AGREEMENT WITH CIRCLE THE CITY CDBG FUNDS.PDF

SUBRECIPIENT AGREEMENT
FOR SERVICES BETWEEN
MARICOPA COUNTY
ADMINISTERED BY ITS
HUMAN SERVICES DEPARTMENT
AND
CIRCLE THE CITY
Contract Amount: $217,359
Contract Start Date: July 1, 2015
Contract Termination Date: June 30, 2016
Contract Number:
Program Number: DG1502
CFDA Number: 14.218, Community Development Block Grant
DUNS #: 017472495
This Agreement is entered into by and between Circle the City (hereinafter referred to as the
“Subrecipient”), and Maricopa County, administered by its Human Services Department, (hereinafter referred
to as the “County”). The Subrecipient and County are collectively referred to herein as the “Parties” and
individually as a “Party.” The Subrecipient, for and in consideration of the covenants and conditions set forth
in this Agreement, shall provide and perform the services set forth herein. All rights and obligations of the
Parties shall be governed by the terms of this Agreement, its exhibits, attachments, and appendices, including
any Subcontracts, Amendments, or Change Orders as set forth herein and in:
Section I – General Provisions
Section II – Special Provisions
- Certifications
- Special CDBG Certifications
- Appendix to Certifications
Section III – Work Statement
Section IV – Compensation
Subrecipient Representative: Brandon Clark Phone: 602-776-9000
Chief Email: bclark@circlethecity.org
Administrative Address: 333 W. Indian School Rd.
Officer Phoenix, AZ 85013
Maricopa County Representative: Carl Morgan Phone: (602) 372-1529
Proj. Coordinator Email: morganc002@mail.maricopa.gov
Address: 234 N. Central Avenue, 3rd Floor,
Phoenix, AZ 85004
Notice under this Agreement shall be given by personal delivery or by registered or certified mail, postage
prepaid and return receipt requested, to the persons at the addresses set forth above and shall be effective
three (3) days after being mailed unless otherwise indicated in the notice.
This Agreement contains all the terms and conditions agreed to by the Parties. No other understanding, oral
or otherwise, regarding the subject matter of this Agreement shall be deemed to exist or to bind any Party
hereto. Nothing in this Agreement shall be construed as consent to any lawsuit or waiver of any defense in a
lawsuit brought against the State of Arizona, County, or the Subrecipient in any State or federal court.
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IN WITNESS THEREOF, the Parties have signed this Agreement:
Approved By: Approved By:
SUBRECIPIENT MARICOPA COUNTY
Authorized Signature Chairman, Board of Supervisors
Date Date
Attested to:
Clerk, Board of Supervisors
Date
IN ACCORDANCE WITH A.R.S. §§ 11-952, 11-201, AND 11-251, THIS AGREEMENT HAS BEEN
REVIEWED BY THE UNDERSIGNED DEPUTY COUNTY ATTORNEY WHO HAS
DETERMINED THAT THIS AGREEMENT IS PROPER IN FORM AND WITHIN THE POWER
AND AUTHORITY GRANTED UNDER THE LAWS OF THE STATE OF ARIZONA.
APPROVED AS TO FORM:
Attorney for the Board of Supervisors
Date
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SECTION I
GENERAL PROVISIONS
Maricopa County
Human Services Department
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SECTION I GENERAL PROVISIONS
A. EFFECT
To the extent that the Special Provisions are in conflict with the General Provisions, the Special
Provisions shall control. To the extent that the Work Statement and the Special or General Provisions
are in conflict, the Work Statement shall control. To the extent that the Compensation Provisions are in
conflict with the General Provisions, Special Provisions or Work Statement, the Compensation
Provisions shall control. Nothing herein shall operate to increase the Operating Budget without a
written amendment thereto.
B. DEFINITIONS
As used throughout this Agreement, the following terms shall have the following meanings:
1. Agreement means this Contract for Services which includes the General Provision, Special
Provisions, Work Statement, Compensation, and all applicable attachments, exhibits, appendix,
and any laws, rules, or regulations incorporated by reference.
2. Assistant Director means the Director of a specific Division within the Human Services
Department.
3. Board of Supervisors means the Maricopa County Board of Supervisors.
4. Contract means any contract entered into by a Subrecipient with a third party for performance
of any of the work or provision of any of the services covered by this Agreement.
5. Contract Coordinator means the liaison between the Department and the Subrecipient that is
responsible for contract monitoring and technical assistance.
6. Contractor means an entity funded through the Subrecipient to provide services required by
the Work Statement.
7. County means Maricopa County.
8. Department means the Maricopa County Human Services Department.
9. Director means the Director of the Maricopa County Human Services Department.
10. Division means Community Development Division of the Human Services Department.
11. Fidelity Bond means a bond to indemnify the Subrecipient against losses resulting from fraud
or lack of integrity, honesty or fidelity of one or more employees, officers or other persons
holding a position of trust.
12. Intergovernmental Agreement means an agreement entered between two or more public
agencies for services, to jointly exercise any power common to them, or for joint or
cooperative action to perform some or all of the services specified in their agreement as
provided by A.R.S. § 11-952.
13. Juvenile means any person under the age of eighteen (18).
14. Payment Bond means a bond executed to assure payment as required by law of all persons
performing work or providing materials in the execution of work provided in this Agreement.
15. Performance Bond means a bond executed to secure fulfillment of all of the Subrecipient's
obligations under this Agreement.
16. Program Manager means the Assistant Director of a Division of Human Services.
17. Provider means any Subrecipient and/or contractor providing services required by this
Agreement.
18. Public Agency has the meaning prescribed by A.R.S. § 11-951.
19. Subcontract means any contract entered into by a Subrecipient with a third party for
performance of any of the work or provision of any of the services covered by this Agreement.
20. Subcontractor means an entity funded through the Subrecipient to provide services required
by the Work Statement.
21. Subrecipient means the person, firm or organization listed on the Cover Page of this
Agreement.
22. Work Statement means the section of this Agreement that contains a description of services
to be delivered pursuant to this Agreement.
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SECTION I GENERAL PROVISIONS
C. GENERAL REQUIREMENTS
1. The terms of this Agreement shall be construed in accordance with Arizona law and the
applicable laws and regulations of the United State Department of Housing and Urban
Development (HUD). Any lawsuit arising out of this Agreement shall be brought in the
appropriate court in Maricopa County, Arizona.
2. The Subrecipient shall, without limitation, obtain and maintain all licenses, permits and
authority necessary to do business, render services and perform work under this Agreement,
and shall comply with all laws regarding unemployment insurance, disability insurance and
worker's compensation.
3. The Subrecipient is an independent contractor in the performance of work and the provision
of services under this Agreement and is not to be considered an officer, employee or agent of
the County.
4. Subrecipient shall comply with the regulations prohibiting a conflict of interest and shall not
make any payments, either directly or indirectly, to any person, partnership, corporation, trust
or other organization that has a substantial interest in the Subrecipient's organization or with
which Subrecipient (or one of its directors, officers, owners, trust certificate holders or a
relative thereof) has a substantial interest, unless Subrecipient has made full written disclosure
of the proposed payments to the County and has received written approval therefore.
5. For purposes of this provision, the terms "substantial interest" and "relative" shall have the
meanings prescribed by A.R.S. § 38-502.
6. Subrecipient hereby accepts the award of funds under the terms of this Agreement and agrees
to execute and return this Agreement to the County within 30 days of receipt unless
Subrecipient received a written waiver of this requirement by the County.
D. AMENDMENTS
All Amendments to this Agreement shall be in writing and signed by authorized signers for both
Parties.
E. ASSIGNMENT AND SUBCONTRACTING
No right, liability, obligation or duty under this Agreement may be assigned, delegated or
subcontracted, in whole or in part, without the prior written approval of the Assistant Director.
Subrecipient shall bear all liability under this Agreement, even if it is assigned, delegated or
subcontracted, in whole or in part, unless the County agrees otherwise.
F. AVAILABILITY OF FUNDS
1. The provisions of this Agreement relating to the payment for services shall become effective
when funds assigned for the purpose of compensating the Subrecipient, as provided herein, are
actually available to the County for disbursement. The County shall be the sole authority in
determining the availability of funds under this Agreement and the Department shall keep the
Subrecipient fully informed as to the availability of funds.
2. If any action is taken by any State agency, federal department or any other agency or
instrumentality to suspend, decrease or terminate its fiscal obligation under, or in connection
with this Agreement, the Board of Supervisors may amend, suspend, decrease or terminate its
obligations under or in connection with this Agreement. In the event of termination, the
County shall be liable for payment only for services rendered prior to the effective date of the
termination, provided that such services performed are in accordance with the provisions of
this Agreement. The County shall give written notice of the effective date of any suspension,
amendment, or termination under this section at least ten (10) calendar days in advance.
G. BUDGET ADJUSTMENTS
Subrecipient must receive prior written approval from the County to move funds from one Budget
Activity Line Item to another. Budget adjustments that do not change the Contract Amount may be
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documented by an Amendment signed by the County and the Subrecipient’s Representative. Requests
for adjustments to this Agreement must be supported by appropriate documentation. Any requests for
reasonable budget adjustments must be submitted ninety (90) days prior to the expiration of this
Agreement. Requests for adjustments to this Agreement must be supported by appropriate
documentation. If the County agrees to the budget adjustments, the County shall follow section D of
this Agreement to amend this Agreement.
H. DISPUTES
1. Except as may otherwise be provided for in this Agreement, the parties may attempt to
informally resolve any dispute arising out of this Agreement for a reasonable period of time,
which shall not exceed one hundred twenty (120) days. Disputes which are not resolved in
that time period, shall be submitted in accordance with the following formal dispute resolution
process.
2. If a dispute cannot be resolved informally, the Subrecipient shall notify the Department in
writing by mailing notice of the dispute to the Assistant Director within ten (10) working days
from expiration of the informal dispute resolution process described in paragraph 1 above.
The Assistant Director, as applicable, shall respond in writing to the Subrecipient within
fourteen (14) working days of receipt of the Subrecipient’s written notice. The decision of the
Assistant Director shall be final and conclusive unless, within seven (7) working days from the
date the Subrecipient receives the decision, Subrecipient files a written notice of appeal with
the Department’s Director who shall provide the Subrecipient with a written response within
fourteen (14) working days following receipt of the Subrecipient’s notice of appeal. The
decision of the Director shall be final.
3. Pending a final decision of the Director, the Subrecipient shall proceed diligently with the
performance of this Agreement in accordance with the Assistant Director’s decision.
I. DEFAULT AND REMEDIES FOR NONCOMPLIANCE
1. Notwithstanding anything to contrary, this Section shall not be deleted or superseded by any
other provision of this Agreement.
2. This Agreement may be immediately terminated by the County if the Subrecipient defaults by
failing to perform any objective or breaches any obligation under this Agreement, or any event
occurs that jeopardizes the Subrecipient’s ability to perform any of its obligations under this
Agreement. The County reserves the right to have service provided by persons other than the
Subrecipient if the Subrecipient is unable or fails to provide required services within the
specified time frame in the work statement.
3. Failure to comply with the requirements of this Agreement and all the applicable federal, state,
or local laws, rules, and regulations may result in suspension or termination of this Agreement,
the return of unexpended funds (less just compensation for work satisfactorily completed that,
to date, has not been paid), the reimbursement of funds improperly expended, or the recovery
of funds improperly acquired. Noncompliance includes, but is not limited to:
a. Non-performance of any obligations required by this Agreement.
b. Non-compliance with any applicable federal, state, or local laws, rules or regulations,
including HUD guidelines, policies, or directives.
c. Unauthorized expenditure of funds.
d. Improper disposition of program income.
e. Non-compliance with applicable financial record requirements, accounting principles,
or standards established by OMB circulars and 2 CFR §200 et seq.
f. Non-compliance with recordkeeping, record retention, or reporting requirements.
4. Notwithstanding the suspension or termination of this Agreement, or the final determination
of the proper disposition of funds, Subrecipient shall, without intent to limit or with
restrictions, be subject to the following:
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a. All awards of funding shall be immediately revoked, and any approvals related to the
project described in the Special Provision or Work Statement shall be deemed revoked
and canceled. Thereby, any entitlements to compensation after suspension or
termination of this Agreement are similarly revoked and unavailable.
b. Not be relieved of any liability or responsibility associated with the Special Provision
or Work Statement.
c. Acknowledge that suspension or termination of this Agreement does not affect or
terminate any rights against the Subrecipient at the time of suspension or termination,
or that may accrue later. Nothing herein shall be construed to limit or terminate any
right or remedy available under contract or rule.
d. Wavier of a breach or default of any term, covenant, or condition of this Agreement
or any federal, state, or local law, rule, or regulation shall not operate as a waiver of
any subsequent breach of the same or any other term, covenant, condition, law, rule,
or regulation.
5. The Subrecipient shall, upon notice or with knowledge obtained by itself or others, take any
and all proactive actions necessary, and provide any and all applicable remedies to address and
correct any act by itself, its employees, officials, successors, assigns, contractors, or
subcontractors that resulted in any wrongdoing (intentional or unintentional); misuse or
misappropriation of funds; the incorrect or improper disposition of funds; any violation of any
federal, state, or local law, rule, or regulation; or the breach of any certification or warranty
provided in this Agreement.
J. TERMINATION
1. Pursuant to A.R.S. §38-511, the County may cancel this Agreement without penalty or further
obligation within three years after execution of the contract, if any person significantly involved
in initiating, negotiating, securing, drafting or creating the contract on behalf of the County is
at any time while the Agreement or any extension of the Agreement is in effect, an employee
or agent of any other party to the Agreement in any capacity or consultant to any other party
of the Agreement with respect to the subject matter of the Agreement. Additionally, pursuant
to A.R.S § 38-511 the County may recoup any fee or commission paid or due to any person
significantly involved in initiating, negotiating, securing, drafting or creating the contract on
behalf of the County from any other party to the contract arising as the result of the
Agreement
2. Either Party may terminate this Agreement at any time by giving the other Party at least sixty
(60) calendar days prior notice in writing (unless terminated by the Board of Supervisors under
the Availability of Funds provision). The notice shall be given by personal delivery or by
registered or certified mail, postage prepaid and returned receipt requested to the persons at
the addresses set forth on page one of this agreement.
3. This Agreement may be terminated by mutual written agreement of the Parties specifying the
termination date therein.
4. The County has the right to terminate this Agreement upon twenty-four (24) hour notice when
the County deems the health or welfare of the service recipients are endangered or
Subrecipient’s non-compliance jeopardizes funding source financial participation. If not
terminated by one of the above methods, this Agreement will terminate upon the expiration of
the term of this Agreement stated on the Page One of this Agreement.
5. In accordance with 2 CFR § 200, County may suspend or terminate this Agreement if
Subrecipient violates any term or condition of this Agreement or if Subrecipient fails to
maintain a good faith effort to carry out the purpose of this Agreement.
6. County or Subrecipient may terminate this Agreement for convenience in accordance with 2
CFR § 200. Both Parties shall agree upon the termination conditions including the effective
date of the termination. The party initiating the termination shall notify the other party in
writing stating the reasons for such termination.
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SECTION I GENERAL PROVISIONS
K. SEVERABILITY
Any provision of this Agreement that is determined to be invalid, void or illegal by a court shall in no
way affect, impair or invalidate any other provision hereof, and the remaining provisions shall remain in
full force and effect.
L. STRICT COMPLIANCE
The County’s acceptance of Subrecipient’s performance that is not in strict compliance with the terms
hereof shall not be deemed to waive the requirements of strict compliance for all future performance.
All changes in performance obligations under this Agreement shall be in writing and signed by both
Parties.
M. NON-LIABILITY
The County, its officers, representatives, agents and employees shall not be liable for any act or
omission by the Subrecipient or their contractor, or any officer, representative, agent or employee of
the Subrecipient, or their contractor occurring in the performance of this Agreement, nor shall these
entities be liable for purchases or contracts made by the Subrecipient or their contractor, or any officer,
representative, agent and employee of the Subrecipient or their contractor in connection with this
Agreement.
N. INDEMNIFICATION
To the extent permitted by law, the Subrecipient shall, and shall cause any of its Subcontractors to,
indemnify, defend save and hold harmless the State of Arizona and Maricopa County, any
jurisdiction or agency issuing any permits for any work arising out of this Agreement, and their
respective directors, officers, officials, agents, and employees (hereinafter referred to as
“Indemnitee”) from and against any and all claims, actions, liabilities, damages, losses, or expenses
(including court costs, attorneys’ fees, and costs of claim processing, investigation and litigation)
(hereinafter referred to as “Claims”) for bodily injury or personal injury (including death), or loss or
damage to tangible or intangible property caused, or alleged to be caused, in whole or in part, by the
negligent or willful acts or omissions of Subrecipient and any of its Subcontractors, or any of the
directors, officers, agents, or employees of Subrecipient and any of its Subrecipients. This indemnity
includes any claim or amount arising out of or recovered under the Workers’ Compensation Law or
arising out of the failure of the Subrecipient or any of its Subcontractors to conform to any federal,
state or local law, statute, ordinance, rule, regulation or court decree. It is the specific intention of the
Parties that the Indemnitee shall, in all instances, except for Claims arising solely from the negligent
or willful acts or omissions of the Indemnitee, be indemnified by the Subrecipient and any of its
Subcontractors from and against any and all claims. It is agreed that the Subrecipient and any of its
Subcontractors will be responsible for primary loss investigation, defense and judgment costs where
this indemnification is applicable.
O. TECHNICAL ASSISTANCE
The County will provide reasonable technical assistance to the Subrecipient to assist in complying with
State and federal laws, regulations and accountability for diligent performance and compliance with the
terms and conditions of this Agreement and all applicable laws, regulations and standards. However,
this assistance in no way relieves the Subrecipient of full responsibility and accountability for its actions
and performance in compliance with the terms of this Agreement.
P. SINGLE AUDIT ACT REQUIREMENTS
Subrecipients in receipt of federal funds through the Department are subject to the federal audit
requirements of the Single Audit Act of 1984, as amended (Pub. L. No. 98-502) (codified at 31 U.S.C.
§§ 7501, et seq.). Subrecipients shall comply with 2 CFR § 200 Subpart F. Upon completion, such audits
shall be made available for public inspection. Audits shall be submitted within the twelve (12) months
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following the close of the fiscal year. Subrecipients shall take corrective actions within six (6) months of
the date of receipt of the reports. The County shall consider sanctions as described in 2 CFR § 200.505
if Subrecipient does not comply with the audit requirements.
Q. AUDIT DISALLOWANCES
1. The Subrecipient shall, upon written notice thereof, reimburse the County for any payments
made under this Agreement that are disallowed by a federal, State or County audit in the
amount of the disallowance, as well as court costs and attorney’s fees the County spends to
pursue legal action relating to a disallowance. Court costs and attorney’s fees incurred will be
specifically identified as applicable to the recovery of the disallowed costs in question.
2. If the County determines that a cost for which payment has been made is a disallowed cost,
the County will notify the Subrecipient in writing of the disallowance and the required course
of action, which shall be at the option of the County, either to adjust any future claim
submitted by the Subrecipient by the amount of the disallowance or to require immediate
repayment of the disallowed amount by the Subrecipient issuing a check payable to the
County.
R. STAFF AND VOLUNTEER TRAINING
The Department may make available to the Subrecipient the opportunity to participate in any applicable
training activities conducted by the Department.
S. CLEAN AIR ACT
If the total face value of this Agreement exceeds $100,000, the Subrecipient agrees to comply with all
regulations, standards and orders issued pursuant to the Clean Air Act of 1970, as amended (42 U.S.C.
§§ 7401, et seq.), to the extent any are applicable by reason of performance of this Agreement.
T. LOBBYING
1. No federal appropriated funds have been paid or will be paid by or on behalf of the
Subrecipient to any person for influencing or attempting to influence an officer or employee of
any agency, a member of Congress, an officer or employee of Congress, or an employee of a
member of Congress in connection with the awarding of any federal contract, the making of
any federal grant, the making of any federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any
federal contract, grant, loan, or cooperative agreement.
2. If any funds, other than federal appropriated funds, have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
member of Congress, an officer or employee of Congress, or an employee of a member of
Congress in connection with any federal contract, grant, loan or cooperative agreement, the
Subrecipient shall complete and submit OMB Form-LLL, titled "Disclosure of Lobbying
Activities," in accordance with its instructions and 31 U.S.C. § 1352.
U. RELIGIOUS ACTIVITIES
The Subrecipient agrees that none of its costs and none of the costs incurred by any Subrecipient,
contractor, or subcontractor will include any expense for any religious activity.
V. POLITICAL ACTIVITY PROHIBITED
None of the funds, materials, property or services contributed by the County or the Subrecipient under
this Agreement shall be used for any partisan political activity, or to further the election or defeat of any
candidate for public office.
W. COVENANT AGAINST CONTINGENT FEES
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The Subrecipient warrants that no person or entity has been employed or retained to solicit or secure
this Agreement upon an agreement or understanding for a commission, percentage, brokerage or
contingent fee. For breach or violation of this warranty, the County may immediately terminate this
Agreement without liability.
X. SAFEGUARDING OF PARTICIPANT INFORMATION
The use or disclosure by any Party of any information concerning an applicant for, or recipient of,
services under this Agreement is directly limited to the conduct of this Agreement. Subrecipient and its
agents shall safeguard the confidentiality of this information, just as Subrecipient would safeguard its
own confidential information. Subrecipient shall include a clause to this effect in all Subcontracts.
Y. RIGHTS IN DATA
The Parties shall have the use of data and reports resulting from this Agreement without cost or other
restriction, except as otherwise provided by law or applicable regulation. Each Party shall supply to the
other Party, upon request, any available information that is relevant to this Agreement and to the
performance hereunder.
Z. COPYRIGHTS
If this Agreement results in a book or other written material, the author is free to copyright the work,
but the County reserves a royalty-free, nonexclusive, perpetual and irrevocable license to reproduce,
publish, or otherwise use and to authorize other to use, all copyrighted material and all material which
can be copyrighted resulting from this Agreement.
AA. PATENTS
Any discovery or invention arising out of, or developed in the course of, work aided by this Agreement
shall be promptly and fully reported to the Department for determination as to whether patent
protection on such invention or discovery shall be sought and how the rights in the invention or
discovery, including rights under any patent issued thereon, shall be disposed of and administered, in
order to protect the public interest.
BB. CONTRACT COMPLIANCE MONITORING
The Department will monitor the Subrecipient's compliance with, and performance under, the terms
and conditions of this Agreement and the applicable federal regulations promulgated by HUD. On-site
visits for compliance monitoring may be made by the Department and/or its grantor agencies at any
time during the Subrecipient's normal business hours, announced or unannounced. During an on-site
visit, the Subrecipient shall make all of its records and accounts related to work performed or services
provided under this Agreement available to the Department for inspection and copying.
CC. CONTINGENCY RELATING TO OTHER CONTRACTS AND GRANTS
1. The Subrecipient shall, during the term of this Agreement, immediately inform the
Department in writing of the award of any other agreement or grant, including any other
agreement or grant awarded by the County, where the award may affect either the direct or
indirect costs being paid or reimbursed under this Agreement. Failure by the Subrecipient to
notify the Department of such award shall be considered a violation of this Agreement and the
County may immediately terminate this Agreement without liability.
2. The Department may request, and the Subrecipient shall provide within a reasonable time,
which shall not exceed ten (10) working days, a copy of such other agreement or grant, when
in the opinion of the Department the award of the agreement or grant may affect the costs
being paid or reimbursed under this Agreement.
3. If the Department determines that the award to the Subrecipient of such other agreement or
grant has affected the costs being paid or reimbursed under this Agreement, the Department
will prepare an amendment to this Agreement effecting a cost adjustment. If the Subrecipient
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disputes the proposed cost adjustment, the dispute shall be resolved pursuant to the
"Disputes" section contained herein.
DD. MINIMUM WAGE REQUIREMENTS
The Subrecipient warrants that it shall pay all its employees who are performing work or providing
services under this Agreement not less than the minimum wage specified under Section 206(a)(1) of the
Fair Labor Standards Act of 1938, as amended (29 U.S.C. §§ 201, et seq.) by law, regulation or Executive
Order 13658.
EE. RECOGNITION OF COUNTY SUPPORT
The Subrecipient shall give recognition to the Department and Maricopa County and the funding
source for its support when the Subrecipient publishes materials or releases public information that is
paid for in whole or in part with funds received by the Subrecipient under this Agreement.
FF. INSURANCE
1. Subrecipient, shall purchase and maintain the herein stipulated minimum insurance from a
company or companies duly licensed by the State of Arizona and possessing a current A.M.
Best, Inc. rating of B++6. In lieu of State of Arizona licensing, the stipulated insurance may
be purchased from a company or companies who are authorized to do business in the State
of Arizona, provided that said insurance companies meet the approval of County. The form
of any insurance policies and forms must be acceptable to County.
2. All insurance required herein shall be maintained in full force and effect until all work or
service required to be performed under the terms of the Contract is satisfactorily completed
and formally accepted. Failure to do so may, at the sole discretion of County, constitute a
material breach of this Contract.
3. Subrecipient’s insurance shall be primary insurance as respects County, and any insurance or
self-insurance maintained by County shall not contribute to it.
4. Any failure to comply with the claim reporting provisions of the insurance policies or any
breach of an insurance policy warranty shall not affect coverage afforded under the
insurance policies to protect County.
5. The insurance policies may provide coverage that contains deductibles or self-insured
retentions. Such deductible and/or self-insured retentions shall not be applicable with
respect to the coverage provided to County under such policies. Subrecipient shall be solely
responsible for the deductible and/or self-insured retention and County, at its option, may
require Subrecipient to secure payment of such deductibles or self-insured retentions by a
surety bond or an irrevocable and unconditional letter of credit.
6. County reserves the right to request and to receive, within 10 working days, certified copies
of any or all of the herein required insurance certificates. County shall not be obligated to
review policies and/or endorsements or to advise Subrecipient of any deficiencies in such
policies and endorsements, and such receipt shall not relieve Subrecipient from, or be
deemed a waiver of County’s right to insist on strict fulfillment of Subrecipient’s obligations
under this Agreement.
7. The insurance policies required by this Contract, except Workers’ Compensation, shall name
County, its agents, representatives, officers, directors, officials and employees as Additional
Insured’s.
8. The policies required hereunder, except Workers’ Compensation, shall contain a waiver of
transfer of rights of recovery (subrogation) against County, its agents, representatives,
officers, directors, officials and employees for any claims arising out of Subrecipient’s work
or service.
9. The Subrecipient's policies shall stipulate that the insurance afforded the Subrecipient shall
be primary insurance and that any insurance carried by the County , its agents, officials,
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employees or the State of Arizona shall be excess and not contributory insurance, as
provided by A.R.S. § 41-621 (E).
10. Coverage provided by the Subrecipient shall not be limited to the liability assumed under the
indemnification provisions of this Agreement.
11. Commercial General Liability:
a. Commercial General Liability insurance and, if necessary, Commercial Umbrella
insurance with a limit of not less than $2,000,000 for each occurrence, $2,000,000
Products/Completed Operations Aggregate, and $4,000,000 General Aggregate Limit.
The policy shall include coverage for premises liability, bodily injury, broad form
property damage, personal injury, products and completed operations and blanket
contractual coverage, and shall not contain any provisions which would serve to limit
third party action over claims. There shall be no endorsement or modifications of the
CGL limiting the scope of coverage for liability arising from explosion, collapse, or
underground property damage.
12. Workers’ Compensation:
a. Workers’ Compensation insurance to cover obligations imposed by federal and state
statutes having jurisdiction of Subrecipient’s employees engaged in the performance of
the work or services under this Agreement ; and Employer’s Liability insurance of not
less than $1,000,000 for each accident, $1,000,000 disease for each employee, and
$1,000,000 disease policy limit.
b. Subrecipient waives all rights against County and its agents, officers, directors and
employees for recovery of damages to the extent these damages are covered by the
Workers’ Compensation and Employer’s Liability or commercial umbrella liability
insurance obtained by Subrecipient pursuant to this Agreement.
13. Sexual Molestation And Physical Abuse:
a. When services involve working with these groups of individuals, the insurance
requirements in the contract need to be revised to include coverage for "sexual
molestation and physical abuse". Coverage for this type of claim, or allegation, is
excluded from standard general liability policies. Therefore, Subrecipients whose services
include working with and/or caring for children/elderly and disabled persons should
have their policies specifically endorsed to include this coverage.
14. Commercial General Liability – Occurrence Form:
Policy shall include bodily injury, property damage and broad form contractual liability
coverage.
15. The policy shall be endorsed to include coverage for physical/sexual abuse and
molestation.
16. The policy shall be endorsed to include the following additional insured language:
"(Maricopa County), its subsidiary, parent, associated and/or affiliated entities, successors, or
assigns, its elected officials, trustees, employees, agents, and volunteers shall be named as
additional insureds with respect to liability arising out of the activities performed by, or on
behalf of the Subrecipient".
Minimum Limits:
General Aggregate $4,000,000
Each Occurrence Limit $2,000,000
Sexual Abuse/Molestation $1,000,000
17. Builder’s Risk (Property) Insurance.
Subrecipients shall purchase and maintain, on a replacement cost basis, Builders’ Risk
insurance and, if necessary, Commercial Umbrella insurance in the amount of the initial
Agreement amount as well as subsequent modifications thereto for the entire work at the site.
Such Builders’ Risk insurance shall be maintained until final payment has been made or until
no person or entity other than County has an insurable interest in the property required to be
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covered, whichever is earlier. This insurance shall include interests of County, Subrecipient and
all of Subrecipient’s subcontractors and sub‐subcontractors in the work during the life of the
Contract and course of construction, and shall continue until the work is completed and
accepted by County. For new construction projects, Subrecipient agrees to assume full
responsibility for loss or damage to the work being performed and to the structures under
construction. For renovation construction projects, Subrecipient agrees to assume
responsibility for loss or damage to the work being performed at least up to the full Agreement
amount, unless otherwise required by the Agreement documents or amendments thereto.
a. Builders’ Risk insurance shall be on a special form and shall also cover false work and
temporary buildings and shall insure against risk of direct physical loss or damage
from external causes including debris removal, demolition occasioned by enforcement
of any applicable legal requirements, and shall cover reasonable compensation for
architect’s service and expenses required as a result of such insured loss and other
“soft costs” as required by the Agreement.
b. Builders’ Risk insurance must provide coverage from the time any covered property
comes under the Subrecipient’s control and/or responsibility, and continue without
interruption during construction, renovation, or installation, including any time during
which the covered property is being transported to the construction installation site,
and while on the construction or installation site awaiting installation. The policy will
provide coverage while the covered premises or any part thereof are occupied.
Builders’ Risk insurance shall be primary and any insurance or self‐insurance
maintained by the County is not contributory.
c. If the Agreement requires testing of equipment or other similar operations, at the
option of County, Subrecipient will be responsible for providing property insurance
for these exposures under a Boiler Machinery insurance policy or the Builders’ Risk
Insurance policy.
18. Certificates of Insurance:
a. Upon execution of the Agreement, Subrecipient shall furnish the County with valid
and complete certificates of insurance, or formal endorsements as required by the
Contract, issued by Subrecipient’s insurer(s), as evidence that policies providing the
required coverage, conditions and limits required by this Agreement are in full force
and effect. Such certificates shall identify this contract number and title.
b. Prior to commencing work or services under this Agreement , Subrecipient shall
have insurance in effect as required by the Agreement in the form provided by the
County, issued by Subrecipient’s insurer(s), as evidence that policies providing the
required coverage, conditions and limits required by this agreement are in full force
and effect. Such certificates shall be made available to the County upon ten (10)
business days. BY SIGNING THE AGREEMENT PAGE THE SUBRECIPIENT
AGREES TO THIS REQUIREMENT AND FAILURE TO MEET THIS
REQUIREMENT WILL RESULT IN CANCELLATION OF AGREEMENT.
c. In the event any insurance policy(ies) required by this Agreement is (are) written on
a “claims made” basis, coverage shall extend for two years past completion and
acceptance of Subrecipient’s work or services and as evidenced by annual
Certificates of Insurance.
d. If a policy does expire during the life of the Agreement, a renewed Certificate of
Insurance must be sent to the County forty-five (45) days prior to the expiration
date.
19. Cancellation and Expiration Notice:
a. Insurance required herein shall not be permitted to expire, be canceled, or materially
changed without thirty (30) days prior written notice to the County.
b. If the Subrecipient provides professional or semi-professional personal services under
this agreement for which malpractice or professional liability coverage is available,
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such as medical, psychiatric, or legal services, Subrecipient shall carry minimum
liability coverage of $2,000,000 each occurrence and provide the Department with
proof of coverage.
20. Subcontractors: Subrecipient’s certificate(s) shall include all subcontractors as insureds
under its policies or Subrecipient shall furnish to the State of Arizona separate certificates for
each subcontractor. All coverages for subcontractors shall be subject to the minimum
requirements identified above.
21. Approval: Any modification or variation from the insurance requirements in any Agreement
must have prior approval from the County whose decision shall be final. Such action will not
require a formal contract amendment, but may be made by administrative action.
22. Exceptions: In the event the Subrecipient or sub-contractor(s) is/are a public entity, then
the Insurance Requirements shall not apply. Such public entity shall provide a Certificate of
Self-Insurance.
GG. BONDING
1. The Subrecipient shall not receive any initial reimbursements under this Agreement in an
amount greater than the Subrecipient's bonding limit. Subrecipient shall provide the Assistant
Director with documentation of required bonding.
2. Subrecipient shall have fidelity bonding of not less than the maximum amount of cash on hand
or an amount equal to the initial reimbursement, whichever is greater.
3. Bonding requirements shall prevail throughout the term of this Agreement.
HH. GRIEVANCE PROCEDURE
The Subrecipient shall establish a system through which applicants for, and recipients of, services may
present grievances and may take appeals about eligibility and other aspects of the Subrecipient's work
under this Agreement. The grievance procedure shall include provisions for notifying the applicants for,
and recipients of, services of their eligibility or ineligibility for service and their right to appeal to the
Department if the grievance is not satisfied at the Subrecipient's level.
II. NONDISCRIMINATION
The Subrecipient, in connection with any service or other activity under this Agreement, shall not in
any way, discriminate against any person on the grounds of race, color, religion, sex, national origin, age,
disability, political affiliation or belief. The Subrecipient shall include this clause in all of its
Subcontracts.
JJ. EQUAL EMPLOYMENT OPPORTUNITY
Subrecipient shall not discriminate against any employee or applicant for employment because of race,
age, disability, color, religion, sex, sexual identity, gender identity or national origin. Subrecipient shall
take affirmative action to ensure that applicants are employed and that employees are treated during
employment without regard to their race, age, disability, color, religion, sex sexual identity, gender
identity or national origin. Such action shall include, but is not limited to, the following: employment,
upgrading, demotion or transfer, recruitment or recruitment advertising, lay-off or termination, rates of
pay or other forms of compensation, and selection for training, including apprenticeship. Subrecipient
shall, to the extent such provisions apply, comply with Title VI and VII of the Civil Rights Act of 1964,
as amended (42 U.S.C. §§ 2000a, et seq.); the Rehabilitation Act of 1973, as amended (29 U.S.C. §§ 701,
et seq.); the Age Discrimination in Employment Act of 1967, as amended (29 U.S.C. §§ 621, et seq.); the
Americans With Disabilities Act of 1990 (42 U.S.C. §§ 12101, et seq.); and Arizona Executive Order
2009-09, which mandates that all persons shall have equal access to employment opportunities.
Subrecipient shall certify adherence to the Equal Employment Opportunity requirement by signing
the “EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATION”
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KK. Disability Requirements
Subrecipient agrees that any electronic or information technology offered under this Agreement shall
comply with A.R.S. §§41-2531 and 2532 and Section 508 of the Rehabilitation Act of 1973, which
requires that employees and members of the public shall have access to and use of information
technology that is comparable to the access and use by employees and members of the public who
are not individuals with disabilities.
LL. FINANCIAL MANAGEMENT
The Subrecipient shall establish and maintain a separate, interest-bearing bank account for money
provided under this Agreement, or an accounting system that assures the safeguarding and
accountability of all money and assets provided under this Agreement. No part of the money deposited
in the bank account shall be commingled with other funds or money belonging to the Subrecipient. All
interest earned on the account shall be disposed of in a manner specified by the County in accordance
with applicable State and federal regulations. The Subrecipient shall provide a signed bank account
agreement authorizing the County to obtain information about the account. If an accounting system is
used, it shall be in accord with generally accepted accounting principles.
MM. RETENTION OF RECORDS
1. This provision applies to all financial and programmatic records, supporting document,
statistical records and other records of the Subrecipient that are related to this Agreement.
2. The Subrecipient shall retain all records relevant to this Agreement for six (6) years after final
payment or until after the resolution of any audit questions which could be more than six (6)
years, whichever is longer, and the County, federal and State auditors and any other persons
duly authorized by the County shall have full access to, and the right to examine, copy and
make use of any and all of the records.
NN. ADEQUACY OF RECORDS
If the Subrecipient’s books, records and other documents related to this Agreement are not sufficient to
support and document that allowable services were provided to eligible participants, the Subrecipient
shall reimburse the County for the services not supported and documented.
OO. COMPETITIVE BID REQUIREMENTS
1. Equipment
If this Agreement is with other than a Public Agency, the Subrecipient shall obtain all
equipment to be utilized under this Agreement and purchased with funds provided under this
Agreement at the lowest practical cost pursuant to the following competitive bidding system:
a. Procurements in excess of $300, but less than $1,000, require oral price quotations
from two or more vendors. The Subrecipient shall keep and maintain a record of the
vendors’ verbal quotations. The Subrecipient’s award shall be made to the lowest
bidder meeting specification requirements concerning price, conformity to
specifications, and other purchasing factors.
b. Procurements exceeding an aggregate amount of $1,000 must be approved by the
Department. At least three (3) bidders shall be solicited to submit written quotations.
The Subrecipient shall solicit written quotations by issuing a Request for Quotation to
at least three (3) vendors. The award shall be made to the lowest bidder meeting
specification requirements concerning price, conformity to specifications, and other
purchasing factors.
2. Supplies
If this Agreement is with other than a Public Agency, the Subrecipient shall obtain all supplies
to be utilized under this Agreement and purchased with funds provided under this Agreement
at the lowest practical cost and pursuant to a system of written quotes whenever the price is
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expected to be greater than $300, unless the Subrecipient obtains the Contract Administrator’s
prior written approval to purchase supplies by an alternate method.
3. Minority, Women and Small Business Enterprises
The Subrecipient shall take affirmative steps to provide an opportunity for minorities, women,
and small businesses to compete in the procurement of equipment and supplies under this
Agreement.
4. Bidding Procedures
If the Subrecipient is a Public Agency, the Subrecipient's own bidding procedures shall govern.
5. Funding source requirements relating to competitive bid procedures may supersede any or all
subparts of this clause and will be specified in the Special Provisions Section of this
Agreement.
PP. PROPERTY
Any property furnished or purchased pursuant to the terms of this Agreement shall be utilized,
maintained, repaired and accounted for in accordance with instructions furnished by the County, and
shall revert to the County upon termination of this Agreement, unless the County determines
otherwise. The costs to repair such property are the responsibility of the Subrecipient within the limits
budgeted herein. Repair costs beyond the budgeted amount shall be approved by the Department.
QQ. IMMIGRATION LAWS AND REGULATIONS
1. Federal Immigration and Nationality Act
a. The Parties understand and acknowledge the applicability of the Immigration Reform
and Control Act of 1986 (IRCA). The Parties agree to comply with the IRCA in
performing under this Agreement and to permit the other Party to inspect personnel
records to verify such compliance.
b. By entering into this Agreement, both Parties warrant compliance with the Federal
Immigration and Nationality Act (FINA) and all other Federal immigration laws and
regulations related to the immigration status of its employees. Both Parties shall
obtain statements from their subcontractors certifying compliance and shall furnish
the statements to the Procurement Officer upon request. These warranties shall
remain in effect through the term of the Agreement. Both Parties and their
subcontractors shall also maintain Employment Eligibility Verification forms (I-9)
as required by the U.S. Department of Labor’s Immigration and Control Act for all
employees performing work under the Agreement. I-9 forms are available for
download at USCIS.GOV.
c. The Parties may request verification of compliance for any employee or
subcontractor performing work under the Agreement. Should either Party suspect
or find that the other Party or any of its subcontractors are not in compliance, then
the Party may pursue any and all remedies allowed by law, including, but not limited
to: suspension of work, termination of the Agreement for default, and suspension
and/or debarment of the other Party. All costs necessary to verify compliance are
the responsibility of the Subrecipient or its subcontractor.
2. Arizona Law: The Subrecipient warrants that it is in compliance with A.R.S. § 41-4401 (e-
verify requirements) and further acknowledges:
a. That Subrecipient and its Vendors, if any, warrant their compliance with all federal
immigration laws and regulations that relate to their employees and their compliance
with A.R.S. § 23-214;
b. That a breach of a warranty under subsection 1 above, shall be deemed a material
breach of this Agreement and the County may immediately terminate this Agreement
without liability;
c. That the County and any contracting government entity retains the legal right to
inspect the papers and employment records of any Subrecipient or Vendors employee
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who works on this Agreement to ensure that the Subrecipient or Vendors is
complying with the warranty provided under subsection 1 above and that the
Subrecipient agrees to make all papers and employment records of said employee(s)
available during normal working hours in order to facilitate such an inspection..
RR. DRUG FREE WORKPLACE ACT
The Subrecipient agrees to comply with the Drug-Free Workplace Act of 1988 (41 U.S.C. §§ 701, et
seq.), which requires that Subrecipients and grantees of federal funds must certify that they will provide
drug-free workplaces. This certification is a precondition to receiving a grant or entering into this
Agreement.
SS. GOVERNOR’S EXECUTIVE ORDER NO. 88-26
The Subrecipient is required to use the Arizona Taxonomy of Human Services for reporting and
contracting purposes.
TT. STATUTORY RIGHT OF CANCELLATION
Notice is given that pursuant to A.R.S. § 38-511, the County may cancel this Agreement without
penalty or further obligation within three years after execution of this Agreement, if any person
significantly involved in initiating, negotiating, securing, drafting or creating this Agreement on behalf
of the County is, at any time while this Agreement or any extension of this Agreement is in effect, an
employee or agent of any other Party to this Agreement in any capacity or consultant to any other Party
of this Agreement with respect to the subject matter of this Agreement. The County may also recoup
any fee or commission paid or due to any person significantly involved in initiating, negotiating,
securing, drafting or creating this Agreement on behalf of this County from any other Party to this
Agreement arising as the result of this Agreement.
UU. EMPLOYMENT DISCLAIMER
This Agreement is not intended to constitute, create, give rise to, or otherwise recognize a joint venture
agreement, partnership or other formal business association or organization of any kind between the
Parties, and the rights and obligations of the Parties shall be only those expressly set forth in this
Agreement.
The Parties agree that no individual performing under this Agreement on behalf of the Subrecipient is
to be considered a County employee, and that no rights of County civil service, County retirement, or
County personnel rules shall accrue to such individual. The Subrecipient shall have total responsibility
for all salaries, wages, bonuses, retirement, withholdings, workman's compensation, occupational
disease compensation, unemployment compensation, other employee benefits, and all taxes and
premiums appurtenant thereto concerning such individuals and shall save and hold the County
harmless with respect thereto.
VV. CERTIFICATION REGARDING DEBARMENT, SUSPENSION INELIGIBILITY AND
VOLUNTARY EXCLUSION
The undersigned by signing and submitting this Agreement has the authority to certify the Subrecipient
to the terms, representations and/or warrants of this Certification. The (put in name of the
organization) (“Subrecipient”), defined as the primary participant in accordance with 45 C.F.R. Part 76,
certifies to the best of its knowledge and belief that it and its principals:
1. are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any federal department or agency;
2. have not within a three-year period preceding this Agreement been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public (Federal, State, or local)
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transaction or contract under a public transaction; violation of Federal or State antitrust
statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, or receiving stolen property;
3. are not presently indicted or otherwise criminally or civilly charged by a governmental entity
(Federal, State, or local) with commission of any of the offenses enumerated in paragraph (b)
of this certification; and
4. have not within a three-year period preceding this Agreement had one or more public
transactions (Federal, State, or local) terminated for cause or default.
5. shall immediately notify the County if, at any time during the term of this Agreement, it is
debarred, suspended, declared ineligible, or voluntarily excluded from participation. The
County may pursue available remedies in the event of such occurrence, including immediate
termination of this Agreement.
6. shall not enter into a subcontract or sub-recipient agreement with a person or organization that
is debarred, suspended, declared ineligible, or voluntarily excluded from participation. The
County may pursue available remedies in the event of such occurrence, including immediate
termination of this Agreement.
The Subrecipient shall include without modification this Certification’s language, entitled “Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion – Lower Tier Covered
Transactions,” with all subgrantees or other contractors; in all lower tier covered transactions and in all
solicitations for lower tier covered transactions in accordance with 45 C.F.R. Part 76.
Should the Subrecipient not be able to provide this Certification, an explanation as to why shall be
immediately provided to the Department, Attention: Maricopa County Human Services, 234 N. Central
Ave., 3rd Fl., Phoenix, AZ 85004.
WW. SUBRECIPIENT EMPLOYEE WHISTLEBLOWER RIGHTS AND REQUIREMENT
TO INFORM EMPLOYEES OF WHISTLERBLOWER RIGHTS:
1. The Parties agree that this Contract and employees working on this Contract will be subject
to the whistleblower rights and remedies in the pilot program on Subrecipient employee
whistleblower protections established at 41 U.S.C. § 4712 by section 828 of the National
Defense Authorization Act for Fiscal Year 2013 (Pub. L. 112–239) and section 3.908 of the
Federal Acquisition Regulation;
2. Subrecipient shall inform its employees in writing, in the predominant language of the
workforce, of employee whistleblower rights and protections under 41 U.S.C. § 4712, as
described in section 3.908 of the Federal Acquisition Regulation. Documentation of such
employee notification must be kept on file by Subrecipient and copies provided to County
upon request; and
3. Subrecipient shall insert the substance of this clause, including this paragraph (3), in all
subcontracts over the simplified acquisition threshold ($150,000 as of September 2013).
XX. COMPLIANCE WITH REQUIREMENTS REGARDING ELIGIBILITY FOR PUBLIC
BENEFITS
Subrecipient shall comply with State and other laws regarding eligibility for public benefits including
ARS §§ 1-501 and 1-502 which states that public benefits shall only be provided to eligible applicants
who are citizens of the United States, or are Qualified Non-Citizens:
1. All applicants authorized to receive public benefits must provide documentation of their
lawful presence in the United States through a verification process.
2. All eligible applicants must also execute a sworn affidavit stating that the documentation
provided during the verification process to prove citizenship or qualified non-citizen is true.
3. The Affidavit Demonstrating Lawful Presence in the United States or similar form shall be
used to document compliance with requirements 1 and 2, above.
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4. Employees of Maricopa County and its subcontracted entities are required to report
“discovered violations” of federal immigration law
5. Public benefits are defined in ARS § 1-501 as any grant, contract, loan, professional license, or
commercial license provided by an agency of the United States or by appropriated funds of
the United States; and any retirement, welfare, health, disability, public or assisted housing,
postsecondary education, food assistance, unemployment benefit, or any other similar
benefit for which payments or assistance are provided to an individual, household, or family
eligibility unit by an agency of the United States or by appropriated funds of the United
States.
6. Programs, services, or assistance such as soup kitchens, crisis counseling and intervention,
and short-term shelter which meet the following conditions are exempt from ARS §§ 1-501
and 1-502.
a. deliver in-kind services at the community level, including through public or private
nonprofit agencies;
b. do not condition the provision of assistance, the amount of assistance provided, or
the cost of assistance provided on the individual recipient’s income or resources;
and
c. are necessary for the protection of life or safety.
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SPECIAL PROVISIONS
Maricopa County
Human Services
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A. EFFECT
To the extent that the Special Provisions are in conflict with the General Provisions, the Special
Provisions shall control. To the extent that the Work Statement is in conflict with the General
Provisions or the Special Provisions, then the Work Statement shall control. To the extent that the
Compensation Provisions are in conflict with the General Provisions, Special Provisions or Work
Statement then the Compensation Provisions shall control.
B. SPECIAL FEDERAL AND PROJECT PROVISIONS
Program Activity: The SUBRECIPIENT agrees to implement the activity fully as described in each
Work Statement in accordance with the terms of the 2015-2020 Five-Year Consolidated Plan and the
Annual Action Plan submitted by the County to HUD for funds to carry out the activity and the
Certifications which were submitted concurrently with the Annual Action Plan to HUD, and with
any Cooperation Agreements with the Municipality (as applicable). The Annual Action Plan and the
CDBG Application for this project are hereby incorporated by reference into this Agreement. In
summary, the Activity is described in Work Statement, Section III.
C. DEFINITIONS
As used throughout this Section as a supplement to Definitions in Section I, the following terms
shall have the following meanings:
1. Admin Manual means Administrative Manual produced by the Human Services
Department/Community Development Division
2. BOS means Maricopa County Board of Supervisors
3. CDAC means Community Development Advisory Committee
4. CDBG means Community Development Block Grant Program
5. County HUD means U.S. Department of Housing and Urban Development
6. HOME means HOME Investment Partnership Program
7. County means Maricopa County Division means Community Development Division of the
Maricopa County Human Services Department
8. Minority Business Enterprise (MBE) means an entity which is majority owned or
controlled by a socially and economically disadvantaged individual as described by Public
Law 95-507.
9. Subrecipient means a public agency or nonprofit organization identified on the cover page
of this Agreement to administer all or a portion of the County’s CDBG or HOME Program.
10. Women’s Business Enterprise (WBE) means an entity in which a woman has majority
ownership and control
D. STANDARDS
The Subrecipient shall perform the work and provide the services as identified in the Work
Statement and shall immediately notify the Department whenever the Subrecipient is unable to, or
anticipates an inability to, perform any of the work, or provide any of the services required by the
terms of this Agreement. The Subrecipient acknowledges that any inability to perform the work and
provide the services, or comply with the standards set forth in this Agreement may subject the
Subrecipient to the remedies provided in the Default and Remedies for Noncompliance established
by the General Provisions.
E. COMPLIANCE WITH LAWS, RULES & REGULATIONS
This Agreement and the Parties hereto, are subject to all applicable federal, state, or local laws, rules,
and regulations. The Subrecipient shall ensure compliance, and the Subrecipient shall comply with all
applicable laws, rules and regulations, without limitation to those designated within this Agreement.
Refer to the Default and Remedies for Noncompliance provided in the General Provisions.
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F. GENERAL PROVISIONS, SECTION I, SUPERSEDED IN SPECIAL PROVISIONS,
SECTION II
1. KK. “Financial Management” is superseded in Special Provisions
G. AUDIT REQUIREMENTS
In accordance with A.R.S. § 11-624, the Subrecipient shall, at its own expense, file with the Human
Resources Department/Community Development Division by March 31st of each contract year,
either:
1. Audited financial statements prepared in accordance with federal single audit requirements;
or,
2. Financial statements prepared in accordance with generally accepted accounting principles
audited by an independent certified public accountant.
H. PROGRAM INCOME
1. All income received from a CDBG Funded project shall be considered program income and
subject to the requirements set forth in CDBG Program regulations. Program Income
includes, but is not limited to:
a. sales/lease returns on investment; and
b. payments of principal and interest on loans.
2. Program Income received by the Subrecipient shall be tracked and returned to the County as
follows:
a. program income shall be tracked by the Subrecipient and accounted for in a separate
fund or account;
b. documentation supporting the amount of program income received shall be
submitted quarterly with the quarterly progress report;
c. all program income shall be submitted at the end of each fiscal year, June 30th with a
program income log that states program income received during the year.
3. Program income that is received after at the end of this Agreement shall be sent to the
County in accordance with 24 CFR § 92.503 within 30 days of receipt.
I. ADMINISTRATIVE REQUIREMENTS:
1. Accounting Standards - The Subrecipient agrees to comply with this Agreement and to
adhere to the accounting principles and procedures required to utilize adequate internal
controls and maintain necessary source documentation for all costs incurred, as well as any
applicable federal laws and regulations. The Subrecipient further agrees to maintain an
adequate accounting system that provides for appropriate grant accounting (including
calculation of program income).
2. Repayment of Funds: Subrecipient agrees to repay funds provided under this Agreement for
noncompliance with the terms of this Agreement. Repayment shall be in accordance with
the terms of this Agreement or the requirement of applicable laws and regulations, including
continuing use compliance. The County may specify in writing, the terms of the repayment
or alternative terms in lieu of repayment however in no case shall repayment or alternative
terms be accomplished later than sixty (60) days following the written determination of
noncompliance by the County.
3. Documentation and Record Keeping
a. Records to be Maintained - The Subrecipient shall maintain all records required by
the Federal regulations specified in 24 CFR Part 570.506 that are pertinent to the
activities to be funded under this Agreement. Such records shall include but not be
limited to:
(i) Records providing a full description of each activity undertaken;
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(ii) Records demonstrating that each activity undertaken meets one of the
National Objectives of the CDBG program, including HUD required
revisions that may be released after this agreement has been executed;
(iii) Records required for determining the eligibility of activities;
(iv) Records required to document the acquisition, improvement, use or
disposition of real property acquired or improved with CDBG assistance
(Properties retained shall continue to meet eligibility criteria and shall
conform with the "changes in use" restrictions specified in 24 CFR Part
570.505, as applicable);
(v) Records which demonstrate citizen participation;
(vi) Records which demonstrate compliance regarding acquisitions,
displacement, relocation and replacement housing;
(vii) Records documenting compliance with the fair housing and equal
opportunity components of the CDBG program;
(viii) Financial records as required by 24 CFR Part 570.502, 2 CFR § 200, and
OMB Circulars;
(ix) Other records necessary to document compliance with Subpart K of 24
CFR § 570; and
(x) Records documenting compliance with Section 3 of the Housing
Development Act of 1968.
b. Housing - Records which demonstrate compliance with deeds of trust, promissory
notes, and forgivable loans associated with owner occupied housing activities.
c. Public Facilities - Records which demonstrate continuing ownership and eligible use
of facility according to CDBG regulations.
d. Outcome Measures – The Subrecipient shall maintain data that supports the
accomplishment of the desired outcomes as indicated in the Work Statement.
e. Records Retention - The Subrecipient shall retain all records pertinent to this
Agreement for a period of six (6) years after all CDBG requirements have been met.
In the event of litigation, a claim, or an audit is begun before the expiration of this
retention period, said records shall be retained until all such action or audit findings
involving the records have been resolved.
f. Disclosure - The Subrecipient understands that client information collected under
this Agreement is private and the use or disclosure of such information, when not
directly connected with the administration of the County's or Subrecipient's
responsibilities with respect to services provided under this Agreement, is
prohibited unless written consent is obtained from such person receiving service.
g. Client Data - The Subrecipient shall maintain client data demonstrating client
eligibility for services provided. Such data shall include, but not be limited to, client
name, address, income level or other basis for determining eligibility and description
of service provided.
h. Property Records - The Subrecipient shall maintain property and equipment
inventory records that clearly identify properties and equipment purchased,
improved or sold. Properties and equipment retained shall continue to meet
eligibility criteria and shall conform to the use of property and equipment.
i. Audits & Inspections - All Subrecipient records with respect to any matters covered
by this Agreement shall be made available to the County, their designees or the
Federal Government, at any time during normal business hours, as often as the
County deems necessary, to audit, examine and make excerpts or transcripts of all
relevant data. Any relevant deficiencies noted in audit reports must be addressed by
the Subrecipient within 45 days after receipt by the Subrecipient. Failure of the
Subrecipient to comply with the above audit requirements shall constitute a
violation of this Agreement and may result in the withholding of future payments.
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The Subrecipient hereby agrees to have an Annual Audit conducted in accordance
with Administrative Manual on CD concerning Subrecipient audits. The Annual
Audit requirement is applicable to all levels of funding received by Subrecipients via
this Agreement, even if the level of funding is less than the current thresholds cited
in 2 CFR § 200.501.
4. Reporting
a. Progress Reports - The Subrecipient shall be responsible to provide reports on all
activities related the Scope of Work. The Subrecipient agrees to submit to the
County Performance Reports:
(i) Quarterly Program Income Report and Supporting Documentation;
(ii) Quarterly Progress Reports in the form and content as required by the
County. Reports shall be due on the date specified in the report form,
generally in July, October, January and April, addressing activities of the
proceeding three months (i.e. the July report covers April, May and June). If
there has been no activity, the report needs to explain why. Failure to
submit timely Quarterly Reports will result in suspension of payment for
reimbursement requests until all reports are brought current.
(iii) Minority Business Enterprise / Women Business Enterprise (MBE/WBE)
information; and
(iv) Other HUD-required reporting data as applicable shall be submitted.
b. Continuing Use Requirements - If the activity is a public facility, the Subrecipient
shall provide the County, on an annual basis, a Certificate of Use Statement
certifying that the facility is being used to meet a national objective and eligible
activity.
c. Program Income - Subrecipient agrees to comply with the program income
requirements of 570.504(c) and shall report on the Program Income Report (see
Administrative Manual on CD) all received and expended program income as
defined in 24 CFR § 570.500(a) generated by activities carried out with CDBG funds
made available under this Agreement. Documentation supporting the amount of
program income received and expended shall be submitted on the Program Income
Report and submitted with the Quarterly Progress Report. Subrecipient shall
account for program income and maintain a separate account for these funds.
Program income shall be retained by the Subrecipient, and shall be used only for
CDBG eligible activities as outlined in the HUD CDBG regulations and the
Administrative Manual on CD. Subrecipient further agrees that these funds shall be
utilized to pay for CDBG activities prior to requesting any reimbursement from
County for any CDBG activities.
5. Performance Monitoring - The County shall monitor the Subrecipient to determine if
CDBG-funded activities are implemented and administered in accordance with this
Agreement and all applicable federal requirements and gauge performance of the
Subrecipient against goals and performance standards required herein. Subrecipient will
prepare for monitoring and assure all required files and documentation are available at
scheduled monitoring. Failure of Subrecipient to administer, implement and perform as
determined by federal regulations and County policies shall constitute non-compliance with
this agreement and is subject to the Default and Remedies for Noncompliance provided in
this Agreement.
6. Subcontracts
a. Approvals - The Subrecipient shall not commit to any pre-contract costs or enter
into any subcontract(s) with any agency or individual in the performance of this
Agreement without the Release of Funds from the County. Execution of
construction contracts may not occur until a letter stating the Subrecipient is not on
the debarred list is received from the County.
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b. DUNS Number: All subcontractors shall have a valid DUNS number and an active
profile in the federal System for Award Management (SAM). To obtain a DUNS
Number use this link: http://www.fedgov.dnb.com/webform. Additional
information on System For Award Management (SAM), DUNS and CCR use this
link:
https://www.sam.gov/sam/transcript/Quick_Guide_for_Grants_Registrations.pdf
c. Selection Process - The Subrecipient shall insure that all subcontracts let in the
performance of this Agreement be awarded on a fair and open competitive basis.
Executed copies of all subcontracts shall be forwarded to the County along with
documentation, if requested, concerning the selection process.
d. Section 3 of the Housing and Urban Development Act of 1968 - The Subrecipient
shall include the Section 3 clause in subcontracts, as required, and shall take
appropriate action pursuant to the subcontract upon a finding that the
subcontractor is in violation of regulations issued by HUD/County. The
Subrecipient shall not subcontract with any entity where it has notice or knowledge
that the latter has been found in violation of regulations under 24 CFR Section 135.
e. Contract Monitoring - The Subrecipient shall monitor/review all subcontracted
services on a regular basis to assure contract compliance. Results of monitoring
efforts shall be summarized in the Progress Reports and supported with
documented evidence, if requested, of follow-up actions taken to correct areas of
noncompliance.
f. Noncompliance by subcontractor(s) may lead to default of this Agreement and
subject the Subrecipient to the Default and Remedies for Noncompliance
provisions of this Agreement.
J. POLICY/ADMINISTRATIVE MANUALS USE:
Subrecipient agrees to be familiar with and comply with the policies/procedures established in the
most recent CDAC/BOS Policy Manual and all provisions in the most recent Administrative Manual
on CD. Noncompliance with the Administrative Manual on CD shall constitute a breach of contract.
K. ENVIRONMENTAL CONDITIONS:
1. The Subrecipient agrees to comply with: the National Environmental Policy Act of 1969
(P.L. 91-190) pursuant thereto 40 CFR Parts 1500 - 1508, Environmental Review Procedures
for Title I of the Community Development Block Grant program pursuant thereto Title 24
CFR Part 58, Subpart A; and with all conditions required in the process of the
environmental assessment. An Environmental Review Record (ERR) shall be completed
before taking any physical action on a site or entering into contracts. If federal funds are
involved in an activity, neither federal nor non-federal funds may be expended or committed
by contract (conditional or not) for activities related to this project including design work,
until the County provides written authorization based on approval of an ERR.
2. Air and Water - The Subrecipient agrees to comply with the following requirements insofar
as they apply to the performance of this Agreement:
(i) Clean Air Act, 42 USC § 7401, et seq., as amended.
(ii) Federal Water Pollution Control Act, as amended, 33 USC § 1251, et seq., as
amended, 1318 relating to inspection, monitoring, entry, reports and information, as
well as other requirements specified in said Section 114 and Section 308 and all
regulations and guidelines issued thereunder.
(iii) Environmental Protection Agency (EPA) regulations pursuant to 40 CFR Part 50,
as amended.
(iv) Subrecipient agrees to comply with conditions set forth by the Air Quality
Department or other County agency, as required.
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3. Flood Disaster Protection - In accordance with the requirements of the Flood Disaster
Protection Act of 1973 (42 USC § 4001), the Subrecipient shall assure that for activities
located in an area identified by FEMA as having special flood hazards, flood insurance under
the National Flood Insurance Program is obtained and maintained as a condition of financial
assistance for acquisition or construction purposes. (In the case of housing, the homeowner
must obtain and maintain flood insurance as a condition of funding, or funds may not be
utilized.)
4. Historic Preservation - The Subrecipient agrees to comply with the Historic Preservation
requirements set forth in the National Historic Preservation Act of 1966, as amended (16
USC § 470) and the procedures set forth in 36 CFR Part 800, Advisory Council on Historic
Preservation Procedures for Protection of Historic Properties, insofar as they apply to the
performance of this Agreement. In general, this requires concurrence from the State Historic
Preservation Office for all rehabilitation and demolition of historic properties that are fifty
(50) years old or older, or that are listed or eligible for the National Register of Historic
places, or included on any state or local historic property inventory or any archaeological
findings.
5. Release Of Funds (ROF) - No funds may be encumbered prior to the completion of the
Environmental Review. The Environmental Review Record (ERR) must be completed
before any funds are obligated. Funding is also conditioned upon the completion of the
ERR of every activity site by address. The responsibility for certifying the appropriate
Environmental Review Record and ROF shall rest with the County. It is the responsibility of
the Subrecipient to notify the County, and to refrain from making any commitments and
expenditures on a site until a Release of Funds has been issued by the County. Failure to
meet these conditions will mean that requested funds will not be disbursed.
L. TIMELY IMPLEMENTATION:
Subrecipient agrees that timely implementation of the activity is essential. Subrecipient agrees that
implementation of activities including design/development and/or construction shall commence not
later than 90 days after the execution of this agreement. If the 90-day commencement date is not met
or whenever a Subrecipient’s implementation of an activity lags behind the contractual activity
schedule by 90 days or more, the Subrecipient shall be required to submit in writing to CDAC the
reasons for failure to implement the activity within the stipulated time frame. The Subrecipient shall
allow the County to provide technical assistance if the project is more than 90 days behind schedule.
In addition, the Subrecipient must present a corrective action plan that ensures timely
implementation, as provided for in the CDAC/BOS Policy Manual. Failure to implement the activity
in a timely manner shall be considered ineffective use of funds as well as a material failure to comply
with all terms of the award of this Agreement and shall be considered cause for termination of this
Agreement.
M. ACTIVITY COMPLETION:
Upon the final payment to the Subrecipient by the County, the activity shall be considered complete.
Upon completion of the Work Statement, all unspent CDBG resources shall be returned to the
CDBG unprogrammed funds account. The Subrecipient shall continue to be responsible for
compliance activities for the life of the assisted activity. The close-out letter generated by the County
shall detail these responsibilities and shall be sent to the Subrecipient. The Subrecipient agrees to
comply with the stipulations in the close-out letter that addresses responsibilities after the close of an
activity.
N. OPERATION & MAINTENANCE:
Upon completion of the activity, the Subrecipient or other party, if identified, shall assume sole
responsibility for continuing operation and maintenance of the activity described in Work Statement.
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O. GENERAL CONDITIONS:
1. Subrecipient agrees that it undertakes hereby the same obligations as the County has
undertaken to HUD pursuant to said Annual Action Plan and Assurances. Subrecipient shall
hold County harmless and indemnify it against any damage or other liability which
Subrecipient may incur with respect to HUD as a result of any failure on the part of
Subrecipient to comply with the requirements of any such obligation. The obligations
undertaken by Subrecipient are further clarified in the Certifications, Specific CDBG
Certifications, and Appendix to Certifications included as Attachment B to this
CONTRACT. These certifications include but are not limited to:
a. The Housing and Community Development Act of 1974 (P.L. 93-383) as amended
by the Housing and Urban Rural Recovery Act of 1983 (P.L. 98-181), the Housing
and Community Development Act of 1987 and the Cranston-Gonzalez National
Affordable Housing Act (P.L. 101-625);
b. Regulations of the Department of Housing and Urban Development relating to
Community Development Block Grants (Title 24, Chapter V, Part 570 of the Code
of Federal Regulations (CFR), commencing at Section 570.1);
c. Title VI of the Civil Rights Act of 1964 (P.L. 88-352) as amended; Title VIII of the
Civil Rights Act of 1968 (P.L. 90-284) as amended; Section 109 of the Title I of the
Housing and Community Development Act of 1974 as amended; EXECUTIVE
ORDER 11063, as amended; and any HUD regulations heretofore issued or to be
issued to implement these authorities related to Civil Rights;
d. The requirements of Executive Orders 11625 and 12432 regarding Minority
Business Enterprise, and 12138 regarding Women’s Business Enterprise, and
regulations in 2 CFR § 200.321 and of Section 281 of the National Housing
Affordability Act.
e. Section 504 of the Rehabilitation Act of 1973 as amended and the Americans With
Disabilities Act, of 1990; and
f. Fair Housing Amendments Act of 1988;
g. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of
1970 (P.L. 91-646) and the Uniform Relocation Act Amendments of 1987 (Title IV,
P.L. 100-17, April 2, 1987 and regulations adopted to implement that Act pursuant
thereto Title 24, CFR Part 42 as amended;
h. The Architectural Barriers Act of 1969 (42 U.S.C. Section 4151-4157);
i. The Hatch Act relating to the conduct of political activities (Chapter 15 of Title 5,
U.S.C.);
j. Section 902 of the Housing and Community Development Amendments of 1978
(P.L. 95-557);
k. Executive Order 11246 and the regulations issued pursuant thereto (41 CFR
Chapter 60) relating to nondiscrimination in employment and contracting
opportunities;
l. The Labor Standards Regulations set forth in 24 CFR, Part 570.603; the Davis-
Bacon Act as amended; the provisions of Contract Work Hours and Safety
Standards Act; the Copeland “Anti-Kickback” Act (40 U.S.C. § 276a-276a-5; 40
USC § 327 and 40 USC § 276c) and all other applicable Federal, state and local laws
and regulations pertaining to labor standards insofar as those acts apply to the
performance of this Agreement. The Subrecipient shall maintain documentation
that demonstrates compliance with hour and wage requirements of this part. Such
documentation shall be made available to the County for review upon request;
m. Executive Order 13166 entitled “Improving Access to Services for Persons with
Limited English Proficiency” pursuant to Title VI of the Civil Rights Act.
n. The Drug-Free Workplace Act of 1988 as it applies to this activity;
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o. The Subrecipient warrants that it is in compliance with A.R.S. Section 41-4401 and
further acknowledges:
(i) That the Subrecipient and its contractors, if any, warrant their compliance
with all federal immigration laws and regulations that relate to their
employees and their compliance with A.R.S. 23-214, subsection A;
(ii) That a breach of a warranty under subsection a. above, shall be deemed a
material breach of the contract that is subject to penalties up to and
including termination of the contact;
(iii) That the contracting government entity retains the legal right to inspect the
employment papers of any Subrecipient or contractor employee who works
on the contract to ensure that the Subrecipient or Subrecipient is complying
with the warranty provided under subsection a. above and that the
Subrecipient agrees to make all papers and employment records of said
employee(s) available during normal working hours in order to facilitate
such an inspection; and
(iv) That nothing herein shall make any contactor or subcontractor an agent or
employee of the Subrecipient.
(v) All Applicable Federal, State and local laws and regulations, including
compliance with ARS § 1-501 and § 1-502 (Attachment A).
p. Subrecipients which are governmental entities (including public agencies) shall
comply with the requirements and standards of
(i) 2 CFR § 225, "Cost Principles for State, Local and Indian Tribal
Governments", and
(ii) 2 CFR § Part 200 including Subpart D – Post Federal Award Requirements,
Subpart E – Cost Principles, and Subpart F – Audits.
q. Subrecipients who are non-profits shall comply with the requirements and standards
of
(i) 2 CFR Part 230, "Cost Principles for Nonprofit Organizations", or 2 CFR
220, "Cost Principles for Educational Institutions", as applicable,
(ii) OMB Circular A-134, “Financial Accounting Principles and Standards” and
(iii) 2 CFR § Part 200 including Subpart D – Post Federal Award Requirements,
Subpart E – Cost Principles, and Subpart F – Audits. Audits shall be
conducted annually.
r. The County may amend this Agreement at any time provided that such amendments
make specific reference to this Agreement and are executed in writing, signed by a
duly authorized representative of both organizations and in compliance with the
procedures in the Administrative Manual on CD. Such amendments shall not
invalidate the Agreement nor relieve or release the County or Subrecipient from its
obligations under this Agreement. Amendments shall be filed with the original
Agreement.
s. The County may, at any time, by written order, make changes within the general
scope of this Agreement in any one or more of the following areas:
(i) Work Statement changes reflecting Federal, State, County or Department
regulations, policies or requirements; and implementation schedule
revisions approved by CDAC.
(ii) Administrative requirements such as changes in reporting periods,
frequency of reports, or report formats required by Funding Source or
Department regulations, policies or requirements. It is the responsibility of
the Subrecipient to ensure the latest documents are consulted and followed.
(iii) Increase/decrease in dollar amounts up to ten percent per the Board of
Supervisors (BOS) policies.
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t. It is expressly understood by the parties hereto that this Agreement has been
negotiated and executed in anticipation of receipt of funds by the County from
HUD pursuant to the CDBG Program and that therefore, the terms, conditions and
sums payable under this Agreement are subject to any changes or limitations which
may be required by HUD and the CDBG Program regulations.
u. The Annual Action Plan and the CDBG Application for this project are hereby
incorporated by reference into this Agreement.
v. This Agreement constitutes the entire agreement between the parties with respect to
the subject matter hereof, and all prior agreements, representations, statements and
undertakings are hereby expressly cancelled.
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CERTIFICATIONS
In accordance with the applicable statutes and the regulations governing the consolidated plan regulations,
the jurisdiction certifies that:
Affirmatively Further Fair Housing -- The jurisdiction shall affirmatively further fair housing, which means
it shall conduct an analysis of impediments to fair housing choice within the jurisdiction, take appropriate
actions to overcome the effects of any impediments identified through that analysis, and maintain records
reflecting that analysis and actions in this regard.
Anti-displacement and Relocation Plan -- It shall comply with the acquisition and relocation requirements
of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, and
implementing regulations at 49 CFR 24; and it has in effect and is following a residential anti-displacement
and relocation assistance plan required under section 104(d) of the Housing and Community Development
Act of 1974, as amended, in connection with any activity assisted with funding under the CDBG or HOME
programs.
Drug Free Workplace -- It shall or shall continue to provide a drug-free workplace by:
1. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying
the actions that shall be taken against employees for violation of such prohibition;
2. Establishing an ongoing drug-free awareness program to inform employees about -
(a) The dangers of drug abuse in the workplace;
(b) The grantee's policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, and employee assistance programs; and
(d) The penalties that may be imposed upon employees for drug abuse violations occurring in
the workplace;
3. Making it a requirement that each employee to be engaged in the performance of the grant be given a
copy of the statement required by paragraph 1;
4. Notifying the employee in the statement required by paragraph 1 that, as a condition of employment
under the grant, the employee shall -
(a) Abide by the terms of the statement; and
(b) Notify the employer in writing of his or her conviction for a violation of a criminal drug
statute occurring in the workplace no later than five calendar days after such conviction;
5. Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph
4(b) from an employee or otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title, to every grant officer or other
designee on whose grant activity the convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice shall include the identification
number(s) of each affected grant;
6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph
4(b), with respect to any employee who is so convicted -
(a) Taking appropriate personnel action against such an employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended;
or
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(b) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local health, law
enforcement, or other appropriate agency;
7. Making a good faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs 1, 2, 3, 4, 5, and 6.
Anti-Lobbying -- To the best of the jurisdiction's knowledge and belief:
1. No Federal appropriated funds have been paid or shall be paid, by or on behalf of it, to any person
for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement;
2. If any funds other than Federal appropriated funds have been paid or shall be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with
this Federal contract, grant, loan, or cooperative agreement, it shall complete and submit Standard
Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions; and
3. It shall require that the language of paragraph 1 and 2 of this anti-lobbying certification be included
in the award documents for all sub awards at all tiers including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements and that all Subrecipients shall certify and disclose
accordingly.
Authority of Jurisdiction -- The consolidated plan is authorized under State and local law (as applicable) and
the jurisdiction possesses the legal authority to carry out the programs for which it is seeking funding, in
accordance with applicable HUD regulations.
Consistency with plan -- The housing activities to be undertaken with CDBG, HOME, ESG, and HOPWA
funds are consistent with the strategic plan.
Section 3 -- It shall comply with section 3 of the Housing and Urban Development Act of 1968, and
implementing regulations at 24 CFR Part 135.
Signature/Authorized Official Date
Printed/Typed Name Title
Circle the City
Subrecipient Name
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Specific CDBG Certifications
The Subrecipient certifies that:
Citizen Participation -- It is in full compliance and following a detailed citizen participation plan that
satisfies the requirements of 24 CFR 91.105.
Community Development Plan -- Its consolidated housing and community development plan identifies
community development and housing needs and specifies both short-term and long-term community
development objectives that provide decent housing, expand economic opportunities primarily for persons of
low and moderate income. (See CFR 24 570.2 and CFR 24 part 570)
Following a Plan -- It is following a current consolidated plan (or Comprehensive Housing Affordability
Strategy) that has been approved by HUD.
Use of Funds -- It has complied with the following criteria:
1. Maximum Feasible Priority. With respect to activities expected to be assisted with CDBG funds, it
certifies that it has developed its Action Plan so as to give maximum feasible priority to activities
which benefit low and moderate income families or aid in the prevention or elimination of slums or
blight. The Annual Action Plan may also include activities which the grantee certifies are designed to
meet other community development needs having a particular urgency because existing conditions
pose a serious and immediate threat to the health or welfare of the community, and other financial
resources are not available);
2. Overall Benefit. The aggregate use of CDBG funds including section 108 guaranteed loans during
program year(s) 2015, 2016, 2017 (a period specified by the grantee consisting of one, two, or three
specific consecutive program years), shall principally benefit persons of low and moderate income in
a manner that ensures that at least 70 percent of the amount is expended for activities that benefit
such persons during the designated period;
3. Special Assessments. It shall not attempt to recover any capital costs of public improvements assisted
with CDBG funds including Section 108 loan guaranteed funds by assessing any amount against
properties owned and occupied by persons of low and moderate income, including any fee charged
or assessment made as a condition of obtaining access to such public improvements.
However, if CDBG funds are used to pay the proportion of a fee or assessment that relates to the capital
costs of public improvements (assisted in part with CDBG funds) financed from other revenue sources, an
assessment or charge may be made against the property with respect to the public improvements financed by
a source other than CDBG funds.
The jurisdiction shall not attempt to recover any capital costs of public improvements assisted with CDBG
funds, including Section 108, unless CDBG funds are used to pay the proportion of fee or assessment
attributable to the capital costs of public improvements financed from other revenue sources. In this case, an
assessment or charge may be made against the property with respect to the public improvements financed by
a source other than CDBG funds. Also, in the case of properties owned and occupied by moderate-income
(not low-income) families, an assessment or charge may be made against the property for public
improvements financed by a source other than CDBG funds if the jurisdiction certifies that it lacks CDBG
funds to cover the assessment.
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Excessive Force -- It has adopted and is enforcing:
1. A policy prohibiting the use of excessive force by law enforcement agencies within its jurisdiction
against any individuals engaged in non-violent civil rights demonstrations; and
2. A policy of enforcing applicable State and local laws against physically barring entrance to or exit
from a facility or location which is the subject of such non-violent civil rights demonstrations within
its jurisdiction;
Compliance With Anti-discrimination laws -- The grant shall be conducted and administered in
conformity with title VI of the Civil Rights Act of 1964 (42 USC 2000d), the Fair Housing Act (42 USC 3601-
3619), and implementing regulations.
Lead-Based Paint -- Its notification, inspection, testing and abatement procedures concerning lead-based
paint shall comply with the requirements of 24 CFR §570.608;
Compliance with Laws -- It shall comply with applicable laws.
Signature/Authorized Official Date
Printed/Typed Name Title
Circle the City
Subrecipient Name
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APPENDIX TO CERTIFICATIONS
INSTRUCTIONS CONCERNING LOBBYING AND DRUG-FREE WORKPLACE
REQUIREMENTS:
A. Lobbying Certification
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
B. Drug-Free Workplace Certification
1. By signing and/or submitting this application or grant agreement, the grantee is
providing the certification.
2. The certification is a material representation of fact upon which reliance is placed
when the agency awards the grant. If it is later determined that the grantee
knowingly rendered a false certification, or otherwise violates the requirements of
the Drug-Free Workplace Act, HUD, in addition to any other remedies available to
the Federal Government, may take action authorized under the Drug-Free
Workplace Act.
3. Workplaces under grants, for grantees other than individuals, need not be identified
on the certification. If known, they may be identified in the grant application. If the
grantee does not identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of the workplace(s) on
file in its office and make the information available for Federal inspection. Failure to
identify all known workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
4. Workplace identifications must include the actual address of buildings (or parts of
buildings), or other sites where work under the grant takes place. Categorical
descriptions may be used (e.g., all vehicles of a mass transit authority or State
highway department while in operation, State employees in each local
unemployment office, performers in concert halls or radio stations).
5. If the workplace identified to the agency changes during the performance of the
grant, the grantee shall inform the agency of the change(s), if it previously identified
the workplaces in question (see paragraph three).
6. The grantee may insert in the space provided below the site(s) for the performance
of work done in connection with the specific grant:
Place of Performance (Street address, city, county, state, zip code)
Check  if there are workplaces on file that are not identified here.
The certification with regard to the drug-free workplace is required by 24 CFR Part 24, subpart F.
7. Definitions of terms in the Non-procurement Suspension and Debarment common rule and Drug-
Free Workplace common rule apply to this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
"Controlled substance" means a controlled substance in Schedules I through V of the Controlled
Substances Act (21 U.S.C. 812) and as further defined by regulation (21 CFR 1308.11 through 1308.15);
"Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence,
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SECTION II SPECIAL PROVISIONS
or both, by any judicial body charged with the responsibility to determine violations of the Federal or
State criminal drug statutes;
"Criminal drug statute" means a Federal or non-Federal criminal statute involving the manufacture,
distribution, dispensing, use, or possession of any controlled substance;
"Employee" means the employee of a grantee directly engaged in the performance of work under a
grant, including: (i) All "direct charge" employees; (ii) all "indirect charge" employees unless their
impact or involvement is insignificant to the performance of the grant; and (iii) temporary personnel
and consultants who are directly engaged in the performance of work under the grant and who are on
the grantee's payroll. This definition does not include workers not on the payroll of the grantee (e.g.,
volunteers, even if used to meet a matching requirement; consultants or independent Subrecipients not
on the grantee's payroll; or employees of Subrecipients or subcontractors in covered workplaces).
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Maricopa County Human Services Department
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SECTION III
WORK STATEMENT
Maricopa County
Human Services

SECTION III WORK STATEMENT
Insert the following items here:
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SECTION III WORK STATEMENT
217,359 217,359
217,359 3,790,209
Daily Expense Rate (t.b.d.) 217,359 217,359
217,359 3,790,209
Daily Expense Rate:
A Daily Expense Rate shall be used for this contract. It shall be calculated at least once a year, using:
- The actual expense for this program for the organization’s most recently completed fiscal year. This
amount may be adjusted if a significant program change has occurred for the current year such as a
change in the number of program staff positions.
- The current nominal client capacity for the program, defined as 95% of the maximum client capacity.
The Daily Expense Rate shall be maintained in the project file and used for all activities related to this
agreement including:
- Calculating the total number of clients to be assisted and the total number of bed days of service to
be provided.
- Calculating payment amounts to be requested in reimbursement requests.
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Maricopa County Human Services Department
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SECTION IV
COMPENSATION
Maricopa County
Human Services

SECTION IV COMPENSATION
A. COMPENSATION
Subject to the availability and authorization of funds for the explicit purposes set forth below,
County will pay the Subrecipient compensation for services rendered as indicated in the following
subsections.
B. METHOD OF PAYMENT
Subrecipient agrees to submit monthly reimbursement requests to County unless monthly
expenditures for the activity do not exceed One Thousand Dollars ($1,000.00). County agrees to
reimburse Subrecipient for actual allowable costs incurred, upon certification of Release of Funds
and submittal by Subrecipient of an itemized statement of actual expenditures incurred, supported by
back up documentation such as
- invoices and copies of checks showing payment of invoices and/or
- timesheets showing hours worked on eligible activities.
Reimbursement by County is not to be construed as final in the event that HUD disallows
reimbursement for the activity or any portion thereof. Funds not expended in implementing this
CDBG activity or upon completion of the activity shall be returned to the CDBG unprogrammed
funds account as provided by the Administrative Manual. Request for reimbursement must be made
using the request for Reimbursement form incorporated in this Agreement.
C. REIMBURSEMENT
The County shall provide financial assistance in an amount up to Two Hundred Seventeen
Thousand, Three Hundred Fifty-Nine dollars ($217,359.00) subject to the terms of this
Agreement and availability of funds. This Agreement price constitutes the County’s entire
participation and obligation in the performance and completion of all work to be performed under
this Agreement. Subrecipient will submit Requests for Reimbursements to the County at least
monthly, provided whenever Subrecipient has expended at least $1,000. Subrecipient must seek
reimbursement of expenditures within the same fiscal year in which the expenditures are incurred.
The fiscal year runs July 1 through June 30 and all Requests for Reimbursement shall be submitted
no later than July 10th for the preceding year.
D. FINAL REIMBURSEMENT UPON CONTRACT TERMINATION
Upon termination of this contract at the date identified on page 1 of this agreement, or as may be
amended, the Subrecipient shall submit the final reimbursement request.
1. This request shall be submitted no later than 30 days after the termination date except as
noted immediately below.
2. If the termination date is between June 10 and June 30, the final reimbursement request shall
be submitted by July 10.
3. The final progress report, and any other required reports that may be applicable such as the
program income report shall be submitted with the final reimbursement request.
E. RELEASE OF FUNDS (ROF)
No funds may be encumbered prior to the completion of the Environmental Review. The
Environmental Review Record (ERR) must be completed before any funds are obligated. Funding is
also conditioned upon the completion of the ERR of every activity site by address. The responsibility
for certifying the appropriate Environmental Review Record and ROF shall rest with the County. It
is the responsibility of the Subrecipient to notify the County, and to refrain from making any
commitments and expenditures on a site until a Release of Funds has been issued by the County.
Failure to meet these conditions will mean that requested funds will not be disbursed.
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