REDLINED ORIGINAL IGA WITH CITY OF SCOTTSDALE.PDF

INTERGOVERNMENTAL AGREEMENT
FOR SERVICES BETWEEN
MARICOPA COUNTY
ADMINISTERED BY ITS
HUMAN SERVICES DEPARTMENT
AND
THE CITY OF SCOTTSDALE
Contract Amount: $219,957
Contract Start Date: July 1, 2016May 9, 2018
Contract Termination Date: 24 months from date fully executedSeptember 30, 2019
Contract Number: C-22-17-042-3-00
CFDA Number: 14.239, HOME Investment Partnerships Program
DUNS Number: 939472213
This Intergovernmental Agreement for services (“Agreement”) is entered into by and between the City of
Scottsdale, a member of the HOME Consortium (hereinafter referred to as the “City and/or “Subrecipient”),
and Maricopa County, administered by its Human Services Department, (hereinafter referred to as the
“County” or “Lead Agency” or “Department”). The Subrecipient and County are collectively referred to herein
as the “Parties” and individually as a “Party.”
The County shall provide financial reimbursement in an Agreement amount up to Two Hundred Nineteen
Thousand Nine Hundred Fifty Seven Dollars ($219,957)) subject to the terms of this Agreement and availability
of funds. This Agreement amount constitutes the County’s entire participation and obligation in the
performance and completion of all work to be performed under this Agreement.
The Subrecipient, for and in consideration of the covenants and conditions set forth in this Agreement, shall
provide and perform the services set forth herein. All rights and obligations of the Parties shall be governed by
the terms of this Agreement, its exhibits, attachments, and appendices, including any Subcontracts,
Amendments, or Change Orders as set forth herein and in:
Section I – General Provisions – Contain uniform administrative requirements applicable to both Parties
participating in the HOME Investment Partnerships (HOME) Program, which include, but are not
limited to, definitions; non-discrimination and equal opportunity requirements; disclosure and retention
requirements; and debarment, suspension, or ineligibility exclusions.
Section II – Special Provisions – Provides specific programmatic requirements upon the Subrecipient
that are established by the HOME Program and applicable HUD regulations. This includes, but is not
limited to, disposition of program income; financial record management; reporting requirements; and
Subrecipient certifications.
Section III – Work Statement – The section contains, but is not limited to, a narrative of the project; a
list of the tasks to be performed; established goals; performance measures; scheduling; budget; planned
expenditures of income.
Section IV – Compensation – Contains provisions relating to compensation for Subrecipient, method of
payment, terms of reimbursement, conditions-prior to the release of funds.
Section V – Attachments & Forms – Contains subrecipientthe Certifications; and Request For
Reimbursement Form; Maximum Per Unit Subsidy Limits for Rental 221 (d) 3 Limits; Monthly Summary
of Program Income and Recaptured Funds; and HOME Funds Match Certification Form.
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SUBRECIPIENT
Representative: Michelle Albanese, Community Assistance Manager
Phone: 480-312-2309
Email: malbanese@scottsdaleaz.gov
Address: 6535 E. Osborn Rd, Scottsdale, AZ 85251
LEAD AGENCY
Representative: Rachel Milne, Assistant Director, Housing and Community Development
Phone: 602-372-1528
E-mail: MilneR@mail.maricopa.gov
Address: 234 N. Central Avenue, Third Floor, Phoenix, AZ 85004
Notice under this Agreement shall be given by personal delivery or by registered or certified mail, postage
prepaid and returned receipt requested, to the persons at the addresses set forth above and shall be effective
three (3) days after being mailed unless otherwise indicated in the notice.
This Agreement contains all the terms and conditions agreed to by the Parties. No other understanding, oral or
otherwise, regarding the subject matter of this Agreement shall be deemed to exist or to bind any Party hereto.
Nothing in this Agreement shall be construed as consent to any lawsuit or waiver of any defense in a lawsuit
brought against the State of Arizona, County, or the Subrecipient in any State or federal court.
IN WITNESS THEREOF, the Parties have signed this Agreement:
Approved By:
Approved By:
MARICOPA COUNTY (LEAD AGENCY)
SUBRECIPIENT
Authorized Signature Clint Hickman, Chairman, Board of Supervisors
Date Date
Attested to: Attested to:
City/Town Clerk Fran McCarroll, Clerk of the Board
Date Date
IN ACCORDANCE WITH A.R.S. §§ 11-952, THIS AGREEMENT HAS BEEN REVIEWED BY THE
UNDERSIGNED DEPUTY COUNTY ATTORNEY, AND, IN ACCORDANCE WITH A.R.S. § 11-952, THIS
AGREEMENT HAS BEEN REVIEWED BY THE UNDERSIGNED ATTORNEY FOR SUBRECIPIENT ON
BEHALF OF SUBRECIPIENT, AS TO THEIR RESPECTIVE CLIENTS ONLY, EACH ATTORNEY HAS
DETERMINED THAT THIS AGREEMENT IS PROPER IN FORM AND WITHIN THE POWER AND
AUTHORITY GRANTED UNDER THE LAWS OF THE STATE OF ARIZONA.
APPROVED AS TO FORM: APPROVED AS TO FORM:
Attorney for the Subrecipient Date Deputy County Attorney Date
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SECTION I
GENERAL PROVISIONS
MARICOPA COUNTY
HUMAN SERVICES DEPARTMENT
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SECTION I GENERAL PROVISIONS
A. PURPOSE
County shall provide Subrecipient with U.S. Department of Housing and Urban Development (HUD)
HOME Investment Partnership Program funds for the provision of HOME activities as identified in
Section III Work Statement.
B. TERM
The term of this Agreement shall commence upon July 1, 2016April 1, 2018, and shall remain in effect
until for 24 months from the date fully executeduntil September 30, 2019. The Agreement shall become
effective upon approval and signature by both Parties.
C. RENEWAL
The Agreement may be renewed by a written amendment, provided however, that Subrecipient is in full
compliance with all terms and conditions of this Agreement. The County shall notify the Subrecipient in
writing of its intent to extend the contract term at least thirty (30) calendar days prior to the expiration of
the original contract term, or any additional terms thereafter.
D. AMENDMENTS
All Amendments to this Agreement shall be in writing and signed by authorized signers for both Parties,
and be requested to the County no later than ninety (90) days prior to contract expiration.
E. TERMINATION
1. Pursuant to A.R.S. §38-511, Parties may cancel this Agreement without penalty or further
obligation within three years after execution of the contract, if any person significantly involved
in initiating, negotiating, securing, drafting or creating the contract on behalf of a Party is at any
time while the Agreement or any extension of the Agreement is in effect, an employee or agent
of any other party to the Agreement in any capacity or consultant to any other party of the
Agreement with respect to the subject matter of the Agreement. Additionally, pursuant to A.R.S
§ 38-511 the Parties may recoup any fee or commission paid or due to any person significantly
involved in initiating, negotiating, securing, drafting or creating the contract on behalf of the
Party from any other party to the contract arising as the result of the Agreement
2. Either Party may terminate this Agreement at any time by giving the other Party at least sixty
(60) calendar days prior notice in writing (unless terminated by the County under the Availability
of Funds provision). The notice shall be given by personal delivery or by registered or certified
mail, postage prepaid and returned receipt requested to the persons at the addresses set forth on
Page Two page one of this Agreement.
3. This Agreement may be terminated by mutual written agreement of the Parties specifying the
termination date therein.
4. The County has the right to terminate this Agreement upon twenty-four (24) hour notice when
the County deems the health or welfare of the service recipients are endangered or Subrecipient’s
non-compliance jeopardizes funding source financial participation. If not terminated by one of
the above methods, this Agreement will terminate upon the expiration of the term of this
Agreement stated on the Page One of this Agreement.
5. In accordance with 2 CFR § 200, et seq., County may suspend or terminate this Agreement if
Subrecipient violates any term or condition of this Agreement or if Subrecipient fails to maintain
a good faith effort to carry out the purpose of this Agreement.
6. County or Subrecipient may terminate this Agreement for convenience in accordance with 2
CFR § 200, et seq. Both Parties shall agree upon the termination conditions including the effective
date of the termination. The party initiating the termination shall notify the other party in writing
stating the reasons for such termination.
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SECTION I GENERAL PROVISIONS
F. EFFECT
To the extent that the Special Provisions are in conflict with the General Provisions, the Special
Provisions shall control. To the extent that the Work Statement and the Special or General Provisions
are in conflict, the Work Statement shall control. To the extent that the Compensation Provisions are in
conflict with the General Provisions, Special Provisions or Work Statement, the Compensation
Provisions shall control. Nothing herein shall operate to increase the Operating Budget without a written
amendment thereto.
G. DEFINITIONS
As used throughout this Agreement, the following terms shall have the following meanings:
1. Annual Action Plan means the annual plan submitted by the County as the lead agency of the
Maricopa HOME Consortium that describes the Consortium’s annual program goals.
2. Assistant Director means the Director of the Community Development Division within the
Human Services Department.
3. Beneficiary means a person or household that meets the income requirements of 24 CFR
92.203 subject to the restriction on assistance to students enrolled in an institution of higher
education, as described in 24 CFR 5.612.
4. Commitment means an executed legally binding written agreement with a Subrecipient or a
contractor to use a specific amount of HOME funds to produce affordable housing, provide
down-payment assistance or tenant based rental assistance. An agreement between the
representative unit and a member unit of general local government of the Consortium does not
constitute a commitment as described in 24 CFR Part 92.2(1) and (2).
5. Consortium Agreement means the Intergovernmental Agreement (IGA) between members
of the Maricopa County HOME Consortium entered into on or about June 29, 2005 which
automatically renews for successive 3-year terms and expires on or about June 30, 2018.
6. Contract Administrator means the person identified in page 2 of this Agreement who is
responsible for administering this Agreement on behalf of the County.
7. County means Maricopa County by and through its Human Services Department as the Lead
Agency of the Maricopa HOME Consortium.
8. Contractor/Subcontractor means a non-profit or for-profit organization carrying out HOME
related project activities as described in the written agreement between the City and the
Developer.
9. Director means the Director of the Maricopa County Human Services Department.
10. Division means the Housing & Community Development Division of the Human Services
Department.
11. Fidelity Bond means a bond to indemnify the Subrecipient against losses resulting from fraud
or lack of integrity, honesty or fidelity of one or more employees, officers or other persons
holding a position of trust.
12. Five Year Consolidated Plan means the HUD required Consolidated Plan submitted by the
County as the lead agency for the Maricopa HOME Consortium.
13. HOME means HOME Investment Partnerships Program
14. HUD means U.S. Department of Housing and Urban Development
15. Juvenile means any person under the age of eighteen (18).
16. Lead Agency or Department means Maricopa County Human Services Department, Housing
and Community Development Division. The Lead Agency is designated per the
Intergovernmental Agreement authorized and adopted by the HOME Consortium members’
legislative bodies.
17. Low-income families means families whose annual incomes do not exceed 80 percent of the
median income for the area, as determined by HUD, with adjustments for smaller and larger
families, except that HUD may establish income ceilings higher or lower than 80 percent of the
median for the area on the basis of HUD findings that such variations are necessary because of
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prevailing levels of construction costs or fair market rents, or unusually high or low family
incomes. An individual does not qualify as a low-income family if the individual is a student who
is not eligible to receive Section 8 assistance under 24 CFR 5.612.
17.18. Maricopa HOME Consortium means the group of jurisdictions that participate in the Three-
Year Cooperative Consortium Agreement with Maricopa County.
18.19. Maricopa HOME Consortium Current Practices Manual “HOME Manual”or Current
Practices Manual is the manual adopted by the Maricopa HOME Consortium for the
administration of Projects.
19.20. Minority Business Enterprise (MBE) means an entity which is majority owned or controlled
by a socially and economically disadvantaged individual as described by Public Law 95-507.
21. Net Proceeds means the amount remaining after deducting non-HOME debt and
closing costs from the sale of a HOME funded asset, obligation or loan.
20.22. Women’s Business Enterprise (WBE) means an entity in which a woman has majority
ownership and control.
21.23. Payment Bond means a bond executed to assure payment as required by law of all persons
performing work or providing materials in the execution of work provided in this Agreement.
22.24. Performance Bond means a bond executed to secure fulfillment of all of the Subrecipient's
obligations under this Agreement.
23.25. Program means HOME Subrecipient’s receipt of fundsreceive to carry out programs (e.g.,
down payment assistance, homeowner rehabilitation, or tenant-based rental assistance
programs, etc.), and not to undertake specific projects. (Entities that carry out projects are
generally owners, developers, or sponsors.) The Work Statement included herein describes the
Subrecipient programs to be administered.
24.26. Projects means rehabilitation or new construction (with or without acquisition) as described in
a legally binding agreement between the HOME Subrecipient and the prospective owners or
beneficiaries of the HOME funds for which all necessary financing has been secured and
budgeted and for which an acquisition, construction and/or rehabilitation schedule has been
established, and underwriting has been completed and otherwise complies with CFR Part 92.2(2)
and 92.2 (A) and (B).
25.27. Public Agency has the meaning prescribed by A.R.S. § 11-951.
26.28. Subcontract means any contract entered into by a Subrecipient with a third party for
performance of any of the work or provision of any of the services covered by this Agreement.
27.29. Subrecipient means a public agency administering all requirements of the HOME program and
is the member unit of a general local government, person, firm or organization listed on the
Cover Page of this Agreement.
28.30. Vendor means an entity funded through the Subrecipient to provide services required by the
Work Statement.
31. Very low-income families means low- income families whose annual incomes do not exceed
50 percent of the median family income for the area, as determined by HUD with adjustments
for smaller and larger families, except that HUD may establish income ceilings higher or lower
than 50 percent of the median for the area on the basis of HUD findings that such variations
are necessary because of prevailing levels of construction costs or fair market rents, or unusually
high or low family incomes. An individual does not qualify as a very low-income family if the
individual is a student who is not eligible to receive Section 8 assistance under 24 CFR 5.612.
29.32. Work Statement means the section of this Agreement that contains a description of services to
be delivered pursuant to this Agreement.
H. GENERAL REQUIREMENTS
1. The terms of this Agreement shall be construed in accordance with Arizona law and the
applicable regulations of the United States Department of Housing and Urban Development
(HUD). Any lawsuit arising out of this Agreement shall be brought in the appropriate court in
Maricopa County, Arizona.
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2. The Subrecipient shall, without limitation, obtain and maintain all licenses, permits, and authority
necessary to do business, render services, and perform work under this Agreement, and shall
comply with all laws regarding unemployment insurance, disability insurance, and workers’
compensation.
3. The Subrecipient is independent in the performance of work and the provision of services under
this Agreement and shall comply with all laws regarding unemployment insurance, disability
insurance and worker's compensation.
4. Subrecipient shall comply with the regulations prohibiting a conflict of interest, and not make
any payments, either directly or indirectly, to any person, partnership, corporation, trust or other
organization that has a substantial interest in Subrecipient's organization or with which
Subrecipient (or one of its directors, officers, owners, trust certificate holders or a relative
thereof) has a substantial interest, unless Subrecipient has made full written disclosure of the
proposed payments to the County and has received written approval therefore. For purposes of
this provision, the terms "substantial interest" and "relative" shall have the meanings prescribed
by A.R.S. § 38-502.
I. ACCEPTANCE OF FUNDS
Subrecipient hereby accepts the award of funds under the terms of this Agreement and agrees to execute
and return this Agreement to the County within 30 days of receipt unless Subrecipient received a written
waiver of this requirement by the County.
J. ASSIGNMENT AND SUBCONTRACTING
No right, liability, obligation or duty under this Agreement may be assigned, delegated or subcontracted,
in whole or in part, without the prior written approval of the County. Subrecipient shall bear all liability
under this Agreement, even if it is assigned, delegated or subcontracted, in whole or in part, unless the
County agrees otherwise.
K. AVAILABILITY OF FUNDS
1. The provisions of this Agreement relating to the payment for services shall become effective
when funds assigned for the purpose of compensating the Subrecipient, as provided herein, are
actually available to the County for disbursement. The Director shall be the sole authority in
determining the availability of funds under this Agreement and the County shall keep the
Subrecipient fully informed as to the availability of funds.
2. If any action is taken by any State agency, federal department or any other agency or
instrumentality to suspend, decrease or terminate its fiscal obligation under, or in connection
with this Agreement, the Parties may amend, suspend, decrease or terminate its obligations under
or in connection with this Agreement. In the event of termination, the Parties shall be liable for
payment only for services rendered prior to the effective date of the termination, provided that
such services performed are in accordance with the provisions of this Agreement. The Parties
shall give written notice of the effective date of any suspension, amendment, or termination
under this section at least ten (10) calendar days in advance.
L. BUDGET ADJUSTMENTS
Subrecipient must receive prior written approval from the County to move funds from one Budget
Activity Line Item to another. Budget adjustments that do not change the Agreement Amount may be
documented by an Amendment signed by the Director and the Subrecipient’s Representative. If the
County agrees to the budget adjustments that increase the Agreement amount, the County shall follow
section D of this Agreement to amend this Agreement. Any requests for reasonable budget adjustments
must be submitted ninety (90) days prior to the expiration of this Agreement. Requests for adjustments
to this Agreement must be supported by appropriate documentation. The Subrecipient shall not retain
any funds drawn down in excess of immediate cash needs (to be used within 15 days of draw down)
to cover subsequent requests for reimbursement, and must return them to the County within 30 days
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SECTION I GENERAL PROVISIONS
of receipt. The Subrecipient must also return to the County any interest that is earned on these funds
that are drawn down and not expended for eligible costs within 15 days of draw down.
M. DISPUTES
1. Except as may otherwise be provided for in this agreementAgreement, any dispute arising out
of this agreement Agreement that is not resolved between the Parties within a reasonable period
of time, which shall not exceed one hundred twenty (120) days, shall be submitted in accordance
with the following dispute resolution process.
2. Notice of the specific grounds of a dispute shall be in writing and filed with the Contract
Administrator, if one has been appointed, or, if not, with the County Procurement Officer
Assistant Director within ten (10) working days from the date Contractor Subrecipient knew or
should have known of the basis of the dispute. The Contract Administrator or County
Procurement Officer, as applicable, The Assistant Director shall respond in writing to
Contractor Subrecipient within fourteen (14) working days. The decision of the Contract
Administrator or County Procurement OfficerAssistant Director shall be final and conclusive
unless, within seven (7) working days from the date Subrecipient Contractor is served with the
decision, SubrecipientContractor files a written notice of appeal with the County’s Chief
Procurement OfficerHuman Services Department Director, who shall provide Subrecipient
Contractor with a written response within fourteen (14) working days following receipt of
Subrecipient’s Contractor’s notice of appeal. The decision of the County’s Chief Procurement
OfficerDirector shall be final and not appealable.
3. Pending a final decision of the County’s Chief Procurement OfficerDirector, the Contractor
Subrecipient shall proceed diligently with its performance of this agreement Agreement in
accordance with the Contract Administrator or County Procurement Officer’sAssistant
Director’s decision.
N. DEFAULT AND REMEDIES FOR NONCOMPLIANCE
1. Notwithstanding anything to contrary, this Section shall not be deleted or superseded by any
other provision of this Agreement.
2. This Agreement may be immediately terminated by the County if the Subrecipient defaults by
failing to perform any objective or breaches any obligation under this Agreement, or any event
occurs that jeopardizes the Subrecipient’s ability to perform any of its obligations under this
Agreement. The County reserves the right to have service provided by persons other than the
Subrecipient if the Subrecipient is unable or fails to provide required services with the specified
time frame.
3. Failure to comply with the requirements of this Agreement and all the applicable federal, state,
or local laws, rules, and regulations may result in suspension or termination of this Agreement,
the return of unexpended funds (less just compensation for work satisfactorily completed that,
to date, has not been paid), the reimbursement of funds improperly expended, or the recovery
of funds improperly acquired. Noncompliance includes, but is not limited to:
a. Nonperformance of any obligations required by this Agreement.
b. Noncompliance with any applicable federal, state, or local laws, rules or regulations,
including HUD guidelines, policies, or directives.
c. Unauthorized expenditure of funds.
d. Violation of the applicable affordability period.
e. Improper disposition of resale or recapture proceeds.
f. Improper disposition of program income.
g. Noncompliance with applicable financial record requirements, accounting principles,
or standards established by 2 CFR 200, et seq.
h. Noncompliance with recordkeeping, record retention, or reporting requirements.
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4. Notwithstanding the suspension or termination of this Agreement, or the final determination
of the proper disposition of funds, Subrecipient shall, without intent to limit or with
restrictions, be subject to the following:
a. All awards of funding shall be immediately revoked, and any approvals related to the
project described in the Special Provision or Work Statement shall be deemed revoked
and canceled. Thereby, any entitlements to compensation after suspension or
termination of this Agreement are similarly revoked and unavailable.
b. Not be relieved of any liability or responsibility associated with the Special Provision
or Work Statement.
c. Acknowledge that suspension or termination of this Agreement does not affect or
terminate any rights against the Subrecipient at the time of suspension or termination,
or that may accrue later. Nothing herein shall be construed to limit or terminate any
right or remedy available under contract or rule.
d. Wavier of a breach or default of any term, covenant, or condition of this Agreement
or any federal, state, or local law, rule, or regulation shall not operate as a waiver of
any subsequent breach of the same or any other term, covenant, condition, law, rule,
or regulation.
5. The Subrecipient shall, upon notice or with knowledge obtained by itself or others, take any and
all proactive actions necessary, and provide any and all applicable remedies to address and correct
any act by itself, its employees, officials, successors, assigns, contractors, or subcontractors that
resulted in any wrongdoing (intentional or unintentional); misuse or misappropriation of funds;
the incorrect or improper disposition of funds; any violation of any federal, state, or local law,
rule, or regulation; or the breach of any certification or warranty provided in this Agreement
O. SEVERABILITY
Any provision of this Agreement that is determined to be invalid, void or illegal by a court shall in no
way affect, impair or invalidate any other provision hereof, and the remaining provisions shall remain in
full force and effect.
P. STRICT COMPLIANCE
The County’s acceptance of Subrecipient’s performance that is not in strict compliance with the terms
hereof shall not be deemed to waive the requirements of strict compliance for all future performance. All
changes in performance obligations under this Agreement shall be in writing and signed by both Parties.
Q. NON-LIABILITY
The County, its officers, representatives, agents and employees shall not be liable for any act or omission
by the Subrecipient or Vendor or any officer, representative, agent or employee of Subrecipient or
Vendor occurring in the performance of this Agreement, nor shall these entities be liable for purchases
or contracts made by the Subrecipient, Vendor or any officer, representative, agent and employee of
Subrecipient or Vendor, in connection with this Agreement.
R. INDEMNIFICATION
To the extent permitted by law, the Subrecipient shall, and shall cause any of its Subcontractors to,
indemnify,, defend save and hold harmless the State of Arizona and Maricopa County, any jurisdiction
or agency issuing any permits for any work arising out of this Agreement, and their respective directors,
officers, officials, agents, and employees (hereinafter referred to as “Indemnitee”) from and against any
and all claims, actions, liabilities, damages, losses, or expenses (including court costs, attorneys’ fees,
and costs of claim processing, investigation and litigation) (hereinafter referred to as “Claims”) for
bodily injury or personal injury (including death), or loss or damage to tangible or intangible property
caused, or alleged to be caused, in whole or in part, by the negligent or willful acts or omissions of
Subrecipient and any of its Subcontractors, or any of the directors, officers, agents, or employees of
Subrecipient and any of its Subcontractors. This indemnity includes any claim or amount arising out of
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SECTION I GENERAL PROVISIONS
or recovered under the Workers’ Compensation Law or arising out of the failure of the Subrecipient
or any of its Subcontractors to conform to any federal, state or local law, statute, ordinance, rule,
regulation or court decree. It is the specific intention of the Parties that the Indemnitee shall, in all
instances, except for Claims arising solely from the negligent or willful acts or omissions of the
Indemnitee, be indemnified by the Subrecipient and any of its Subcontractors from and against any
and all claims. It is agreed that the Subrecipient and any of its Subcontractors will be responsible for
primary loss investigation, defense and judgment costs where this indemnification is applicable.
S. TECHNICAL ASSISTANCE
The County will provide reasonable technical assistance to the Subrecipient to assist in complying with
State and federal laws, regulations and accountability for diligent performance and compliance with the
terms and conditions of this Agreement and all applicable laws, regulations and standards. However, this
assistance in no way relieves the Subrecipient of full responsibility and accountability for its actions and
performance in compliance with the terms of this Agreement.
T. SINGLE AUDIT ACT REQUIREMENTS
Subrecipient is in receipt of federal funds through the County. The funds are subject to the federal audit
requirements of the Single Audit Act of 1984, as amended (Pub. L. No. 98-502) (codified at 31 U.S.C. §§
7501, et seq.). Subrecipients shall comply with 2 CFR 200 Subpart F. Upon completion, such audits shall
be made available for public inspection. Audits shall be submitted to the County within the twelve (12)
months following the close of the fiscal year. Subrecipient shall take corrective actions within six (6)
months of the date of receipt of the reports. The County shall consider sanctions as described in 2 CFR
200.505 when the Subrecipient is noncompliant with the audit requirements.
U. AUDIT DISALLOWANCES
1. The Subrecipient shall, upon written notice thereof, reimburse the County for any payments
made under this Agreement that are disallowed by a federal, State or County audit in the amount
of the disallowance, as well as court costs and attorney’s fees the County spends to pursue legal
action relating to a disallowance. Court costs and attorney’s fees incurred will be specifically
identified as applicable to the recovery of the disallowed costs in question.
2. If the County determines that a cost for which payment has been made is a disallowed cost, the
County will notify the Subrecipient in writing of the disallowance and the required course of
action, which shall be at the option of the County, either to adjust any future claim submitted by
the Subrecipient by the amount of the disallowance or to require immediate repayment of the
disallowed amount by the Subrecipient issuing a check payable to the County.
V. STAFF AND VOLUNTEER TRAINING
The Lead Agency may make available to the Subrecipient the opportunity to participate in any applicable
training activities conducted by the County.
W. CLEAN AIR ACT
If the total face value of this Agreement exceeds $100,000, the Subrecipient agrees to comply with all
regulations, standards and orders issued pursuant to the Clean Air Act of 1970, as amended (42 U.S.C.
§§ 7401, et seq.), to the extent any are applicable by reason of performance of this Agreement.
X. LOBBYING
1. No federal appropriated funds have been paid or will be paid by or on behalf of the Subrecipient
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 federal
grant, the making of any federal loan, the entering into of any cooperative agreement, and the
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extension, continuation, renewal, amendment, or modification of any federal contract, 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 any federal contract, grant, loan or cooperative agreement, the Subrecipient
shall complete and submit OMB Form-LLL, titled "Disclosure of Lobbying Activities," in
accordance with its instructions and 31 U.S.C. § 1352.
Y. RELIGIOUS ACTIVITIES
The Subrecipient agrees that none of its costs and none of the costs incurred by any Vendor will include
any expense for any religious activity.
Z. POLITICAL ACTIVITY PROHIBITED
None of the funds, materials, property or services contributed by the County or the Subrecipient under
this Agreement shall be used for any partisan political activity, or to further the election or defeat of any
candidate for public office.
AA. COVENANT AGAINST CONTINGENT FEES
The Subrecipient warrants that no person or entity has been employed or retained to solicit or secure this
Agreement upon an agreement or understanding for a commission, percentage, brokerage or contingent
fee. For breach or violation of this warranty, the County may immediately terminate this Agreement
without liability.
BB. SAFEGUARDING OF PARTICIPANT INFORMATION
The use or disclosure by any Party of any information concerning an applicant for, or recipient of, services
under this Agreement is directly limited to the conduct purpose of this Agreement. Subrecipient and its
agents shall safeguard the confidentiality of this information as required by federal and state law., just as
Subrecipient would safeguard its own confidential information. Subrecipient shall include a clause to this
effect in all Subcontracts.
CC. RIGHTS IN DATA
The Parties shall have the use of data and reports resulting from this Agreement without cost or other
restriction, except as otherwise provided by law or applicable regulation. Each Party shall supply to the
other Party, upon request, any available information that is relevant to this Agreement and to the
performance hereunder.
DD. COPYRIGHTS
If this Agreement results in a book or other written material, the author is free to copyright the work, but
the County reserves a royalty-free, nonexclusive, perpetual and irrevocable license to reproduce, publish,
or otherwise use and to authorize other to use, all copyrighted material and all material which can be
copyrighted resulting from this Agreement.
EE. PATENTS
Any discovery or invention arising out of, or developed in the course of, work aided by this Agreement
shall be promptly and fully reported to the County for determination as to whether patent protection on
such invention or discovery shall be sought and how the rights in the invention or discovery, including
rights under any patent issued thereon, shall be disposed of and administered, in order to protect the
public interest.
FF. AGREEMENT COMPLIANCE MONITORING
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The Lead Agency will monitor the Subrecipient's compliance with, and performance under, the terms
and conditions of this Agreement and the applicable federal regulations promulgated by HUD. On-site
visits for compliance monitoring may be made by the Lead Agency at any time during the Subrecipient's
normal business hours, announced or unannounced. During an on-site visit, the Subrecipient shall make
all of its records and accounts related to work performed or services provided under this Agreement
available to the Lead Agency for inspection and copying. In the event of conflict between the terms of
this Agreement and the terms of the Consortium Agreement or the Current Practices HOME Manual,
the terms of this Agreement control.
GG. CONTINGENCY RELATING TO OTHER CONTRACTS AND GRANTS
1. The Subrecipient shall, during the term of this Agreement, immediately inform the Contract
Administrator in writing of the award of any other agreement or grant, including any other
agreement or grant awarded by the County, where the award may affect either the direct or
indirect costs being paid or reimbursed under this Agreement. Failure by the Subrecipient to
notify the County of such award shall be considered a violation of this Agreement and the
County may immediately terminate this Agreement without liability.
2. The Contract Administrator may request, and the Subrecipient shall provide within a reasonable
time, which shall not exceed ten (10) working days, a copy of such other agreement or grant,
when in the opinion of the Contract Administrator the award of the agreement or grant may
affect the costs being paid or reimbursed under this Agreement.
3. If the Contract Administrator determines that the award to the Subrecipient of such other
agreement or grant has affected the costs being paid or reimbursed under this Agreement, the a
cost adjustment will be made by the Contract Administrator will prepare an amendment to this
Agreement affecting a cost adjustment. If the Subrecipient disputes the proposed cost
adjustment, the dispute shall be resolved pursuant to the "Disputes" section contained herein.
HH. MINIMUM WAGE REQUIREMENTS
The Subrecipient warrants that it shall pay all its employees who are performing work or providing
services under this Agreement not less than the minimum wage specified under Section 206(a)(1) of the
Fair Labor Standards Act of 1938, as amended (29 U.S.C. §§ 201, et seq.) by law, regulation or Executive
Order 13658.
II. RECOGNITION OF COUNTY SUPPORT
The Subrecipient shall give recognition to the County and the funding source for its support when the
Subrecipient publishes materials or releases public information that is paid for in whole or in part with
funds received by the Subrecipient under this Agreement.
JJ. INSURANCE
1. Subrecipient shall purchase and maintain the herein stipulated minimum insurance from a
company or companies duly licensed by the State of Arizona and possessing a current A.M.
Best, Inc. rating of B++6. In lieu of State of Arizona licensing, the stipulated insurance may
be purchased from a company or companies who are authorized to do business in the State
of Arizona, provided that said insurance companies meet the approval of County. The form
of any insurance policies and forms must be acceptable to County.
2. All insurance required herein shall be maintained in full force and effect until all work or
service required to be performed under the terms of the Agreement is satisfactorily completed
and formally accepted. Failure to do so may, at the sole discretion of County, constitute a
material breach of this Agreement.
3. Subrecipient’s insurance shall be primary insurance as respects County, and any insurance or
self-insurance maintained by County shall not contribute to it.
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4. Any failure to comply with the claim reporting provisions of the insurance policies or any
breach of an insurance policy warranty shall not affect coverage afforded under the insurance
policies to protect County.
5. The insurance policies may provide coverage that contains deductibles or self-insured
retentions. Such deductible and/or self-insured retentions shall not be applicable with respect
to the coverage provided to County under such policies. Subrecipient shall be solely
responsible for the deductible and/or self-insured retention and County, at its option, may
require Subrecipient to secure payment of such deductibles or self-insured retentions by a
surety bond or an irrevocable and unconditional letter of credit.
6. County reserves the right to request and to receive, within 10 working days, certified copies of
any or all of the herein required insurance certificates. County shall not be obligated to review
policies and/or endorsements or to advise Subrecipient of any deficiencies in such policies
and endorsements, and such receipt shall not relieve Subrecipient from, or be deemed a waiver
of County’s right to insist on strict fulfillment of Subrecipient’s obligations under this
Agreement.
7. The insurance policies required by this Agreement, except Workers’ Compensation, shall name
County, its agents, representatives, officers, directors, officials and employees as Additional
Insured’s.
8. The policies required hereunder, except Workers’ Compensation, shall contain a waiver of
transfer of rights of recovery (subrogation) against County, its agents, representatives, officers,
directors, officials and employees for any claims arising out of Subrecipient’s work or service.
9. The Subrecipient’s policies shall stipulate that the insurance afforded the Subrecipient shall be
primary insurance and that any insurance carried by the County, its agents, officials, employees
or the State of Arizona shall be excess and not contributory insurance, as provided by A.R.S.
§ 41-621 (E).
10. Coverage provided by the Subrecipient shall not be limited to the liability assumed under the
indemnification provisions of this Agreement.
11. Commercial General Liability:
a. Commercial General Liability insurance and, if necessary, Commercial Umbrella
insurance with a limit of not less than $2,000,000 for each occurrence, $2,000,000
Products/Completed Operations Aggregate, and $4,000,000 General Aggregate
Limit. The policy shall include coverage for premises liability, bodily injury, broad
form property damage, personal injury, products and completed operations and
blanket contractual coverage, and shall not contain any provisions which would serve
to limit third party action over claims. There shall be no endorsement or modifications
of the CGL limiting the scope of coverage for liability arising from explosion,
collapse, or underground property damage.
12. Workers’ Compensation:
a. Workers’ Compensation insurance to cover obligations imposed by federal and state
statutes having jurisdiction of Subrecipient’s employees engaged in the performance
of the work or services under this Agreement; and Employer’s Liability insurance of
not less than $1,000,000 for each accident, $1,000,000 disease for each employee, and
$1,000,000 disease policy limit.
b. Subrecipient waives all rights against County and its agents, officers, directors and
employees for recovery of damages to the extent these damages are covered by the
Workers’ Compensation and Employer’s Liability or commercial umbrella liability
insurance obtained by Subrecipient pursuant to this Agreement.
13. Sexual Molestation And Physical Abuse:
a. When services involve working with these groups of individuals, the insurance
requirements in the Agreement need to be revised to include coverage for "sexual
molestation and physical abuse". Coverage for this type of claim, or allegation, is
excluded from standard general liability policies. Therefore, Subrecipient whose
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services include working with and/or caring for children/elderly and disabled persons
should have their policies specifically endorsed to include this coverage.
14. Commercial General Liability – Occurrence Form:
Policy shall include bodily injury, property damage and broad form contractual liability
coverage.
15. The policy shall be endorsed to include coverage for physical/sexual abuse and
molestation.
16. The policy shall be endorsed to include the following additional insured language: "Maricopa
County, its subsidiary, parent, associated and/or affiliated entities, successors, or assigns, its
elected officials, trustees, employees, agents, and volunteers shall be named as additional
insureds with respect to liability arising out of the activities performed by, or on behalf of the
Subrecipient".
Minimum Limits:
General Aggregate $4,000,000
Each Occurrence Limit $2,000,000
Sexual Abuse/Molestation $2,000,000
17. Builder’s Risk (Property) Insurance.
Subrecipient shall purchase and maintain, on a replacement cost basis, Builders’ Risk insurance
and, if necessary, Commercial Umbrella insurance in the amount of the initial Agreement
amount as well as subsequent modifications thereto for the entire work at the site. Such Builders’
Risk insurance shall be maintained until final payment has been made or until no person or entity
other than County has an insurable interest in the property required to be covered, whichever is
earlier. This insurance shall include interests of County, Subrecipient and all of Subrecipient’s
subcontractors and sub‐subcontractors in the work during the life of the Agreement and course
of construction, and shall continue until the work is completed and accepted by County. For
new construction projects, Subrecipient agrees to assume full responsibility for loss or damage
to the work being performed and to the structures under construction. For renovation
construction projects, Subrecipient agrees to assume responsibility for loss or damage to the
work being performed at least up to the full Agreement amount, unless otherwise required by
the Agreement documents or amendments thereto.
a. Builders’ Risk insurance shall be on a special form and shall also cover false work and
temporary buildings and shall insure against risk of direct physical loss or damage from
external causes including debris removal, demolition occasioned by enforcement of any
applicable legal requirements, and shall cover reasonable compensation for architect’s
service and expenses required as a result of such insured loss and other “soft costs” as
required by the Agreement.
b. Builders’ Risk insurance must provide coverage from the time any covered property
comes under the Subrecipient’s control and/or responsibility, and continue without
interruption during construction, renovation, or installation, including any time during
which the covered property is being transported to the construction installation site,
and while on the construction or installation site awaiting installation. The policy will
provide coverage while the covered premises or any part thereof are occupied. Builders’
Risk insurance shall be primary and any insurance or self‐insurance maintained by the
County is not contributory.
c. If the Agreement requires testing of equipment or other similar operations, at the option
of County, Subrecipient will be responsible for providing property insurance for these
exposures under a Boiler Machinery insurance policy or the Builders’ Risk Insurance
policy.
18. Certificates of Insurance:
a. Upon Agreement execution, Subrecipient shall furnish the County with valid and
complete certificates of insurance or formal endorsements as required by the
Agreement, issued by Subrecipient’s insurer(s), as evidence that policies providing the
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required coverage, conditions and limits required by this Agreement are in full force
and effect. Such certificates shall identify this Agreement number and title.
b. Prior to commencing work or services under this Agreement, Subrecipient shall
have insurance in effect as required by the Agreement in the form provided by
the County, issued by Subrecipient’s insurer(s), as evidence that policies providing
the required coverage, conditions and limits required by this Agreement are in
full force and effect. Such certificates shall be made available to the County upon
ten (10) business days. BY SIGNING THE AGREEMENT PAGE THE
SUBRECIPIENT AGREES TO THIS REQUIREMENT AND FAILURE TO
MEET THIS REQUIREMENT WILL RESULT IN CANCELLATION OF
AGREEMENT.
c. In the event any insurance policy(ies) required by this Agreement is (are) written on a
“claims made” basis, coverage shall extend for two years past completion and
acceptance of Subrecipient’s work or services and as evidenced by annual Certificates
of Insurance.
d. If a policy does expire during the life of the Agreement, a renewal certificate must be
sent to County fifteen (15) days prior to the expiration date.
19. Cancellation and Expiration Notice:
a. Insurance required herein shall not be permitted to expire, be canceled, or materially
changed without thirty (30) days prior written notice to the County.
b. If the Subrecipient provides professional or semi-professional personal services under
this Agreement for which malpractice or professional liability coverage is available, such
as medical, psychiatric, or legal services, Subrecipient shall carry minimum liability
coverage of $2,000,000 each occurrence and provide the County with proof of
coverage.
20. Subcontractors:
Subrecipient’s certificate(s) shall include all subcontractors as insureds under its policies or
Subrecipient shall furnish to the County separate certificates for each subcontractor. All
coverages for subcontractors shall be subject to the minimum requirements identified above.
21. Approval:
Any modification or variation from the insurance requirements in any Agreement must have
prior approval from the County whose decision shall be final. Such action will not require a
formal Agreement amendment, but may be made by administrative action.
22. Exceptions:
In the event the Subrecipient or sub-contractor(s) is/are a public entity, then the Insurance
Requirements shall not apply. Such public entity shall provide a Certificate of Self-Insurance.
KK. BONDING
1. The Subrecipient shall not receive any initial reimbursements under this Agreement in an amount
greater than the Subrecipient's bonding limit. Subrecipient shall provide the Assistant Director
with documentation of required bonding.
2. Subrecipient shall have fidelity bonding of not less than the maximum amount of cash on hand
or an amount equal to the initial reimbursement, whichever is greater.
3. Bonding requirements shall prevail throughout the term of this Agreement.
LL. GRIEVANCE PROCEDURE
The Subrecipient shall establish a system through which applicants for, and recipients of, services may
present grievances and may take appeals about eligibility and other aspects of the Subrecipient's work
under this Agreement. The grievance procedure shall include provisions for notifying the applicants for,
and recipients of, services of their eligibility or ineligibility for service and their right to appeal to the
County if the grievance is not satisfied at the Subrecipient's level. This system shall include protest
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procedures for decisions related to contract awards and requests for reasonable accommodations for
persons with disabilities.
MM. NONDISCRIMINATION
The Subrecipient, in connection with any service or other activity under this Agreement, shall not in any
way, discriminate against any person on the grounds of race, color, religion, sex, national origin, age,
disability, political affiliation or belief. The Subrecipient shall include this clause in all of its Subcontracts.
NN. EQUAL EMPLOYMENT OPPORTUNITY
The Subrecipient shall not discriminate against any employee or applicant for employment because of
race, age, disability, color, religion, sex sexual identity, gender identity, or national origin. The Subrecipient
shall take affirmative action to ensure that applicants are employed and that employees are treated during
employment without regard to their race, age, disability, color, religion, sex, sexual identity, gender identity
or national origin. Such action shall include, but is not limited to, the following: employment, upgrading,
demotion or transfer, recruitment or recruitment advertising, lay-off or termination, rates of pay or other
forms of compensation, and selection for training, including apprenticeship. The Subrecipient shall, to
the extent such provisions apply, comply with Title VI and VII of the Civil Rights Act of 1964, as
amended (42 U.S.C. §§ 2000a, et seq.); the Rehabilitation Act of 1973, as amended (29 U.S.C. §§ 701, et
seq.); the Age Discrimination in Employment Act of 1967, as amended (29 U.S.C. §§ 621, et seq.); the
Americans With Disabilities Act of 1990 (42 U.S.C. §§ 12101, et seq.); and Executive Orders 11375
amending Executive Order 11246 and implementing regulations at 41 CFR part 60, as well as, Arizona
Executive Order 99-4, which mandates that all persons shall have equal access to employment
opportunities.
OO. DISABILITY REQUIREMENTS
Subrecipient agrees that any electronic or information technology offered under this Agreement shall
comply with A.R.S. §§41-2532 and 2533 and Section 508 of the Rehabilitation Act of 1973, which requires
that employees and members of the public shall have access to and use of information technology that is
comparable to the access and use by employees and members of the public who are not individuals with
disabilities.
PP. UNIFORM ADMINISTRATIVE REQUIREMENTS
By entering into this Agreement, the Subrecipient agrees to comply with all applicable provisions of
Title 2, Subtitle A, Chapter II, PART 200—UNIFORM ADMINISTRATIVE REQUIREMENTS,
COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS contained in
Title 2 C.F.R. § 200 et seq.
QQ. FINANCIAL MANAGEMENT
The Subrecipient shall establish and maintain a separate, interest-bearing bank account for money
provided under this Agreement, or an accounting system that assures the safeguarding and accountability
of all money and assets provided under this Agreement. No part of the money deposited in the bank
account shall be commingled with other funds or money belonging to the Subrecipient. All interest
earned on the account shall be disposed of in a manner specified by the County in accordance with
applicable State and federal regulations. The Subrecipient shall provide a signed bank account agreement
authorizing the County to obtain information about the account. If an accounting system is used, it shall
be in accord with generally accepted accounting principles.
RR. RETENTION OF RECORDS
1. This provision applies to all financial and programmatic records, supporting document, statistical
records and other records of the Subrecipient that are related to this Agreement.
2. The Subrecipient shall retain all records relevant to this Agreement for six (6) years after final
payment or until after the resolution of any audit questions which could be more than six (6)
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years, whichever is longer, and the County, federal and State auditors and any other persons duly
authorized by the County shall have full access to, and the right to examine, copy and make use
of any and all of the records.
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SS. ADEQUACY OF RECORDS
If the Subrecipient’s books, records and other documents related to this Agreement are not sufficient to
support and document that allowable services were provided to eligible participants, the Subrecipient
shall reimburse the County for the services not supported and documented.
TT. COMPETITIVE BID REQUIREMENTS
1. Equipment
If this Agreement is with other than a Public Agency, the Subrecipient shall obtain all equipment
to be utilized under this Agreement and purchased with funds provided under this Agreement
at the lowest practical cost pursuant to the following competitive bidding system:
a. Procurements in excess of $300, but less than $1,000, require oral price quotations from
two or more vendors. The Subrecipient shall keep and maintain a record of the vendors’
verbal quotations. The Subrecipient’s award shall be made to the lowest bidder meeting
specification requirements concerning price, conformity to specifications, and other
purchasing factors.
b. Procurements exceeding an aggregate amount of $1,000 must be approved by the
County. At least three (3) bidders shall be solicited to submit written quotations. The
Subrecipient shall solicit written quotations by issuing a Request for Quotation to at
least three (3) vendors. The award shall be made to the lowest bidder meeting
specification requirements concerning price, conformity to specifications, and other
purchasing factors.
2. Supplies
If this Agreement is with other than a Public Agency, the Subrecipient shall obtain all supplies
to be utilized under this Agreement and purchased with funds provided under this Agreement
at the lowest practical cost and pursuant to a system of written quotes whenever the price is
expected to be greater than $300, unless the Subrecipient obtains the Contract Administrator’s
prior written approval to purchase supplies by an alternate method.
3. Minority, Women and Small Business Enterprises
The Subrecipient shall take affirmative steps to provide an opportunity for minorities, women,
and small businesses to compete in the procurement of equipment and supplies under this
Agreement.
4. Bidding Procedures
If the Subrecipient is a Public Agency, the Subrecipient's own bidding procedures shall govern.
5. Funding source requirements relating to competitive bid procedures may supersede any or all
subparts of this clause and will be specified in the Special Provisions Section of this Agreement.
UU. PROPERTY
Any property furnished or purchased pursuant to the terms of this Agreement shall be utilized,
maintained, repaired and accounted for in accordance with instructions furnished by the County, and
shall revert to the County upon termination of this Agreement, unless the County determines otherwise.
The costs to repair such property are the responsibility of the Subrecipient within the limits budgeted
herein. Repair costs beyond the budgeted amount shall be approved by the County.
VV. IMMIGRATION LAWS AND REGULATIONS
1. Federal Immigration and Nationality Act
a. The Parties understand and acknowledge the applicability of the Immigration Reform
and Control Act of 1986 (IRCA). The Parties agree to comply with the IRCA in
performing under this Agreement and to permit the other Party to inspect personnel
records to verify such compliance.
b. By entering into this Agreement, both Parties warrant compliance with the Federal
Immigration and Nationality Act (FINA) and all other Federal immigration laws and
regulations related to the immigration status of its employees. Both Parties shall
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obtain statements from their subcontractors certifying compliance and shall furnish
the statements to the Procurement Officer upon request. These warranties shall
remain in effect through the term of the Agreement. Both Parties and their
subcontractors shall also maintain Employment Eligibility Verification forms (I-9) as
required by the U.S. Department of Labor’s Immigration and Control Act for all
employees performing work under the Agreement. I-9 forms are available for
download at USCIS.GOV.
c. The Parties may request verification of compliance for any employee or subcontractor
performing work under the Agreement. Should either Party suspect or find that the
other Party or any of its subcontractors are not in compliance, then the Party may
pursue any and all remedies allowed by law, including, but not limited to: suspension
of work, termination of the Agreement for default, and suspension and/or debarment
of the other Party. All costs necessary to verify compliance are the responsibility of
the Subrecipient or its subcontractor.
2. Arizona Law: The Subrecipient warrants that it is in compliance with A.R.S. § 41-4401 (e-
verify requirements) and further acknowledges:
a. That Subrecipient and its Vendors, if any, warrant their compliance with all federal
immigration laws and regulations that relate to their employees and their compliance
with A.R.S. § 23-214;
b. That a breach of a warranty under subsection 1 2 a above, shall be deemed a material
breach of this Agreement and the County may immediately terminate this Agreement
without liability;
c. That the County and any contracting government entity retains the legal right to inspect
the papers and employment records of any Subrecipient or Vendors employee who
works on this Agreement to ensure that the Subrecipient or Vendors is complying with
the warranty provided under subsection 1 2 a above and that the Subrecipient agrees to
make all papers and employment records of said employee(s) available during normal
working hours in order to facilitate such an inspection.
WW. DRUG FREE WORKPLACE ACT
The Subrecipient agrees to comply with the Drug-Free Workplace Act of 1988 (41 U.S.C. §§ 701, et seq.),
which requires that the Subrecipient and grantees of federal funds must certify that they will provide
drug-free workplaces that comply with federal law. This certification is a precondition to receiving a grant
or entering into this Agreement.
XX. GOVERNOR’S EXECUTIVE ORDER NO. 88-26
The Subrecipient is required to use the Arizona Taxonomy of Human Services for reporting and
contracting purposes.
YY. EMPLOYMENT DISCLAIMER
1. This Agreement is not intended to constitute, create, give rise to, or otherwise recognize a joint
venture agreement, partnership, or other formal business association or organization of any kind
between the Parties, and the rights and obligations of the Parties shall be only those expressly set
forth in this Agreement.
2. The Parties agree that no individual performing under this Agreement on behalf the Subrecipient
is to be considered a County employee, and no rights of County civil service, County retirement,
or County personnel rules shall accrue to such individuals. The Subrecipient shall have total
responsibility for all its salaries, wages, bonuses, retirement, withholdings, workers’ compensation,
occupational disease compensation, unemployment compensation, other employee benefits, and
all taxes and premiums appurtenant thereto concerning such individuals and shall defend and
hold the County harmless with respect thereto.
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ZZ. CERTIFICATION REGARDING DEBARMENT, SUSPENSION INELIGIBILITY AND
VOLUNTARY EXCLUSION
The undersigned by signing and submitting this Agreement has the authority to certify the Subrecipient
to the terms, representations and/or warrants of this Certification. The Subrecipient, defined as the
primary participant in accordance with 45 C.F.R. Part 76, certifies to the best of its knowledge and belief
that it and its principals:
1. are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any federal department or agency;
2. have not within a three-year period preceding this Agreement been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction
or contract under a public transaction; violation of federal or State antitrust statutes or
commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
3. are not presently indicted or otherwise criminally or civilly charged by a governmental entity
(Federal, State, or local) with commission of any of the offenses enumerated in paragraph (2) of
this certification; and
4. have not within a three-year period preceding this Agreement had one or more public
transactions (Federal, State, or local) terminated for cause or default.
5. shall immediately notify the County if, at any time during the term of this Agreement, it is
debarred, suspended, declared ineligible, or voluntarily excluded from participation, The County
may pursue available remedies in the event of such occurrence, including immediate termination
of this Agreement.
6. shall not enter into a subcontract or sub-recipient agreement with a person or organization that
is debarred, suspended, declared ineligible, or voluntarily excluded from participation. The
County may pursue available remedies in the event of such occurrence, including immediate
termination of this Agreement.
The Subrecipient shall include without modification this Certification’s language, entitled “Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion – Lower Tier Covered
Transactions,” with all subgrantees or other contractors; in all lower tier covered transactions and in all
solicitations for lower tier covered transactions in accordance with 45 C.F.R. Part 76.
Should the Subrecipient not be able to provide this Certification, an explanation as to why shall be
immediately provided to the County, Attention: Housing and Community Development Assistant
Director, 234 N. Central Ave., Third Floor, Phoenix, AZ 85004.
AAA. CONTRACTOR EMPLOYEE WHISTLEBLOWER RIGHTS AND REQUIREMENT TO
INFORM EMPLOYEES OF WHISTLEBLOWER RIGHTS
1. The Parties agree that this Agreement and employees working on this Agreement will be
subject to the whistleblower rights and remedies in the pilot program on Subrecipient
employee whistleblower protections established at 41 U.S.C. § 4712 by section 828 of the
National Defense Authorization Act for Fiscal Year 2013 (Pub. L. 112–239) and section 3.908
of the Federal Acquisition Regulation;
2. Subrecipient shall inform its employees in writing, in the predominant language of the
workforce, of employee whistleblower rights and protections under 41 U.S.C. § 4712, as
described in section 3.908 of the Federal Acquisition Regulation. Documentation of such
employee notification must be kept on file by Subrecipient and copies provided to County
upon request; and
3. Subrecipient shall insert the substance of this clause, including this paragraph (3), in all
subcontracts over the simplified acquisition threshold ($150,000 as of September 2013).
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BBB. ISRAEL BOYCOTT
Per A.R.S. § 35-393, Subrecipient certifies that they are not currently engaged in, and agrees for the
duration of the Contract to not engage in, a boycott of Israel.
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SECTION II
SPECIAL PROVISIONS
MARICOPA COUNTY
HUMAN SERVICES DEPARTMENT
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SECTION II SPECIAL PROVISIONS
A. STANDARDS
The Subrecipient shall perform the work and provide the services as identified in the Work Statement
and shall immediately notify the County whenever the Subrecipient is unable to, or anticipates an
inability to, perform any of the work, or provide any of the services required by the terms of this
Agreement. The Subrecipient acknowledges that any inability to perform the work and provide the
services, or comply with the standards set forth in this Agreement may subject the Subrecipient to the
remedies provided in the Default and Remedies for Noncompliance established by the General
Provisions.
B. COMPLIANCE WITH LAWS, RULES & REGULATIONS
This Agreement and the Parties hereto, are subject to all applicable federal, state, or local laws, rules,
and regulations. The Subrecipient shall comply with all applicable laws, rules and regulations, without
limitation to those designated within this Agreement. Refer to the Default and Remedies for
Noncompliance provided in the General Provisions.
C. COMPLIANCE WITH REQUIREMENTS REGARDING ELIGIBILITY FOR PUBLIC
BENEFITS
Subrecipient shall comply with State and other laws regarding eligibility for public benefits including
ARS § 1-501 and § 1-502 which states that public benefits shall only be provided to eligible applicants
who are citizens of the United States, or are Qualified Non-Citizens:
1. All applicants authorized to receive public benefits must provide documentation of their
lawful presence in the United States through a verification process.
2. All eligible applicants must also execute a sworn affidavit stating that the documentation
provided during the verification process to prove citizenship or qualified non-citizen is true.
3. The Affidavit Demonstrating Lawful Presence in the United States or similar form shall be
used to document compliance with requirements 1 and 2, above.
4. Employees of Maricopa County and its subcontracted entities are required to report
“discovered violations” of federal immigration law
5. Public benefits are defined in ARS 1-501 as any grant, contract, loan, professional license, or
commercial license provided by an agency of the United States or by appropriated funds of
the United States; and any retirement, welfare, health, disability, public or assisted housing,
postsecondary education, food assistance, unemployment benefit, or any other similar benefit
for which payments or assistance are provided to an individual, household, or family eligibility
unit by an agency of the United States or by appropriated funds of the United States.
6. Programs, services, or assistance such as soup kitchens, crisis counseling and intervention, and
short-term shelter which meet the following conditions are exempt from ARS 1-501 and 1-
502.
a. deliver in-kind services at the community level, including through public or private
nonprofit agencies;
b. do not condition the provision of assistance, the amount of assistance provided, or
the cost of assistance provided on the individual recipient’s income or resources;
and
c. are necessary for the protection of life or safety.
D. AUDIT REQUIREMENTS
The Subrecipient shall, at its own expense, file with the County by March 31st of each Agreement year,
either audited financial statements prepared in accordance with federal single audit requirements; or,
Financial financial statements of the HOME program prepared in accordance with generally accepted
accounting principles audited by an independent certified public accountant.
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E. SPECIAL FEDERAL AND PROJECT PROVISIONS
1. In accordance with HOME Program regulations, the Subrecipient agrees to implement the
Program fully as described in each Work Statement in accordance with the terms of the Five-
Year Consolidated Plan and the Annual Action Plan submitted by the County to HUD for
funds to carry out the Program and the Certifications which were submitted concurrently with
the Annual Action Plan to HUD, and with any Cooperation Agreements with the Municipality
(as applicable). The Annual Action Plan is hereby incorporated by reference into this
Agreement. In summary, the Program is described in Work Statement, Section III. The
Subrecipient shall be responsible to provide various reports of all activities related to the Work
Statement. The Subrecipient agrees to submit to the County required reports:
a. Program Income Reports are due monthly with supporting documentation and
with each Request for Reimbursement.
b. Contract Quarterly Performance Reports are due on the 15th of July, October,
January and April of the preceding three months (i.e. July report cover the months of
April, May and June). Report Reports shall address all programs described in the Work
Statement. Failure to submit timely Agreement Performance Reports will result in
suspension of payment reimbursement requests until all reports are brought current.
Agreement ProgressPerformance Reports are continually due for rental projects to
ensure that all beneficiary data is regularly updated with beneficiary information
during lease-up along with vacant unit reports. Within six months from the date of
project completion, if a rental unit remains unoccupied, the Subrecipient must provide
the County information about current marketing efforts and, if appropriate, an
enhanced plan for marketing the unit so that it is leased as quickly as possible. Within
18 months from the date of project completion, if efforts to market the unit are
unsuccessful and the unit is not occupied by an eligible tenant, HUD will require
repayment of all HOME funds invested in the unit. A unit that has not served a low-
or very low-income household has not met the purposes of the HOME program.
Therefore, the costs associated with the unit are ineligible. This tracking provides the
County with early notice of any units at risk of going unrented as described in §92.252.
c. Monthly Request for Reimbursements Subrecipient must use the required
Monthly Request for Reimbursement form and must include all supporting
documentation, a Match Log, Monthly Summary of Program Income/Recaptured
Funds Report, and supporting documentation;
d. HOME Setup Reports are due within one (1) year from the date this
Agreement is fully executed. According to 92.250 (b): Before Setup Reports are
submitted, the Subrecipient must evaluate the project in accordance with guidelines
that it has adopted for determining a reasonable level of profit or return on owner’s
or developer’s investment in a project and must not commit or invest any more
HOME funds, alone or in combination with other governmental assistance, than is
necessary to provide quality affordable housing that is financially viable for a
reasonable period (at a minimum, the period of affordability in 24 CFR 92.252 and
254) and that will not provide a profit or return on the owner’s or developer’s
investment that exceeds the Subrecipient’s established standards for the size, type
and complexity of the project.
e. HOME Completion Reports are due no later than sixty (60) days after final
payment is requested. HOME Completion Report Reports must include all required
documents as described in this Agreement. Within ten (10) business days of receiving
the HOME Completion Report, the County will enter project completion into the
HUD Exchange Integrated Disbursement and Information System (IDIS). The date
the HOME Completion Report is entered into IDIS is the date the affordability
period commences for each activity.
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e.f. Initial Request for Reimbursement form with required documentation for each
activity is due within 45 (forty-five) days of submitting a HOME Setup Report and
no later than 90 (ninety) days thereafter. After the initial request for reimbursement,
subsequent requests shall be submitted monthly until project is completed.
f.g. Other HUD-required reporting data as applicable.
F. PROGRAM INCOME
1. Means all gross income received by the Subrecipient directly generated from the use of funds
provided by this Agreement or matching contributions. Program income must be used in
accordance with the requirements of 24 CFR 92.503. When program income is generated by
housing that is only partially assisted with HOME funds or matching funds, the income shall
be prorated to reflect the percentage of HOME funds used. Program income may be retained
and used by the Subrecipient under the following conditions: submit to the County with
documentation supporting the amount of program income received and expended. Monthly
Summary Program Income Reports are due to the County by the 15th day of the following
month (i.e. due on August 15th for the month of July).
2. Program income derived from Maricopa HOME Consortium activities undertaken by a
Subrecipient which thereafter terminates its participation in the consortium continues to be
program income of the consortium and must be returned to the County.
3. Program Income includes, but is not limited to: [1] proceeds from the disposition by sale or
long-term lease of real property acquired, rehabilitated or constructed with HOME funds or
matching contributions, [2] gross income from the use or rental of real property, owned by
the Subrecipient that was acquired, rehabilitated, or constructed, with HOME funds or
matching contributions, less cost incidental to generation of the income (program income
does not include gross income from the use, rental or sale of real property received by the
project owner, developer, or sponsor, unless the funds are paid by the project owner,
developer, or sponsor to the participating jurisdiction, subrecipient or State recipient); [3]
payments of principal and interest on loans made using HOME funds or match contributions;
[4] Proceeds from the sale of loans made with HOME funds or matching contributions; [5]
Proceeds from the sale of obligations secured by loans made with HOME funds or matching
contributions; [6] Interest earned on program income pending its disposition; and [7] Any
other interest or return on the investment permitted under 24 CFR 92.205(b) of HOME funds
or matching contributions.
4. Program Income received by the Subrecipient shall be tracked by the Subrecipient and
accounted for in a separate fund or account and reported monthly to the County in the
required format. Program Income that is received after the end of this Agreement shall be
shall be sent to the County in accordance with 24 CFR § 92.503 within 30 days after the
expiration of this Agreement.
G. RECAPTURED FUNDS
1. Recaptured funds are HOME funds which are recouped by the Subrecipient when HOME
assisted homeownership housing does not continue to be the principal residence of the
assisted homebuyer for the full affordability period required by 24 CFR 92.254(a) (4). The
amount of the recapture is determined by the recapture requirements established by the
Subrecipient in accordance with 24 CFR 92.254(a) (5) (ii). In accordance with 24 CFR
92.503(c), recaptured funds must be deposited in a separate account and have support back-
up evidencing recaptured funds.
2. Recaptured funds must be used for eligible HOME activities in accordance with the
requirements of the HOME statute and regulations, in the same manner as program income
must be used. However, unlike program income, since recaptured funds represent a return of
the original HOME investment, 10% of the recaptured funds may not be used for eligible
administrative and planning costs. The Subrecipient must enforce the recapture agreements
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and account for the source and application of recaptured funds, in accordance with the record
keeping requirements of 24 CFR 92.508. Recaptured funds may be retained and used by the
Subrecipient under the following conditions: submit to the County documentation supporting
the amount of recaptured funds received and expended. Monthly Summary of Recaptured
Fund Reports which are due to the County by the 15th day of the following month (i.e. due
on August 15th for the month of July).
3. Recaptured funds received from Maricopa HOME Consortium activities undertaken by the
Subrecipient which thereafter terminates its participation in the consortium must be returned
to the County.
H. REAL PROPERTY ACQUIRED or IMPROVED WITH HOME FUNDS
Upon expiration of this Agreement, any real property under the Subrecipient control that was acquired
or improved in whole or in part with HOME funds must be occupied by low and/or very low income
households and in compliance with HOME occupancy limits and must meet the requirements to
qualify as affordable housing subject to encumbrances and obligations described in any applicable
recorded covenants running with the land. The option to use deed restrictions or covenants running
with the land must include period of affordability set forth in §92.252 and §92.254.
I. DEOBLIGATION
The County may reduce funds from the funding award evidenced by this Agreement, under the
following circumstances:
1. The Subrecipient completes performance under the Work Statement without using all funds
provided by the County under this Agreement;
2. This Agreement expires all funds are expended;
3. The County’s original allocation was a loan and the Subrecipient paid the loan;
4. Cancelled or changed a Program required under the Work Statement for reasons other than
non-performance;
5. This Agreement has otherwise been terminated. The County may de-obligate funds under this
Agreement under the foregoing circumstances upon written notice to the Subrecipient.
J. REDUCTION IN FUNDS
The County may reduce funds from the amount of the funding award evidenced by this Agreement,
under the following circumstances: 1) The County determines that the Subrecipient failed to use the
funds provided by the County under this Agreement in compliance with the terms and conditions
outlined herein; or 2) the Subrecipient fails to perform in accordance with the performance obligations
set forth in the Statement of Work and Project Schedule or the terms of this Agreement. The County
may reduce funds under this Agreement under the foregoing circumstance upon written notice to the
Subrecipient.
K. REPAYMENT OF FUNDS
Subrecipient agrees to repay funds provided under this Agreement in compliance with the terms of
this Agreement or the requirement of applicable laws and regulations. This repayment obligation
extends to but is not limited to questioned costs identified in HUD monitoring or Single Audit and
repayments required by HUD for failed projects during the period of affordability for projects financed
under this agreement. The County may specify in writing, the terms of the repayment or alternative
terms in lieu of repayment however in no case shall repayment or alternative terms be accomplished
later than one hundred eight (180) days following the written determination of noncompliance by the
County.
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L. FUNDS REMAINING AT EXPIRATION
Upon expiration of the Agreement, the Subrecipient shall transfer to the County any unexpended funds
advanced to the Subrecipient by the County under this Agreement.
M. ADMINISTRATIVE REQUIREMENTS
In accordance with federal regulations, including 24 CFR § 92, et seq., the County is responsible for
ensuring the administration of HOME Program Funds in accordance with all program requirements.
1. FINANCIAL RECORDS: Subrecipient accounting system and financial records shall comply
with the applicable requirements and standards of 2 CFR 200, et seq. Such systems shall be
subject to monitoring from time to time by the County or by HUD.
a. The Subrecipient agrees to adhere to accounting principles and procedures, to utilize
adequate internal controls and maintain necessary source documentation for all costs
incurred. The Subrecipient further agrees to maintain an adequate accounting system
that provides for appropriate grant accounting (including calculation of program
income).
b. Subrecipient is to adhere to applicable audit requirements as described and in
accordance with 2 CFR 200, et seq. In addition, all Subrecipients must provide annual
single-audit reports or annual audited financial statements to the County.
c. Subrecipient is to adhere to the repayment of investment requirements set forth in 24
CFR § 92.503. Any HOME Funds invested in housing that does not meet the
affordability requirements for the period specified in § 92.252 or § 92.254, as
applicable, must be repaid in accordance with 24 CFR § 92.503(b)(3).
2. DOCUMENTATION AND RECORD KEEPING:
a. Records to be Maintained – The Subrecipient shall maintain all records required by
the Federal regulations specified in 24 CFR § 92.508 that are pertinent to the activities
to be funded under this Agreement. Such records shall include but not be limited to
records:
i. Demonstrating that the Subrecipient is and remains a qualified Subrecipient;
ii. Providing a full description of each projects undertaken and its impact;
iii. Required determining the eligibility of activities;
iv. Demonstrating compliance with environmental review requirements;
v. Required to document the acquisition, improvement, use or disposition of
real property acquired or improved with HOME assistance (Properties
retained shall continue to meet eligibility criteria);
vi. Demonstrating citizen participation;
vii. Demonstrating compliance regarding acquisitions, displacement, relocation
and replacement housing;
viii. Demonstrating continuing compliance for all activities and/or compliance
with resale or recapture provisions of the affordability standards;
ix. Documenting compliance with the fair housing and equal opportunity
components of the HOME program;
x. Financial records as required by 24 CFR Part 570.502, 2 CFR 200, et seq. and
OMB Circulars;
xi. Other records necessary to document compliance with HOME
requirements;
xii. Documenting compliance with Section 3 of the Housing Development Act
of 1968;
xiii. Demonstrating compliance with deeds of trust, promissory notes, and
forgivable loans associated with owner-occupied housing activities;
xiv. Supporting that the Subrecipient has maintained client data demonstrating
clients served meet the income and other criteria required by federal law and
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that no unlawful discrimination occurs in the solicitation or selection process
of low income persons or groups and that no conflict of interest exists.
xv. As demonstratedDemonstrating compliance with applicable Federal, State
and local laws and regulations, including compliance with ARS § 1-501 and §
1-502 (Attachment A).
b. Outcome Measures – The Subrecipient shall maintain data that supports the
accomplishment of the desired outcomes as indicated in the Work Statement.
c. Disclosure – The Subrecipient understands that client information collected under
this Agreement is private and the use or disclosure of such information, when not
directly connected with the administration of the County’s or Subrecipient’s
responsibilities with respect to services provided under this Agreement is prohibited
unless written consent is obtained from such person receiving service.
d. Program Activity Reports – Such reports as required by the County including, but not
limited to HOME Setup/Completion Report, Agreement Quarterly Performance
Reports, Program Income/Recaptured Funds Reports, Match Reports, MBE/WBE
information, and other HUD-required reporting data as applicable shall be submitted
in accordance with the Current Practices HOME Manual at the completion of each
Program which is described under the Work Statement.
e. Audits and Inspections – All Subrecipient records with respect to any matters covered
by this Agreement shall be made available to the County, their designees or the
Federal Government, at any time during normal business hours, as often as the
County deems necessary, to audit, examine and make excerpts or transcripts of all
relevant data. Any relevant deficiencies noted in audit reports must be addressed by
the Subrecipient within 45 days after receipt by the Subrecipient. Failure of the
Subrecipient to comply with the above audit requirements shall constitute a violation
of this Agreement and may result in the withholding of future payments. The
Subrecipient hereby agrees to have an Annual Audit. conducted in accordance with
Current PracticesHOME Manual concerning Subrecipient audits. The Annual Audit
requirement is applicable to all levels of funding received by Subrecipient via this
Agreement, even if the level of funding is less than the current thresholds cited in 2
CFR 200.501
f. Performance Monitoring – The County shall monitor the Subrecipient to determine
if HOME-funded activities are implemented and administered in accordance with all
applicable federal requirements and gauge performance of the Subrecipient against
goals and performance standards required herein. Subrecipient will prepare for
monitoring and assure all required files and documentation are available at scheduled
monitoring and. as set forth in the HOME Consortium Monitoring Current
Practices. Failure of Subrecipient to administer, implement and perform as
determined by federal regulations and County shall constitute non-compliance with
this Agreement. Non-compliance is a violation of this Agreement and may result in
the withholding of future payments.
g. Policy/Administrative Manuals Use – Subrecipient agrees to be familiar with and
comply with the policies/procedures established in the most recent Current
PracticesHOME Manual. Noncompliance with the Current PracticesHOME Manual
shall constitute a breach of Agreement.
N. ENVIRONMENTAL REVIEW CONDITIONS
Completion of the Environmental Review Record (ERR) is mandatory before taking any physical
action on a site or entering into choice limiting contracts. Only exempt activities such as administration
may be taken and reimbursed by the County prior to receiving a written release of HOME funds to
the Subrecipient. Exempt activities described in § 24 CFR 58.34(a)(1)-(11) are activities that generally
have no physical impact on the environment. If federal funds are involved in an activity, neither federal
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nor non-federal funds may be expended or committed by contract (conditional or not) for property
acquisition, rehabilitation, conversion, lease, repair or construction activities, until HUD and/or the
County provides written authorization based on approval of an ERR.
An option agreement (to purchase land or a single family residence) on a proposed site or property is
allowable prior to the completion of the environmental review if the option agreement is contingent
upon a HUD authorization to use funds based on a completion ERR. The cost of the option must be
a nominal portion of the purchase price.
1. The Subrecipient agrees to comply with: the National Environmental Policy Act of 1969 (P.L.
91-190) pursuant thereto 40 CFR Parts 1500 – 1508; Environmental Review Procedures for
Entities Assuming HUD Environmental Responsibilities pursuant thereto Title 24 CFR Part
58, Subpart A; CPD Notice 01-11 HOME Environmental Review Requirements and with all
conditions required in the process of the environmental assessment.
a. Air and Water – The Subrecipient agrees to comply with the following requirements
insofar as they apply to the performance of this Agreement.
i. Clean Air Act, 42 USC § 7401, et seq., as amended.
ii. Federal Water Pollution Control Act, as amended, 33 USC § 1251, et seq., as
amended, 1318 relating to inspection, monitoring, entry, reports and
information, as well as other requirements specified in said Section 114 and
Section 308 and all regulations and guidelines issued thereunder.
iii. Environmental Protection Agency (EPA) regulations pursuant to 40 CFR
Part 50, as amended.
iv. Subrecipient agrees to comply with conditions set forth by the Air Quality
Department or other County agency, as required.
b. Flood Disaster Protection – In accordance with the requirements of the Flood
Disaster Protection Act of 1973 (42 USC § 4001), the Subrecipient shall assure that
for activities located in an area identified by FEMA as having special flood hazards,
flood insurance under the National Flood Insurance Program is obtained and
maintained as a condition of financial assistance for acquisition or construction
purposes. The homeowner must obtain and maintain flood insurance as a condition
of funding, or funds may not be utilized.
c. Historic Preservation – The Subrecipient agrees to comply with the Historic
Preservation requirements set forth in the National Historic Preservation Act of 1966,
as amended (16 USC § 470) and the procedures set forth in 36 CFR Part 800, Advisory
Council on Historic Preservation Procedures for Protection of Historic Properties,
insofar as they apply to the performance of this Agreement. In general, this requires
concurrence from the State Historic Preservation Office for all rehabilitation and
demolition of historic properties that are fifty (50) years old or older or that is listed
or eligible for the National Register of Historic places, or included on any state or
local historic property inventory or any archaeological findings.
d. Release Of Funds (ROF) – No funds may be encumbered prior to the completion of
the Environmental Review. The Environmental Review Record (ERR) must be
completed before any funds are obligated. Funding is also conditioned upon the
completion of the ERR of every activity site by address. The responsibility for
certifying the appropriate ERR and ROF shall rest with the County. It is the
responsibility of the Subrecipient to notify the County, and to refrain from making
any commitments and expenditures on a site until a Release of Funds has been issued
by the County. Failure to meet these conditions will mean that requested funds will
not be disbursed.
O. THE SUBRECIPIENT CERTIFIES
1. That it is a municipality that meets the applicable requirements of the HOME Program.
2. That it possesses legal authority to execute this Agreement.
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3. That its governing body has duly adopted or passed as an official act, a resolution, motion, or
similar action authorizing the person identified as the official representative of the
Subrecipient to execute this Agreement and to comply with the terms of this Agreement.
4. That the activity described shall be carried out and services administered in compliance with
all federal laws and regulations as follows:
a. Subrecipients that are governmental entities (including public agencies) shall comply
with the requirements and standards of 2 CFR 200, et seq.
P. ADDITIONAL CERTIFICATIONS, WARRANTIES, AND AGREEMENTS
1. The Parties to this Agreement agree that they will utilize and make available the HOME funds
in conformity with the non-discrimination and equal opportunity requirements set out in the
HUD regulations in the National Housing Affordability Act. These regulations listed in 24
CFR §§ 92.350-92.454 include:
a. The requirements of the Fair Housing Act, 42 CFR §§ 3601-20, and implementing
regulations at 24 CFR Part 100: Executive Order 11063 (Equal Opportunity in
Housing) as amended by Executive Order 12259 (3 CFR, 1958-1963 Come, p. 652
and 3 CFR 1980 Come. p. 307) and implementing regulations at 24 CFR §107: and
Title VI of the Civil Rights Act of 1694, 42 U. S. C. § 2000d, and implementing
regulations at 24 CFR Part 1 (Nondiscrimination in Federally Assisted Programs);
b. Executive Order 13166 entitled “Improving Access to Services for Persons with
Limited English Proficiency” pursuant to Title VI of the Civil Rights Act;
c. The prohibitions against discrimination on the basis of age under the Age
Discrimination Act of 1975 (42 U.S.C. §§ 6101-07) and the regulations at 24 CFR §
146;
d. The prohibitions against discrimination on the basis of handicap under Section 504
of the Rehabilitation Act of 1973 (29 U.S.C. § 794) and implementing regulations at
24 CFR Part 8; and, Americans with Disabilities Act 1990;
e. The requirements of the Executive Order 11246 (Equal Employment Opportunity)
and the regulations issued under the Order at 41 CFR Chapter 60 (3 CFR §§ 1964-65,
Come, p. 339);
f. The requirements of Section 3 of the Housing and Urban Development Act of 1968,
12 U.S.C. § 1702u (Employment Opportunities for Business and Lower Income
Persons in Connection with Assisted Activities); and
g. The requirements of Executive Orders 11625 and 12432 regarding Minority Business
Enterprise, and 12138 regarding Women's Business Enterprise, and Regulations S.
85.36 (e) and of Section 281 of the National Housing Affordability Act.
h. The requirements of the Housing and Urban Development Equal Access Rule (24
CFR Part 5 Final Rule 5863) to ensure equal access to housing and services regardless
of gender identity.
2. The Parties to this Agreement agree that they will prepare and adopt acceptable procedures
and requirements for affirmatively marketing units in the HOME Activities, when HOME
assisted housing contains 5 or more rental units, by providing information about the
availability of HOME-assisted units that are vacant at the time of completion or that later
become vacant. The Parties agree that they will make good faith efforts to provide information
and to otherwise attract eligible persons from all racial, ethnic, and gender groups in the
housing market to the available housing during the period of affordability. These procedures
and requirements are not applicable when units are occupied by families referred from a Public
Housing Authority's (PHA) waiting list, or to families receiving tenant-based rental assistance
provided from HOME funds.
3. HOME funds may not be used for operations or modernization of public housing projects
financed under the Housing Act of 1937.
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4. County, as the participating jurisdiction, assumes all the responsibilities for environmental
review, decision making, and action under the National Environmental Policy Act of 1969 (42
U.S.C. § 4321) and the other provisions of the law that would apply to HUD were HUD to
undertake such Activities as Federal Activities in accordance with 24 CFR Part 58. The County
will assume the responsibilities for the Request for Release of Funds. The Subrecipient agrees
not to commit or incur expenditures for HOME activities until this environmental review
process has been completed. Should it be determined that the Subrecipient has incurred
expenses in violation of the NEPA requirements, the Subrecipient will be responsible for the
full costs for such expenditures and repayment of any related reimbursements. The
Subrecipient agrees to provide all necessary assistance to the County in completing this
environmental review process.
5. The Parties to this Agreement agree to abide with the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (URA) (42 U.S.C. §§ 4291-4655) and the
governmental implementing regulations at 49 CFR Part 24 as they apply to this HOME
Program.
6. The Parties to this Agreement agree to abide with the Davis-Bacon Act (40 U.S.C. § 276a-5)
and the Agreement Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333).
7. The Parties to this Agreement agree to abide by the Flood Disaster Protection Act of 1973
(42 U.S.C. §§ 4001-4128) as they apply to this HOME Program.
8. The Parties to this Agreement agree to abide by the Drug-Free Workplace Act of 1988 as it
applies to the HOME Program.
9. Housing assisted with HOME funds constitutes HUD-assisted housing for the purposes of
the Lead-Based Paint Poisoning Prevention Act (42.U.S.C. § 4821. et seq.) and is therefore
subject to 24 CFR Part 35.
10. No person who is an employee, agent, consultant, officer or elected official, or appointed
official who exercise or have exercised any functions or responsibilities with respect to
activities assisted with HOME funds or who are in a position in a decision making process or
gain inside information with regard to these activities, may obtain a financial interest or benefit
from a HOME assisted activity, either for themselves or those whom they have family or
business ties, during their tenure or for one year thereafter.
11. The Subrecipient warrants that it is in compliance with A.R.S. § 41-4401 and further
acknowledges
a. That the Subrecipient and its subcontractors/vendors, if any, warrant their
compliance with all federal immigration laws and regulations that relate to their
employees and their compliance with A.R.S. § 23-214 (A);
b. That a breach of a warranty under subsection a above, shall be deemed a material
breach of the Agreement that is subject to penalties up to and including termination
of the contact;
c. That the County retains the legal right to inspect the employment papers of any
Subrecipient or vendor’s employee who works on the Agreement to ensure that the
Subrecipient or vendor is complying with the warranty provided under subsection a
above and that the Subrecipient agrees to make all papers and employment records
of said employee(s) available during normal working hours in order to facilitate such
an inspection; and
12. That nothing herein shall make any Subrecipient, or vendor an agent or employee of the
County.
12.13. That the Current PracticesHOME Manual shall be made accessible to all applicable
Subrecipient staff.
Q. REGARDING SUBCONTRACTS AND VENDORS
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1. Approvals – Unless expressly authorized in the written Agreement by the Subrecipient exempt
activities such as architectural, engineering and administration may be undertaken and
reimbursed by the County prior to receipt of HUD Request Release of Funds (RROF).
Exempt activities described in 24 CFR 58.34(1)(1)-(11) are activities that generally have no
physical impact on the environment. Otherwise the Subrecipient shall not expend or commit
federal or non-federal funds by contract (conditional or not) for property acquisition,
rehabilitation, conversion, lease, repair or construction activities, until HUD has provided
written authorization based on approved ERR. Any pre-Agreement costs enter into by a
subcontract(s) with any agency or individual in the performance of this Program that are not
exempt activities without the Release of Funds (ROF) from the County prior to the execution
of such Agreement.
2. DUNS Number -- All subcontractors shall have a valid DUNS number and an active profile
in the federal System for Award Management, or SAM.
3. Fees – Subrecipient and all subcontractors under this Agreement shall not charge servicing,
origination, or other fees for the costs of administering the HOME program, except as
permitted by 24 CFR 92.214(b)(1).
4. Selection Process – The Subrecipient shall ensure that all subcontracts let in the performance
of this Agreement are awarded on a fair and open competitive basis. Executed copies of all
subcontracts shall be forwarded to the County along with documentation, if requested
concerning the selection process.
5. Section 3 of the Housing and Urban Development Act of 1968 – The Subrecipient shall
include the Section 3 clause in every subcontract and shall take appropriate action pursuant to
the subcontract upon a finding that the vendor is in violation of regulations issued by the
grantor agency. The Subrecipient shall not subcontract with any entity where it has notice or
knowledge that the latter has been found in violation of regulations under 24 CFR § 135. The
Subrecipient has the responsibility of determining Section 3 eligibility.
6. Monitoring – The Subrecipient shall monitor/review all subcontracted services on an annual
basis to assure Agreement compliance. Results of monitoring efforts shall be summarized in
Contract Performance Reports and supported with documented evidence, if requested, of
follow-up actions taken to correct areas of noncompliance.
R. THE COUNTY CERTIFIES
1. That the public purpose is served by the financial participation of the County in the Statement
of Work.
2. That the HOME Program funds designated for the Statement of Work constitutes reasonable
and prudent assistance necessary for completion of the Program.
S. PROGRAM COMPLETION
Upon completion of the Work Statements, all unspent HOME resources shall be forfeited to the
County for reallocation as defined by Maricopa HOME Consortium Policies and Procedures. The
Subrecipient shall continue to be responsible for compliance activities until all HOME requirements
and contractual obligations are met including affordability restrictions. The Subrecipient obligation
shall not end until all close-out requirements are completed. The County will notify the Subrecipient
in writing that a Completion Report is due to the County within sixty (60) days of one of the following
occurrences:
1. Funds have been expended for the activity;
2. The Work Statement has been completed;
3. The Agreement period set forth in this Agreement has expired; or
4. The Agreement has otherwise been terminated.
Following the receipt and approval of the Completion Report for each activity, the County will notify
the Subrecipient in writing that each activity is closed. In compliance with 24 CFR 92.502(d) all project
completion data shall be entered in the HUD Exchange Integrated Disbursement and Information
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SECTION II SPECIAL PROVISIONS
System (IDIS) within 120 days of the final drawdown for all activity types. The County shall provide
the Subrecipient with notice of the same upon entering all project completion data in IDIS. Project
completion means projects have all necessary title transfer and construction work completed, projects
comply with HOME requirements including property standards set forth at 24 CFR 92.251, the final
draw has been disbursed; and the projection completion data entered into IDIS.
For the purposes of rental project, the project is complete when construction is complete and the units
are ready for occupancy. The identification of a beneficiary is not required for project completion.
Vacant rental units may be marked as vacant when completion data is entered.
T. FAILURE TO MAKE PROGRESS
1. Failure of the Subrecipient to make progress according to the Work Statement may result in
Agreement termination, deobligation of funds or recapture of funds. Subrecipient agrees to
meet with the County at the site in which the funded activity is taking place to discuss progress
and allow the County to provide technical assistance if:
a. The Subrecipient fails to complete its Environmental Review pursuant to section 9
within one hundred and eighty (180) calendar days from the date the County executes
this Agreement;
b. The Subrecipient fails to commit funds to a specific local project in performance of
and in accordance with the terms of this Agreement within twelve (12) months from
the execution date the County executes this Agreement. Commit for the purposes of
this paragraph shall have the same meaning as 24 CFR 92.2(2)(i)-(iii);
c. The Subrecipient fails to expend HOME funds in performance of and in accordance
with the terms of this Agreement within twenty-four (24) months from the date the
County executes this Agreementby September 30, 2019.
2. The County will terminate any Agreement and recapture funds from the same Agreement in
which the Subrecipient does not timely perform the activities described above or in the
milestones in the Statement of Work of this Agreement. The County in its sole discretion may
forgo providing technical assistance and recapture funds as outlined in this Agreement under
Section I hereof and/or terminate the Agreement for cause pursuant to Section I of this
Agreement.
3. In the event that a project is not completed within two years from the date that the County
executes this agreement, the Subrecipient must repay the HOME funds unless the
Subrecipient requests and the Consortium grants an amendment to the Agreement prior to
ninety (90) days of Agreement expiration.
U. GENERAL CONDITIONS
1. It is expressly understood by the parties hereto that this Agreement has been negotiated and
executed in anticipation of receipt of funds by the County from HUD pursuant to the HOME
Program and that therefore, the terms, conditions and sums payable under this Agreement are
subject to any changes or limitations which may be required by HUD and the HOME Program
regulations. Notwithstanding any other provisions of this Agreement, any payment to
Subrecipient by County under this Agreement is contingent upon the actual receipt of funds
from HUD.
2. Both parties acknowledge that no member of the governing body, nor any employee of the
County who exercises any functions or responsibilities in connection with the carrying out of
the activity to which this Agreement pertains, has any personal interest direct or indirect in
this Agreement.
3. The County may amend this Agreement at any time provided that such amendments make
specific reference to this Agreement and are executed in writing, signed by a duly authorized
representative of both organizations. and in compliance with the procedures in the Current
PracticesHOME Manual. Such amendments shall not invalidate this Agreement nor relieve or
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SECTION II SPECIAL PROVISIONS
release the County or Subrecipient from its obligations under this Agreement. Amendments
shall be filed with the original Agreement.
4. Changes – The County may, at any time, by written Amendment Change
Order/Administrative Change executed by the Human Services Director or designee, make
changes within the general scope of this Agreement in any one or more of the following areas:
a. Work Statement activities which do not :
i. Do not Iincrease or decrease the amount of total Agreement funding;
ii. Modify the project timeline as long as the last day of the project timeline is
within the end date of the Agreement; or
iii. Modify terms consistent with any change to the Work Statement required by
Federal, State, or County regulations ordinances or policies.
b. Administrative requirements such as changes in reporting periods, frequency of
reports, or report formats required by HUD or local regulations, policies or
requirements. It is the responsibility of the Subrecipient to ensure the latest
documents are consulted and followed.
c. The County may increase or decrease funding resulting from a reallocation pursuant
to a majority vote of the Consortium members with the agreement of both
partiesParties; provided the change in funding is approved by an Amendment as
referenced in Section I. paragraph D.the Board of Supervisors.
5. The invalidity in whole or in part of any provision of this Agreement shall not void or affect
the validity of any other provision of this Agreement.
6. Subrecipient agrees to be familiar with, update as necessary, and comply with the
policies/procedures established in the most recent HOME Consortium Current
PracticesHOME Manual and all provisions in the most recent Current PracticesHOME
Manual. Non-compliance with the HOME Consortium Current PracticesHOME Manual shall
constitute a breach of Agreement.
7. Subrecipient agrees to give all notices and comply with all laws, ordinances, and rules, building
codes, regulations and lawful orders of any public authority bearing on the performance of
activities pursuant to this Agreement. If the Subrecipient observes that any of the Agreement
documents are in conflict with any laws, statutes, building codes and/or regulations, it shall
promptly notify the County, in writing, and any necessary changes shall be accomplished by
appropriate written modification.
8. Should the Subrecipient perform any work knowing it to be contrary to applicable laws,
ordinances, rules, building codes and/or regulations, it shall assume full responsibility,
therefore, and shall bear all cost incurred due to its negligence. Any dispute not disposed of
by mutual agreement by the parties hereto shall be decided in accordance with the applicable
Arizona laws, ordinances, and codes of the state and local governments.
9. Acknowledge the contribution of the County HOME Program in all published literature,
brochures, programs, flyers, etc., during the term of the Agreement.
10. Execute and abide by Certifications mandated by HOME Program requirements as listed in
HOME Certifications.
V. REVERSION OF ASSETS
Upon expiration of this Agreement, the Subrecipient must transfer to the County any HOME funds
on hand at the time of expiration and any accounts receivable attributable to the use of HOME funds.
Unexpended funds must be deobligated and returned to the County for reallocation. At the expiration
of this Agreement, the County, upon recommendation of the Maricopa HOME Consortium staff, may
reallocate any unencumbered funds per the Consortium reallocation policy, as stated in the Maricopa
HOME Consortium Intergovernmental Agreement -Three Year Cooperative Agreement. A written
letter to deobligate funds will be sent to the Subrecipient from the County a minimum of ninety (90)
days prior to termination of Agreement.
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SECTION III
WORK STATEMENTS
MARICOPA COUNTY
HUMAN SERVICES DEPARTMENT

Section III Work Statement
MARICOPA COUNTY
HOME Investment Partnerships Program
Program Year 2016
DUNS #: 939472213
Consortium Member: Scottsdale, Arizona
Project: Housing Rehabilitation/Reconstruction
FY 2016 HOME Funds: $219,957 (includes $13,747 in Administration)
Type of Property: Single Family
A. DETAILED SCOPE OF WORK:
Include the following-
1. Consolidated Plan goals as it relates to this activity, include the priority rating i.e. High, Low
To purchase and rehabilitate one (1) new permanent affordable rental home in Scottsdale. A
contracting agency will utilize HOME funds to use towards the purchase and minor
rehabilitation of one home to be rented for income eligible residents. Scottsdale currently has
(12) permanent affordable rental Units. This is a high priority goal in Scottsdale’s consolidated
plan.
2. Type of assistance/activity to be provided with HOME funds:
Creation of permanent affordable rental homes. ARM families are eligible for supportive services
through Save the Family’s Homeless Families Intervention Project (HFIP) which is the Career
Development Center to assist families with obtaining higher paying employment and with
budgeting issues so they may be able to pursue more permanent housing through
homeownership or a move to fair-market rentals in the community.
3. Methods and instruments used for ensuring affordability:
The HOME funds will be secured by a Deed of Trust and Promissory and will utilize the
Recapture provision. The lien will be secured for the applicable period of affordability
contingent on the amount invested in the unit. After the term of the period of affordability, the
lien will be forgiven.
4. Anticipated use of program income/project proceeds: None.
B. OBJECTIVES AND OUTCOMES
OUTCOMES
OBJECTIVE AVAILABILITY/
AFFORDABILITY SUSTAINABILITY
ACCESSIBILITY
Homebuyer Activities,
Single Family Acquisition/Rehab of rental housing,
DECENT Housing Rehab and Acquisition/New Construction of rental Housing Activities in a
HOUSING Emergency Rehab, housing, Preservation of existing public targeted revitalization
Homebuyer housing units and TBRA, Expansion of area
Assistance assisted rental units in the private
marketplace
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Section III Work Statement
C. PROPOSED BENEFICIARIES:
Targeted Population by Number of Total Number Number of
Income Level Households of Units HOME Assisted
Units in program
(if rental)
Households at or below 50%
Households at or below 60% 1 1 1
Households at or below 80%
TOTAL 1 1 1
D. PRIORITY POPULATIONS: None.
E. PERFORMANCE REPORTING GOALS-TIMELINE OF ACTIVITIES:
START COMPLETION
MILESTONES
DATE DATE
HOME Contract signed by City Council January 2018 January 2018
Market Study February 2018 February 2018
Underwriting March 2018 March 2018
Secure Financing March 2018 March 2018
Environmental Review April 2018 April 2018
Obtain Site Control May 2018 May 2018
RFQ Issued Properties 1 June 2018 June 2018
Developer Selected and Signed Development Contract July 2018 July 2018
Home Set up Report to County July 2018 July 2018
Acquisition and/or Rehab and/or Construction to August 2018
commence August 2018
Rehabilitation complete September 2018 September 2018
Unit Occupied by Low/Moderate Income November 2018
Person/Family October 2018
Completion Report submitted to County November 2018 December 2018
Any change to the Timeline will need to be submitted to and approved by Maricopa County.
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Section III Work Statement
F. ACTIVITY BUDGET SUMMARY:
ACTIVITIES 2016 HOME Additional Sources* TOTAL
FUNDS (defined in COST
Table G.)
ACQUISITION
Land
Buildings $183,710 $183,710
ARM Staff Supportive Services- $15,171(Match) $15,171
Match
Cash Match Rent – ARM Match $36,382(Match) $36,382
TOTAL
SITE & DEMOLITION
Site Work
Demolition/G&D/Pad
Prep/Abatement
TOTAL
REHABILITATION
Construction Costs-Materials $12,500 $12,500
Builder Overhead
Builder Profit $10,000 $10,000
General Requirements
Consultant/Specialist
Permits & Fees
Construction Contingency
Sales Tax
Other-Infrastructure
TOTAL
ADMINISTRATION COSTS
Program Delivery
Administration
Volunteer Labor
GRAND TOTAL $206,210 $51,553 $257,760
G. SOURCE AND AMOUNT OF OTHER RESOURCES:
VOLUNTEER/
FUNDING AGENCY CASH AMOUNT
IN-KIND AMOUNT
Affordable Rental Movement-ARM $51,553
TOTALS $51,553
H. MATCH:
IDENTIFY MATCH SOURCES AND AMOUNTS THAT HAVE BEEN COMMITTED TO THE
PROJECT: Match commitment must equal 25% of the HOME funds requested. Documentation is
due at the time of request for payment(s). Match Logs must be submitted annually by June 30th of each
year.
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Section III Work Statement
SOURCE/FUNDING
TYPE TOTAL
AGENCY
Affordable Rental
CASH Movement of Save the
Family $51,553
Value of waived taxes, fees or
charges associated with HOME
projects
Value of donated land or real
property
Cost of infrastructure
improvements associated with
HOME projects
Percentage of proceeds from
single- or multi-family state
housing bonds
Value of donated materials,
equipment, labor and professional
services
Sweat equity
TOTALS $51,553
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SECTION IV
COMPENSATION
MARICOPA COUNTY
HUMAN SERVICES DEPARTMENT

Section IV Compensation
A. COMPENSATION
1. Subrecipient shall be reimbursed utilizing Catalog of Federal Domestic Assistance (CFDA):
14.239, HOME Investment Partnerships Program provided to the County through the U.S.
Department of Housing and Urban Development (HUD).
2. Subject to the availability and authorization of funds for the explicit purposes set forth below,
County will pay the Subrecipient compensation for services rendered as indicated in the
following subsections.
B. METHOD OF PAYMENT
1. Subrecipient agrees to submit monthly reimbursement requests utilizing the approved
Reimbursement Request Form (Attachment A) to County. Subrecipient may request funds
only after the Subrecipient has satisfied the funding contingencies and federal Environmental
Review conditions and has a written agreement in place for project activities. Request for
reimbursement must be made using the Request for Reimbursement form incorporated in this
Agreement.
2. Subrecipient may not request disbursement of funds under this Agreement until the funds are
needed for payment of eligible costs. The amount of each request must be limited to the
amount needed. Program income must be disbursed before the Subrecipient requests funds
from the County.
3. County agrees to reimburse Subrecipient for actual allowable costs incurred, upon certification
of HUD Environmental Release of Funds and submittal by Subrecipient of an itemized
statement of actual expenditures incurred, supported by appropriate documentation.
Reimbursement by County is not to be construed as final in the event that HUD disallows
reimbursement for the Program or any portion thereof. Upon receipt of a request for
reimbursement, the County has 10 days to request additional supporting documentation. After
receipt of fully supported request for reimbursement or additional documentation supporting
a request, the County will issue reimbursement within 30 days.
4. Subrecipient must maintain proof of said expenditures including checks, payrolls, time
records, invoices, contracts, vouchers, orders and other accounting documents evidencing in
proper detail the nature and propriety of the respective charges as may be required by
applicable federal rules and regulations, including requirements by the Federal Office of
Management and Budget, and as may otherwise be reasonably required by the County to
determine or confirm that any such expenditures are pursuant and within the scope of work.
C. TIMELINESS
Subrecipient will submit Requests for Reimbursements to the County at least monthly after the initial
request for reimbursement. Subrecipient must seek reimbursement of expenditures within the same
fiscal year in which the expenditures are incurred. The fiscal year runs July 1 through June 30 and all
Requests for Reimbursement shall be submitted no later than July 10th for the preceding fiscal year.
D. REIMBURSEMENT
The County shall provide financial assistance in an amount up to Two Hundred Nineteen Thousand
Nine Hundred Fifty Seven Dollars ($219,957) subject to the terms of this Agreement and availability
of funds. This Agreement price constitutes the County entire participation and obligation in the
performance and completion of all work to be performed under this Agreement.
E. RELEASE OF FUNDS (ROF)
No funds may be encumbered prior to the completion of the Environmental Review except for exempt
activities as described in 24 CFR 58.34(a)(1)-(11) that generally have no physical impact on the
environment. The Environmental Review Records (ERR) must be completed before any funds are
obligated. Funding is also conditioned upon the completion of the ERR of every activity site by
address. The responsibility for certifying the appropriate Environmental Review Record ERR and ROF
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Section IV Compensation
shall rest with the County. It is the responsibility of the Subrecipient to notify the County, and to
refrain from making any commitments and expenditures on a site until a Release of Funds has been
issued by the County. Failure to meet these conditions will mean that requested funds will not be
disbursed.
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SECTION V
ATTACHMENTS & FORMS
MARICOPA COUNTY
HUMAN SERVICES DEPARTMENT

Section V Attachment & Forms
Attachment A
SUBRECIPIENT HOME CERTIFICATION
In accordance with the provisions of the Home Investment Partnerships Act and with 24 CFR 92.150 of the
Home Investment Partnership Program Rule, the Subrecipient certifies that:
(A) Before committing any funds to a activity, the Subrecipient will evaluate the activity in accordance with
24 CFR 92.504 and the guidelines that it adopts for this purpose and complete all assessments required
by the rules, including, but not limited to:
1. Complete all income determinations, underwriting and subsidy layering guidelines,
rehabilitation standards, refinancing guideline, homebuyer program policies and affordability
requires;
2. Complete a timely environmental review;
3. Complete an underwriting review; assess developer capacity, fiscal soundness and
neighborhood market conditions; and
4. The Subrecipient will not invest any more HOME funds in combination with other Federal
assistance than is necessary to provide affordable housing.
(B) The Subrecipient will only utilize HOME funds to pay for eligible activities and costs of those activities
permitted in 24 CFR 92.205 through 92.209 and not specifically prohibited under 92.214.
(C) The Subrecipient understands tenant-based rental assistance is an element of the Consolidated Plan.
However, tenant-based rental assistance must be approved as part of an original application for project
funding.
(D) The submission of the program description is authorized under State and local law (as applicable), and
that the Subrecipient possesses the legal authority to carry out the Home Investment Partnership
(HOME) Program, in accordance with the HOME regulations;
(E) The Subrecipient will comply with the acquisition and relocation requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, implementing
regulations and the requirements of 24 CFR 92.353;
(F) The Subrecipient will use HOME funds pursuant to its Consolidated Plan(s) approved by the U.S.
Department of Housing and Urban Development HUD and all requirements of 24 CFR Part 92;
(G) The Subrecipient will 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 specifying the actions that will be taken against employees for violation of such
prohibition;
2. Establishing an ongoing drug-free awareness program to inform employees about:
i. The dangers of drug abuse in the workplace;
ii. The participating jurisdiction's policy of maintaining a drug-free workplace;
iii. Any available drug counseling, rehabilitation, and employee assistance programs; and
iv. The 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:
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Section V Attachment & Forms
i. Abide by the terms of the statement; and
ii. Notify the employee in writing of his or her conviction for a violation of a criminal drug
statute occurring in the workplace no later than five calendar days after such conviction;
5. Notifying the County in writing, within ten calendar days after receiving notice under
paragraph 4 ii. from an employee or otherwise receiving actual notice of such conviction.
Employers of convicted employees must provide notice, including position title, to every grant
officer or other designee on whose grant activity the convicted employee was working, unless
the Federal agency has designated a central point for the receipt of such notices. Notice shall
include the identification number(s) of each affected grant;
6. Taking one of the following actions, within 30 calendar days of receiving notice under
paragraph 4ii., with respect to any employee who is so convicted
i. Taking appropriate personnel action against such an employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended; or
ii. Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal State, or local health, law
enforcement, or other appropriate agency.
7. Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs 1, 2, 3, 4, 5, and 6.
(H) To the best of its knowledge and belief:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the County,
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 loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification
of any Federal 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 grant, loan, or cooperative agreement, the
Subrecipient will complete and submit Standard Form-LLL, "Disclosure of Lobbying
Activities," in accordance with its instructions; and
3. The Subrecipient will require that the language of paragraph (F) of this certification be
included in the award documents for all subawards at all tiers (including subcontracts,
subgrants, and agreements under grants, loans, and cooperative agreements) and that all
Vendors shall certify and disclose accordingly.
(I) The Subrecipient shall, upon proper notice or with knowledge obtained by itself or others, take any
and all proactive actions necessary, and provide any and all applicable remedies to address and correct
any act by itself, its employees, officials, successors, assigns, Subrecipients, or vendors that resulted in
any wrongdoing (intentional or unintentional); misuse or misappropriation of funds; the incorrect or
improper disposition of funds; any violation of any federal, state, or local law, rule, or regulation; or
the breach of any certification or warranty provided in this Agreement.
Signature (Subrecipient Representative) Date
Printed/Typed Name Title
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Section V Attachment & Forms
JURISDICTION CERTIFICATION
In accordance with the applicable statutes and the regulations governing the consolidated plan regulations, the
jurisdiction certifies that:
Affirmatively Further Fair Housing -- The jurisdiction shall affirmatively further fair housing, which means
it shall 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
reflecting that analysis and actions in this regard.
Anti-displacement and Relocation Plan -- It shall comply with the acquisition and relocation requirements
of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, and
implementing regulations at 49 CFR 24; and it has in effect and is following a residential anti-displacement and
relocation assistance plan required under section 104(d) of the Housing and Community Development Act of
1974, as amended, in connection with any activity assisted with funding under the CDBG or HOME programs.
Drug Free Workplace -- It shall or shall 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 specifying the
actions that shall be taken against employees for violation of such prohibition;
2. Establishing an ongoing drug-free awareness program to inform employees about -
(a) The dangers of drug abuse in the workplace;
(b) The grantee's policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, and employee assistance programs; and
(d) The 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 shall -
(a) Abide by the terms of the statement; and
(b) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute
occurring in the workplace no later than five calendar days after such conviction;
5. Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph
4(b) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted
employees must provide notice, including position title, to every grant officer or other designee on
whose grant activity the convicted employee was working, unless the Federal agency has designated a
central point for the receipt of such notices. Notice shall include the identification number(s) of each
affected grant;
6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph
4(b), with respect to any employee who is so convicted -
(a) Taking appropriate personnel action against such an employee, up to and including termination,
consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
(b) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation
program approved for such purposes by a Federal, State, or local health, law enforcement, or other
appropriate agency;
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Section V Attachment & Forms
7. Making a good faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs 1, 2, 3, 4, 5, and 6.
Affirmative Marketing -24 CFR 92.351
1. Subrecipient must adopt and follow affirmative marketing procedures and requirements for rental and
homebuyer projects containing five or more HOME-assisted housing units. Affirmative marketing
requirements and procedures also apply to all HOME- funded programs, including, but not limited to,
tenant-based rental assistance and down payment assistance programs. Affirmative marketing steps
consist of actions to provide information and otherwise attract eligible persons in the housing market
area to the available housing without regard to race, color, national origin, sex, religion, familial status,
or disability. If the jurisdiction's written agreement with the project owner permits the rental housing
project to limit tenant eligibility or to have a tenant preference in accordance with 24 CFR
§92.253(d)(3), the jurisdiction must have affirmative marketing procedures and requirements that
apply in the context of the limited/preferred tenant eligibility for the project.
2. The affirmative marketing requirements and procedures adopted must include:
(i) Methods for informing the public, owners, and potential tenants about Federal fair housing laws
and the jurisdiction's affirmative marketing policy (e.g., the use of the Equal Housing Opportunity
logotype or slogan in press releases and solicitations for owners, and written communication to
fair housing and other groups);
(ii) Requirements and practices each Subrecipient and owner must adhere to in order to carry out the
jurisdiction's affirmative marketing procedures and requirements (e.g., use of commercial media,
use of community contacts, use of the Equal Housing Opportunity logotype or slogan, and display
of fair housing poster);
(iii) Procedures to be used by Subrecipients and owners to inform and solicit applications from
persons in the housing market area who are not likely to apply for the housing program or the
housing without special outreach (e.g., through the use of community organizations, places of
worship, employment centers, fair housing groups, or housing counseling agencies);
(iv) Records that will be kept describing actions taken by the jurisdiction and by Subrecipients and
owners to affirmatively market the program and units and records to assess the results of these
actions; and
(v) A description of how the jurisdiction will annually assess the success of affirmative marketing
actions and what corrective actions will be taken where affirmative marketing requirements are not
met.
3. A State that distributes HOME funds to units of general local government must require each unit of
general local government to adopt affirmative marketing procedures and requirements that meet the
requirement in 24 CFR 92.351.
Minority outreach-24 CFR 92.351
The Subrecipient must prescribe procedures acceptable to HUD to establish and oversee a minority
outreach program within its jurisdiction to ensure the inclusion, to the maximum extent possible, of
minorities and women, and entities owned by minorities and women, including, without limitation, real
estate firms, construction firms, appraisal firms, management firms, financial institutions, investment
banking firms, underwriters, accountants, and providers of legal services, in all contracts entered into
by the jurisdiction with such persons or entities, public and private, in order to facilitate the activities
of the jurisdiction to provide affordable housing authorized under this Act or any other Federal
housing law applicable to such jurisdiction. Section 85.36(e) of this title describes actions to be taken
by a jurisdiction to assure that minority business enterprises and women business enterprises are used
when possible in the procurement of property and services.
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Section V Attachment & Forms
Anti-Lobbying -- To the best of the jurisdiction's knowledge and belief:
1. No Federal appropriated funds have been paid or shall be paid, by or on behalf of it, 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 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, grant, loan, or cooperative agreement;
2. If any funds other than Federal appropriated funds have been paid or shall 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, it shall complete and submit Standard Form-
LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions; and
3. It shall require that the language of paragraph 1 and 2 of this anti-lobbying certification be included in
the award documents for all sub awards at all tiers including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements and that all Subrecipients shall certify and disclose
accordingly.
Authority of Jurisdiction -- The consolidated plan is authorized under State and local law (as applicable) and
the jurisdiction possesses the legal authority to carry out the programs for which it is seeking funding, in
accordance with applicable HUD regulations.
Consistency with plan -- The housing activities to be undertaken with CDBG, HOME, ESG, and HOPWA
funds are consistent with the strategic plan.
Section 3 -- It shall comply with section 3 of the Housing and Urban Development Act of 1968, and
implementing regulations at 24 CFR Part 135.
Equal Access Rule – It shall comply with requirements of the Housing and Urban Development Equal Access
Rule (24 CFR Part 5 Final Rule 5863) to ensure equal access to housing and services regardless of gender
identity.
Signature/Authorized City Official Date
Printed/Typed Name Title
City Name
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Maricopa County Human Services DepartmentContract No. 2018-039-COS

Section V Attachment & Forms
APPENDIX TO CERTIFICATIONS
INSTRUCTIONS CONCERNING LOBBYING AND DRUG-FREE WORKPLACE
REQUIREMENTS:
Lobbying 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, 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.
Drug-Free Workplace Certification
1. By signing and/or submitting this application or grant agreement, the grantee is providing the
certification.
2. The certification is a material representation 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,
or otherwise 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 Drug-
Free Workplace Act.
3. Workplaces under grants, for grantees other than individuals, need not be identified on the
certification. If known, they may be identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award, if 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.
4. Workplace identifications must include the actual address of buildings (or parts of buildings), or
other sites where work under the grant takes place. Categorical descriptions may be used (e.g., all
vehicles of a mass transit authority or State highway department while in operation, State
employees in each local unemployment office, performers in concert halls or radio stations).
5. If the workplace identified to the agency changes during the performance of the grant, the grantee
shall inform the agency of the change(s), if it previously identified the workplaces in question (see
paragraph three).
6. The grantee may insert in the space provided below the site(s) for the performance of work done
in connection with the specific grant:
a. Place of Performance: City of Scottsdale
b. Check if there are workplaces on file that are not identified here.
c. The certification with regard to the drug free-workplace is required by 24 CFR Part 24,
subpart F.
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Section V Attachment & Forms
7. Definitions of terms in the Non-procurement Suspension and Debarment common rule and Drug-
Free Workplace common rule apply to this certification. Grantees' attention is called, in particular,
to the following definitions from these rules:
a. "Controlled substance" means a controlled substance in Schedules I through V of the Controlled
Substances Act (21 U.S.C. 812) and as further defined by regulation (21 CFR 1308.11 through
1308.15);
b. "Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of
sentence, or both, by any judicial body charged with the responsibility to determine violations
of the Federal or State criminal drug statutes;
c. "Criminal drug statute" means a Federal or non-Federal criminal statute involving the
manufacture, distribution, dispensing, use, or possession of any controlled substance;
d. "Employee" means the employee of a grantee directly engaged in the performance of work under
a grant, 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 engaged 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 or
independent Subrecipients not on the grantee's payroll; or employees of Subrecipients or
vendors in covered workplaces).
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Section V Attachment & Forms
Attachment B
Request for Reimbursement Form- Page 1
Maricopa HOME Consortium Subrecipient Contract REQUEST FOR REIMBURSEMENT
FY: Reimbursement #:
MARICOPA COUNTY HUMAN SERVICES DEPT REQUEST FOR REIMBURSEMENT SUMMARY PAGE 1 OF 2
Subrecipient Name Date
Contract No Reporting Category
Subrecipient Address Contract Amount $ -
Contact Person Contract Balance $ -
Phone Email Contract Start
County Vendor# Contract End
Itemized Payment Statement (Page 2 of 2) must accompany this form. See Page 2 for Draw Types and Activity Codes. Actual receipts, invoices, bank statements or
copies of such items MUST be included to process this request.
a b c d e. f g h i j
Draw Type Activity IDIS PI Receipted IDIS Actvity Amount Amount Remaining Final Draw for
(EN,CR Code Act No. Address in IDIS Setup Amt. ($) Expended Requested Balance Activity Y/N
$ - $ - $ -
$ - $ - $ -
$ -
$ -
$ -
$ -
$ -
$ -
$ -
$ -
$ -
$ -
$ -
$ -
$ -
Total $ - $ - $ - $ -
Recipient Authorized Signature Date Title
Recipient Authorized Signatory certifies that all activities undertaken by the contractor with funds provided under this contract have been carried
out in accordance with the contract. Attach wiring information if not previously submitted. Attach alternate mailing address if necessary.
Performance Reports Current Not Current
Match Report Current Not Current For MCHSD Use
MCHSD Sr. Grants Acct Approval Only
MCHSD Project Coordinator Approval Date MCHSD Assistant Director Approval Date
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Section V Attachment & Forms
Request for Reimbursement Form-Page 2
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Section V Attachment & Forms
Attachment C
HOME Maximum Per-Unit Subsidy Limits
These limits apply to new construction and rehabilitation projects with/or without acquisition; and project
types including multi-unit and single family rental (permanent and transitional housing), homeownership
assistance and even owner-occupied rehabilitation projects, irrespective of whether or not the property
contains an elevator.
Bedroom Size Maximum HOME per unit subsidy limit
0 Bedroom $144,050
1 Bedroom $165,134
2 Bedrooms $200,801
3 Bedrooms $259,774
4 Bedrooms $285,149
For current Maricopa HOME Consortium limits, refer to additional Maricopa County Information Bulletins
at: https://www.maricopa.gov/3893/Funding-Notices-Bulletins
Attachment C
2015 HOME Program Maximum Per-Unit Subsidy Limits for all HOME assisted project activities as of
November 18, 2015
For additional information, refer to HUD Informational Bulletin CPD-16-01
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Section V Attachment & Forms
Please note: For an HOME projects which received a HOME commitment under an executed HOME Agreement
during the period from March 17, 2015(the date when Interim Policy Notice 15-003 was issued) through
November 17, 2015—the PJ must use slightly lower per-unit elevator limits, which were computed using the
2014 Basic Statutory Mortgage Limits x 2.40% HCP. Additionally, HOME commitments made prior to March
17, 2015 require the use of the 2012-221d3 elevator per-unit limit. Please contact your CPD Representative for
a copy of these limits.
.
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Section V Attachment & Forms
Attachment D
Program Income and Recaptured Funds Received and Used Form
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Section V Attachment & Forms
Attachment E
HOME Funds Match Certification Form
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Maricopa County Human Services DepartmentContract No. 2018-039-COS