RESOLUTION 18-001 RE EXHIBITS.PDF

Housing Authority of Maricopa County
Maricopa County HOME Agreement
LIST OF EXHIBITS AND ATTACHMENTS TO THE DEVELOPER AGREEMENT BETWEEN
MARICOPA COUNTY AND THE HOUSING AUTHORITY OF MARICOPA COUNTY
EXHIBIT A- STATEMENT OF WORK
Attachment 1: Management and Ownership Services
Attachment 2: Construction Services
Attachment 3: Social Services
Attachment 4: Rider
Attachment 5: Project Description
Attachment 6: Budget
Attachment 7: Budget Amendment
Attachment 8: HOME Subsidy Program Limits
Attachment 9: HOME Income Limits
Attachment 10: HOME Program Rents
Attachment 11: Utility Allowances
Attachment 12: Annual Income Documentation
EXHIBIT B- DECLARATION OF COVENANTS, CONDITIONS AND RESTRICTIONS
Attachment 1: Occupancy Restrictions and Project Unit Characteristics
Attachment 2: Affirmative Marketing Procedures
EXHIBIT C- PAYMENT PROCEDURES
Attachment 1: Additional Documentation
Attachment 2: Match Log Form
Attachment 3: Payment Request Form
Attachment 4: Rental Set Up and Completion Form
Attachment 5: Section 3 Report
Attachment 6: MBE/WBE Report
EXHIBIT D- AFFORDABILITY REQUIREMENTS
EXHIBIT E- ANNUAL RENTAL COMPLIANCE REPORT
EXHIBIT F- AFFIRMATIVE MARKETING REQUIREMENTS
Attachment 1: Affirmative Marketing Policy & Procedures
Attachment 2: Minority and Women’s Business Enterprise Policy & Procedures
EXHIBIT G- CONTRACTOR CERTIFICATIONS
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EXHIBIT A- STATEMENT OF WORK
Attachment 1: Management and Ownership Services
HAMC shall be responsible for the following:
1. Developing and implementing plans to encourage participation in the Project of Section 3
residents, Section 3 small business concerns, minority-owned businesses and women-owned
businesses. All such plans shall be submitted to the County for its review and approval, if
applicable.
2. Using best efforts to cause the Project to proceed and close in accordance with the Project Schedule
and the Project Budget.
3. Conducting a market analysis and feasibility study.
4. Assisting the County in preparing all required submissions and reports to HUD and other
governmental agencies, and assisting the County in securing HUD approvals.
5. Assuring that all Project activities performed shall be provided in accordance with generally accepted
standards for quality Project and rehabilitation of housing in Maricopa County.
6. Furnishing the skill and judgment necessary to perform the Project Services in a quality,
expeditious and economical manner consistent with the best interests of the Project.
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EXHIBIT A- STATEMENT OF WORK
Attachment 2: Construction Services
HAMC or its General Contractor, Subcontractors, consultants, architects, engineers, or agents, as
appropriate, shall perform the following:
1. Prepare all rehabilitation plans, budgets, schedules and contracts, including those with
the contractors and other parties working on the Project. All such plans, budgets, schedules and
contracts and any material change thereto shall be subject to the review and approval of the County,
which approval shall not be unreasonably denied. The County and HAMC agree that non-
asbestos containing materials, where applicable, will be used during the Project. The rehabilitation
must conform to all applicable legal requirements, including ordinances of the County where the
Project is located, all Environmental Laws, all State and local codes, including building and fire
codes, and the Fair Housing Act.
2. Prepare bidding packages for independent third party cost appraisal or cost reasonable
analysis as the general contractor.
3. Administer contracts with local engineers, contractors, subcontractors, materials
suppliers and other local professionals and consultants. HAMC shall place in all such contracts
provisions whereby each Subcontractor warrants its work from any and all potential construction
defects.
4. Apply for and obtain all necessary and applicable permits (including building and
construction permits), licenses, easements and approvals necessary for the physical improvements
contemplated by the Project.
5. Cause the rehabilitation and completion of the Project in accordance with this
Agreement, the Project Schedule and the Project Budget.
6. Monitor the performance of all persons and entities that are to provide materials,
equipment or services to the Project and take such actions as are necessary to maintain adherence to
quality standards, safety standards, production schedules, shipping dates, and job-site requirements.
7. Submit Contract Performance Reports to the County quarterly.
8. Require that any warranties for construction work shall continue for a period of not
less than one year from the date of final acceptance of the work.
9. Construction work shall be performed in accordance with all applicable legal
requirements. Construction work shall be performed in good and workmanlike manner, free and clear
of all mechanic's, materialman's or similar liens and in accordance with good construction practices.
10. As a part of all construction work, HAMC shall equip any dwelling units or cause the
same to be equipped with all equipment and articles of personal property necessary and
reasonably appropriate for legal occupancy, including refrigerators and ranges.
11. HAMC shall take and/or cause others to take reasonable precautions for the safety of,
and shall provide reasonable protection to prevent damage, injury or loss to, employees and
other persons on where construction activities are underway. HAMC shall take reasonable
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precautions for the safety and protection of the improvements, materials and equipment to be
incorporated therein, under care, custody or control of HAMC, contractors or any subcontractor.
12. Establish and implement appropriate administrative and financial controls including,
but not limited to:
i. reviewing and making approvals and payments for the rehabilitation
of the Project;
ii. complying with all terms and conditions applicable to the Project contained
in any governmental permit or approval required or obtained for the lawful
construction or operation of the Project or in any insurance policy affecting or
covering the Project, or in any surety bond obtained in connection with the
Project
iii. furnishing such consultation and advice relating to the Project as may be
reasonably requested from time to time by the County;
iv. identifying local providers for Project and construction services;
v. identifying local providers for Project and construction services; and
vi. taking such actions as may be required to obtain any certificates of
occupancy or equivalent documents required to permit the occupancy of units.
13. Perform all such other Construction Services which are necessary in connection with
the Project, including written progress reports for the County.
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EXHIBIT A- STATEMENT OF WORK
Attachment 3: Social Services
Chicanos Por La Causa Parenting Arizona Family Resource Center
The Chicanos Per La Causa, Inc. (CPLC) Parenting Arizona program, in partnership with First Things
First (FTF) and the town of Guadalupe, operates a Family Resource Center (FRC) in the previous Father
Fidelis Kuban Head Start building at 5834 East Calle Santo Bravos, 85283.
The FRC provides services in the town of Guadalupe's Father Fidelis Kuban community to 500 duplicate
families and distribute 300 food boxes over the course of one year. The FRC uses a community-based
strategy to provide culturally sensitive information and education related to parenting, child development,
literacy, and health, as well as accessible resources, supports and services.
Being located in the heart of the Father Fidel is Kuban community, the FRC is a central source for
information, education, and referrals to services most needed by families. The center is open year-round
including evenings and Saturdays. Parent education classes utilize the Nurturing Parenting parent
education curriculum which is available in both Spanish and English and includes components targeted to
prenatal families, teen parents, foster and adoptive parents, grandparents, parents of children with special
needs, and families in treatment and recovery. The curriculum covers topics including parenting skills,
early childhood development, and child health. In addition to parent education, the FRC offers a variety
of parenting services, child socialization groups, child sensory and developmental screenings, library and
online resources, referrals, family advocacy, donation services, AHCCCS enrollment, outreach, and food
box referrals for those families experiencing food insecurity.
Introduction
Chicanos Por La Causa, Inc. (CPLC) is a community development corporation committed to building
stronger, healthier communities through advocacy, coalition building and direct service delivery. CPLC
serves more than 125,000 low-income people annually of all races and ethnicities who would otherwise
not receive access to needed services.
Parenting Arizona was established in 1977 to prevent child abuse and neglect, strengthen families and
build supporting communities to foster safe and nurturing homes for children. Parenting Arizona utilizes
research-based programming and proven best practices in promoting healthy children and families based
on a family centered practice model. Additionally, Parenting Arizona has extensive experience serving
populations from diverse ethnicities, language, socioeconomic status, age as well as families with
multiple risk factors. Parenting Arizona employs long-standing, respected community members who
possess an intimate knowledge of the people and communities they serve including Spanish speaking
staff members, staff members that have experience working with _Native American populations, and staff
members with educational and experiential background to work with high-risk families and children.
Parenting Arizona works closely with a full spectrum of public and private community-based programs
throughout Maricopa County to match children and families with available services and has an
established history of delivering culturally competent community-based services to diverse individuals.
Parenting Arizona also has contracts, across the state, with local mental health, Child Protective Services
offices, and schools to provide supportive services to families that have experienced domestic violence,
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poverty, substance abuse, lack of access to needed services, and have children with behavioral or
developmental issues. Parenting Arizona has a long history of supporting families to capitalize on their
strengths, advocate for themselves and build strong family foundations.
Needs Assessment
Existing data show there is a need for Family Resource Centers (FRCs) in the town of Guadalupe.
Between the 2000 and 2010 censuses the population of young children in Guadalupe continued to grow.
Guadalupe has a population of 708 children age 0-5, the highest percentage of households {33%) with
one or more young children in the region. Guadalupe's overall poverty rate (33%) is more than double the
county and state rates and the poverty rate for children 0-5 is nearly triple the county and state rates.
Educational attainment is lower in Guadalupe: 41% of adults (ages 25+) are without a high school
diploma. Only 20% of households use English at home. Guadalupe's rate of linguistic isolation {13%) is
more than double the rate for the state and county. In Guadalupe, about 38 percent of children under age
six live in their grandparent's household. As is the cultural norm for Latino families, these . households
often include multiple generations living together: 23% of households contain three or more generations.
Support for grandparents raising grandchildren in Guadalupe has been identified as a priority unmet need.
Guadalupe does not meet the national Healthy People 2020 target of 78% of mothers beginning care in
the first trimester and nearly 10% of Guadalupe mothers receive fewer than five prenatal care visits.
Although assets in the region include family resource centers, home visitation programs, Head Start,
primary and specialty care, strong school districts, the Quality First initiative, and a strong sense of
community, qualitative data suggest that outreach to families in need could be improved, especially in
Guadalupe.
Program Objectives
Target Service Number based on Unit of Service(s):
i. Family Resource Centers: Provide any FRC service (parenting classes, community referrals, food
boxes, outreach, and etc.) to 500 duplicated families in Father Fidelis Kuban community yearly.
ii. Parent Education: Provide parenting classes to 500 duplicated participating adults in the Father
Fidelis Kuban community yearly.
iii. Food Security: Provide 300 food box referrals yearly to Father Fidelis Kuban community and
Guadalupe residents.
iv. For Health Insurance Outreach and Enrollment Assistance: In the town of Guadalupe, FRC staff
enrolls 50 families in AHCCCS per year; Reach 500 individuals through public awareness
activities per year; and, refer 150 families to other providers of low-cost or no-cost health care
coverage per year.
Program Strategy
FRC targets the Father Fidelis Kuban community and focusing on families with children of all ages using
cultural competent services. FRC emphasizes serving expectant mothers, first time parents, young fathers,
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grandparent caregivers, pregnant teens, and parents of pregnant teens. All families are welcome at the
FRC regardless of where they live.
The FRC serves as hub of community services designed to support families and meet the needs of the
Father Fidelis Kuban community. The FRC works collaboratively with community partners to bring
together resources and activities into an integrated service system that is accessible and responsive. The
FRC uses a family centered environment building on family strengths and using family friendly furniture,
developmentally appropriate toys, literature/books and materials. The FRC is open from 9 a.m. to 6 p.m.
Monday through Friday and Saturdays from 9 a.m. to 12 p.m. FRC is open all year to families.
The FRC has improved the Father Fidelis Kuban community by the implementation of a comprehensive
model that consists of the following multiple strategies:
Parent Education. Parenting Arizona proposes implementation of an evidence-based curriculum,
Community Based Education in Nurturing Parenting. FRC conducts 5 complete Nurturing Parenting class
series. Five cycles are conducted in the Father Fidelis Kuban community for 50 classes targeting 10 adults
in each class with continuous program implementation over 50 weeks. The resulting target service
numbers for Nurturing Parenting are 500 participating adults. Group sessions run from one to three hours
once a week for ten weeks and are held on a schedule convenient for the families, including evenings and
weekends. Sessions may offer parent only/child only instruction time and include parent-child interaction
time. The child format of the group-based program allows children to engage in age appropriate activities.
Age specific lessons are available for infants, toddlers and preschool children (ages O to 5).
Monthly Community Events. Parenting Arizona also implements monthly community events in the Father
Fidelis Kuban community. Community events offer an opportunity for family support where families
build social connections with each other, engage in parent-child interaction and increase their knowledge
of ways to support children's development. Community events are offered monthly at times and locations
that are convenient to families and delivered by trained Parent Educators through a variety of social
formats including family activities, ongoing groups, presentations and community events. FRC staff hosts
a variety of events from free oral health screenings and fluoride varnishes to fun cultural events.
Literacy Activities. The FRC provides Father Fidelis Kuban residents with books and literacy programs
intended to increase literacy in both children and their parents. Parent Educators assists families in the
selection of appropriate reading materials. The children participate in different developmental appropriate
playgroups and activities (i.e. story time) to improve literacy. Bilingual materials are available such as
videos, books, and audio. In addition, the FRC offers free books where families can create a home library.
Computer Resources. The FRC has a computer lab with computers allocated towards improving Father
Fidelis Kuban residents' ability to obtain further needed resources. Also, there is internet connectivity, so
the residents can seek employment online while they are at the center.
Socialization Groups. FRC provides free child socialization groups to parents utilizing the services at
centers. Staff to child ratio is 1:8 (for children ages two-years and older). FRC uses Arizona State
University interns and volunteers who have a background in education, social work, psychology,
sociology, or related field. Interns and volunteers obtain an orientation, CPR/First Aide certification, and
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training on how to structure child socialization groups. In addition, interns/volunteers undergo criminal
background screenings and must have a fingerprint clearance card.
Resource and Referral. FRC connects Father Fidelis Kuban residents to needed resources and takes an
active role in establishing ongoing relationships with other institutions and organizations that serve
residents. The Nurturing Parenting program's child development focused approach to family support
makes it a valuable part of the community's network of human services programs. When these
organizations, agencies, coalitions, government-supported programs, schools and faith-based
communities connect with each other, they provide a powerful network of support for participants. In
addition, collaborators and partners provide the community's residents special topic seminars and
information such as information on breastfeeding, obesity/nutrition, prenatal care, oral health,
mental/behavioral health, safety, budget, and postpartum and partner stress reduction.
AHCCCS / KidsCare Enrollment. Eligible uninsured Father Fidelis Kuban residents are enrolled in
AHCCCS or KidsCare. Collection of demographic data include ascertaining if and what type of health
insurance families have. If participants do not have health insurance, Parenting Arizona staff refer them to
Community Action Program (CAP) for enrollment into AHCCCS/KidsCare. If CAP is unable to enroll
residents immediately, Parenting Arizona staff are trained and certified to use the Health-e-Arizona web
based system and enroll participants. Ineligible residents are referred to low cost and no cost health care
resources.
Screenings. Screening provides information about each child's health and developmental progress,
increases parents' understanding of healthy development, and identifies strengths and abilities, as well as
areas of concern. Screenings in the FRC include: 1) Quarterly hearing screenings; 2) Annual vision
screens; 3) Health Screenings - Parent Educators maintain information on each child's health status to
confirm that children are receiving medical care and immunizations; and 4) Developmental screenings in
the areas of language, intellectual, social emotional, and motor development using the Ages and Stages
Questionnaire (ASQ-3) and the ASQ:SE (Social Emotional). Hearing and vision screenings take place
during community events, and health screenings are monitored during individual visits to the FRC.
Parents have an opportunity to ask FRC staff to complete a developmental screening on their child if they
have concerns. FRC staff provides the appropriate resource if children appear to have a delay.
Food Box Referrals. In collaboration with the Guadalupe Community Action Program (CAP), Parenting
Arizona provides 300 food boxes to FRC participants. FRC refer families to CAP, and families are
eligible to receive a food box for emergency assistance once per month.
Collaborations
Currently, Parenting Arizona is engaged in a wide variety of supports and resources in Maricopa County.
These include hospitals, schools, libraries, shelter services, transitional housing, food banks, and
community recreation programs. These diverse partnerships allow us not only to reach a maximum
amount of families, but also to provide comprehensive programs and tools for families to succeed.
Parenting Arizona aims to share existing infrastructure in order to wrap families in all-inclusive support.
Parenting Arizona is also a member of the Guadalupe Community Collaborative Partnership.
Outreach, Engagement, and Retention Practices for Father Fidelis Kuban Community
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CPLC Parenting Arizona use a community outreach model as a primary outreach and recruitment strategy
in the Father Fidelis Kuban community. This model offers an effective and culturally competent
recruitment method for providing services to diverse and traditionally hard to reach populations. The
validity of a community outreach model has been thoroughly piloted and researched as an effective
recruitment and intervention strategy nationally and internationally. This approach has demonstrated
success as a community health model in the Navajo Community and with migrant farm workers. In
addition, the World Health Organization (WHO) has stated that it is a key strategy for the delivery of
basic health care services and the dissemination of information by acting as the conduit between
community-based systems and the communities they serve. Three main strategies are implemented; 1)
identification, 2) canvassing, and 3) recruitment.
1) Identification. CPLC Parenting Arizona's initial task is to identify strategic social service
locations in the Father Fidelis Kuban community. The intended target population is families with
children who reside in this community, and the process entails various activities aimed at
identifying locations patronized by parents. FRC staff go where people congregate, such as health
fairs, churches, neighborhood meetings, Laundromats, gas stations, door-to-door, and grocery
stores, among other locations.
2) Neighborhood Canvassing. Parenting Arizona utilizes its knowledge and contacts in the town of
Guadalupe to compile a list of potential and appropriate locations to identify and recruit families.
One of the benefits of Parenting Arizona's experience in the existing communities is its extensive
knowledge of community providers, community agents, and community leaders that are a result
of our long-term presence as a provider in Maricopa County. Our programs and services have
established strong ties with institutions and providers. As a result, our partners and constituents
have benefited greatly because of the relationships that have been forged. These partnerships have
added tremendous value in complementing, enhancing, and expanding services to our target
populations.
3) Recruitment. Once all areas have been identified and documented, the FRC program staff engage
those systems through direct contact, presentations, and community marketing. Recruitment and
outreach presentation efforts are targeted to the following existing community systems:
Community Mediums Community-Based Providers Government Agencies
Churches Behavioral Health Agencies Public Health Agencies
Women, Infant, Children Health Clinics DES Offices
(WIC) offices
Grocery Stores Social Service Agencies RBHA's
Neighborhood Associations Media-Local Newspapers-Radio City & County Offices
Stations
Community Leaders Head Start Centers Schools & School Districts
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In addition, Parenting Arizona develops and posts flyers (in English and Spanish) around the community
with a focus on WIC offices, Community Centers, Hospitals/Medical Centers, local churches,
Laundromats, low-income housing complexes, grocery stores, Head Start Centers, schools serving low-
income residents, and other local behavioral health centers. The flyers include points of contact,
description of services, service intent and hours of operations (a copy of the flyer is attached). Outreach ·
and retention activities include monthly community events, free children books/literacy activities, free
computer resources, AHCCCS enrollment, food boxes, cultural activities, and referrals to ensure
continuity of care and improve family empowerment. Through these additional activities, Father Fidelis
Kuban residents have ready access to needed support that enable them to continue making progress
toward their family goals.
Evaluation
The results are documented and assessed through CPLC Parenting Arizona conducted surveys that are
quantitative as well as qualitative. Surveys gather data regarding the number of new activities available to
community, number of people participating in community activities, number of residents volunteering at
the FRC, number of businesses involved in community, and changes in community's attitude towards
community activities and willingness to participate in those activities. Results from surveys help enhance
and improve program effectiveness.
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EXHIBIT A- STATEMENT OF WORK
Attachment 4: Rider
Section 3: 24 CFR Part 135.38
All Section 3 covered contracts and subcontracts for the project assisted under this agreement shall
include the following citation, verbatim:
A. The work to be performed under this contract is subject to the requirements of section 3 of the
Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (section 3). The purpose of
section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or
HUD-assisted projects covered by section 3, shall, to the greatest extent feasible, be directed to low- and
very low-income persons, particularly persons who are recipients of HUD assistance for housing.
B. The parties to this contract agree to comply with HUD's regulations in 24 CFR part 135, which
implement section 3. As evidenced by their execution of this contract, the parties to this contract certify
that they are under no contractual or other impediment that would prevent them from complying with the
part 135 regulations.
C. The contractor agrees to send to each labor organization or representative of workers with which
the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the
labor organization or workers' representative of the contractor's commitments under this section 3 clause,
and will post copies of the notice in conspicuous places at the work site where both employees and
applicants for training and employment positions can see the notice. The notice shall describe the section
3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship
and training positions, the qualifications for each; and the name and location of the person(s) taking
applications for each of the positions; and the anticipated date the work shall begin.
D. The contractor agrees to include this section 3 clause in every subcontract subject to compliance
with regulations in 24 CFR part 135, and agrees to take appropriate action, as provided in an applicable
provision of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in
violation of the regulations in 24 CFR part 135. The contractor will not subcontract with any
subcontractor where the contractor has notice or knowledge that the subcontractor has been found in
violation of the regulations in 24 CFR part 135.
E. The contractor will certify that any vacant employment positions, including training positions,
that are filled (1) after the contractor is selected but before the contract is executed, and (2) with persons
other than those to whom the regulations of 24 CFR part 135 require employment opportunities to be
directed, were not filled to circumvent the contractor's obligations under 24 CFR part 135.
F. Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions, termination
of this contract for default, and debarment or suspension from future HUD assisted contracts.
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EXHIBIT A- STATEMENT OF WORK
Attachment 5: Project Description
Project Description:
The Father Fidelis Kuban Project as described herein, that will utilize HOME funds to rehabilitate a
minimum of twenty (20) single-family (duplex) residential rental properties located at 9209 Calle Tomi,
Guadalupe, Arizona 85283. The Father Fidelis Kuban Project will benefit low-income families with an
annual income at or below 60% of the median area income (“AMI”). During the seventeen (17) year
Period of Affordability (as that term is defined in the Agreement). The income and rent restrictions for the
twenty (20) County HOME assisted units must be maintained during the entire Period of Affordability.
Project Eligibility:
HOME Maximum Per–Unit Subsidy – The total amount of HOME funds invested on a per-unit basis in
affordable housing may not exceed the per-unit dollar limitations. See Exhibit A, Attachment 8: HOME
Subsidy Program Limits.
Property Standards - Housing that is constructed or rehabilitated with HOME funds must meet all
applicable federal, state and local codes, rehabilitation and construction standards, ordinances, and zoning
ordinances, including Section 504 of the Rehabilitation Act of 1973 and Fair Housing Act, as amended, at
the time of project completion. All work will meet decent, safe and sanitary housing standards consistent
with HOME regulations including HUD Uniform Property Conditions Standards (UPCS) and Maricopa
County Housing Rehabilitation Standards. These standards are available on the Maricopa County website
under Housing & Community Development or upon request.
Occupancy Requirements - The HAMC’s staff will determine and verify income eligibility of tenants for
the HOME assisted-units prior to occupancy of a unit. The occupancy of the County HOME assisted units
must be by households whose income is at or below 60% AMI throughout the Period of Affordability; see
Exhibit A, Attachment 9: HOME Income Limits. HAMC will define “Annual Income” as it is defined at
24 CFR Part 92 and will document sources of income and examine eligibility on an annual basis in order
to meet requirements of HOME regulations at 24 CFR Part 92.203. Additional guidance and resources are
outlined in Exhibit A, Attachment 12: Annual Income Documentation.
Affordability Period – You will ensure that all housing assisted under this Agreement meets the affordability
requirements of 24 CFR § 92.252, as applicable, that are further described in Exhibit D: Affordability
Requirements.
Match - There is a 25% match requirement for HOME funds (amount listed in Exhibit A, Attachment 6:
Budget). The HOME funds provided under this Agreement are subject to the matching contribution required
under 24 CFR § 92.218. HAMC will supply match information as a part of the payment procedures and claims
for reimbursement set forth in the Agreement; see Exhibit C, Attachment 2: Match Log Form. The match
will be verified through required documentation and monitoring by the County.
Rent- Rents will be at or below the Low HOME rent. Rents will be at or below 30% of tenant’s gross
income.
FY 2017/2018 Deliverables
Beneficiaries
Number of households (units) 20
Number of households (approximate) 20
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EXHIBIT A- STATEMENT OF WORK
Attachment 6: Budget
HAMC
Rehabilitation for Rental
Maricopa County Project
Rehabilitation of twenty (20) HOME assisted units of affordable housing.
20-UNITS
HOME ELIGIBLE EXPENSES
Item Expense
Rehabilitation $450,000
Contingency $0
Developer Fee $0
TOTAL $450,000
Match Requirements – HAMC’s matching funds requirement is $112,500.
All match contributions shall be approved by the County prior to submittal of any claim for the
reimbursement of expenses. Failure to meet the match contributions may result in HAMC being
denied a claim for the reimbursement of expenses.
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EXHIBIT A- STATEMENT OF WORK
Attachment 7: Budget Amendment
Any increase to total original loan amount requires Board of Supervisor’s Approval. No attachments are
required, but budget information must be included below.
Original Approved Budget Proposed Amended Budget
Funds Total Funds Funds Total Funds
**Please include the following for the amendment requested:
1. Identify the reasons for the proposed amendment(s).
2. Steps being taken to avoid any future amendment requests for the same reasons
3. If additional local matching funds are required as a result of this amendment, please attach
certification that such funds are available.
I approve the amendment(s) requested to be incorporated into our current agreement. All other provisions
of the agreement shall remain unchanged.
Authorized Signature Date
FOR OFFICE USE ONLY
Recommended for Approval
Not Recommended for Approval due to:_______________________________________
________________________________________ ______________________________
Staff Signature Date
________________________________________ ______________________________
Staff Supervisor Signature Date
________________________________________ ______________________________
Community Development Assistant Director Date
Signature
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EXHIBIT A- STATEMENT OF WORK
Attachment 8: HOME Subsidy Program Limits
For any HOME projects which received HOME commitments in the Maricopa as of May 24, 2017, the
following income limits apply. The limits are set by HUD at 240% of the Section 234 Elevator Base
Limits by bedroom size.
Bedroom Size Maximum HOME per unit subsidy limit
0 Bedroom $141,089
1 Bedroom $161,738
2 Bedrooms $196,673
3 Bedrooms $254,431
4 Bedrooms $279,286
Please request updated HOME maximum per unit investment limits from the Maricopa County
Community Development Division on an annual basis as these limits are adjusted annually by the U.S.
Department of Housing & Urban Development (HUD) or go to www.hsd.maricopa.gov or HUD’s
website for the updated versions each year.
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EXHIBIT A- STATEMENT OF WORK
Attachment 9: HOME Income Limits
HOME income limits from the Maricopa County Community Development Division on are updated on an
annual basis as these limits are adjusted annually by the U.S. Department of Housing & Urban
Development (HUD) or go to HUD’s website for the updated versions each year or
www.hsd.maricopa.gov.
http://portal.hud.gov/hudportal/HUD?src=/program_offices/comm_planning/affordablehousing/pr
ograms/home
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EXHIBIT A- STATEMENT OF WORK
Attachment 10: HOME Program Rents
Please request updated HOME rent limits from the Maricopa County Housing & Community
Development department on an annual basis as these limits are adjusted annually by the U.S.
Department of Housing & Urban Development (HUD) or go to HUD’s website for the updated
versions each year.
http://portal.hud.gov/hudportal/HUD?src=/program_offices/comm_planning/affordablehousing/pr
ograms/hom
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EXHIBIT A- STATEMENT OF WORK
Attachment 11: Utility Allowances Provided by HUD
Exhibit 1A Father Fidelas Portion of the HAP contract
Initial Schedule of Contract Units and Contract Rents
Number of Number of Utiliy
Contract Rent Gross Rents
Contract Units Bedrooms Allowance
11 1 $ 391.00 $ 135.00 $ 526.00
15 2 $ 515.00 $ 84.00 $ 599.00
16 3 $ 749.00 $ 84.00 $ 833.00
6 4 $ 879.00 $ 84.00 $ 963.00
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EXHIBIT A- STATEMENT OF WORK
Attachment 12: Annual Income Documentation
Source Documentation - The HOME regulations at 92.203(a) Require the income eligibility of
applicants to be determined by examining source documentation which provides evidence of annual
income, such as: wage statements, interest statements, and unemployment compensation statements.
HUD-approved forms are available in the HOME Front's Sample Forms module, which can be accessed
through the following link: https://www.hudexchange.info/programs/home/topics/income-
determination/#policy-guidance
HAMC shall obtain and keep as a part of its records required under the Agreement the following
documents from the applicant for all County HOME assisted units. These documents shall be used in the
determination of the gross annual income of the applicants.
 Three (3) months of most recent pay stubs
(For everyone in the household 18 years & older)
 Three (3) months of recent bank statements for all asset/cash accounts (all pages)
 Income Tax Federal returns & W-2 (most recent year)
 Picture ID for applicants
 Social Security Card for applicants (Those with work only must bring residence card)
 Documentation of divorce decree all pages (if applicable)
HUD’s Affordable Housing Income Calculator - HUD's Income & Allowances Calculator is an
interactive tool that makes determining the income eligibility and assistance amounts for applicants to
HUD programs easy for agencies to calculate. The agency will enter the requested data and this calculator
will work behind the scenes to generate a summary of results for each applicant. You can then print out
the summary and include it as part of the applicant's file. HUD’s Income & Allowances Calculator can be
accessed through HUD’s website at the following link:
https://www.hudexchange.info/incomecalculator/
For further questions on income determination, please contact the Maricopa County Human Services-
Community Development Division and speak with the HOME Program Manager.
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EXHIBIT B: EXAMPLE DECLARATION OF COVENANTS, CONDITIONS AND RESTRICTIONS
TO BE REPLACED WITH REVISED DECLARATION
WHEN RECORDED, RETURN TO
Maricopa County
Attn: Human Services Department
234 N. Central Ave. Ste. 300
Phoenix, AZ 85004
DECLARATION OF COVENANTS, CONDITIONS, AND RESTRICTIONS
HOME Investment Partnerships Program
Effective this _____ day of ___________, 2017, [HAMC, whose local address is 8910 N. 78th Ave.
Peoria, AZ 85345](the “Declarant”) hereby agrees to bind themselves, their successors and assigns and
the Project in accordance with this Declaration of Covenants, Conditions, and Restrictions (“the
Declaration”), for the benefit of the Maricopa County by and through the Human Services Department, an
agency of the Maricopa County, (collectively “County”) together with any successor and/or assignees to
its rights, duties and obligations.
RECITALS
A. The County has been authorized pursuant to Arizona Revised Statutes §11-251 et seq. to, among
other things, facilitate development of affordable housing in Arizona by providing funding for property
development through loans and grants.
B. The Project that is the subject of this Declaration is more fully described in Attachment 1, below.
C. The Declarant applied to the County for funding for the Project; and the County relied on the
representations made in the Declarants’ application for funding including any documents, materials,
reports, appraisals or studies, provided by Declarant in support of the application for funding.
D. As consideration, in part, for funding awarded to the Declarant by the County, the Declarant agrees to
bind the Project and otherwise abide by the covenants, restrictions, duties and obligations set forth in this
Declaration.
E. Among other things, this Declaration describes use restrictions on the Project necessary to comply
with the specific program requirements for the source of funding provided by the County to the Project,
including without limitation the HOME Program and other funding programs administered by the
County.
F. The Declarant agrees that execution and recordation of this Declaration is a material condition to the
County’s agreement to provide funding to the Project and that the use of the Project shall be restricted for
the term of this Declaration
AGREEMENT
NOW, THEREFORE, the Declarant, under the terms of this Declaration, intend, declare, acknowledge,
and covenant for themselves, their successors and assigns that the warranties, covenants, obligations, and
duties set forth herein, are covenants running with the Project for the term stated herein and as follows:
1. Incorporation. The above recitals are incorporated herein and are part of this Declaration.
2. Definitions. The capitalized terms used in this Declaration shall be understood as follows:
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“Affordability Period” means the term of this Declaration which shall begin on the date that the
Project receives a Certificate of Occupancy and terminate 17 years from the date the Completion
Report is entered into HUD’s Integrated Disbursement and Information System (IDIS) by the County.
“Adjusted Income”, “Annual Income”, “Monthly Adjusted Income”, “Monthly Income” mean the
income amounts as determined by the County in accordance with the definitions of these terms in 24
CFR 5, subpart F.
“County” or “Beneficiary” means the Maricopa County by and through the Human Services
Department as the context requires.
“County Guidance” means guidance provided from time to time by the County relevant to
multifamily rental development programs that it administers.
“Date of Completion” means the date upon which the project is certified for occupancy,
regardless of whether the units are occupied.
“Fair Market Rent” means the fair market rent determined from time to time by HUD for existing
housing for comparable units in the area in accordance with 24 CFR 888.111.
“Funding Agreement” means the agreement dated May 18, 2016, executed by and between the
Declarant and the County that sets forth the terms and conditions of the County’s funding of the
Project.
“HOME Program” means the HOME Investment Partnerships Program administered by the U.S.
Department of Housing and Urban Development (“HUD”). The HOME Program is authorized under
Title II of the Cranston-Gonzalez National Affordable Housing Act, as amended, which is codified at
42 U.S.C. § 211 et seq., along with the implementing regulations at 24 CFR 92 and described by
other relevant federal guidance.
“Loan Documents” means the Promissory Note, Deed of Trust, and other documents executed by
the Declarants in favor of the County for the purpose of memorializing and securing loans or grants of
financial assistance by the County for the Project.
“Low-Income Households” means families whose annual incomes do not exceed 60 percent of
the median income for the area, as determined by HUD.
“Project” means the project real property, including all buildings, improvements, and fixtures
thereto, that are under common ownership and control of the Declarants, located within Maricopa
County and commonly known as HAMC.
“County Housing Funds” means funds made available by the County through either the HOME
Program through allocations and reallocations, plus all matching funds, repayments and interest or
other return on the investment of these funds.
“Utility Allowance” means the monthly utility allowance authorized by the County in accordance
with applicable program requirements for use in determining the maximum amount of rent allowable
on a County HOME assisted Unit.
“Very Low-Income Household” means households whose annual incomes do not exceed 50
percent of the median household income for the area, as determined by HUD with adjustments for
smaller and larger households, 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.
3. Use Restrictions. The Declarants covenant that for the term of this Declaration, the Project shall be
used as a multifamily rental as follows:
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a) Program Requirements. The Project shall comply with all applicable program requirements
during the term of this Declaration.
i) All HOME Program requirements apply to Projects financed with HOME Program funds.
Other applicable federal requirements are identified in the Funding Agreement.
ii) HOME Program requirements specifically identified in this Declaration and the Funding
Agreement also apply to Projects financed solely with nonfederal funds.
iii) Conflict. In the event that rules and regulations of multiple funding programs including
the Low Income Housing Tax Credit program described by 24 U.S.C. § 42 apply, the Project
must comply with the strictest of the applicable rules and regulations.
b) Affordability Restrictions. The income and rent restrictions described in Attachment 3 shall
apply to all County HOME assisted units. During the Affordability Period Declarants will
maintain the County HOME assisted units as rental housing and rent or hold available for rental
each County HOME assisted unit on a continuous basis.
c) Uniform Physical Condition Standards (UPCS). During the Affordability Period, the Declarants
must maintain the project suitable for occupancy; and, in decent, safe, and sanitary condition and
good repair in accordance with the applicable health, safety, and building codes and federal
physical conditions standards described in 24 CFR 92.251 or such other physical conditions
standards as may be adopted by HUD from time to time. Physical condition standards apply to
the entire Project rather than solely to the County HOME assisted units.
4. Tenants’ Rights. The Declarants shall abide by the following requirements when renting any County
HOME assisted unit:
a) Lease. Tenant leases shall be in writing, signed by the Declarants or the Declarant’s agent and
the tenant, and for a term of not less than twelve (12) months or for such other term by written
mutual agreement between the tenant and the Declarants.
b) Prohibited Residential Lease Terms. The following terms and provisions are prohibited in any
lease or agreement for a County HOME assisted unit:
i) Agreement to be sued. Agreement by the tenant to be sued, to admit guilt, or to a
judgment in favor of the Declarants in a lawsuit brought in connection with the lease;
ii) Treatment of the Tenant personal property. Agreement by the tenant that the Declarants
may take, hold, or sell personal property of household members without notice to the tenant and a
court decision on the rights of the parties. This prohibition, however, does not apply to an
agreement by the tenant concerning disposition of personal property remaining in the housing
unit after the tenant has moved out of the unit. The Declarants may dispose of this personal
property in accordance with Arizona law;
iii) Excusing Declarants from Responsibility. Agreement by the tenant not to hold the
Declarants or the Declarants’ agents legally responsible for any action or failure to act, whether
intentional or negligent;
iv) Waiver of Notice. Agreement of the tenant that the Declarants may institute a lawsuit
without notice to the tenant;
v) Waiver of Legal Proceedings. Agreement by the tenant that the Declarants may evict the
tenant or household members without instituting a civil court proceeding in which the tenant has
the opportunity to present a defense, or before a court decision on the rights of the parties;
vi) Waiver of a Jury Trial. Agreement by the tenant to waive any right to a trial by jury;
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vii) Waiver of right to appeal court decision. Agreement by the tenant to waive the tenant's
right to appeal, or to otherwise challenge in court, a court decision in connection with the lease;
and
viii) Tenant Chargeable With Cost of Legal Actions Regardless of Outcome. Agreement by
the tenant to pay attorney's fees or other legal costs even if the tenant wins a court proceeding by
the Declarants against the tenant. The tenant, however, may be obligated to pay costs if the
tenant loses.
c) Termination of Tenancy: Declarants may not terminate the tenancy or refuse to renew the lease
of a tenant of a County HOME assisted unit as specified herein except for: serious or repeated
violation of the terms and conditions of the lease; for violation of applicable federal, state, or
local law; or for other good cause. Any termination or refusal to renew must be preceded by the
Declarants' service upon the tenant of a written notice specifying the grounds for the action,
which notice must be delivered to the tenant at least 30 days before the termination or refusal to
renew is to be effective. Declarants may immediately terminate a lease in accordance with
A.R.S. § 1368 (2) unless the Project is funded with HOME Program funds and applicable HOME
Program regulations prohibit immediate termination of the lease.
d) The form of lease for any County HOME assisted unit in the Project shall provide for immediate
termination of the lease and eviction in accordance with Arizona Revised Statues for failure to
meet tenant income limits as a result of any material misrepresentation made by the tenant or
prospective tenant with respect to the income certification, or any material misrepresentation
made in conjunction with execution of the lease or the failure by such tenant to execute an
income certification at least annually.
e) Residential rental units in the Project will be rented or available for rental to the public on a
continuous basis and no tenant shall be evicted without cause.
f) No prospective tenant shall be denied occupancy solely because the person holds a Section 8
voucher or certificate.
5. Tenant Selection. The Declarants must adopt written tenant selection policies and criteria for County
HOME assisted units that:
a) are consistent with the purpose of providing housing for very low-income and low-income
families;
b) are reasonably related to program eligibility and the applicant's ability to perform the obligations
of the lease;
c) provide for the selection of tenants from a written waiting list in the chronological order of their
application, insofar as is practical; and
d) provide for the prompt written notification to any rejected applicant of the grounds for any
rejection; and,
e) provide affirmative fair housing marketing procedures as described in Exhibit F, Attachment 1 to
this Declaration.
6. Term of Declaration
a) The Affordability Period and this Declaration shall terminate 15 years from the date the HOME
Completion Report is entered into HUD’s Integrated Disbursement and Information System
(IDIS) for each property.
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b) The warranties, covenants, obligations, and duties described in this Declaration shall commence
on the date of execution of this Declaration and shall continue in effect during the full term of this
Declaration.
c) In the event of transfer of the Project as the result of a judicial foreclosure, trustee’s sale, or by
deed in lieu of foreclosure to the holder of a legal interest in the Project that is senior in time or
right to the County, the warranties, covenants, obligations, and duties described in this
Declaration shall terminate.
7. Monitoring and Enforcement. County shall conduct periodic monitoring and review of the Project for
the purpose of determining compliance with applicable program requirements and this Declaration.
Monitoring and review includes on-site inspections and review of documents supplied to the County
by the Declarants or others on behalf of the Declarants or the Project.
a) Entry and Inspection. The Declarants shall permit, during normal business hours and upon
reasonable notice, any duly authorized representative of the County to conduct on-site inspections
of the Project land and improvements and to inspect any facility, document book, and record of
the Declarants relating to the Project.
b) Certifications. By March 15th of each year, the Declarants will submit such certifications as may
be identified in the Funding Agreement, in County Guidance, or otherwise required by the
County.
c) Books and Records. The Declarants shall keep and maintain at the Project all documents, books,
and records required by the Funding Agreement, applicable program requirements, and County
Guidance.
d) Information. The Declarants shall submit any other information, documents or certifications that
the County shall deem reasonably necessary.
8. Breach. The Declarants covenant and agree to inform the County by written notice of any breach of
the Declarants' obligations hereunder within five (5) business days of first discovering any such
breach. Violations shall be cured within the deadlines described in paragraph 9, below. If any such
breach is not corrected to the satisfaction of the County within the cure period, the County may,
without further notice, declare a default under this Declaration, and the County may apply to any
court, state or federal, for any of the remedies described in paragraph 9 of this Declaration.
9. Remedies. Subject to the written requirements of the Deed of Trust of even date with this
Declaration, and an agreement between a Lender and the County, if any, in the event that Declarants
breach any warranty, covenant, obligation, or duty set forth in this Declaration, and if such breach
remains uncured for a period of sixty (60) calendar days after notice thereof by the County, the
County shall be entitled to any or all of the remedies described below:
a) If the County determines that the Declarants have taken and diligently, continually, and in good
faith continues corrective action and that the breach cannot be corrected within the 60-day cure
period, the County may, in its sole discretion, allow the Declarants such additional time as may
be reasonably necessary to cure the breach;
b) In the event of an uncured breach the County may:
i) demand return of all funds provided by the County to the project, plus interest at the
default rate described in the Loan Documents, and/or an amount attributable to the increase in
equity in the Project attributable to the infusion of any County Housing Funds for any purpose;
resort to any court having jurisdiction of the subject matter for specific performance of this
Declaration, for an injunction against any violation of this Declaration, for an accounting, for the
appointment of a receiver to take over and operate the Project in accordance with the terms of this
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Declaration, the Loan Documents, and program requirements, or for initiation of foreclosure
proceedings; or such other relief as may be appropriate, it being acknowledged by Declarants that
the beneficiaries of Declarants' obligations hereunder cannot be adequately compensated by
monetary damages in the event of Declarants' breach of this Declaration, because the
beneficiaries include the low-income families to be benefited by the funds invested by the County
to the Project.
ii) The County shall be entitled to reimbursement of reasonable attorneys' fees and all costs
incurred in any judicial action in which the County shall prevail.
iii) The County may require reasonable assurances of security for repayments required
pursuant to this section in the form of a guaranty or appropriate amendments, revisions, or
additions to the Loan Documents, or in the event that there are no Loan Documents by execution
and recording of a deed of trust in a form satisfactory to the County as Beneficiary.
c) The Declarants and the County each acknowledge that the primary purpose for requiring
compliance by the Declarants with the restrictions provided in this Declaration are to assure
compliance of the Project and the Declarants with the program requirements, AND BY REASON
THEREOF, THE DECLARANT IN CONSIDERATION FOR RECEIVING COUNTY
HOUSING FUNDS FOR THIS PROJECT HEREBY AGREE AND CONSENT THAT THE
COUNTY AND THE LOW-INCOME TENANT(S) (WHETHER PROSPECTIVE, PRESENT
OR FORMER OCCUPANTS OF THE PROJECT) (OR EITHER OR ALL OF THEM) SHALL
BE ENTITLED, FOR ANY BREACH OF THE PROVISIONS HEREOF, AND IN ADDITION
TO ALL OTHER REMEDIES PROVIDED BY LAW OR IN EQUITY, TO ENFORCE
SPECIFIC PERFORMANCE BY THE DECLARANT OF ITS OBLIGATIONS UNDER THIS
DECLARATION IN ANY ARIZONA STATE COURT OF COMPETENT JURISDICTION, the
Declarants hereby further specifically acknowledging that the beneficiaries of the Declarants'
obligations hereunder cannot be adequately compensated by monetary damages in the event of
any default hereunder.
10. Representations, Covenants and Warranties of Declarants. The Declarants hereby warrant and
covenant that the warranties, covenants, and declaration of obligations and duties set forth herein may
be relied upon by the County and all persons interested in Project compliance under the program
requirements. In performing its duties and obligations hereunder, the County may rely upon
statements and certificates of the Declarants pertaining to occupancy of the Project. In addition, the
County may consult with counsel, and the authorization and protection in respect of any action taken
or suffered by the County hereunder in good faith and in conformity with the opinion of such counsel
shall be applicable to the County's reliance upon such opinion of counsel. The Declarants further
represent, covenant and warrant to the County that:
a) The Declarant is: HAMC and its parent and/or affiliates.
i) Is a non-profit entity duly organized under the laws of the State of Arizona, and qualified
to transact business within the State of Arizona pursuant to either Title 10 or Title 29, Arizona
Revised Statutes;
ii) has the power and requisite authority to own its properties and assets as owned, where
owned, and to carry on its business as now being conducted (and as now contemplated) by this
Declaration and the Loan Documents; and
iii) has the full legal right, power, and authority to execute and deliver this Declaration and
b) The execution and performance of this Declaration and the Loan Documents by the Declarant:
i) will not violate or, if applicable, have not violated any provision of law, rule or
regulation, or any order of any court or other governmental agency;
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ii) will not violate or, if applicable, have not violated any provision of any indenture,
declaration, mortgage, mortgage note or other instrument to which the Declarants are a party or
by which it or the Project is bound;
iii) will not result in the creation or imposition of any prohibited lien, charge or encumbrance
of any nature.
c) The Declarant will, at the time of execution and delivery of this Declaration, have good and
marketable title to the real property and improvements constituting the Project free and clear of
any lien or encumbrance (subject to the Permitted Encumbrances identified in the Loan
Documents).
d) There is presently no action, suit or proceeding at law or in equity or by or before any
governmental instrumentality or other agency now pending, or, to the knowledge of the
Declarants, threatened against or affecting it, or any of its properties or rights, which, if adversely
determined, would materially impair the Declarants' rights to carry on business substantially as
now conducted (and as now contemplated) by this Declaration and the Loan Documents or which
would materially, adversely affect its financial condition. Neither the Declarant, nor their
principals, shareholders, managers, members nor general partners, as the case may be, have any
judgment entered against them which would, when recorded, constitute a lien against or
otherwise impair the security of the Project.
e) No actions will be taken by the Declarant which will in any way adversely affect the use of the
Project.
f) To the extent that the Project involves rehabilitation of existing residential rental units, relocation
of tenants complies with all the requirements of the Uniform Relocation Act.
g) The Project is in full compliance with the requirements of the Fair Housing Act Design
Standards.
h) Declarant has read and is familiar with the applicable provisions of the HOME Program and
relevant federal guidance and County Guidance that describe the obligations and duties of the
Declarant to acquire and/or rehabilitate, operate, and maintain the Project.
i) Release and Indemnification. The Declarant warrants, covenants and agrees that they have not
relied upon or sought any information from the County, its successors and/or assigns, its agents,
counsel or employees in conjunction with the application for, or award of funding for the Project.
In conjunction with the each Declarant’s application for funding through the County, the
Declarant acknowledges and agrees for itself and on behalf of any of its partners, limited partners,
special limited partners, members, special members or any other constituent entity of the
Declarant, and the Declarant’s successors and assigns that it shall hereby release the County, its
agents, counsel and employees from any claim, loss, demand or judgment as a result of the
provision of funding of the Project or the recapture of such funding by HUD, including any
interest and penalties thereon; and the Declarant hereby further agrees for itself, and on behalf of
any of its partners, limited partners, special limited partners, members, special members or any
other constituent entity of Declarant, and its successors and assigns to indemnify the County, its
agents, counsel and employees from any claim, loss, demand or judgment, to include reasonable
attorney's fees in the event of the decision of HUD to recapture of funds provided by the County.
Furthermore, Declarant, and its successors and assigns to indemnify the County, its agents,
counsel and employees from any claim, loss, demand or judgment, to include reasonable
attorney's fees as a result of or arising out the ownership, operation, management or any other
activities undertaken pursuant to this Declaration.
11. Declarants’ Obligations and Duties
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a) Each Declarant agrees that it will not knowingly take or permit to be taken any action which
would have the effect, either directly or indirectly, of subjecting the Declarant or the Project to
non-compliance with program requirements. Moreover, each Declarant agrees to take any lawful
action (including amendment of this Declaration as may be necessary in the opinion of the
County) to comply fully with pertinent law and with all applicable rules, rulings, policies,
procedures, regulations or other official statements promulgated or proposed by HUD from time
to time pertaining to each Declarant's obligations under the program regulations.
b) Each Declarant agrees that it will not cause or acquiesce in its voluntary or involuntary
dissolution or otherwise fail to correct within 90 days after legal notice thereof, any breach of,
violation of, or practice that is materially inconsistent with laws of the State of Arizona or other
jurisdiction in which Declarant is organized relating to the regulation and formation of business
entities, or the Declarant’s Articles, Bylaws, or other such writing setting forth the formalities and
requirements of each Declarant’s form of organization.
c) Each Declarant agrees not to discriminate on the basis of race, creed, color, sex, age, handicap,
marital status, or national origin in the leases for occupancy of the Project or in conjunction with
the employment or application for employment of any person or persons for the operation and
management of said Project, except as provided in Attachment 3.
d) Religious Organizations. During the Affordability Period, the Project will not be provided for
rental or use to any primarily religious organizations, such as churches, for any activity including
secular activities. The Project must be used exclusively by the Declarant’s entity for secular
purposes, available to all persons regardless of religious affiliation. In particular, there must be
no religious or membership criteria for tenants of the Project.
e) Affirmative Marketing. During the Affordability Period specified herein, each Declarant shall
comply with the Affirmative Marketing Procedures more fully described in Attachment 4.
f) As a condition of occupancy, the Declarant shall require each applicant for tenancy of a County
HOME assisted unit to certify in writing to the County that the person’s sources and amount of
income declared for the purposes of program eligibility are true and correct. Existing tenants of
County HOME assisted units shall be required to certify the same to the County annually. In
addition, the Declarants shall require each applicant for tenancy to provide whatever other
information, documentation, or certifications deemed necessary by the County to verify the
tenant’s eligibility for occupancy of a County HOME assisted unit.
g) During the term of this Declaration, each Declarant shall comply with all federal, state and local
laws, codes, ordinances, rules and regulations, conditions, and assurances, and shall keep and
maintain in effect at all times any and all licenses, permits, notices, and certifications which may
be required with regard to the Project. Furthermore, each Declarant shall abide by all
requirements of its respective corporate form, its articles of organization and bylaws, and remain
at all times in good standing with the agencies having regulatory jurisdiction over it.
h) Each Declarant agrees that if it shall become aware of any situation, event or condition which
would result in noncompliance of the Project or the Declarant’s compliance with this Declaration
or program requirements, then the Declarant shall promptly give written notice thereof to the
County.
i) Project Records
i) Each Declarant shall keep and maintain the Project Records described in 24 CFR
92.508(a)(3) and (7)(i)(A) (equal opportunity and fair housing records) and (7)(ii)(A)(affirmative
marketing process records). If the Declarant received funds as a Community Housing
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Development Organization, then each Declarant shall also keep and maintain the CHDO Records
described in 24 CFR 92.508 (a)(4).
ii) Period of Record Retention: All records described in subparagraph (i) above plus all
pertinent documents, books, papers, accounts, reports, files, tenant lists, applications, leases,
waiting lists, income examinations, and other records relating to the project specified in this
Declaration or the Funding Agreement shall be retained for five years the end of the affordability
period. Notwithstanding the foregoing, if any litigation, claim, negotiation, audit, or other action
has been started before the expiration of the Affordability Period, the records must be retained for
five years following completion of the action and resolution of all issues which arise from it, or
for five years following the end Affordability Period, whichever is later.
j) Inspection and/or Audit of Records: Declarants shall make available at all reasonable times, for
inspection, transcription, excerpting, examination, copying, and audit by the County, the State
Auditor General, HUD, the Comptroller General of the United States, or any of their
representatives and designees, all pertinent books, documents, papers, accounts, reports, files,
tenant lists, applications, leases, waiting lists, income examinations, and other records (hereinafter
referred to as "Records") relating to the project specified herein. Upon request by such inspecting
or auditing entity, a legible copy of all such Records shall be produced by the Declarants at the
specified office of, the County, the State Auditor General, or at any other reasonable location.
The original of all such Records shall also be available and produced for inspection, copying, and
audit when needed to verify the authenticity of a copy.
k) The Declarants shall not demolish any portion of the Project or substantially subtract from any real or
personal property comprising the Project; or permit the use of any residential rental unit for any
purpose other than rental housing during the term of this Declaration.
l) The Declarants shall not grant commercial leases or licenses relating to the Project (other than
commercial leases with respect to insubstantial portions of the Project on a square footage basis) or
permit the sale, transfer, conveyance or other encumbrance of the Project or any portion thereof
(except for leases of County HOME assisted units) during the effective term of this Declaration,
provided that this Declaration shall not apply to any encumbrance, conveyance or transfer in
conjunction with a sale, transfer or other conveyance of the Project that complies with the
requirements of the Loan Documents and this Declaration.
12. Casualty, Condemnation, and Eminent Domain. Subject to the written requirements of the Deed of
Trust of even date with this Declaration, and an agreement between a Lender and the County, if any,
the each Declarant represents, warrants and agrees that if the Project, or any portion thereof, shall be
damaged or destroyed or shall be condemned or acquired for public use, that the proceeds of any such
condemnation or acquisition shall be assigned in full and paid to the County as required by the Loan
Documents, who shall cause such proceeds to be used to repair and restore same to substantially the
same condition as existed prior to the event causing such damage or destruction, or to relieve the
condemnation, and thereafter operate the Project in accordance with the terms of the Loan Documents
and this Declaration. Provided, however, that if repair or restoration of the Project is not practicable,
the Declarants shall not be obligated to repair or restore the Project, and an award of damages under
this paragraph up to the amount of the unpaid principal and accrued interest of the Obligation Secured
described in the Loan Documents may be retained by the County and any remaining balance shall be
paid to Declarants. The County shall be a party to any agreement relating to the use of condemnation
proceeds or insurance proceeds from damage to the Project to repair and restore the Project. The
County may, at the County’s option, appeal from any such award in the name of Declarants.
13. Covenants Run with the Land; Successors Bound Thereby
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a) Upon execution and delivery by the Declarants, each Declarant shall cause this Declaration and
all amendments and exhibits hereto to be recorded and filed in the official records of the county
recorder's office in the county in which this Project is located and, if applicable, with the
recording office of the appropriate Indian tribe if the Project is located on tribal land, and pay all
fees and charges incurred in conjunction with recording of this Declaration and all addenda or
amendments thereto. Upon recording, each Declarant shall immediately transmit or cause to be
sent directly from the recorder's office to the County an executed original of the recorded
Declaration showing the date, book and page number of recording. Where pertinent, the County
may require Declarants to furnish a condition of title report for the Project prior to or after
recordation of this Declaration.
b) Each Declarant intends, declares and covenants, on behalf of itself and all future Declarants and
operators of the Project and land upon which the Project is constructed that, during the term of
this Declaration, all of the covenants and restrictions set forth in this Declaration regulating and
restricting the use, occupancy and transfer of the Project: (i) shall be and are covenants running
with the Project, encumbering the Project and land upon which the Project sits for the term of this
Declaration, and are binding upon the Declarants' successors in title and all subsequent
Declarants and operators of the Project and the land upon which the Project sits; (ii) are not
merely personal covenants of each Declarant; and, (iii) shall bind each Declarant (and the benefits
shall inure to the County and any past, present, or prospective tenant of a County HOME assisted
unit) and its and their respective successors and assigns during the term of this Declaration.
c) Each Declarant hereby agrees that any and all requirements of the laws of the State of Arizona to
be satisfied in order for the provisions of this Declaration to constitute deed restrictions and
covenants running with the land shall be deemed to be satisfied in full, and that any requirements
or privileges of estate or title are intended to be satisfied hereby, or in the alternative, that an
equitable servitude has been created to ensure that these restrictions will run with the land. For
the longer of the period this credit is claimed or the term of this Declaration, each and every
contract, deed or other instrument hereinafter executed conveying the Project or any portion
thereof shall expressly provide that such conveyance is subject to this Declaration, provided,
however, that the covenants contained herein shall survive and be effective regardless of whether
such contract, deed, or other instrument hereafter executed conveying the Project or any portion
thereof provides that such conveyance is subject to this Declaration.
d) Each Declarant further covenants and agrees to obtain the consent of any prior recorded lien
holder on the Project to this Declaration and the recording thereof, and such consent shall be a
condition precedent to the execution of this Declaration.
14. Subordination. Except for the Permitted Encumbrances identified in the Loan Documents or an Inter
-creditor and Subordination Agreement or similar agreement executed by and between the County
and a Lender, each Declarant warrants that it has not and will not execute any other agreement, lien or
security interest, or otherwise become a party to such an agreement, lien or security interest with
provisions contradictory to, or in opposition to, the provisions of this Declaration, and that in any
event, the requirements of this Declaration are paramount and controlling as to the rights and
obligations herein set forth and supersede the requirements and conflicts contained in any other
agreement. In the event of a conflict between the provisions of this Declaration and the Loan
Documents, the provisions of the Loan Documents shall control.
15. Effect of Other Restrictive Covenants. In the event that the Project is subject to declarations of
restrictive covenants relating to other governmental sources of funding, then the more restrictive
requirements shall apply. Upon the expiration or termination of any such declaration during the term
of this Declaration, the Affordability Period and other requirements of this Declaration shall continue
to apply to any County HOME assisted unit.
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16. Amendment. This Declaration may be amended with the prior written approval of the County to
correct factual errors contained herein or to reflect changes in pertinent law, and program
requirements. No amendment to this Declaration may be made without the prior written approval of
the County. Each Declarant hereby expressly agrees to enter into all amendments hereto which, in
the opinion of the County's legal counsel, are reasonably necessary or desirable to correct factual
errors or for maintaining compliance with program requirements.
17. Severability. The invalidity of any clause, part or provision of this Declaration shall not affect the
validity of the remaining portions thereof.
18. Notices. All notices to be given pursuant to this Declaration shall be in writing and shall be deemed
given when mailed by certified or registered mail, return receipt requested, to the parties hereto at the
addresses set forth below, or to such other place as a party may from time to time designate in
writing.
To the County: Rachel Milne, Assistant Director
Maricopa County Human Services Dept.
234 N. Central Ave. Ste. 300
Phoenix, AZ 85004
Attention: Housing & Community Development
Assistant Director
To the Declarant: Gloria Munoz, Executive Director,:
Housing Authority of Maricopa County
8910 N. 78th Ave.
Peoria, AZ 85345
The County, and the Declarant, may, by notice given hereunder, designate any further or different
addresses to which subsequent notices; certificates or other communications shall be sent.
20. Governing Law. This Declaration shall be governed by the laws of the State of Arizona and, where
applicable, the laws of the United States of America. In accordance with Arizona law, the County
and State of Arizona may cancel this Declaration without penalty or further obligation under the
provisions of A.R.S. § 38-511. The parties further agree to use arbitration to the extent required by
A.R.S. § 12-1518.
21. Venue. The Declarant consent to venue in the Arizona Superior Court for Maricopa County for any
legal action arising under this Declaration.
22. Survival of Obligations. The obligations of the Declarants as set forth herein and in the Application
shall survive the disbursement of the funding that is the subject of this Declaration, which shall not be
deemed to terminate or merge with the distribution of funds or termination of the Funding
Agreement. Notwithstanding termination of the Funding Agreement pursuant to the terms thereof or
otherwise, the program requirements identified in the Funding Agreement that are applicable during
the period of operation of the Project shall be enforceable through this Declaration.
23. [Rider Language if any]
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IN WITNESS WHEREOF, each Declarant has caused this Declaration to be signed by its respective duly
authorized representative, as of the day and year first above written, such Declaration being
acknowledged by the Beneficiary, below.
BY DECLARANT: BY MARICOPA COUNTY:
Gloria Munoz, Executive Director Chairman, Board of Supervisors
Housing Authority of Maricopa County
Date Date
APPROVED AS TO FORM: APPROVED AS TO FORM:
Deputy County Attorney DATE Deputy County Attorney DATE
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STATE OF ____________ )
) ss
County of _____________ )
On this the ________ day of _____________, 2017, before me, a Notary Public, personally
appeared __Denny Barney, Chairman of the Maricopa County Board of Supervisors, known to me or
satisfactorily proven to be the person whose name is subscribed to this instrument and acknowledged that
he executed the same. If this person’s name is subscribed in a representative County, it is for the
principal named and in the County indicated.
_____________________________________ _______________________________________
Notary Expiration Date Signature of the Notary Public for Declarants
[STAMP/SEAL]
STATE OF ____________ )
) ss
County of _____________ )
On this the ________ day of _____________, 2017, before me, a Notary Public, personally
appeared Gloria Munoz, Executive Director, Housing Authority of Maricopa County, known to me or
satisfactorily proven to be the person whose name is subscribed to this instrument and acknowledged that
she executed the same. If this person’s name is subscribed in a representative County, it is for the
principal named and in the County indicated.
_____________________________________ _______________________________________
Notary Expiration Date Signature of the Notary Public for Declarants
[STAMP/SEAL]
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EXHIBIT B
Attachment 1: Affirmative Marketing Procedures
All correspondence, notices, and advertisements related to the County HOME funds shall contain either
the Equal Housing Opportunity logo or slogan.
Projects assisted with County HOME funds must comply with the following procedures for the
Affordability Period (depending on the source of program funds):
1. Declarant’s advertising vacant units must include the Equal Housing Opportunity logo or
statement. Advertising media must include general audience and minority-owned newspapers, radio,
television, brochures, leaflets, or may involve simply a sign in a window.
2. The Declarant shall implement special outreach efforts to solicit applications for vacant units
from protected persons in the housing market who are least likely to apply for the housing assisted
with County HOME funds. Special outreach efforts should be designed to notify potential applicants
regardless of existing neighborhood racial or ethnic patterns, location of housing in the metropolitan
area, price, or other factors, and welcome them to apply and have the opportunity to rent.
3. The Declarant shall use community organizations, places of worship, employment centers, fair
housing groups, housing counseling agencies, social service centers, or medical service centers as
resources for this outreach.
4. The Declarants must maintain a file containing all marketing efforts (i.e. copies of newspaper ads,
memos of phone calls, copies of letters, etc.) and the records to assess the results of these actions, and
make said documents available for inspection by the County.
5. The Declarant shall maintain a listing of all tenants residing in each unit at the time of application
submittal through the end of the compliance period.
The County will assess the affirmative marketing efforts of the Declarant by comparing predetermined
occupancy goals (based upon the area from which potential tenants will be drawn) to actual occupancy
data that the Declarants are required to maintain. Outreach efforts of the part of the Declarants will be
evaluated by reviewing marketing efforts.
The County will assess the efforts of the Declarant receiving County Housing Funds during the rent-up
period and marketing of the units by use of a compliance certification or personal monitoring visit to the
project according to the County’s monitoring schedule.
Where the Declarants fail to follow the affirmative marketing requirements, corrective actions shall
include extensive outreach efforts to appropriate contacts to achieve occupancy goals, or other actions the
County may deem necessary.
Each unit of general local government that subgrants the administration of this program must adopt
affirmative marketing procedures that meet the requirement in paragraphs (a) and (b) of 24 CFR 92.351.
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EXHIBIT C: PAYMENT PROCEDURES
Reimbursements will be provided as set forth in Section 5 of the Agreement. HAMC must submit written
requests for all payments to the County’s Housing and Community Development Department. Upon
receipt, the designated Community Revitalization Specialist will review the request and all supporting
documentation. Once approved, the County will process payment within thirty (30) days.
HAMC will, at a minimum, submit the below supporting documentation with each payment request
(claim). Should a particular claim require additional documentation, the County reserves the right to
request additional reasonable information/documentation from HAMC.
 Required documentation for work completed depending on the claim completed; see Exhibit C,
Attachment 1.
 Status update of the project along with photos showing the progress of the construction.
 Match Log Form ; see Exhibit C, Attachment 2
 Reimbursement Request Form; see Exhibit C, Attachment 3
 Documentation of matching funds, including volunteer hours and services received for match
funding
 Request for Payment from subcontractor(s)
 Subcontractor Invoices
 Cancelled checks or EFT’s for all receipts submitted
 HAMC’s inspection of construction/rehab: documentation of the inspection during billing cycle
The County reserves the right to delay processing of reimbursements under this Agreement until all
required documents and back-up information is submitted to the County.
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EXHIBIT C: PAYMENT PROCEDURES
Attachment 1: Additional Documentation
Required Documentation for Work Completed
1. HOME Rental Set-up and Completion Form – see Exhibit C, Attachment 4 (Must be Filed with
First Claim)
2. Proof that HAMC Checked the Excluded Parties List for Debarred Contractors – HAMC must
check all contractors and subcontractors who may work on the project prior to any signed
agreement(s) to perform the work. (https://www.sam.gov/portal/public/SAM/#1) (Must be Filed
with First Claim)
3. Contractor Documents – bonding, insurance, contracts, licensing, etc. (Must be Filed with First
Claim)
4. Contractor/Subcontractor Proof of Insurance, including Workers’ Compensation Insurance (Must
be Filed with First Claim)
5. Lead-Based Paint Inspection / Abatement Report, if properties were built prior to 1978 (Must be
Filed with First Claim)
6. Lead and Asbestos Abatement Completion Report, if applicable (Must be Filed with Final Claim)
7. Building Permits, if applicable (Must be Filed with First Claim)
8. Notice to Proceed (Must be Filed with First Claim)
9. Section 3 Report completed by Contractor - see Exhibit C, Attachment 5 (All contractors and
subcontractors must complete this form for the Father Fidelis Kuban Project.)
10. MBE/WBE Report completed by Contractor – see Exhibit C, Attachment 6 (All contractors and
subcontractors must complete this form that work on the project.)
11. Warranties form - signed by Contractor (Must be Filed with Final Claim)
12. Final Inspection Approval and Certificate of Occupancy (Must be Filed with Final Claim)
13. UPCS Inspections (Must be Filed with Final Claim)
14. Certification of completion of work from Contractor (Must be Filed with Final Claim)
15. Acceptance of work form (Must be Filed with Final Claim)
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EXHIBIT C: PAYMENT PROCEDURES
Attachment 2: Match Log Form
Maricopa County #____________________________
HOME Funds Match Certification
FY 2017 – 2018
Match Credits (from Non-Federal Sources) Match Application NOTE:
Date Description and Source Amount of ITD Amount Date of HOME Amount of Applied TD Amount of Match
Received of Match Credit Match Of Match Expenditure Project No. Expenditure Match (25%) Applied Match Available
I certify that this representation of HOME Funds Match is accurate and the Match is from non-federal sources. All match
contributions shall be approved by the County prior to submittal of reimbursement of expenses.
Signature Date:
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EXHIBIT C: PAYMENT PROCEDURES
Attachment 3: Payment Request Form
This document is available in Excel format.
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EXHIBIT C: PAYMENT PROCEDURES
Attachment 4: Rental Set Up and Completion Form
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EXHIBIT C: PAYMENT PROCEDURES
Attachment 5: Section 3 Report
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EXHIBIT C: PAYMENT PROCEDURES
Attachment 6: MBE/WBE Report
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EXHIBIT D: AFFORDABILITY REQUIREMENTS
Properties assisted with HOME funds must be affordable to low-income purchasers or renters. The
period of affordability is determined by the type of property being occupied and the amount of HOME
funds invested.
Period of Affordability
The Period of Affordability for the HAMC Project funded by this Agreement will be seventeen (17)
years. The Period of Affordability will begin on the date that the County HOME assisted unit
Completion Report is entered into HUD’s Integrated and Disbursement Information System (IDIS
and will end seventeen (17) years from that date.
Rental Properties:
24 CFR. § 92.252 and § 92.253 apply to any part of the Work that includes construction or rehabilitation
of property for rental housing; the affordability requirements in 24 CFR. § 92.252 must be enforced by
deed restriction. These provisions establish rent limitations and restrictions that are applicable throughout
the seventeen (17) year Period of Affordability. Current fair market rents, maximum subsidy limits, and
utility deductions are addressed. For further information on annual updates to these limits, refer to
Exhibit A, Attachment 10 of this Agreement. HAMC must obtain all required tenant income information
and submit it to the County on an annual basis in accordance with 24 CFR. § 92.203(a)(1)(i) and this
Agreement. HAMC will ensure that all leases for the properties comply with the requirements of 24 CFR.
§ 92.253-Tenant Protections and Selection. For the purposes of this Agreement, HAMC and the County
have agreed that all three (3) County HOME assisted units will be occupied by households whose income
is at or below 60% of the area median income throughout the Period of Affordability.
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EXHIBIT E: ANNUAL RENTAL COMPLIANCE REPORT
This document is available in an Excel format.
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Exhibit F
Attachment 1: Affirmative Marketing Policy & Procedures
Policy
The public, property owners, and potential tenants will be informed about affirmative marketing aspects
of the HOME program, its regulations and the goal of attracting persons from all racial, ethnic, and
gender groups in the housing market area to the available housing. This policy applies equally to all
recipients of HOME funds.
Purpose
The purpose of this policy is to establish a standard affirmative marketing procedure for HOME- assisted
housing containing five (5) or more housing units.
Procedure
A. Methods for informing the public, property owners, and potential tenants about the Maricopa
County’s (“County”) Affirmative Marketing Policy:
1. Unit occupants are subject to the Affirmative Marketing Procedures and the Tenant
Notification Procedures (outlined in the County’s “Administrative Procedures for Provision
of Tenant Assistance under the Rental Rehabilitation Program”) that are available upon
request.
2. HAMC will mention the HOME program, its regulations, and the goal of attracting persons
of all racial, ethnic, and gender groups in all articles and press releases published in the
Arizona Republic or other local newspapers, dealing with the program.
3. HAMC will inform tenants and applicants about the affirmative marketing aspects of the
HOME Program upon initial contact, whether by telephone, letter or brochure. HAMC may
also reach tenants and applicants through articles in local newspapers, especially in the real
estate section, and will include information about affirmative marketing in such articles.
HAMC will include a statement about the affirmative marketing requirements of the program
in all brochures, letters, and other communications, sent to potential applicants for County
HOME assisted units.
B. Requirements and practices regarding affirmative marketing to be carried out by property owners:
1. HAMC will carry out affirmative marketing procedures in advertising County HOME
assisted units and attracting tenants of all racial, ethnic, and gender groups. When advertising
rental rehab units, HAMC will state in its ads that Section 8 tenants are welcome in the units.
County HOME assisted units to be occupied by Section 8 voucher holders are governed by
the County’s Equal Opportunity Housing Plan which is available upon request.
2. In addition to requiring the affirmation of the certification by HAMC in Section 6 of the
Contractor Certifications attached as Exhibit G to the Agreement, the County will provide a
list of groups HAMC should contact when marketing the availability of its units to persons
least likely to apply. That list will include an appropriate local newspaper such as the
Arizona Republic, the Arizona Informant, or Mesa Tribune. HAMC will also list the HOME
program and the County’s Housing Department contact information in the advertisements.
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C. The County will assist HAMC in its efforts to inform and solicit applications from persons who are
not likely to apply to be tenants without the assistance of special outreach efforts. The County has
contacts in a number of public agencies that can be used as well as community gathering spots,
such as supermarkets, restaurants, senior centers, and laundromats, which often have bulletin
boards used to advertise apartment rentals. In addition, the County may use various media, such as
TV and radio public service spots, and local newspapers, to announce the program and availability
of units rehabilitated with HUD funding.
D. Affirmative Marketing Record-Keeping and Assessment:
1. The County will keep records on all program announcements, brochures distribution, articles
and radio/TV spots relating to the HOME Program for a period of ___________________.
The County will ask persons calling to inquire about the availability of County HOME
assisted units how they first heard about the program and whether they are aware of the
Affirmative Marketing Policy.
2. HAMC will keep records on any advertising of the County HOME assisted units, whether by
ad in a newspaper, a posted notice, or a sign in the unit window for a period of
________________, so that the County may confirm compliance with this Affirmative
Marketing Policy.
3. In addition, HAMC will provide information to the County on the lease status of County
HOME assisted units, so that the availability of the units for affirmative marketing efforts is
known.
4. HAMC will document and maintain a record throughout the Period of Affordability the race,
ethnicity and gender of the head of household of all tenants placed in a County HOME
assisted unit.
5. HAMC’ failure to demonstrate good faith in the correction of a violation of this Affirmative
Marketing Policy may result in termination of this Agreement and disqualification from
future funding under the HOME program.
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Exhibit F
Attachment 2: Minority and Women’s Business Enterprise Policy & Procedures
The County complies with HUD’s responsibilities under Executive Orders 11625, 12432 (concerning
Minority Business Enterprises) and 12138 (concerning Women’s Business Enterprises), making efforts to
encourage the use of minority and women’s business enterprises in connection with HOME-funded
activities. The purpose of this policy is to take affirmative steps to assure that small and minority
businesses, and women’s business enterprises are used, when possible, as a source of supplies, equipment,
construction and service. HAMC will take the following affirmative steps:
1. Include qualified small and minority businesses, and women’s business enterprises on solicitation
lists;
2. Assure that small and minority businesses, and women’s business enterprises, are solicited
whenever they are potential sources, particularly for purchases of supplies and materials;
3. When economically feasible, divide total requirements into smaller tasks or quantities to permit
maximum participation by small and minority business, and women’s business enterprises;
4. Where the requirement permits, establish delivery schedules, which encourage participation by
small and minority business, and women’s business enterprises; and
5. If any subcontracts are to be let, require the prime contractor to take the affirmative steps in 1
through 4 above.
6. The County will take similar appropriate affirmative action in support of small and minority
businesses, and women’s business enterprises.
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EXHIBIT G: CONTRACTOR CERTIFICATIONS
Section 1. 24 CFR. § 135.38 - SECTION 3 REQUIREMENTS. In this Section (1) HAMC is referred
to as the “contractor” and such term also includes HAMC’s General Contractor, Subcontractors,
consultants, architects, engineers and consultants, if applicable.
A. The work to be performed under this Agreement is subject to the requirements of section 3 of the
Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 170lu (Section 3). The
purpose of Section 3 is to ensure that employment and other economic opportunities generated by
HUD assistance or HUD-assisted projects covered by Section 3, will, to the greatest extent
feasible, be directed to low- and very low-income persons, particularly persons who are recipients
of HUD assistance for housing.
B. The parties to the Agreement agree to comply with HUD’s regulations in 24 CFR. Part 135,
which implement Section 3. As evidenced by their execution of the Agreement, the parties to the
Agreement certify that they are under no contractual or other impediment that would prevent
them from complying with the part 135 regulations.
C. The contractor agrees to send to each labor organization or representative or workers with which
the contractor has a collective bargaining agreement or other understanding, if any, a notice
advising the labor organization or workers’ representative of the contractor’s commitments under
this Section 3 clause, and will post copies of the notice in conspicuous places at the work site
where both employees and applicants for training and employment positions can see the notice.
The notice will describe the Section 3 preference, set forth minimum number and job titles
subject to hire, availability of apprenticeship and training positions, the qualifications for each,
and the name and location of the person(s) taking applications for each of the positions; and the
anticipated date the work shall begin.
D. The contractor agrees to include this Section 3 clause in every subcontract subject to compliance
with regulations in 24 CFR. Part 135, and agrees to take appropriate action, as provided in an
applicable provision of the subcontract or in this Section 3 clause, upon a finding that the
subcontractor is in violation of the regulations in 24 CFR. Part 135. The contractor will not
subcontract with any subcontractor where the contractor has notice or knowledge that the
subcontractor has been found in violation of the regulations in 24 CFR. Part 135.
E. The contractor will certify that any vacant employment positions, including training positions,
that are filled (1) after the contractor is selected but before the contract is executed, and (2) with
persons other than those to whom the regulations of 24 CFR. Part 135 require employment
opportunities to be directed, were not filled to circumvent the contractor’s obligations under 24
CFR. Part 135.
F. Noncompliance with HUD’s regulations in 24 CFR. Part 135 may result in sanctions, termination
of this contract for default, and debarment or suspension from future HUD assisted contracts.
G. With respect to work performed in connection with section 3 covered Indian housing assistance,
section 7(b) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450(e)
also applies to the work to be performed under this contract. Section 7(b) requires that to the
greatest extent feasible (i) preference and opportunities for training and employment shall be
given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to
Indian organizations and Indian-owned Economic Enterprises. Parties to this contract that are
subject to the provisions of section 3 and section 7(b) agree to comply with section 3 to the
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maximum extent feasible, but not in derogation of compliance with section 7(b).
Section 2. Compliance with Federal and State Immigration Laws
A. HAMC agrees to comply with the Immigration Reform and Control Act of 1986 (IRCA) in
performance under this Agreement and to permit the County or its agents to inspect personnel
records to verify such compliance.
B. Under the provisions of A.R.S. § 41-4401, HAMC hereby warrants to the County that the
HAMC and each of its subcontractors (“Subcontractors”) will comply with, and are contractually
obligated to comply with, all Federal immigration laws and regulations that relate to their
employees and A.R.S. § 23-214(A) (“Contractor Immigration Warranty”).
C. A breach of the Contractor Immigration Warranty will constitute a material breach of this
Agreement and will subject the HAMC to penalties up to and including termination of this
Agreement at the sole discretion of the County.
D. The County retains the legal right to inspect the papers of any HAMC or Subcontractor employee
who works on this Agreement to ensure that the HAMC or Subcontractor is complying with the
Contractor Immigration Warranty. HAMC agrees to assist the County in regard to any such
inspections.
E. The County may, at its sole discretion, conduct random verification of the employment records of
HAMC and any subcontractors to ensure compliance with the Contractor Immigration Warranty.
HAMC agrees to assist the County in regard to any random verification performed.
F. Neither the HAMC nor any of the Subcontractors shall be deemed to have materially breached
the Contractor Immigration Warranty if HAMC or Subcontractor establishes that it has complied
with the employment verification provisions prescribed by sections 274A and 274B of the
Federal Immigration and Nationality Act and the E-Verify requirements prescribed by A.R.S. §
23-214, Subsection A.
Section 3. Drug-Free Workplace Requirements. The certification set out below is a material
representation upon which reliance is placed by HUD in awarding the grant. If it is later determined that
HAMC 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. HAMC certifies that it will use best efforts to
provide a drug-free workplace by doing all of the following:
A. Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing, possession or use of a controlled substance is prohibited in the HAMC’s workplace
and specifying the actions that will be taken against employees for violation of such prohibition.
B. Establishing a drug-free awareness program to inform employees about:
1. The dangers of drug abuse in the workplace;
2. HAMC’s policy of maintaining a drug-free workplace;
3. Any available drug counseling, rehabilitation and employee assistance programs; and
4. The penalties that may be imposed upon employees for drug abuse violations occurring
in the workplace.
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C. 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 (A).
D. Notifying the employee in the statement required by paragraph (a) that, as a condition of
employment under the grant, the employee will:
1. Abide by the terms of the statement; and
2. Notify the employer of any criminal drug statute conviction for a violation occurring in
the workplace no later than five (5) days after such conviction;
E. Notifying the U.S. Department of Housing and Urban Development within ten (10) days after
receiving notice under subparagraph (D)(2) from an employee or otherwise receiving actual
notice of such convictions;
F. Taking one of the following actions, within thirty (30) days of receiving notice under
subparagraph (D)(2), with respect to any employee who is so convicted:
1. Taking appropriate personnel action against such an employee, up to and including
termination; or
2. Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a federal, state or local health, law
enforcement, or other appropriate agency.
G. Making a good faith effort to continue to maintain a drug-free workplace through implementation
of paragraphs (A) through (F).
Section 4. Section 319 of Public Law 101-121. HAMC certifies, to the best of its knowledge and belief,
such knowledge and belief to be that of the Executive Director and to the extent such information has
been brought to the attention of the Executive Director, that:
A. No federal appropriated funds have been paid or will be paid, by or on behalf of HAMC, 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.
B. If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress or an employee of a Member of Congress in
connection with this federal contract, grant, loan or cooperative agreement, the undersigned shall
complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance
with its instructions.
C. HAMC shall require that the language of this certification be included in the award documents for
all sub-awards at all tiers (including subcontracts, sub-grants and contracts under grants, loans
and cooperative agreements) and that HAMC shall certify and disclose accordingly.
D. 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 31 U.S.C. § 1352. Any person who fails to file the
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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.
Section 5. Minority and Women’s Business Enterprise Policy (Region IX – San Francisco)
A. Pursuant to the County’s responsibilities under Executive Order 11625, 12432 and 12138 and in
support of directives from the Secretary of HUD, Region IX has developed an affirmative action
policy to further full participation of minority and women-owned business enterprise
(MBE/WBE) in all federally funded programs, including: HOME Investment Partnerships
Program. Such affirmative action and participation is specifically required under 2 CFR 200 et
seq. referenced in the applicable regulations for the above programs.
B. HAMC certifies that it will take affirmative steps to assure that small and minority businesses and
women’s business enterprises are utilized when possible as sources of supplies, equipment,
construction and services. Affirmative steps shall include the following:
1. Including qualified small and minority businesses on solicitation lists, e.g., solicitation of
bidding for construction, professional services or rehabilitation contracts.
2. Assuring that small and minority businesses are solicited whenever they are potential
sources, particularly for purchase of supplies and materials.
3. When economically feasible, dividing total requirements into smaller tasks or quantities
so as to permit maximum small and minority business participation.
4. Where the requirement permits, establishing delivery schedules that will encourage
participation by small and minority business.
5. If any subcontracts are to be let, requiring the prime contractor to take the affirmative
steps in 1 through 4 above.
C. HAMC shall take similar appropriate affirmative action in support of women’s business
enterprises.
Section 6. Equal Employment and Affirmative Action Policy Statement; Policy of
Nondiscrimination
A. HAMC agrees to consider each applicant for employment on the basis of his or her qualifications
for the job and without regard to race, religion, sex, marital status, age or national origin. Nor will
HAMC discriminate against any employee or applicant for employment because of physical or
mental disability in regard to any position for which the employee or applicant for employment is
qualified.
B. Every effort will be made by HAMC to ensure that appointments, promotions, reclassifications,
transfers, compensation, training, layoffs, terminations or any other type of personnel actions are
based on merit, fitness or other factors determined to be free of discrimination.
C. HAMC undertakes a program of Affirmative Action, to which good faith efforts will be directed
to continue to:
1. Determine the extent to which minorities and women are underutilized in major
categories and identify and eliminate the specific causes of such underutilization.
2. Identify and eliminate employment practices, which have an adverse impact on
minorities, females and other protected classes, and replace them with job related
practices.
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3. Develop special recruitment efforts to locate qualified minority and female candidates in
order to help reduce underutilization.
4. Develop special recruitment efforts to locate qualified disabled candidates.
5. Establish monitoring systems which will assure effective operation of the affirmative
action program, achievement of its goals and means for modification of the plan as
needed.
D. HAMC agrees, to have or adopt a Policy of Nondiscrimination. Such Policy shall state that
HAMC does not discriminate in the admission or access to, or treatment or employment in, its
federally assisted programs or activities on the basis of race, color, religion, sex, national origin,
age, handicap or familial status.
By signing below, I acknowledge that I have read, understand, and agree to all of the provisions of
HAMC Certifications.
By: HAMC (Described as “you” or “HAMC”
throughout the Agreement)
By: ______________________________________
Gloria Munoz, Executive Director
Address: 8910 N. 78th Ave
Peoria, AZ 85345
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