Contractual Liability Endorsement: Insurance afforded by this policy shall apply to liability • assumed by the insured under written contract with the County of Santa Clara. e. Personal Injury Endorsement: The provisions of this policy shall provide Personal Injury coverage. f. Severability of Interest Endorsement: The insurance afforded by this policy shall apply separately to each insured who is seeking coverage or against whom a claim is made or a suit is brought, except with respect to the Company's limit of liability. 6. Comprehensive Automobile Liability Insurance for bodily injury (including death) and property damage which provides total limits of not less than one million dollars ($1 ,000,000) combined single limit per occurrence applicable to all owned, non-owned and hired vehicles. 7. Worker's Compensation and Employer's Liability Insurance for: a. Statutory California Workers' Compensation coverage including a broad form all-states endorsement. b. Employer's Liability coverage for not less than one million dollars ($1 ,000,000) per occurrence for all employees engaged in services or operations under this Contract. c. Inclusion of the County and its governing board(s), officers, representatives, agents, and employees as additional insureds, or a waiver of subrogation. EXHIBIT G - CITIES 5 REVISED 6/8/95 8. Professional Errors and Omissions Liability Insurance. a. Limits of not less than one million dollars ($1 ,000,000). • b. If this policy contains a self retention limit, it shall not be greater than ten thousand dollars (S10,000) per occurrence/event. c. This coverage shall be maintained for a minimum of two (2) years following termination or completion of this Contract. Any exceptions to the above requirements must first be approved by the County. -- 9. Bond Requirements a. Fidelity Bond - Before receiving compensation under this Contract, Contractor will furnish County with evidence that all officials, employees, and agents handling or having access to funds received or disbursed under this Contract, or authorized to sign or countersign checks, are covered by a BLANKET FIDELITY BOND in an amount of AT LEAST fifteen percent (15%) of the maximum financial obligation of the County cited herein. If such bond is cancelled or reduced, Contractor will notify County immediately, and County may withhold further payment to Contractor until proper coverage has been obtained. Failure to give such notice may be cause for termination of this Contract, at the option of the County. If this is a construction project, the following bond requirements apply only if: 1 . The construction is being performed by the City's workforce; and • 2.* The funds are expended for construction work; and 3. The construction work is being paid for with CDBG funds over $100,000. EXHIBIT G - CITIES 6 REVISED 6/8/95 b. Contract Bonds - Prior to execution of the Contract, Contractor shall file with the County on the approved forms, the two surety bonds in the amounts and for the purposes noted below, duly executed by a reputable surety company satisfactory to County, and Contractor shall pay all premiums and costs • thereof and incidental thereto. Each bond shall be signed by both Contractor and the sureties. 1 . The "Payment bond for public works" shall be in an amount of one hundred percent (100%) of the Contract price, as determined from the prices in the bid form, and shall insure to the benefit of persons performing labor or furnishing materials in connection with the work of the proposed Contract. This bond shall be maintained in full force and effect until all work under the Contract is completed and accepted by the County, and until all claims for materials and labor have been paid. 2. The "performance bond" shall be in an amount of one • hundred percent (100%) of the Contract price as determined from the prices in the bid form. and shall insure the faithful performance by Contractor of all work under the Contract. It shall also insure the replacing of, or making acceptable, any defective materials or faulty workmanship. Should any surety or sureties be deemed unsatisfactory at any time by the County notice will be. given Contractor to that effect, and Contractor shall forthwith substitute a new surety or sureties satisfactory to the County. No further payment shall be deemed due or will be made under the Contract until the new sureties qualify and are accepted by the County. • All alterations, time extensions, extra and additional work, and other changes authorized by the specifications, or any part of the Contract, may be made without securing consent of the surety or sureties on the EXHIBIT G - CITIES 7 REVISED 6/8/95 contract bonds. 10. Special Provisions The following provisions shall apply to this Contract: a. The foregoing requirements as to the types and limits of insurance coverage to be maintained by the Contractor and any approval of said insurance by the County or its insurance consultant(s) are not intended to and shall not in any manner limit or qualify the liabilities and obligations otherwise assumed by the Contractor pursuant to this Contract, including, but not limited to, the provisions concerning indemnification. b. The County acknowledges that some insurance requirements contained in this Contract may be fulfilled by self-insurance on the part of the Contractor. However, this shall not in any way limit liabilities assumed by the Contractor under this Contract. Any self-insurance shall be approved in writing by the County. c. The County reserves the right to withhold payments to the Contractor in the event of material noncompliance with the insurance requirements outlined above. • d. If the Contractor fails to maintain such insurance as is called for herein, the County must order the Contractor to immediately suspend work at Contractor's expense until a new policy of insurance is in effect. • EXHIBIT G - CITIES 8 REVISED 6/8/95 ADDENDUM TO EXHIBIT."G" BASIC INSURANCE AND BOND REQUIREMENTS FOR CONSTRUCTION PROJECTS USING COUNTY FUNDS If your City (hereinafter "Contractor") will be contracting for construction work (such as general contractors building rental apartments) to undertake a Program (as defined in this County/City Contract) then the requirements set forth in this Addendum to Exhibit "G" shall be complied with by the party contracted with for construction work protecting both the City and the County. Indemnity The General Contractor (hereinafter referred to as "General") shall indemnify, defend, and hold harmless the County of Santa Clara (hereinafter "County"), its officers, agents and employees, and the Contractor, it's officers, agents and employees from any loss, liability, claim, injury or damage arising out of, or in connection with performance of this Contract by General and/or its agents, employees or • subcontractors, excepting only loss, injury or damage caused solely by the acts or omissions of personnel employed by the County or the Contractor. It is the intent of the parties to this Contract to provide the broadest possible coverage for the County and the Contractor. The General shall reimburse the County and the Contractor for all costs, attorneys' fees, expenses and liabilities incurred with respect to any litigation. in which the General is obligated to indemnify, defend and hold harmless the County and the Contractor under this Contract. Insurance Without limiting the General's indemnification of the County and the Contractor, the General shall provide and maintain at its own expense, during the term of this Contract, or as may be further required herein, the following insurance coverages and provisions: A. Evidence of Coverage • Prior to commencement of this Contract, the General shall provide an original plus one copy of a Certificate of Insurance certifying EXHIBIT G - CITIES 9 REVISED 6/8/95 that coverage as required herein has been obtained and remains in force for the period required by this Contract. The contract number and project name must be stated on the Certificate of Insurance. Individual endorsements executed by the insurance carrier shall accompany the Certificate. This verification of coverage shall be sent to the Contractor at the address stated below and to the Housing and Community Development Program at 1735 North First Street, Suite 265, San Jose, CA 95112. The Contractor shall not issue a Notice to Proceed with the work under this Contract until it has obtained all insurance required and such insurance has been approved by the Contractor and final approval by the County. This approval of insurance shall neither relieve nor decrease the liability of the Contractor. B. Notice of Cancellation or Reduction of Coverage All policies shall contain a special provision for thirty (30) days prior written notice of any cancellation or reduction in coverage to be sent to the Housing and Community Development Program as stated above, and the Contractor at the following address: Contractor's Name Street Address • City, State, Zip C. Qualifying Insurers 1 . All policies shall be issued by companies which hold a current policy holder's alphabetic and financial size category rating of not less than A VIII, according to the current Best's Key Rating Guide, unless otherwise approved by the County. 2. Surety coverage (including bid, performance and payment bonds) shall be required as follows; • • EXHIBIT G - CITIES 1 0 REVISED 6/8/95 a For projects in excess of$100,000: 1 . Either a California Admitted Surety OR a current Treasury Listed Surety (Federal Register); and either a current A.M. Best A IV rated Surety OR a current Standard and Poors (S&P) rating of A; 2. An admitted surety insurer which complies with the provisions of the Code of Civil Procedure, Section 995.660*; OR 3. In lieu of 1 & 2, a company of equal financial size and stability--that is approved by the County's Insurance/Risk Manager. b. For projects between $25,000 and not exceeding $100,000: 1 . A California Admitted Surety OR a current Treasury Listed Surety (Federal Register); and either a current A.M. Best B rated Surety OR a current Standard and Poors (S&P) rating of B B; OR 2. Ad admitted surety insurer which complies with the provisions of the Code of Civil Procedure, Section 995.660*; CR 3. In lieu of 1 & 2, a company of equal financial size and stability that is approved by the County's Insurance/Risk Manager. • California Code of Civil Procedure Section 995.660 in summary, states that an admitted surety must provide: 1) the original, or a certified copy of instrument authorizing the person who executed the bond to do so; 2) a certified copy of the Certificate of Authority issued by the Insurance Commissioner; 3) a certificate from County Clerk of Santa Clara County that Certificate of Authority has not been surrendered, revoked, canceled, annulled or suspended; 4) a financial statement showing the assets and liabilities of the insurer at the end of the quarter calendar year, prior to 30 days next preceding the date of the execution of the bond. EXHIBIT G - CITIES 11 REVISED 6/8/95 • D. Insurance Required 1. Comprehensive General Liability Insurance - for bodily injury (including death) and property damage which provides limits of not less than one million dollars ($1 ,000,000) combined single limit (CSL) per occurrence. CR 2. Commercial General Liability Insurance - for bodily injury (including death) and property damage which provides limits as follows: a. General limit per occurrence - $1 ,000,000 b. General limit aggregate - $2,000,000 c. Products/Completed Operations- $1 ,000,000 aggregate d. Personal Injury limit - $1 ,000,000 If coverage is provided under a Commercial General Liability Insurance form, the carrier shall provide the County Insurance Manager with a quarterly report of the amount of aggregate limits expended to that date. If over 50% of the aggregate limits have been paid or reserved, the County may require additional coverage 'to be purchased by the General to restore the required limits. 3. For either type of insurance, coverage shall include: a. Premises and Operations • b. Products/Completed Operations with limits of one million dollars ($1 ,000,000) per occurrence/aggregate to be maintained for two (2) years following acceptance of the work by the County. EXHIBIT G CITIES 1 2 REVISED 6/8/95 c. Contractual Liability expressly including liability assumed under this Contract. d. Personal Injury liability. e. Independent Contractors' (Protective) liability f. Severability of Interest clause providing that the coverage applies separately to each insured except with respect to the limits of liability. 4. For either type of insurance, coverage shall include the following endorsements, copies of which shall be provided to the County and the Contractor: a. Additional Insured Endorsement: Insurance afforded by this policy shall also apply to the County of Santa Clara and Contractor as additional insureds. b. Primary Insurance Endorsement: Insurance afforded by the additional insured ,endorsement shall apply as primary insurance, and other insurance maintained by the County of Santa Clara and the Contractor shall be excess only and not contributing with insurance provided under this policy. c. Notice of Cancellation or Change of Coverage Endorsement: This policy may not be cancelled nor the coverage reduced by the Company without 30 days prior written notice of such cancellation or reduction in coverage to the County of Santa Clara Housing and Community Development Program, and the Contractor at the addresses set forth on page 10 of this Addendum. • EXHIBIT G - CITIES 1 3 REVISED 6/8/95 d. Severability of Interest Endorsement: The insurance afforded by this policy shall apply separately to each insured who is seeking coverage• or against whom a claim is made or a suit is brought, except with respect to the Company's limit of liability. 5. Comprehensive Automobile Liability Insurance for bodily injury (including death) and property damage which provides total limits of not less than one million dollars ($1 ,000,000) combined single limit per occurrence applicable to all owned, non-owned and hired vehicles. 6. Worker's Compensation and Employer's Liability Insurance for: a. Statutory California Workers' Compensation coverage including a broad form all-states endorsement. b. Employer's Liability coverage for not less than one million dollars ($1 ,000,000) per occurrence for all employees engaged in services or operations under this Contract. 7. Work and Materials Insurance (including but not limited to Builder's Risk, Course of Construction, Installation Floater or similar first party property insurance for covering the interest of the Contractor and the County) shall be provided 'by the Contractor. • • The Contractor's coverage shall provide the following: a. Coverage shall be provided on an "all-risk" basis. b. Coverage shall be provided on the work and materials 'which are the subject of this Contract, whether in process or manufacture or finished, including °in transit" coverage to the final agreed upon destination of delivery, and including loading and unloading operations, and such coverage shall be in force until the work and materials are accepted by the County. EXHIBIT G - CITIES 1 4 REVISED 6/8/95 s r•: • c. County and non-profit shall be named as additional insured as its interests may appear at the time of loss. d. Coverage shall be in an amount no less than the full replacement value of the property at the time of loss. • e. The deductible shall not exceed S1 ,000 per occurrence unless otherwise approved by the County and shall be borne by the Contractor. • f . If the construction contractor fails to maintain such insurance as is called for herein, the County shall have cause to terminate this_Contract in accordance with Section V, paragraph B. 8. Bond Requirements The following bond requirements apply: a. Contract Bonds - Prior to execution of the Contract, Contractor shall file with the County on the approved forms, the two surety bonds in the amounts and for the purposes noted below, duly executed by a reputable surety company satisfactory to County, and Contractor shall pay all premiums and costs thereof and incidental thereto. Each bond shall be signed by both Contractor and the sureties. b. The "payment bond for public works" shall be in an amount of one hundred percent (100%) of the Contract price, as determined from the prices in the bid form, and shall insure to the benefit of persons performing labor or furnishing materials in connection with the work of the proposed Contract. This bond shall be maintained in full force and effect until all work under the Contract is completed and accepted by the County, and until all claims for materials and labor have been paid. EXHIBIT G - CITIES 1 5 • REVISED 6/8/95 c. The "performance bond" shall be in an amount of one hundred percent (100%) of the Contract price as determined from the prices in the bid form. and shall insure the faithful performance by Contractor of all work under the Contract. It shall also insure the replacing of, or making acceptable, any defective materials or faulty workmanship. Should any surety or sureties be deemed unsatisfactory at any time by the County notice. All alterations, time extensions, extra and additional work, and other changes authorized by the Specifications, or any part of the Contract, may be made without securing consent of the surety or sureties on the contract bonds.. 9. Special Provisions The following provisions shall apply to this Contract: a. The foregoing requirements as to the types and limits of insurance coverage to be maintained by the General and any approval of said insurance by the County or the Contractor are not intended to and shall not in any manner limit or qualify the liabilities and obligations otherwise assumed by the General pursuant to this Contract, including but not limited to the provisions concerning indemnification. b. The Contractor reserves the right to withhold payments to the General in the event of material noncompliance with the insurance requirements outlined above. c. The Contractor shall notify the County Housing and Community Development Program promptly of all losses or claims over $25,000 resulting from work performed under this contract, or any products/completed operations loss or claim against the , contractor resulting from any of the contractor's work. jc.contracts#2 EXHIBIT G - CITIES 1 6 REVISED 6/8/95