TEMPE-NEWTOWNOHOME-CHDO-PY12.PDF

C2 01 3-133 GRANT AGREEMENT
for services among
MA.RICOPA COUNTY
Administered by its
Human Services Department
And
Newtown Community Development Corporation (Newtown CDC).
And
THE CITY OF TEMPE
Contract Amount 5141392
Contract Start Date: June 1. 2013
Contract Termination Date: June 30.2015
Contract Number: C-22-
Program Number:
CFDA Number: 14.239. HOME Investment Partnerships Program
This Grant Agreement ("Agreement") is entered into by and among UWE ommunitv DeveloPmer
Curpataticzn(Ln_ClIC,1 (hereinafter referred to as the "CHDO"), the City of Tempe (hereinafter
referred to as the "Administrator") and Maricopa County, administered by its Human Services Department,
(hereinafter referred to as the "County or Agency"). The CHDO, the Administrator and County are
collectively referred to herein as the "Parties" arid individually as a 'Party." The CHDO and the
Administrator, for and in consideration of the covenants and conditions set forth in this Agreement, shall
perform the work as specifically 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
- CHDO HOME Certification
- Jurisdiction Certification
- Appendix to Certifications
- Attachments A - K
Section III — Work Statement
Section IV — Compensation
CHDO Representative: Allen L Car1sor4 Executive Director Phone: 480-517-1589
E-mail: Allen@newtowncdcorg,
Address: 511 West University Drive. Suite 4. Tempe. AZ 85281
Administrator Representative: Craig Hittie Phone: 480-350-8960
E-mail: craig_hittie@tempe.gov


Notices under this Agreement shall be given by personal delivery or by registered or certified mail, postage
prepaid and rerun 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 or the County in any State or federal court,
IN WITNESS THEREOF, the Parties have signed this Agreement
Approved By
MARICOPA COUNTY
Chairman, Board of Supervisors
DATE
Attested to:
Clerk, Board of Supervisors
DATE
IN ACCORDANCE WITH A.R.S. §§ 11-952, 11-201, AND 11-251, Tins AGREEMENT HAS BEEN REVIEWED By
TI IE UNDERSIGNED DEPUTY COUN'IY Al-FORNEY WHO HAS DETERMINED THAT THIS AGREEMENT IS
PROPER IN IORM AND WITHIN TI1E POWER AND AUTIIORMI GRANTED TO THE COUNTY UNDER Ti lE LAWS
OF THE STATE 01 2 ARIZONA.
APPROVED AS TO FORM:
Attorney for the Board of Supervisors
D.YTE.

C2013-133 Approved By:
CITY OF TEMPE
CeAttA,-,)
(1)
Andrew Ching, City Manager
- 5 - YS
DATE
Attested to:
Brigitta Is& Kuiper, City Clerk
DATE
IN ACCORDANCE WITH A.R.S. §§ 11-952, 11-201, AND 11-251, THIS AGREEMENT HAS BEEN REVIEWED BY
THE UNDERSIGNED CITY ATTORNEY WHO HAS DETERMINED THAT THIS AGREEMENT IS PROPER IN FORM
AND. WITIIIN TIIE POWER AND AUTHORITY GRANTED TO THE crry UNDER THE LAWS OF THE STATE OF
ARIZONA.
APPROVED AS TO FORM
Lf-t
Attorney for the City of Tempe
July 22, 2013
DATE

Approved By:
Newtown Community Development Corporation
CRDO
A/(1._ L CA-C--
NA ME PALEKL GAREZON, M.S.W,
EMOUThif DIRECTOR
ITS
7//e(7,_0 (3
DATE


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. Administrator means the city or town listed on the Cover Page of this Agreement.
2. Agreement means this Grant Agreement among CHDO, Administrator and Maricopa County,
administered by its Human Services Department.
3. Assistant Director means the Assistant Director of the Community Development Division of
the Human Services Department.
4. Board of Supervisors means the Maticopa County Board of Supervisors.
5. CHDO means the person, firm or organi2adon listed on the Cover Page of this Agreement
6. Contract Authority means the person administering this Agreement on behalf of the
Department
7. Contract Specialist means the Liaison between the Department and the Administrator that is
responsible for contract monitoring and technical assistance.
8. County means 11,1aricopa County.
9. Department means the Maricopa County Human Services Department
10. Director means the Director of the Maticopa County Human Services Department.
11. Division means the Community Development Division of the Human Services Department
12. Fidelity Bond means a bond to indemnify the CHDO 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.
13. 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. 5
11-952.
14. Juvenile means any person under the age of eighteen (18).
15. 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 the work provided under this
Agreement.
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16. Performance Bond means a bond executed to secure fulfillment of all of the CHDO's
obligations under this Agreement.
17. Program Manager means the Assistant Director of the Community Development Division of
the Human Services Department.
18. Public Agency has the meaning prescribed by A.R.& § 11-951.
19. Subcontract means any contract entered into by the CH:DO 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 CHDO to provide any work or services
required by the Work Statement
21. Work Statement means the section of this Agreement that contains a description of the services
to be delivered pursuant to this Agreement.
C. GENERAL REQUIREMENTS
1. The terms of this Agreement shall be construed in accordance with Arizona law. Any lawsuit
arising out of this Agreement shall be brought in the appropriate court in Maricopa County,
Arizona.
2. The CHDO and the Administrator shall, without limitation, obtain and maintain all licenses,
permits, and authority necessary to do business, render services, and perform work under this
Agreement, and shall comply with all laws regarding unemployment insurance, disability
insurance, and workers' compensation.
3. Each of the CHDQ and the Administrator 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. Neither CHDO nor the Administrator shall make any payments, either directly or indirectly, to
any person, partnership, corporation, trust, or other organization that has a substantial interest in
either C1-IDO's or the Administrator's organization or with which either CHDO or
Administrator (or one of its council members, directors, officers, owners, trust certificate holders,
or a relative thereof) has a substantial interest, unless either CHDO or the Administrator has
made full written disclosure of the proposed payments to the Department 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.
D, AMENDMENTS
All amendments to this Agreement shall be in writing and signed by authorized signers for all Parties.
E. ASSIGNMENTAM.11111CDNIZACTIM
No right, liability, obligation, or duty under this Agreement may be assigned, delegated, or subcontracted,
in whole or in part, without the prior written approval of the County. To the extent specified in the
Agreement, the CHDO or the Administrator, as applicable, shall bear all liability under this Agreement,
even if it is assigned, delegated, or subcontracted, in whole or in part, unless the Department agrees
otherwise.
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Section 1 General Provisions
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 either CHDO or the Administrator, as
provided herein, are actually available to the Department for disbursement. The Director shall be
the sole authority in determining the availability of funds under this Agreement and the
Department shall keep both CHDO and the Administrator 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 Department shall give written notice of the effective date of any suspension,
amendment, or termination under this section at least ten (10) calendar clays in advance.
G. 1311/ICTETIALUSTAIEISIE
Any requests for reasonable budget adjustments shall be submitted ninety (90) days prior to the expiration
of this Agreement. Requests for adjustments to this Agreement shall 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, any dispute arising out of this
Agreement that is not resolved among the Parties within a reasonable period of time, which shall
not exceed one hundred twenty (120) days, shall be submitted in accordance with the following
dispute resolution process.
7. Disputes shall be in writing and filed with either the CHDO or the Administrator, as applicable,
and the Contract Authoeity, if one has been appointed, or, if not, with the County Procurement
Officer within ten (10) working days from the date either the CHDO or the Administrator knew
or should have known of the basis of the dispute. The Contract Authority or County
Procurement Officer, as applicable, shall respond in writing to both the CHDO and the
Administrator within fourteen (14) working days. The decision of the Contract Authority or
County Procurement Officer shall be final and conclusive unless, within seven (7) working days
from the date that the CHDO and the Administrator are served with the decision, either the
CHDO or the Administrator, as applicable, files a written notice of appeal with the Director of
the Materials Management Department of the County, who shall provide both the CHDO and
the Administrator with a written response within fourteen (14) working days following receipt of
the notice of appeal filed by either the CHDO or the Administrator, as applicable. The decision
of the Director shall be final.
3. Pending a final decision of the Director of the Materials Management Department, both the
CHDO and the Administrator shall proceed diligently with the performance of this Agreement in
accordance with the Contract Authority or County Procurement Officer's decision.
DEFAULT
This Agreement may be immediately terminated by any Party if another Party fails to perform any
objective or breathes any obligation under this Agreement, or any event occurs that jeopardizes any
Party's ability to perform any of its obligations under this Agreement. The County reserves the right to
have service provided by persons other than either the CHDO or the Administrator if either the CHDO
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or the Administrator, as applicable, is unable or fails to provide required services with the specified time
frame.
J. TERMINATION
1. This Agreement is subject to cancellation in accordance with the provisions of A.R.S. § 38-511.
Notice is given that pursuant to A.R.S. § 38-511, any Party 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 any Party, 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 Either
Party 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 any Party ftorn
any other Party to this Agreement arising as the result of this 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 return 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 the CHDO's
or the Administrator non-compliance, as applicable, 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
SEIMRA13ILITY
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 Department's acceptance of either the CHDO's or the Administrator's performance that is not in
strict compliance with the terms of this Agreement shall ant 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 all Parties.
M. NON-LIABILITY
Each Party, each Party's officers, representatives, agents and employees shall not be liable for any act or
omission by any other Party or any other Party's officer, representative, agent or employee occurring in the
performance of this Agreement, nor shall these entities be ruble for purchases or contracts made by any
other Party or any other Party's officer, representative, agent and employee in connection with this
Agreement
N. RECIPROCAL INDEMNIFICATION
Each Party (as "Indernnitor") agrees to indemnify, defend, and hold harmless the other Party (as
Indemnitee") from and against all claims, losses, liability, costs, or expenses (including reasonable
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attorneys' fees, expert witnesses' fees and other litigation costs) (hereinafter collectively referred to as
"Claims") arising out of bodily injury (including death) of any person or property damage, but only to the
extent that such claims, which result in vicarious liability to the Indernnitee, are caused by the act,
omission, negligence, misconduct, or other fault of the Indernnitor, its officers, officials, agents,
employees, or volunteers.
0. TECHNICAL ASSISTANCE
The Department shall provide reasonable technical assistance to the CHDO and the Administrator 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 either the CHDO or the Administrator of full
responsibility and accountability for its actions and performance in compliance with the terms of this
Agreement.
P. SINGLE AUDIT ACT REOUIREMENTS
Contractors 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. 9B-502) (codified at 31 U.S.C. §§
7501, et seq.). The CHDO and the Administrator shall comply with OMB Circular A-133. Upon
completion, such audits shall be made available for public inspection. Audits shall be submitted within the
twelve (12) months following the close of the fiscal year. If necessary, the CHDO and the Administrator
shall take corrective actions within six (6) months of the date of receipt of the reports. The Department
shall consider sanctions as described in OMB Circular A-133 if either the CHDO or the Administrator is
not in compliance with the audit requirements.
Q. AUDIT DISALLOWANCES
1. The CHDO 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 shall 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
Department shall notify the CHDO in writing of the disallowance and the required course of
action, which shall be at the option of the Department to either adjust any future claim submitted
by the CHDO by the amount of the disallowance or to require immediate repayment of the
disallowed amount by the CHDO issuing a check payable to the County.
R. 5TAFFAND VOLUNTEER TRAINING
The Department may make available to both the CHDO and the Administrator 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, both the CHDO and the Administrator shall
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 under this
Agreement.
T. LOWYING
1. No federal appropriated funds have been paid or will be paid by or on behalf of either the
CHDO or the Administrator 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
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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, either the CHDO or
the Administrator, as applicable, shall complete and submit OMB Form-LLL, titled "Disclosure
of Lobbying Activities," in accordance with its instructions and 31 U.S.0 § 1352.
U. RELIGIOUS ACTIVITIES
The CH:DO warrants that none of its costs incurred by any Subcontractor will include any expense for any
religious activity.
V. POLITICAL ACTIVITY PROHIBITED
None of the funds, materials, property, or services contributed by the Parties 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
Both the CI-IDO and the Administrator warrant 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 Both the CHDO and the
Administrator and their agents shall safeguard the confidentiality of this information, just as the CH00
and the Administrator would safeguard their own confidential information. The CHDO shall include a
clause to this effect in all Subcontracts entered into in connection with this Agreement.
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,
use, and to authorize others to use all copyrighted material and all material that can be copyrighted as a
result of this Agreement.
AA. PATENTS
Any discovery or invention arising out of, or developed in the course of, work aided by this Agreement
shall be prompdy and fully reported to the Department for determination as to whether patent protection
on such invention or discovery shall be sought and how the tights 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.
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BB. CONTRACT COMPLIANCE MONITORING
The Department shall monitor both the CHDO's and the Administrator's compliance with; and
performance under; the terms and conditions of this Agreement. On-site visits for compliance monitoring
may be made by the Department and/or its grantor agencies at any time during the CHDO's or the
Administrator's, as applicable, normal business hours, announced or unannounced. During an on-site
visit, either the CH:DO or the Administrator, as applicable, shall make all of its records and accounts
related to work performed and services provided under this Agreement available to the Department for
inspection and copying.
CC. CONTINGENCY RELATING TO OTHER CONTRACTS AND GRANTS
1. The CHDO and the Administrator shall each, during the term of this Agreement, immediately
inform the Contract Authority 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 either the CHDO or
the Administrator 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 Contract Authority may request, and the CHDO and the Administrator, as applicable, shall
provide -within a reasonable time, which shall not exceed ten (10) working days, a copy of such
other agreement or grant, when in the opinion of the Contract Authority the award of the
agreement or grant may affect the costs being paid or reimbursed under this Agreement.
3. If the Contract Authority determines that the award to the CHDO and the Administrator, as
applicable, of such other agreement or grant has affected the costs being paid or reimbursed
under this Agreement, the Contract Authority shall prepare an amendment to this Agreement
effecting a cost adjustment. If the CHDO and the Administrator, as applicable, disputes the
proposed cost adjustment, the dispute shall be resolved pursuant to the "Disputes" section
contained herein.
DD. ZitlhaW,MMELEILF,a111,12ataaa
The CHDO and the Administrator 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 §§ 201, el seq.).
EE. RECOGNITION OF DEPARTMENT SUPPORT
The CHDO and the Administrator shall give recognition to the Department, the County and the funding
source for its support when the CHDO or the Administrator publishes materials or releases public
information that is paid for in whole or in part with funds received by the CHDO Of the Administrator
under this Agreement
FF, INSURANCE
The CHDO and the Administrator shall have in effect at all times during the term of this Agreement
insurance that is adequate to protect the County, its officers and employees, participants, and equipment
funded under this Agreement against such losses as are set forth below. The CH:DO and the
Administrator shall each name the County as an additional insured party. The CHDO and the
Administrator shall each provide the Department with documentation of insurance coverage by furnishing
the Contract Authority a certificate of insurance or a certified copy of the insurance policy or other
documentation that is required by the Contract Authority.
1. The following types and amounts of insurance are required as minimum:
a. Workers' Compensation according to statutory limits.
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b. Unemployment Insurance as required by Arizona Law.
c. Public Liability, Bodily Injury, and Property Damage;
1) General Liability, each occurrence, $1,000,000
2) Property Damage $1,000,000; or
3) Combined single limit, each occurrence, $1,000,000 minimum.
d. Automobile and Truck liability, Bodily Injury, and Property Damages:
1) General Liability, each occurrence, $1,000,000
2) Property Damage $1,000,000; or
3) Combined single limit, each occurrence, $1,000,000 minimum.
e. Standard minimum deductible amounts are allowable. Any deductible amounts are the
responsibility of the CHDO and the Administrator and reimbursement, if any, under this
Agreement are subject to regulatory provisions of the funding source(s) of this
Agreement.
f. Property or equipment purchased or furnished through funds provided under this
Agreement shall be fully insured for the purchase or replacement cost of such property
or equipment
2. If either the CHDO or the Administrator provides professional or semi-professional personal
services for which malpractice or professional liability coverage is available, such as medical,
psychiatric, or legal services shall carry minimum liability coverage of $1,000,000 each occurrence
and provide the Department with proof of coverage.
GG. BONDINQ
1. The CI-DO shall not receive any initial reimbursements under this Agreement in an amount
greater than the CHDO's bonding limit. The CHDO shall provide the Contract Authority with
documentation of required bonding,
2. The CHI)0 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 CI-EDO and the Administrator shall each 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 CHDO's and the Administrator'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 tight to appeal to the Department if the grievance is not satisfied at the CIADO's or the
Administrator's level, as applicable.
U. NciNDISCRIIVIINATION
Neither the CHDO nor the Administrator, in connection with any service or other activity under this
Agreement, shall in any way discriminate against any person on the grounds of race, color, religion, sex,
national origin, age, disability, political affiliation or belief. The CH:DO shall include this clause in all of its
Subcontracts.
IT. EQUAL EMPLOYMENT OPPORTUNITY
Neither the CH:DO nor the Administrator shall not discriminate against any employee or applicant for
employment because of race, age, disability, color, religion, sex, or national origin, The CI-3:00 and the
Administrator shall each take affirmative action to insure that applicants are employed and that employees
are treated during employment without regard to their race, age, disability, color, religion, sex, or national
origin. Such action shall include, but is riot limited to, the following: employment, upgrading, demotion
or transfer, recruitment or recruitment advertising, lay-off or termination, rates of pay or other foixns of
compensation, and selection for training, including apprenticeship. The CHDO and the Administrator
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shall each, 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 99-4,
which mandates that all persons shall have equal access to employment opportunities.
KK FINANCIAL MANAGEMENT
The CHDO 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 CHDO. 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 CHDO 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.
LL. BETENTION OF RECORDS
1. This provision applies to all financial and programmatic records, supporting document, statistical
records, and other records of the CHDO and the Administrator that are related to this
Agreement.
2. The CHDO and the Administrator shall each retain all records related 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. The Department, federal and State auditors, and any
other persons duly authorized by the Department, shall have full access to, and the right to
examine, copy, and make use of any and all of the records.
MM. ADEQUACY OF RECORDS
If the CI-00'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 CHDO shall
reimburse the County for the services not supported and documented.
NN. COMPETITIVE BID REQUIREMENTS
t. apiipmrat
The CHDO 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 CHDO shall keep and maintain a record of the vendors'
verbal quotations. The CI-IDO'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 shall be approved by the
Contract Authority. At least three (3) bidders shall be solicited to submit written
quotations. The CHDO 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.
supplies
The CHDO shall obtain all supplies to be utilized under this Agreement and purchased with
funds provided under this Agreement at the lowest practical cost and pursuant to a system of
written quotes whenever the price is expected to be greater than $300, unless the CI-IDO obtains
the Contract Authority's prior written approval to purchase supplies by an alternate method.
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3. Minority. Women. and Srnal113.usiness Enterprises
The CITDO 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. If the Contractor is a Public Agency, the Contractor'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.
00. 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 Department, and
shall revert to the County upon termination of this Agreement, unless the Contract Authority determines
otherwise. The costs to repair such property are the responsibility of the CHDO or the Administrator, as
applicable, within the limits budgeted herein. Repair costs beyond the budgeted amount shall be approved
by the Contract Authority.
PP. IMMIGRATION REFORM AND CONIROL COMPLIANCE
The CHDO and the Administrator shall comply with the Immigration Reform and Control Act of 1986
(Pub. L. No. 99-(103) ("IRCA-) in performing under this Agreement, and shall grant the County access to
inspect its personnel records to verify such compliance.
RQ. DRUG FREE WORKPLACE ACT
The CHDO and the Administrator shall comply with the Drug-Free Workplace Act of 1988 (41 U.S.C. §§
701, et seq.), which requires that contractors 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.
RR. GOVERNOR'S EXECUTIVE ORDER NO. 88-26
The CHDO and the Administrator are required to use the Arizona Taxonomy of Human Services for
reporting and contracting purposes.
SS. EXP_LOYMENT 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 among 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 as an employee of, Subcontractor
for, or on behalf of either the CH:DO or the Administrator may be considered a County employee, and no
rights of County civil service, County retirement, or County personnel rules shall accrue to such
individuals. The CHDO and the Administrator shall each have total responsibility for all its salaries,
wages, bonuses, retirement, withholdings, workers' compensation, occupational disease compensation,
unemployment compensation, other employee benefits, and all taxes and premiums appurtenant thereto
concerning such individuals and shall defend and hold the County harmless with respect thereto.
TT. czufficATioN REGARDING DEBARUENT. SUSPENSION INgLIGIBILITY AND
VOLUNTARY EXCLUSION
The undersigned, by signing and submitting this Agreement, represents that he or she has the authority to
certify and bind the Party to the terms, representations and warrants of this Certification. Each Party,
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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 3-year period preceding this Agreement, been convicted of or had a civil
judgment rendered against them for (1) the commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (federal, State, or local)
transaction or contract under a public transaction, (2) the violation of any federal or State antitrust
statutes, or (3) the 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 the commission of any of the offenses enumerated in subparagraph
(b) above; and
4. Have not, within a 3-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 Department if, at any time during the term of this Agreement, it is
debarred, suspended, declared ineligible, or voluntarily excluded from participation. The
Department may pursue available remedies in the event of such occurrence, including immediate
termination of this Agreement; and
6. Shall not enter into a subcontract or sub-recipient agreement with any person or organization that
is debarred, suspended, declared ineligible, or voluntarily excluded from participation. The
Department may pursue available remedies in the event of such occurrence, including immediate
termination of this Agreement without liability.
The CHDO shall include, without modification, this Certification's language, titled "Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion — Lower Tier Covered
Transactions," in all agreements with subgrantees and 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: Ursula Strephans, 234 N. Central Ave. Third Floor,
Phoenix, AZ 85004.
UU. VERIFICATION REGARDING COMPLIANCE WITH ARIZONA REVISED STATUTES
23-214 AND _FEDERAL IMMIGRATION LAWS AND REGULATIONS
By entering into this Agreement, the Parties represent and warrant compliance with the Immigration and
Nationality Act (8 U.S.C. §§ 1101, et seq.) and all other federal and State immigration laws and regulations
related to the immigration status of its employees. Each Party shall obtain statements from its
Subcontractors certifying compliance and shall furnish the statements to the Department upon request.
These representations and warranties shall remain in effect throughout the term of this Agreement. Each
Party and its Subcontractors shall also maintain Employment Eligibility Verification forms (I-9), as
required by the U.S. Department of Labor's Immigration Reform and Control Act of 1986 (Pub. L. No.
99-603), for all employees performing work under the Contract. 1-9 forms are available for download at
USCIS.GOV.
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Each Party warrants that it is in compliance with A.R.S. 5 41-4401 (e-verify requirements) and further
acknowledges:
1. Such Patty and its Subcontractors, 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;
2. That a breach of a warranty under subparagraph 1 above shall be deemed a material breach of this
Agreement arid any Party may immediately terminate this Agreement without liability;
3. That each Party and any contracting government entity retains the legal right to inspect the papers
and employment records of any Party's or Subcontractor employee who performs any work
under this Agreement to ensure that the other Party and any Subcontractor is complying with the
warranty provided under subparagraph 1 above, and that each party 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 shall retain records the duration of the employee's
employment or at least three (3) years, whichever is longer.
VV. COMPLIANCE WITH ,A.R.S. SS 35-391,06 ASO 35-393.06 (SCRUTINIZED BUUNESS
RELATIONS WITH SUDAN AND IRAN):
By entering into this Agreement, each Party certifies it does not have scrutinized business operations in
Sudan or Iran. Each Party shall obtain statements from its Subcontractors certifying compliance and shall
furnish the statements to the other Party upon request. These warranties shall remain in effect through
the term of this Agreement
Any Party may request verification of compliance from any other Patty or any Subcontractor performing
work under this Agreement. Should any Party suspect or find that another Party or any of its
Subcontractors are not in compliance, the Party suspecting or finding non-compliance may pursue any and
all remedies allowed by law, including, but not limited to: suspension of work, immediate termination of
this Agreement for default, and suspension and/or debarment of the other Party. Each Party shall bear its
own costs necessary to verify compliance with this provision.
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SECTION II
SPECIAL PROVISIONS
Mark op a County
Human Services
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Section II Special Provisions
A. EFFECT
To the extent that the Section II Special Provisions are in conflict with the Section I 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. (This provision is set forth in Paragraph A of Section I.)
B. DEFINITIONS
As used throughout this Section, as a supplement to the Definitions in Section I, the following
terms shall have the following meanings:
1. Admin Manual on CD means the Administrative Manual on Compact Disk produced by
the Community Development Division of the Human Services Department.
2. Administrator means the City or Town which is a member of the Maricopa HOME
Consortium that has been designated by the Agency to administer the Agreement on its
behalf.
3. Agency means the Maricopa County Human Development which is the lead agency of
the Maricopa HOME Consortium.
4. BOS means the Maricopa County Board of Supervisors.
5. CD means Community Development.
6. CDAC means the Community Development Advisory Committee.
7. CDBG means Community Development Block Grant
8. CHDO means Community Housing Development Organization, a special designation
for qualified nonprofit organizations that meet certain legal and organizational
characteristics described in the HOME regulations at 24 CFR Part 92.2. The purpose of
the organization must include the provision of decent housing that is affordable to low
and moderate income people.
9. COUNTY means Maricopa County.
10. Department means the Maricopa County Human Services Department.
11. Developer means an organization that owns property and develops the project or has
the contractual obligation to a property owner to develop a project.
12. Division means the Community Development Division of the Human Services
Department.
13. Fiscal Year means a program year from July 1 st to June 30th•
14. Grantee means an entitlement, participating jurisdiction (PJ) or recipient receiving HUD
grant funds. For this Agreement, the Grantee is Maricopa County receiving CDBG or
HOME Program funds.
15. HOME means HOME Investment Partnerships Program,
16. HUD means U.S. Department of Housing and Urban Development and is also a grantor.
17. Maricopa HOME Consortium means a legal entity created through an
intergovernmental agreement among Maricopa County; the Cities of Avondale,
Chandler, Glendale, Peoria, Scottsdale, Surprise and Tempe; and the Town of Gilbert
for the purpose of receiving HOME funds through HUD.
18. Subrecipient means a public agency or nonprofit organization selected by a
participating jurisdiction to administer all or a portion of the participating jurisdiction's
CDBG or HOME Program. For purposes of this Agreement, the CHDO is not a
subrecipient.
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C. STANDARDS
The CHDO shall perform the work and provide the services identified in the Work Statement
and shall immediately notify the Administrator whenever the CHDO 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.
D. COMPLIANCE WITH LAWS. RULES & REGULATIONS
The CHDO shall comply with all applicable laws, rules, and regulations, without limitation to
those designated in this Agreement.
E. GENERAL PROVISIONS. SECTION I. SUPERSEDED BY SPECIAL PROVISIONS.
SECTION II
1. "KK Financial Management" is superseded by the Special Provisions,
2. "RR Governor's executive order no. 88-26" is deleted.
F. AUDIT REQUIREMENTS
In accordance with A.R.S. § 11-624, the CHDO shall, at its own expense, file with the Human
Resources Department/Community Development Division by March 30Ih, 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.
G. SPECIAL FEDERAL AND PROJECT PROVISIONS
1 HOME PROGRAM ACTIVITY: In accordance with HOME Program regulations, the
CHDO shall implement the activity described in the Work Statement in accordance with
the terms of the overall Annual Action Plan submitted by the COUNTY to HUD for funds
to carry out the activity and the Certifications that were submitted concurrently with the
Annual Action Plan to HUD, and with any Cooperation Agreements with the Municipality
(as applicable). The Annual Action Plan is hereby incorporated by reference into this
Agreement. In summary, the Activity is described in the Work Statement, Section III.
2. AGREEMENT TERM: This Agreement shall commence when duly executed by the
Parties and shall continue in full force and effect until all HOME Program requirements
have been satisfied. CHDO shall comply with the stipulations in the close-out letter
provided by the ADMINISTRATOR detailing the ongoing HOME Program requirements
and responsibilities.
3. HOME PROJECT PROCEEDS: All proceeds generated from CHDO development
activities shall be considered HOME project proceeds and subject to the requirements
set forth in HOME Program regulations. Project proceeds includes, but is not limited to:
sales or lease returns on investment; and payments of principal and interest on loans.
Project proceeds shall be retained and expended by the CHDO for: Acouisition,
Rehabilitation and Resale for home buyer assistance.
4. HOME project proceeds may be retained and used by the CHDO subject to the
following conditions:
a. HOME project proceeds shall be tracked by the CHDO and accounted for in a
separate fund or account;
b. HOME project proceeds shall be expended for eligible HOME Program expenses
before additional HOME funds are requested; and
c. Documentation supporting the amount of HOME project proceeds received and
expended shall be submitted, if requested by the ADMINISTRATOR, with the
Periodic Progress Report.
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HOME project proceeds that are not expended shall be forwarded to the AGENCY in
accordance with 24 C.F.R. § 92.503 (program income, project proceeds, repayments,
and recaptured funds).
5. ADMINISTRATIVE REQUIREMENTS: In accordance with federal regulations, including
24 C.F.R. § 92, at seq., the ADMINISTRATOR is responsible for ensuring the
administration of HOME Program Funds in accordance with all program requirements.
a. FINANCIAL RECORDS: The CHDO shall maintain its accounting system and
financial records in compliance with the applicable requirements and standards of
OMB Circulars A-110 (uniform administrative requirements for grants and
agreements with institutions of higher education, hospitals, and other non-profit
organizations), A-122 (cost principles for non-profit organizations), A-133 (audits of
states, local governments, and non-profit organizations), and 24 C.F.R. Part 225
(cost principles for state, local, and Indian tribal governments - OMB Circular A-
67). Such systems shall be subject to monitoring from time to time by the
ADMINISTRATOR, the AGENCY and by HUD.
b. DOCUMENTATION AND RECORD KEEPING:
1) Records to be Maintained — The CHDO shall maintain all records required by
the federal regulations specified in 24 C.F.R. § 92.508 (recordkeeping) that
are pertinent to the activities to be funded under this Agreement. Such
records shall include, but not be limited to:
a) Records demonstrating that the CHDO is and remains a qualified
CHDO;
b) Records providing a full description of each activity undertaken and
its impact;
c) Records required determining the eligibility of activities;
d) Records that demonstrate compliance with environmental review
requirements;
e) Records required to document the acquisition, improvement, use, or
disposition of real property acquired or improved with HOME
assistance (Properties retained shall continue to meet eligibility
criteria);
f) Records that demonstrate compliance regarding acquisitions,
displacement, relocation, and replacement housing;
9 ) Records demonstrating continuing compliance for all activities and/or
compliance with resale or recapture provisions of the affordability
standards;
h) Records documenting compliance with the fair housing and equal
opportunity components of the HOME program;
i) Financial records required by OMB Circular A-110;
j) Other records necessary to document compliance with HOME
Program requirements;
k) Records documenting compliance with Section 3 of the Housing and
Urban Development Act of 1968 (12 U.S.C. § 1701u and 24 C.F.R.
Part 135);
I) Records that demonstrate compliance with deeds of trust, promissory
notes, and forgivable loans associated with owner-occupied housing
activities;
m) Records supporting that the CHDO has maintained client data
demonstrating clients served meet the income and other criteria
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required by federal law and that no unlawful discrimination occurs in
the solicitation or selection process of low income persons or groups
and that no conflict of interest exists; and
n) All Applicable federal, State, and local laws and regulations, including
compliance with A.R.S. § 1-501 (eligibility for federal public benefits)
and § 1-502 (eligibility for state or local public benefits) (Attachment
A).
2) Outcome Measures — The CHDO shall maintain data that supports the
accomplishment of the desired outcomes as indicated in the Work
Statement.
3) Disclosure — The CHDO 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
ADMINISTRATOR's, AGENCY's or CHDO's responsibilities with respect to
services provided under this Agreement, is prohibited unless written consent
is obtained from such person receiving service.
4) Activity Reports — The CHDO shall prepare such reports as required by the
AGENCY, including, but not limited to, HOME program Setup/Completion
Reports, Monthly Progress Reports, HOME project proceeds reports, match
reports, MBE/VVBE information, and other HUD-required reporting data, as
applicable.
5) Audits and inspections — All CHDO records with respect to any matters
covered by this Agreement shall be made available to the
ADMINISTRATOR, Its designees, and the federal government, at any time
during normal business hours, as often as the ADMINISTRATOR deems
necessary, to audit, examine and make excerpts or transcripts of all relevant
data. Any relevant deficiencies noted in audit reports shall be addressed by
the CHDO within forth-five (45) days after receipt by the CHDO. Failure of
the CHDO to comply with these audit requirements shall constitute a
violation of this Agreement and may result in the withholding of future
payments. The Annual Audit requirement is applicable to all levels of
funding received by the CHDO under this Agreement, even if the level of
funding is less than the current thresholds cited in OMB Circular A-133.
6) Performance Monitoring — The ADMINISTRATOR shall annually monitor the
CHDO to determine if HOME funded activities are implemented and
administered in accordance with all applicable federal requirements and
gauge performance of the CHDO against goals and performance standards
required herein. The CHDO shall prepare for monitoring and assure that all
required files and documentation are available at scheduled monitoring. The
CHDO's failure to administer, implement, and perform, as determined by
federal regulations and by the ADMINISTRATOR, shall constitute non-
compliance with this Agreement. Non-compliance is a violation of this
Agreement and may result in the withholding of future payments.
6. ENVIRONMENTAL CONDITIONS:
a. The CHDO shall comply with: the National Environmental Policy Act of 1969 (Pub.
L. No. 91-190; 42 U.S.C. §§ 4321, et seq.) pursuant to 40 C.F.R. Parts 1500 —
1508; Environmental Review Procedures for Entities Assuming HUD
Environmental Responsibilities pursuant to Title 24 C.F.R. Part 58, Subpart A;
HUD Community Planning and Development (CPD") Notice 01-11 (Environmental
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Section 11 Special Provisions
Review and the HOME Investment Partnerships Program) requirements, and with
all conditions required in the process of the environmental assessment.
b. Air and Water - The CHDO shall comply with the following requirements insofar as
they apply to the performance of this Agreement:
1) Clean Air Act (42 U.S.C. § 7401, et seq.), as amended.
2) Federal Water Pollution Control Act (Clean Water Act), (33 U.S.C. §§ 1251,
et seq.), as amended, including § 1318 relating to inspection, monitoring,
entry, reports, and information, as well as other requirements specified in §
1318 (records, reports, and inspections) and all regulations and guidelines
issued thereunder.
3) Environmental Protection Agency (EPA) regulations pursuant to 40 C.F.R.
Part 50 (national primary and secondary ambient air quality standards), as
amended.
4) Conditions set forth by the County's Air Quality Department and any other
COUNTY departments.
c. Flood Disaster Protection - In accordance with the requirements of the Flood
Disaster Protection Act of 1973 (42 U.S.C. §§ 4001, et seq.), the CHDO shall
ensure that, for activities located in an area identified by FEMA as having special
flood hazards, flood insurance under the National Flood Insurance Program is
obtained and maintained as a condition of financial assistance for acquisition or
construction purposes. The CHDO shall require the homeowner to obtain and
maintain flood insurance as a condition of funding, or funds shall not be utilized.
d. Historic Preservation - The CHDO shall comply with the Historic Preservation
requirements set forth in the National Historic Preservation Act of 1966 (16 U.S.C.
§§ 470, et seq.), as amended, and the procedures set forth in 36 C.F.R. Part 800
(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 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.
e. Release Of Funds (ROF) - No funds may be encumbered prior to the completion of
the Environmental Review. The Environmental Review Record (ERR) shall be
completed before any HOME Program funds are obligated. Funding is also
conditioned upon the completion of the ERR of every activity site by address. The
responsibility for certifying the appropriate ERR and ROF shall rest with the
AGENCY, but the environmental review shall be performed by the
ADMINISTRATOR. Provision of specific addresses and other necessary
information to the Administrator and the Agency is the responsibility of the CHDO.
It is the responsibility of the CHDO to notify the ADMINISTRATOR, and to refrain
from making any commitments and expenditures on a site until a Release of Funds
(ROF) has been issued by the AGENCY. The requested funds shall not be
disbursed unless these conditions are satisfied.
7. The CHDO CERTIFIES:
a. That it is a CHDO that meets the applicable requirements of the HOME Program
(24 CFR Parts 92.300 and 92.301).
b. That it possesses legal authority to execute this Agreement.
c. That its governing body has duly adopted or passed, as an official act, a resolution,
motion, or similar action authorizing the person identified as the official
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Section II Special Provisions
representative of the CHDO to execute this Agreement and to comply with the
terms of this Agreement.
d. That the activity described herein shall be carried out and the services
administered in compliance with all federal laws and regulations as follows:
1) The CHDO shall comply with the requirements and standards of 24 C.F.R.
Part 84 (Uniform Administrative Requirements for Grants and Agreements
with Institutions of Higher Education, Hospitals, and Other Non-Profit
Organizations), OMB Circular A-122 (Cost Principles for Nonprofit
Organizations), or OMB Circular A-21 (Cost Principles for Educational
Institutions), as applicable, and with OMB Circular A-110 located at 2 C.F.R.
Part 215 (Uniform Administrative Requirements for Grants and Other
Agreements with Institutions of Higher Education, Hospitals, and other Non-
Profit Organizations).
2) The Parties shall utilize and make available the HOME funds in conformity
with the non-discrimination and equal opportunity requirements set out in the
HUD regulations in the National Housing Affordability and Stability Act (24
C.F.R. §§ 92.350-92.454), which include:
i) The requirements of the Fair Housing Act, (42 C.F.R. §§ 3601-3620),
and implementing regulations at 24 C.F.R. Part 100 (discriminatory
conduct under the Fair Housing Act), Executive Order 11063 (Equal
Opportunity in Housing) as amended by Executive Order 12259
(leadership and coordination of fair housing in federal programs) (3
C.F.R. §§ 1958-1963 Come, p. 652 and 3 C.F.R. § 1980, Come. p. 307) •
and implementing regulations at 24 C.F.R. Part 107 (nondiscrimination
and equal opportunity in housing under Executive Order 11063), and
Title VI of the Civil Rights Act of 1964 (42 U. S. C. §§ 2000d, et seq.),
and implementing regulations at 24 C.F.R. Part 1 (Nondiscrimination in
Federally Assisted Programs of HUD);
ii) Executive Order 13166 (Improving Access to Services for Persons with
Limited English Proficiency) pursuant to Title VI of the Civil Rights Act of
1964;
iii) The prohibitions against discrimination on the basis of age under the
Age Discrimination Act of 1975 (42 U.S.C. §§ 6101, et seq.) and the
regulations at 24 C.F.R. § 146 (nondiscrimination on the basis of age in
HUD programs or activities receiving federal financial assistance);
iv) The prohibitions against discrimination on the basis of handicap under
Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. §§ 794, et
seq.) and implementing regulations at 24 C.F.R. Part 8
(nondiscrimination based on handicap in federally assisted programs
and activities of HUD); and the Americans with Disabilities Act 1990 (42
U.S.C. §§ 12101, et seq.);
v) The requirements of the Executive Order 11246 (Equal Employment
Opportunity) and the regulations issued under the Order at 41 C.F.R.
Chapter 60 (3 C.F.R. §§ 1964-65, Come,. p. 339);
vi) The requirements of Section 3 of the Housing and Urban Development
Act of 1968 (12 U.S.C. § 1702u) (Employment Opportunities for
Business and Lower Income Persons in Connection with Assisted
Activities); and
vii) The requirements of Executive Orders 11625 and 12432 regarding
Minority Business Enterprise Development, and 12138 regarding
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Section II Special Provisions
Women's Business Enterprise, and Regulations S. 85.36 (e) and of
Section 281 of the National Housing Affordability and Stability Act.
3) The Parties shall prepare and adopt acceptable procedures and
requirements for affirmatively marketing units in the HOME Program
Activities, when HOME Program assisted housing contains five (5) or more
rental units, by providing Information about the availability of HOME
Program-assisted units that are vacant at the time of completion or that later
become vacant. The Parties shall make good faith efforts to provide
information and to otherwise attract eligible persons from all racial, ethnic,
and gender groups in the housing market to the available housing during the
period of affordability. These procedures and requirements are not
applicable when units are occupied by families referred from a Public
Housing Authority's (PHA) waiting list, or to families receiving tenant-based
rental assistance provided from HOME Program funds.
HOME Program funds may not be used for operations or modernization of
public housing projects financed under the Housing Act of 1937 (Pub. L. No.
75-412).
4) The AGENCY, as the participating jurisdiction, assumes all the
responsibilities for environmental review, decision making, and action under
the National Environmental Policy Act of 1969 (NEPA) (Pub. L. No. 91-190;
42 U.S.C. §§ 4321, et seq.), and the other provisions of the law that would
apply to HUD were HUD to undertake such Activities as Federal Activities in
accordance with 24 C.F.R. Part 58 (environmental review procedures for
entities assuming HUD environmental responsibilities). The AGENCY will
assume the responsibilities for the Request for Release of Funds, if
applicable. The CHDO shall not to commit or incur any expenditures for
HOME activities until this environmental review process has been
completed. If it is determined that the CHDO has incurred expeases in
violation of the NEPA reouirements, the CHDO shall be responsible for the
full costs for such exoenclItUres and repayment of any related
reimbursements. The CHDO shall provide all necessary assistance to the
AGENCY in completing this environmental review process.
5) The Parties shall comply with the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (URA) (42 U.S.C. §§ 4601, et seq.)
and the governmental implementing regulations at 49 C.F.R. Part 24 as they
apply to this HOME Program.
6) The Parties shall comply with the Davis-Bacon Act (40 U.S.C. §§ 276a, et
seq.), Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327, et
seq.), related acts and the provisions of 24 C.F.R. Part 24 regarding
Government Debarment and Suspension as they apply to this HOME
Program.
7) The Parties shall comply with the Flood Disaster Protection Act of 1973 (42
U.S.C. §§ 4001, et seq.) as they apply to this HOME Program.
8) The Parties shall comply with the Drug-Free Workplace Act of 1988 (41
U.S.C. §§ 701, et seq.) as it applies to the HOME Program.
9) Housing assisted with HOME Program funds constitutes HUD-assisted
housing for the purposes of the Lead-Based Paint Poisoning Prevention Act
(42. U.S.C. §§ 4801, et seq.), and is therefore subject to 24 C.F.R. Part 35
(lead-based paint poisoning prevention in certain residential structures).
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10) The CHDO shall obtain and comply with the most recent HUD-Issued
applicable HOME Program Rent Limits, Income Limits, Mortgage Limits and
Maximum per Unit Subsidy Limits throughout the period of affordability.
11) The Parties shall comply with Maximum per Unit Subsidy (92.250). The total
HOME funds that may be invested on an affordable per unit basis is 100% of
the per-unit dollar limits established by HUD under 221 (d) of the National
Housing Act in area where project is located. See Attachment C.
12) If a combination of HOME and Federal low-income tax credits is used in a
project, the applicable section of 221 (d) of the National Housing Act per-unit
dollar limits are reduced by the per-unit net proceeds from any sale of the tax
credit, or by the per-unit present discounted cash value of the project
owner's share of the tax credit based on a discount rate equal to the 10-year
Treasury note rates.
13) Affordability requirements of Attachment B must be secured by a Deed of
Trust and Promissory Note. The Deed of Trust and Promissory Notes must
be recorded with the County Recorder for all loans made with HOME funds.
Related documents, such as restrictive land covenants, should also be
recorded; if applicable.
14) No person, who is an employee, agent, consultant, officer or elected official,
or appointed official who exercises or has exercised any functions or
responsibilities with respect to activities assisted with HOME Program funds
or who are in a position in a decision making process to gain inside
information with regard to these activities, may obtain a financial interest or
benefit from a HOME assisted activity, either for themselves or those whom
they have family or business ties, during their tenure and for one year
thereafter.
15) No owner, developer or sponsor of a project assisted with HOME funds (or
officer, employee, agent or consultant of the owner, developer or sponsor)
whether private, for profit or non-profit (including a community housing
development organization (CHDO) when acting as an owner, developer or
sponsor) may occupy a HOME assisted affordable housing unit in a project.
This provision does not apply to an individual who receives HOME funds to
acquire or rehabilitate his or her principal residence or to an employee or
agent of the owner or developer of a rental housing project who occupies a
housing unit as the project manager or maintenance worker.
16) The CHDO warrants that it is in compliance with A.R.S. § 41-4401 (e-verify
requirements) and further acknowledges:
i) That the CHDO and its subcontractors, 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;
ii) That a breach of a warranty under subparagraph (i) above, shall be
deemed a material breach of this Agreement that entitles the County to
exercise any remedy available under any federal, State, or local law,
including the termination of this Agreement without liability;
iii) That the AGENCY and ADMINISTRATOR retain the right to inspect the
employment records of the CHDO or any subcontractor who works on
this Agreement to ensure that the CHDO and subcontractors are
complying with the warranty provided under subparagraph i) above. The
CHDO shall make all employment records of its employees available
during normal working hours in order to facilitate such an inspection;
and
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iv) That nothing herein shall make the CHDO or any subcontractor an
agent or employee of the AGENCY or the ADMINISTRATOR;
e. Subcontracts:
1) Approvals — The CH DO shall not commit to any pre-Agreement costs or
enter into any subcontract with any agency or individual in the performance
of this activity without a ROF from the COUNTY prior to the execution of this
Agreement.
2) Selection Process — The CHDO shall ensure that all subcontracts in the
performance of this Agreement are awarded on a fair and open competitive
basis. Executed copies of all subcontracts shall be forwarded to the
COUNTY along with documentation, if requested concerning the selection
process.
3) The CHDO shall comply with and require all contractors and subcontractors
to comply with all of the applicable provisions of the HOME Program. All
contractors and subcontractors who perform service pursuant to this
Agreement shall be in compliance with all applicable state and local
licensing, bonding, and insurance requirements. None of the terms,
conditions, and requirements covered by this Agreement can be assigned.
4) Section 3 of the Housing and Urban Development Act of 1968— The GHDO
shall include the Section 3 clause in every subcontract and shall take
appropriate action pursuant to the subcontract upon a finding that a
subcontractor is in violation of regulations issued by HUD. The CHDO shall
not subcontract with any entity where it has notice or knowledge that the
latter has been found in violation of the regulations under 24 C.F.R. § 135.
The CHDO has the responsibility of determining Section 3 eligibility.
5) Monitoring — The CHDO shall monitor and review all subcontracted services
on an annual basis to assure contract compliance. Results of monitoring
efforts shall be summarized in Monthly Progress Reports and supported with
documented evidence, if requested, of follow-up actions taken to correct
areas of noncompliance.
8. THE AGENCY CERTIFIES AND AGUES:
a. That a public purpose is served by the financial participation of the AGENCY in the
Statement of Work,
b. That the HOME Program funds designated for the Statement of Work constitute
reasonable and prudent assistance necessary for completion of the activity.
c. To disburse funds in a timely manner.
d. To provide technical assistance, with the ADMINISTRATOR, to the CHDO to
comply with applicable federal provisions governing the use of HOME Program
funds.
e. To complete, with the ADMINISTRATOR, all Environmental Review requirements
and intergovernmental reviews as described in HOME Program guidelines and
Executive Order 12372.
9, THE ADMINISTRATOR AGREES TO:
a. Complete all Environmental Reviews (ERs) in a timely manner.
b. Provide technical assistance to the CHDO on a continuing basis.
c. Approve all requests for reimbursement, review all requests for Agreement
amendments and make recommendations thereof in a timely manner.
d. Monitor timely implementation of the CHDO's project including encumbrance
obligation and make recommendations for compliance.
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e. Keep the Maricopa HOME Consortium informed of progress toward goals.
f. Serve as lead in Maricopa HOME Consortium monitoring team for the CHDO
annual formal monitoring.
g. Be the lien holder for all real estate developed, if applicable.
10. ACTIVITY COMPLETION - Upon completion of the Work Statement, all unspent HOME
Program funds and property shall be forfeited to the AGENCY for reallocation. The
CHDO shall continue to be responsible for compliance activities until all HOME Program
requirements and contractual obligations have been met. At the completion of the
project, the ADMINISTRATOR will issue a close out memo detailing the on-going
HOME requirements and responsibilities for the affordability period.
11. GENERAL PROVISIONS:
a. It is expressly understood by the Parties that this Agreement has been negotiated
and executed in anticipation of receipt of funds by the AGENCY from HUD
pursuant to the HOME Program and that, therefore, the terms, conditions, and
sums payable under this Agreement are subject to any changes or limitations that
may be required by HUD and HOME regulations. Notwithstanding any other
provisions of this Agreement, any payment to CHDO by the AGENCY under this
Agreement is contingent upon the actual receipt of funds from HUD.
b. The Parties acknowledge that no member of HUD, nor any employee of the
AGENCY, who exercises any functions or responsibilities in connection with the
carrying out of the activity to which this Agreement pertains, has any personal
interest, direct or indirect, in this Agreement.
c. The AGENCY 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 all Parties, and provided that
such amendments are in compliance with the procedures in the Admin Manual on
CD. Such amendments shall not invalidate this Agreement nor relieve or release
the AGENCY or CHDO from their obligations under this Agreement. Amendments
shall be filed with the original Agreement.
d. Changes — The AGENCY 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:
1) Work Statement activities reflecting changes in federal, State, County, or
local regulations, policies, or requirements;
2) Administrative requirements, such as changes in reporting periods,
frequency of reports, or report formats required by HUD or local regulations,
policies, or requirements. It is the CHDO's responsibility to ensure the latest
documents are consulted and followed.
3) Increase or decrease Agreement funding or budget line item amounts
pursuant to Maricopa HOME Consortium/CDAC/BOS policies.
e. Except where federal law applies, this Agreement shall be governed by and
construed in accordance with the laws of the State of Arizona.
f. The invalidity, in whole or in part, of any provision of this Agreement shall not void
or affect the validity of any other provision of this Agreement.
g- The CHDO shall be familiar with, update as necessary, and comply with the
policies and procedures established in the most recent Maricopa HOME
Consortium Current Practices Manual. Non-compliance with the Maricopa HOME
Consortium Current Practices Manual shall constitute a material breach of this
Agreement.
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h. The CHDO shall not discriminate against any employee or applicant for
employment because of race, color, religion, sex, national origin, familial status,
age or disability. The CHDO shall take affirmative action to insure that applicants
for employment and employees are treated, during employment, without regard to
their race, color, religion, sex, national origin, familial status, age, or disability.
Such action shall include, but not be limited to, the following: employment,
upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or
termination, rate of pay or other forms of compensation, and selection for training
including apprenticeship.
i. The CHDO shall not discriminate against any applicant for service because of
race, color, religion, sex, national origin, familial status, age or disability in the
admission or access to, or treatment in, its federally assisted programs or
activities. CHDO shall, in all solicitations or advertisements, state that all qualified
applicants shall receive consideration for employment or service without regard to
race, color, religion, sex, national origin, familial status, age, or disability. The
CHDO shall post, in conspicuous places available to employees and applicants for
service, notices setting forth the provisions of these non-discrimination clauses.
The CHDO shall administer all services in accordance with the Fair Housing Act.
During the term of this Agreement, the CHDO shall indemnify, defend, and hold
harmless the AGENCY and the ADMINISTRATOR and any and all of the
AGENCY's and the ADMINISTRATOR's officers, agents, and employees from and
against any and all actions, audits, proceedings, claims, demands, losses, liens,
costs, expense, and liability of any kind and nature whatsoever (including
reasonable attorneys fees, expert witness fees, and other litigation costs), arising
out of the bodily injury or death of any person, or damage to property, including
property owned by the AGENCY or the ADMINISTRATOR, arising from or
attributable to or caused directly or indirectly by the negligence, wrongful acts,
omissions, or operations conducted by the CHDO, its officers, agents,
subcontractors, or employees, or by any person acting on behalf of the CHDO.
k. The CHDO shall give all notices and comply with all laws, ordinances, rules,
building codes, regulations, and lawful orders of any public authority bearing on the
performance of activities pursuant to this Agreement. If the CHDO observes that
any of the Agreement documents are in conflict with any laws, statutes, building
codes, or regulations, it shall promptly notify the AGENCY in writing, and any
necessary changes shall be accomplished by appropriate written modification.
I. if the CHDO perform any work knowing it to be contrary to applicable laws,
ordinances, rules, building codes, or regulations, it shall assume full responsibility
therefore, and shall bear all costs incurred due to its negligence. Any dispute not
resolved by mutual agreement among the Parties shall be decided in accordance
with applicable State and local laws, ordinances, and codes.
m. The CHDO shall acknowledge the contribution of the HOME Program in all
published literature, brochures, programs, flyers, etc., during the term of this
Agreement.
n. The Parties shall execute and abide by Certifications mandated by HOME Program
requirements as listed in HOME CERTIFICATIONS, as applicable.
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12. REVERSION OF ASSETS: Upon expiration of this Agreement, the CHDO shall transfer
all remaining unspent funds and the value of other assets, as defined by the terms of
affordability (Attachment B) relating to the HOME Investment Partnerships Program, to
the AGENCY. A written letter of intent to terminate this Agreement shall be submitted
to the ADMINISTRATOR and AGENCY at least thirty (30) days prior to termination of
this Agreement.
13. SUSPENSION AND TERMINATION:
a. In accordance with 24 C.F.R. § 85.43 (enforcement), AGENCY may suspend or
terminate this Agreement if CHDO violates any term or condition of this Agreement
or if CHDO fails to maintain a good faith effort to carry out the purpose of this
Agreement.
b. The AGENCY, ADMINISTRATOR or CHDO may terminate this Agreement in
accordance with 24 C.F.R. § 85.44 (termination for convenience). The 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.
c. If any provision or portion of a provision of this Agreement is determined to be
invalid or unenforceable, it shall be deemed omitted and the remaining provisions
of this Agreement shall remain in full force and effect.
d. This Agreement constitutes the entire agreement among 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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Section II Special Provisions
HOME CERTIFICATIONS
In accordance with the provisions of the Home Investment Partnerships Act and with 24 C.F.R. §
92.150 (submission requirements) of the Home Investment Partnership Program Rule, the CHDO
certifies that:
(A) Before committing any funds to an activity, the CHDO shall evaluate the activity in
accordance with the guidelines that it adopts for this purpose and will not invest any more
HOME funds in combination with other federal assistance than is necessary to provide
affordable housing;
(B) The CHDO shall only utilize HOME Program funds to pay for eligible activities and costs of
those activities permitted in 24 C.F.R. §§ 92.205 through 92.209 and not specifically
prohibited under § 92.214 (prohibited activities).
(C) The CHDO understands that tenant-based rental assistance is an element of the
Consolidated Plan. However, tenant-based rental assistance must be approved as part of an
original application for project funding.
(D) The submission of the program description is authorized under State and local law (as
applicable), and that the CHDO possesses the legal authority to carry out the Home Program
in accordance with HOME regulations;
(E) The CHDO shall comply with the acquisition and relocation requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended,
implementing regulations and the requirements of 24 C.F.R. § 92.353 (displacement,
relocation, and acquisition);
(F) The CHDO shall comply with Section 3 of the Housing and Urban Development Act of 1968,
and implementing regulations at 24 C.F.R. Part 135.
(G) The CHDO shall use HOME Program funds pursuant to its Consolidated Plan(s) approved by
HUD and all requirements of 24 C.F.R. Part 92 (HOME Investment Partnership Program);
(H) The CHDO shall 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 CHDO's
workplace and specifying the actions that will be taken against employees for violation of
such prohibition;
2. Establishing an ongoing drug-free awareness program to inform employees about:
(a) The dangers of drug abuse in the workplace;
(b) The AGENCY'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 that performs any work under this
Agreement be given a copy of the statement required by subparagraph (1) above;
4. Notifying the employee in the statement required by subparagraph (1) above that as a
condition of employment under this Agreement, the employee shall:
(a) Abide by the terms of the statement; and
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Section II Special Provisions
(b) Notify the CHDO in writing of his or her conviction for a violation of a criminal drug
statute occurring In the workplace no later than five (5) calendar days after such
conviction;
5. Notifying the AGENCY in writing, within ten (10) calendar days after receiving notice
under subparagraph 4(b) above from an employee or otherwise receiving actual notice
of such conviction. Employers of convicted employees must provide notice, including
position and title, to every grant officer and 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 thirty (30) calendar days of receiving notice
under subparagraph 4(b) above, with respect to any employee who is so convicted
(a) Taking appropriate personnel action against such an employee, up to an including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended; or
(b) Requiring such employee to participate satisfactorily in a drug-abuse assistance or
rehabilitation program approved for such purposes by a federal, State, or local
health, law enforcement, or other appropriate agency.
7. Making a good faith effort to continue to maintain a drug-free workplace through
implementation of subparagraphs 1, 2, 3, 4, 5, and 6 above.
To the best of its knowledge and belief:
1. No federal appropriated funds have been paid or will be paid, by or on behalf of the
AGENCY, to any person for influencing or attempting to influence an officer or employee
of any agency, a member of Congress, an officer or employee of Congress, or an
employee of a member of Congress in connection with the awarding of any federal loan,
the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any federal grant, loan, or cooperative
agreement;
2. If any funds, other than federal appropriated funds, have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
member of Congress, an officer or employee of Congress, or an employee of a member
of Congress in connection with this federal grant, loan, or cooperative agreement, the
CHDO shall complete and submit Standard Form-LLL, "Disclosure of Lobbying
Activities," in accordance with its instructions; and
3. The CHDO shall require that the language of paragraph (F) of this certification be
included in the award documents for all subawards at all tiers (including subcontracts,
subgrants, and agreements under grants, loans, and cooperative agreements) and that
all Subcontractors shall certify a d disclose accordingly.
7 ( / 8 ( 7-o ( 3
Date
Allen L. Carlson gmcutive Director
Printed/Typed Name Title
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Section II Special Provisions
CHDO CERTIFICATION
In accordance with the applicable statutes and the regulations governing the consolidated plan
regulations, the CHDO certifies that:
Affirmatively Further Fair Housing — The CHDO shall affirmatively further fair housing, which
means it shall 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 -- The CHDO 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 C.F.R. Part 24; and it has in
effect and is following a residential anti-displacement and relocation assistance plan required
under § 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 -- The CHDO 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 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 CHDO'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 who performs any work under this Agreement
be given a copy of the statement required by paragraph 1 above;
4. Notifying the employee in the statement required by paragraph 1 above that, as a condition
of employment under this Agreement, the employee shall -
(a) Abide by the terms of the statement; and
(b) Notify the AGENCY In writing of his or her conviction for a violation of a criminal
drug statute occurring in the workplace no later than five (5) calendar days after
such conviction;
5. Notifying the CHDO in writing, within ten (10) calendar days after receiving notice under
paragraph 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 thirty (30) calendar days of receiving notice
under paragraph 4(b) above, with respect to any employee who is so convicted -
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(a) Taking appropriate personnel action against such an employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended; or
(b) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a federal, State, or local
health, law enforcement, or other appropriate agency;
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 above.
Anti-Lobbying To the best of the CHDO'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,
CHDO shall complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions; and
3. The CHDO shall require that the language of paragraphs 1 and 2 of this anti-lobbying
certification be included in the award documents for all subawards at all tiers, including
subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements,
and that all CHDOs shall certify and disclose accordingly.
Authority of Jurisdiction -- The consolidated plan is authorized under State and local law (as
applicable) and the CHDO 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 Program,
ESG, and HOPWA funds are consistent with the strategic plan.
Section 3 --The CHDO shall comply with § 3 of the Housing and Urban Development Act of 1968,
and implement the regulations at 2 C.F.R. Part 135.
I
7 Itgi2v13
Signature Date
Allen L. Carlson Executive Director
Printed/Typed Name Title
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Section II Special Provisions
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 Agreement and is imposed by 31 U.S.C. § 1352 (limitation on use of
appropriated funds to influence certain federal contracting and financial transactions). 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. Drua-Free Workplace Certification
1. By signing and submitting this application or Agreement, the CHDO 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 CHDO knowingly rendered a false
certification, or otherwise violated the requirements of the Drug-Free Workplace Act, in
addition to any other remedies, HUD 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 CHDO does not
identify the workplaces at the time of application, or upon award, if there is no application, the
CHDO 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 CHDO'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, or
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
CHDO shall inform HUD of the change(s), if it previously identified the workplaces in question
(see paragraph three).
6. The CHDO 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 C.F.R. Part 24, subpart F.
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Section II Special Provisions
7. Definitions of terms in the Non-procurement Suspension and Debarment common rule and
Drug-Free Workplace common rule apply to this certification. The CHDO's attention is called, in
particular, to the following definitions from these rules:
"Controlled substance" means a controlled substance in Schedules 1 through V of the Controlled
Substances Act (21 U.S.C. § 812) and as further defined by regulation (21 C.F.R. §§ 1308.11
through 1308.15);
"Conviction" means a finding of guilt (including a plea of nob o contendere) or imposition of
sentence, or both, by any judicial body charged with the responsibility to determine violations of
the federal or State criminal drug statutes;
"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 contractors not on the grantee's payroll; or employees of CHDOs or subcontractors
in covered workplaces).
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Section II Special Provisions
ATTACHMENT A
Maricopa County Human Services Department
HB 2008 Working Procedures
January 2010
The Arizona State Legislature passed HB 2006 (A.R.S. § 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. Therefore:
• All applicants authorized to receive public benefits must provide documentation of their
lawful presence In the United States through a verification process.
• 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.
• Employees of the COUNTY and its subcontracted entities are required to report "discovered
violations" of federal immigration law.
The Department is committed to administering the law completely and fairly. This set of
procedures and forms establishes policy for all employees and subcontracted Community Action
Program (CAP) agencies to follow.
The public benefits that have been identified by the funding sources as services subject to this
requirement include:
• Neighbors Helping Neighbors (NHN)
• Short Term Crisis Services/TANF (STCS/TANF)
• Low Income Home Energy Assistance Program (LIHEAP) (including weatherization)
• Department of Energy (DOE) Weatherization
• Arizona Department of Housing/Housing Trust Fund (ADOH/HTF)
• Housing and Urban Development (HUD) Emergency Shelter Grant Program (ESGP)
• Housing and Urban Development (HUD) Homeless Prevention & Rapid Re-Housing
Program (HPRP)
• HOME Investment Partnerships Program (HOME) HUD
The law requires that the Department's employees and subcontracted agencies perform three
distinct steps prior to providing services to authorized or eligible applicants for these specified
funded services. Those key steps are:
1. Request evidence of U.S. citizenship and/or immigration status of the authorized or elioible
applicant or child if STCSTTANF.
2. Require eligible applicants to execute a sworn affidavit stating the documentation provided
is true.
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3. Report violations of Federal Immigration law to the Federal Immigration Authorities
It is very important that all employees and subcontractors strictly follow this policy in all cases. HB
2008 (A.R.S. § 1-501 and § 1-502) contains serious penalties for non-compliance. Failure to report
suspected violations of Federal Immigration Law by an employee is a Class 2 misdemeanor. If that
employee's supervisor knew of the failure to report and failed to direct the employee to make the
report, the supervisor is also guilty of a Class 2 misdemeanor.
Each subcontracted agency is also responsible for developing their own procedures to ensure
compliance with A.R.S. § 1-501 and § 1-502 arid A.R.S. § 46-140.01. The subcontractor agency
may need to be advised by their legal counsel. If these differ from those established by the
Department, the Department must be notified of and approve these procedures prior to their
implementation.
The following procedure is a "work in progress. The procedure may change as interpretations of
HB 2008 (A.R.S. § 1-501 and § 1-502) are updated. The following procedure is required by the
Department.
Procedures
These are the requirements that authorized or eligible applicants for Department-funded services
must fulfill in order to qualify to receive a specifically funded service.
1. Evidence of U.S. citizenship and/or immigration status of the authorized or eligible applicant
(or child if STCS/TANF) must be provided.
2. Eligible applicants must execute a sworn affidavit stating the documentation provided is
true.
These procedures must be followed for Department-funded services that are governed by HB 2008
(A.R.S. § 1-501 and § 1-502) specifically, the following fund sources:
• Neighbors Helping Neighbors (NHN)
• Short Term Crisis ServicesiTANF (STCS/TANF)
• Low Income Home Energy Assistance Program (LIHEAP) (including weatherization)
• Department of Energy (DOE)
• Housing and Urban Development (HUD) Emergency Shelter Grant Program (ESGP)
• Housing and Urban Development (HUD) Homeless Prevention & Rapid Re-Housing
Program (HPRP)
• Arizona Department of Housing/Housing Trust Fund (ADOH/HTF)
If the funding source is not listed, then the requirements in HB 2008 do not apply to the funding
source.
Evidence Of U.S. Citizenship Or Lawful Presence
The fund sources differ in the acceptable documents that can be used to demonstrate lawful
presence. Therefore these are listed separately below.
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Section II Special Provisions
For Arizona Department of Housing / Housing Trust Fund (ADOH/HTF):
An applicant for an ADOH funded service is required to submit at least one of the following
original documents to verify the applicant's lawful presence in this country.
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Section H Special Provisions
ATTACHMENT B
AFFORDABILITY
(Does not apply to single family rehabilitation)
The CHDO agrees to comply with the specific provisions of 24 CFR Part 92, Subpart F, in addition to the
following requirements.
I. HOMEOWNERSHIP PROGRAMS (Homebuyers)
Properties must be affordable to low-income purchasers. Affordability is achieved if the monthly
payments for principal, interest, property taxes and insurance do not exceed 30% of the gross income
of a homebuyer.
The affordability standard is applied to both the original homebuyer and subsequent purchaser. The
purchase agreement must require repayment of the funds if the housing does not meet the affordability
requirements for the specified time period. The term of affordability for subsequent purchase single-
family projects shall be up to 15 years after the property Is sold to the new homeowner. The actual term
of the affordability standard is determined by the type of property being occupied as a new
homeownership initiative. If the property is new construction the term is 15 years. If the property is an
existing structure, the term of affordability is 5 years if $15,000 or less of HOME money is utilized, 10
years for $15,000 to $40,000 and 15 years for amounts over $40,000. These terms of affordability
remain in existence from the time of initial purchase by the original homebuyer.
Any changes to this policy will be clearly defined in the statement of work_
RENTAL PROGRAMS *
Every HOME assisted unit is subject to rent controls, which insure rents are affordable to low-income
families. There are two rental rates assigned to the HOME assisted units known as High and Low
rental rates.
High rental rates are required for up to 80% of the HOME assisted rental units and must be the lesser
of
Section 8 Fair Market Rents (FMR's) or area-wide exception rents for existing housing minus
tenant paid utilities;
OR
Rents which are 30% of the adjusted income for households at 65% of median income or area-
wide exception rents minus tenant paid utilities;
Low rental rates are required for at least 20% of the HOME assisted units in projects with five or more
HOME assisted units and must be
Equal to 30% of annual incomes for households at 50% of median income minus tenant paid
utilities.
Note: Calculations and current standards for FMR's, status of area rent exceptions, median income
standards and High or Low rental rates vary annually. The most current figures must be used
throughout the period of affordability. These can be obtained from the /ace/ HUD Office or the
ADMINISTRATOR.
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Section II Special Provisions
UTILITIES -
The maximum allowable rent must be reduced if the tenant pays for utilities. The FMR's provided on
which rental rates are calculated include all utilities except telephone. (Included in FMR are allowances
for water, gas, electrical and associated combined utility fees for municipal trash removal, etc.) If the
tenant pays for any of them then the rent must be reduced accordingly. Any proposed utility
adjustment other than a reduction of rent for tenant paid utilities must be approved by the AGENCY in
advance.
BASIC CALCULATION FOR AFFORDABLE HOME RENTAL RATES -
High rent calculations for 80% of HOME assisted units:
Obtain the area FMR's by bedroom size and/or any area wide rent exceptions. This information Is
available from the ADMINISTRATOR. Obtain the maximum rents, based an the number of bedrooms
for families earning 65% of median income. Again, this information is available from the
ADMINISTRATOR. The lower of the above two calculations provides the high rent for 80% of the
HOME assisted units.
Low rent calculations for 20% of HOME assisted units:
Obtain from the ADMINISTRATOR the rents allowed by bedroom size for families earning 50% of
median income. This is your low rent rate for 20% of the HOME assisted units.
Adjust this figure by subtracting any tenant paid utilities.
TERM OF RENT CONTROL -*
Rent control term is determined by the average amount of HOME investment per unit as follows:
(a) All New Construction or Acquisition of New Housing has a minimum affordability period of 20
years.
(b) Where units are rehabilitated or purchased as existing units the following terms of affordability
apply:
(1) Where the average investment per unit is less than $15,000 there is a 5-year minimum
period of affordability.
(2) Where the average investment per unit is $15,000 to $40,000 there is a 10-year
minimum period of affordability.
(3) Where the average investment per unit Is over $40,000 there is a 15-year minimum
period of affordability.
If the individual project is FHA insured, the term of affordability is the term of the mortgage insurance or
the specified minimum for the investment, whichever is greater.
GENERAL RENT AFFORDABILITY CONSIDERATIONS -
Monthly rents and unit allowances must be recalculated annually by the owner of the units.
Annual publications of Fair Market Rents (FMR) are available from HUD or the ADMINISTRATOR, so
new rent rates can be established. This means according to the FMR HOME High or Low rental rates
may increase or decrease.
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Section II Special Provisions
HOME Family Income Limits are calculated periodically by HUD and available from the local HUD
office.
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Section II Special Provisions
ATTACHMENTf,
BASIC THRESHOLD REQUIREMENTS
MAXIMUM PER UNIT SUBSIDY
General outline of permitted activities fall under one of the three types of projects below. Specific
requirements are listed in 24 CFR Part 92 and appropriate chapter of the 1997 HOME Program
Primer included herein. Minimum per unit investment must be no less than $1000.
1. Home Owner Rehabilitation (not permitted as a CHDO activity)
a. The homeowner's income may not exceed 80% of the median income for Phoenix.
b. Owners must occupy the home as their principal residence.
c. The appraised value of the home after rehabilitation must not exceed the HUD section
203(b) mortgage limit.
d. The maximum HOME subsidy is 100% of the Section 221(d) 3 mortgage limits.
2. Homebuyers
a. The purchaser's income may not exceed 80% of the median income for Phoenix.
b. The purchaser must occupy the new property as their principal residence.
c. The appraised value of the property to be acquired must not exceed 95% of the HUD
section 203(b) limits for the type of housing being purchased. Any rehabilitation costs
must also be included in this limit.
d. The property must remain affordable to a subsequent buyer and the approved Maricopa
HOME Consortium Resale restrictions must be included in the purchase deed
restrictions.
3. Rental Housing Production
a. Rents must be controlled in accordance with Section 8 guidelines for the Phoenix area.
(See Affordability, Attachment B)
b. Tenants must be low income,
1) 20% of units must be occupied by persons whose income is at or below 50% of
the Phoenix median income.
2) Persons whose income is below 80% of the Phoenix median income must occupy
the balance of the units. if there are more than five units in a project, then at least
20% of the units must be occupied by persons whose income is at or below 50%
of the Phoenix median income.
c. Maximum subsidy limits established by HUD cannot be exceeded.
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Section II Special Provisions
d. Special accessibility requirements apply to some rental projects.
4. Energy Saying Requirements
HUD funds utilized in housing programs require specific energy efficient procedures. All new
construction must comply with the current edition of Council of American Building Officials
(CABO) Model Energy Code in accordance with Part 92.251 and the International Energy
Conservation Code. Substantial rehabilitation must comply with the HUD Cost Effective
Energy Conservation and Effectiveness Standards (CEECS) in 24 Part 39. In other
rehabilitation activities, the below measures are to be incorporated that are cost effective.
Independent studies by public finance and economic development firms have proved that up
front energy saving techniques are amortized in a few years by savings in resultant lower
electric and gas utility payments made by residents of affordable housing.
In order to comply with these energy saving requirements in the Phoenix area, it will be
necessary to provide an insulation envelope that includes R-19 values in walls and R-30 in
ceilings/roofs. An approved vapor barrier must be included with the exterior insulation. All
cracks and voids in the exterior building envelope shall be sealed to prevent air infiltration that
can count for as much as 40% of energy loss. Ducts installed in uncooled spaces must have
R-6 insulation. Thermostats are to be installed that control temperature ranges from 55 0 to
85° F and located away from heat generating devices such as refrigerators. In addition,
windows will be reduced in size to the minimum area and shall be double-glazing. Sun struck
windows are to be covered with sun screens.
Additional considerations might include the use of vinyl framed windows (with improved
ultraviolet barrier provisions) in lieu of wood or metal framing as they are generally lower cost
and do not require periodic painting. Limit the use of dark colored roofs and walls as they
absorb heat to a greater degree. The use of high-efficiency energy heat pumps will provide
heating and cooling at the same installation cost of separate evaporative cooler and furnace
systems. Ceiling fans will extend the comfort range of occupants to the low 80's and operate
at low cost. If reduced air infiltration envelopes described above are installed, the energy
costs have been demonstrated to be the same or lower for the average informed homeowner
utilizing heat pump systems. Experience has demonstrated significant lack of proper
maintenance of evaporative coolers that ultimately cause extensive roof repairs and frequent
cooler replacements, increasing long-term costs to the homeowner.
HUD has provided a Model Energy Code Compliance Guide, MECheck Manual, HUD-1560-
RM dated October 1995. The specific features of individual house plans and designs can be
individually reviewed with a software version of MECheck, however the above measures
prescribed in the Compliance Guide will satisfy the required energy savings in a vast majority
of affordable home plans that are utilized in the Phoenix area.
5. Lead-Based Hazards
Any activity that receives HOME funds must comply with 24 CFR 92.355 § Part 35, including
first-time homebuyer programs and rental assistance programs, as well as rehab activities.
HOME funds can be targeted to specific units; however, all units in the assisted building are
subject to lead-based paint hazard controls.
Notification of lead-based hazards is required for tenants, purchasers, and owner-occupants
of all HOME assisted units constructed before 1978.
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Section H Special Provisions
Defective paint surfaces in all units constructed before 1978 will be inspected regardless of
the occupancy of the unit.
If the unit houses a child under 7 who has an EBB greater than 25, all interior and exterior
chewable surfaces must be tested with an XRF tester. If lead-based paint is found, the
surfaces must be treated according to Part 35. It is permissible to not test and treat all
surfaces according to Part 35.
6. Property Standards
All housing will meet property standards of 24 CFR 92.251, upon project completion and
during the period of affordability.
Housing that is constructed or rehabilitated with HUD funds must meet all applicable local
codes, rehabilitation standards, ordinances and zoning ordinances at the time of project
completion. Housing must be safe, decent and sanitary.
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Section II Special Provisions
ATTACHMENT D
RECAPTURE PROVISIONS
RIDER #3 TO FORGIVABLE HOME PROGRAM LOAN AGREEMENT
(Applicable to home buyer acquisition or construction activities only)
NOTICE TO HOME PROGRAM ASSISTED BUYER:
THIS HOME FUNDED MORTGAGE MAY BE SUBJECT TO RECAPTURE.
IT IS MOST IMPORTANT THAT YOU READ THIS NOTICE CAREFULLY.
You have applied for HOME assistance in your housing. Under this program the U. S. Department of
Housing and Urban Development (HUD) through the Maricopa HOME Consortium Participating Jurisdiction
will provide assistance to your purchase of property at:
Definitions
'RESPONSIBLE SUBRECIPIENr could be a city, town or non-profit organization under contract with one of
the responsible jurisdictions.
Direct HOME subsidy to the homebuyer is the amount of HOME assistance that enabled the homebuyer to
buy the dwelling unit and includes down payment, closing costs, interest subsidies, or other HOME
assistance provided directly to the homebuyer. In addition, direct subsidy includes any assistance that
reduced the purchase price from fair market value to an affordable price This does fig/ include any HOME
investment for acquisition and/or construction.
Net appreciation of a property is any increase in the value of that property over the original purchase price,
minus the reasonable costs of sale, the cost of refinancing the first mortgage, or the cost of the appraisal
when paying off the first mortgage without sale of a property (should the mortgagor request satisfaction of
the RESPONSIBLE SUBRECIPIENT lien), and minus the reasonable casts of improvements made to the
property.
Net proceeds of a sale are the sales price minus closing costs and any non-HOME loan repayments.
Homeowner investment consists of the portion of initial down payment paid by the homebuyer combined with
the value of any capital improvements made with the homebuyer's funds since purchase.
Policy and Regulations
Under the HOME Recapture Provision the following conditions apply. You will be required to execute a note
and second mortgage (or deed of trust) with addendum at settlement of the mortgage in favor of the
responsible jurisdiction in which your funding is being administered (i.e., Maricopa County, City of Avondale,
City of Chandler, Town of Gilbert. City of Glendale, City of Mesa, City of Peoria, City of Scottsdale, City of
Surprise, or City of Tempe) to assure repayment of the assistance.
The responsible jurisdiction for this agreement is
The "RESPONSIBLE SUBRECIPIENT. for this agreement Is • which will enforce
the following recapture provisions:
Repayment of the full or forgiven (check one) subsidy plus the net appreciation is
due to the RESPONSIBLE SUBRECIPIENT when any one of the following events occurs:
a. Sale of property (new mortgage).
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Section II Special Provisions
b. Sale of property (assumption of mortgage) to an assumptor who is not eligible for HOME
assistance or to an assumptor who Is eligible for HOME assistance but chooses not to accept it.
C. Rental of property (or, in the case of a property with more than one unit, the owner's unit is
rented) for more than one year.
d. Request from the mortgagor, or on behalf of the mortgagor, to satisfy the responsible
subrecipient's lien, i.e., refinancing the first mortgage.
In the event this mortgage is assumed, the responsible subrecipient will demand payment of the recapture
amount from the mortgagor who is in possession of the property at the time an event occurs that activates
the Recapture Provision. The amount of assistance to be recaptured by the responsible subrecipient shall
be the amount of assistance actually paid to the mortgagee on behalf of the original mortgagor and any
assumptors of the mortgage.
NOTE; Assumptors should be aware that the recapture amount due to the responsible subrecipient will
be calculated based on the assistance paid on behalf of the original mortgagor as well as that
amount paid on behalf of all previous assurnptors of the mortgage.
You can deduct from the value of your home the reasonable costs of selling it; refinancing the first mortgage;
paying off the first mortgage without sale of property; and/or paying off the second mortgage or second deed
of trust You can also deduct the reasonable costs of major improvements to your home. To get credit for
the costs of improvements, you must save your paid bills plus payments receipts and have them available to
submit to the RESPONSIBLE SUBRECIPIENT for calculating the recaptured amount due.
In order that you receive the greatest profit from the sale of your home, It is recommended that
IMMEDIATELY AFTER YOU PURCHASE YOUR HOME, A SYSTEM SHOULD BE ESTABLISHED FOR
KEEPING A RECORD OF THE COST OF (AND THE PAID RECEIPTS FOR) ANY CAPITAL
IMPROVEMENTS THAT ARE MADE TO YOUR HOME AND PROPERTY. Costs for home improvements
allowed by HUD, as well as certain costs related to the sale of the property, may be claimed against the
appreciation of your property.
Examples of costs for acceptable permanent home improvements (i.e., costs for paid labor, materials and
rental equipment) include, but are not limited to, the following permanent improvements:
1. Room additions and other permanent improvements, such as porches, decks, patios, garages,
carports, swimming pools, etc.;
2. Finishing off areas that were unfinished when the mortgage was insured, such as basements and
attics, etc.;
3. Built-in bookcases, cabinets, fireplaces, closets, etc.;
4. Appliance additions (stoves, refrigerators, built-in dishwashers, built-in microwave ovens, clothes
washers and dryers, water heaters and attic and ceiling fans), which are conveyed to the buyer by the
seller;
5. Addition of storm windows and doors, replacement windows, security systems, central air conditioning,
solar heating systems;
6. Permanent landscaping such as fencing, planting of trees, shrubbery and bushes, landscaping ties,
retaining walls, etc.;
7. Swimming pools (there are conditions for allowing them as improvements);
8. Special assessments (The RESPONSIBLE SUBRECIPIENT will handle on a case-by-case basis);
9. Land as an improvement (RESPONSIBLE SUBRECIPIENT will handle on a case-by-case basis);
10. Fees for building permits and required inspections.
NOTE: Replacements of appliances, roofs, heating systems (unless replaced by a solar heating system),
and carpeting are not allowed against the appreciation of a property.
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Section II Special Provisions
To claim improvements you must record the improvements with a clear description of the improvement you
do on your property. Remember to attach the paid receipts, bills and invoices to your records. Without these
documents the cost of your improvements will not be allowed against the appreciation of your property.
Notice To Assurnotprs
Should you assume the first mortgage on a property that has received Maricopa HOME Consortium funding,
it is recommended that you obtain, at settlement:
(a) a list of all the improvements (and the paid receipts) that was made to the property during the
time the former owners had the mortgage;
(b) a signed copy of each Settlement Statement for each prior sale of the property.
Those costs may be used to offset the appreciation of the property when the RESPONSIBLE
SUBRECIPIENT calculates the amount of recapture due to satisfy its lien on the property. However, you, as
the last assumptor receiving assistance, must be in possession of the paid receipts and signed Settlement
Statements in order to document the cost of assuming the mortgage each time it was assumed. Without
these documents, those costs will not be allowed against the appreciation of the property,
Repaving The Responsible Subrecipient Note the following sample templates.
1. When forgiven subsidy is chosen, it should be prorated as follows:
HOME Funds Provided Affordability Period
Up to $16,000 5 years
$15,001 to $40,000 10 years
Greater than $40,000 15 years
Prorated Recapture Calculation:
Direct HOME subsidy*
Net appreciation**
Total subsidy
Divide by the total years of affordability
Multiply by the remaining affordability period
Recaptured amount that must be repaid from
the net proceeds of the sale.
2. When net proceeds are insufficient to repay the direct HOME subsidy and the homebuyer's investment,
the net proceeds may be shared using the following formula:
Share Net Proceeds:
HOME Subsidy x Net Proceeds = HOME Recapture Amount
HOME Subsidy 4- Homebuyer Investment
OR
Hornebuyer Investment x NetProceeds = Homeowner Repayment
HOME Subsidy + Homebuyer Investment
Enter all HOME funds Invested or the remaining unforgiven amount of the forgivable loan.
" Indicate the point of time the net appreciation should be calculated. For example, at closing of the original
purchase or when the original purchaser sells or reanances at a future time within the period of affordability.
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Section II Special Provisions
ATTACHMENT E
RESALE PROVISIONS
RIDER TO FORGIVABLE HOME PROGRAM LOAN AGREEMENT
faroolicalble to hornebuver acautsitIon or construction activities only)
NOTICE TO HOME PROGRAM ASSISTED BUYER
THIS HOME FUNDED MORTGAGE MAY BE SUBJECT TO RECAPTURE
IT IS MOST IMPORTANT THAT YOU READ THIS NOTICE CAREFULLY
You have applied for HOME assistance in your housing. Under this program the Department of Housing and
Urban Development (HUD) through the Maricopa HOME Consortium Participating Jurisdiction will provide
funding assistance to your purchase of the property at
Definitions
"RESPONSIBLE SUBRECIPIENT" could be a city, town or non-profit organization under contract with one of
the responsible jurisdictions.
Direct HOME subsidy to the homebuyer is the amount of HOME assistance that enabled the homebuyer to
buy the dwelling unit and includes down payment, closing costs, interest subsides, or other HOME
assistance provided directly to the homebuyer. In addition, direct subsidy includes any assistance that
reduced the purchase price from fair market value to an affordable price. This does mt include any HOME
investment for acquisition and/or construction.
Net appreciation of a property is any increase in the value of that property over the original purchase price,
minus the reasonable costs of sale, the cost of refinancing the first mortgage, or the cost of the appraisal
when paying off the first mortgage without sale of a property (should the mortgagor request satisfaction of
the RESPONSIBLE SUBRECIPIENT lien), and minus the reasonable costs of improvements made to the
property.
Net proceeds of a sale are the sales price minus closing costs and any non-HOME loan repayments.
Homeowner investment consists of the portion of initial down payment paid by the homebuyer combined with
the value of any capital improvements made with the homebuyer's funds since purchase.
Policy and Regulations
Under the HOME Recapture Provision the following conditions apply. You will be required to execute a note
and second mortgage (or deed of trust) with addendum at settlement of the mortgage in favor of the
responsible jurisdiction in which your funding is being administered (i.e., Maricopa County, City of Avondale,
City of Chandler, Town of Gilbert, City of Glendale, City of Mesa, City of Peoria, City of Scottsdale, City of
Surprise or City of Tempe) to assure repayment of the assistance.
The responsible jurisdiction for this agreement is
The "RESPONSIBLE SUBRECIPIENT" for this agreement is which will
enforce the following recapture provisions:
Repayment of the full or forgiven (check one) subsidy plus the net appreciation is
due to the RESPONSIBLE SUBRECIPIENT when any one of the following events occurs:
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Section II Special Provisions
a. Sale of property (new mortgage).
b. Sale of property (assumption of mortgage) to an assumptor who is not eligible for HOME assistance
or to an assumptor who is eligible for HOME assistance but chooses not to accept it
C. Rental of property (or, in the case of a property with more than one unit, the owners unit is rented)
for more than one year.
cl. Request from the mortgagor, or on behalf of the mortgagor, to satisfy the responsible subrecipients
lien, i.e., refinancing the first mortgage.
In the event this mortgage is assumed, the responsible subrecipient will demand payment of the recapture
amount from the mortgagor who is in possession of the property at the time an event occurs that activates
the Recapture Provision. The amount of assistance to be recaptured by the responsible subreciplent shall
be the amount of assistance actually paid to the mortgagee on behalf of the original mortgagor and any
ass umptors of the mortgage.
NOTE: Assumptors should be aware that the recapture amount due to the responsible
subrecipient will be calculated based on the assistance paid on behalf of the original mortgagor
as well as that amount paid on behalf of all previous assumptors of the mortgage.
You can deduct from the value of your home the reasonable costs of selling it; refinancing the first mortgage;
paying off the first mortgage without sale of property; and/or paying off the second mortgage or second deed
of trust. You can also deduct the reasonable costs of major improvements to your home. To get credit for
the costs of improvements, you must save your paid bills plus payment receipts and have them available to
submit to the RESPONSIBLE SUBRECIPIENT for calculating the recaptured amount due.
In order that you receive the greatest profit from the sale of your home, it is recommended that
IMMEDIATELY AFTER YOU PURCHASE YOUR HOME, A SYSTEM SHOULD BE ESTABLISHED FOR
KEEPING A RECORD OF THE COST OF (AND THE PAID RECEIPTS FOR) ANY CAPITAL
IMPROVEMENTS THAT ARE MADE TO YOUR HOME AND PROPERTY. Costs for home improvements
allowed by HUD, as well as certain costs related to the sale of the property, may be claimed against the
appreciation of your property.
Examples of costs for acceptable permanent home improvements (i.e., costs for paid labor, materials and
rental equipment) include, but are not limited to, the following permanent improvements:
1. Room additions and other permanent improvements, such as porches, decks, patios, garages, carports,
swimming pools, etc.;
2. Finishing off areas that were unfinished when the mortgage was insured, such as basements and attics,
etc.;
3. Built-in bookcases, cabinets, fireplaces, closets, etc.;
4. Appliance additions (stoves, refrigerators, built-in dishwashers, built-in microwave ovens, clothes
washers and dryers, water heaters and attic and ceiling fans) which are conveyed to the buyer by the
seller;
5. Addition of storm windows and doors, replacement windows, security systems, central air conditioning,
solar heating systems;
6. Permanent landscaping such as fencing, planting of trees, shrubbery and bushes, landscaping ties,
retaining walls, etc.;
7. Swimming pools (there are conditions for allowing them as improvements);
8. Special assessments (The RESPONSIBLE SUBREC1PIENT will handle on a case-by-case basis);
9. Land as an improvement RESPONSIBLE SUBRECIPIENT will handle on a case-by-case basis);
10. Fees for building permits and required inspections.
NOTE: Replacements of appliances, roofs, heating systems (unless replaced by a solar heating
system), and carpeting are not allowed against the appreciation of a property.
Maricopa County Human Services Department/Community Development Division 45 of 59

Section II Special Provisions
To claim improvements you must record the improvements with a clear description of the improvement you
do on your property. Remember to attach the paid receipts, bills and invoices to your records. Without these
documents the cost of your improvements will not be allowed against the appreciation of your property.
Notice To Assumptors
The purchase of this home was subsidized by the Responsible Subrecipient under a restricted resale
agreement. It is only assumable by an income qualified purchaser with permission of the Responsible
Subrecipient. Should you assume the first mortgage on a property that has received Maricopa HOME
Consortium funding, it is recommended that you obtain, at settlement:
(a) a list of all the improvements (and the paid receipts) that were made to the property during
the time the former owners had the mortgage;
(b) a signed copy of each Settlement Statement for each prior sale of the property.
Those costs may be used to offset the appreciation of the property when the RESPONSIBLE
SUBRECIPIENT calculates the amount of recapture due to satisfy its lien on the property. However, you, as
the last assumptor receiving assistance, must be in possession of the paid receipts and signed Settlement
Statements in order to document the cost of assuming the mortgage each time it was assumed. Without
these documents, those costs will not be allowed against the appreciation of the property.
Repaying the Responsible Subrecipient - Note the following sample templates.
1. When forgiven subsidy is chosen, it should be prorated as follows:
HOME Funds Provided Affordability Period
<$15,000 5 years
$15,001 to $40,000 10 years
>$40,001 15 years
Prorated Recapture Calculation:
Direct HOME subsidy*
Net appreciation" + $
Total subsidy
Divide by the total years of affordability
Multiply by the remaining affordability period
Recaptured amount that must be repaid from
the net proceeds of the sale.
2. When net proceeds are insufficient to repay the direct HOME subsidy and the homebuyer's investment,
the net proceeds may be shared using the following formula:
Share Net Proceeds:
HOME Subsidy x Net Proceeds = HOME Recapture Amount
HOME Subsidy + Homebuyer Investment
Or
Homebuver Investment x Net Proceeds = Homeowner Repayment
HOME Subsidy + Homebuyer Investment
Enter all HOME funds invested or the remaining unforgiven amount of the forgivable loan.
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Section II Special Provisions
** Indicate the point of time the net appreciation should be calculated; for example, at closing of the
original purchase or when the original purchaser sells or refinances at a future time within the period of
affordability.
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Section II Special Provisions
ATTACHMENT F
MBE/INBE PROVISIONS
CHDO shall conduct all procurement transactions in a manner to provide, to the maximum extent
practical, open and free competition. According to 24 CFR 84, CDHO shall make information on
forthcoming opportunities available and arrange time frames for purchases and contracts to
encourage and facilitate participation by small and minority businesses and women's business
enterprises.
Per 24 CFR 85.36 ( c ) (4), grantees and subgrantees will ensure that all prequalified lists of
persons, firms, or products which are used in acquiring goods and services are current and include
enough qualified sources to ensure maximum open and free competition, Also, grantees and
subgrantees will not preclude potential bidders from qualifying during the solicitation period.
Further, 24 CFR 85.36 (e) (2) (I) requires that qualified small and minority businesses and
women's business enterprises are to be placed on solicitation lists. Any solicitation list utilized by
the CHDO for procurement purposes must be open and inclusive, and routinely updated and
managed to provide timely and up to date information on vendors available to provide the
necessary services and products. A solicitation list is any properly developed database,
classification or categorizing of potential service providers that provides information on the
capabilities and resources of providers.
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Section II Special Provisions
ATTACHMENT G
RELIGIOUS ORGANIZATIONS
Organizations that are religious or faith-based are eligible, on the same basis as any other
organization, to participate in the HOME program. Organizations funded under the HOME
program may not engage in inherently religious activities, such as worship, religious instruction, or
proselytization, as part of the assistance funded with HOME. If an organization conducts such
activities, the activities must be offered separately, in time or location, from the HOME funded
assistance and participation must be voluntary for the beneficiaries of the HOME assistance
provided. HOME funds may not be used to support any inherently religious activities. A HOME-
funded organization shall not discriminate, in providing program assistance, against a program
beneficiary or prospective program beneficiary on the basis of religion or religious belief.
A religious organization that participates in the HOME program will retain its independence from
federal, state and local governments, and may continue to carry out its mission including the
definition, practice and expression of its religious beliefs. A HOME-funded religious organization
retains its authority over its internal governance and it may retain religious terms in its
organization's name, select its board members on a religious basis and include religious
references in its mission statements and other governing documents. Faith-based organizations
may use space in their facilities, without removing religious art, icons, scriptures, or other religious
symbols.
HOME funds may not be used for the acquisition, construction, or rehabilitation of structures to the
extent that those structures are used for inherently religious activities. HOME funds may be used
for the acquisition, construction, or rehabilitation of structures only to the extent that those
structures are used for conducting eligible activities under this part. Where a structure is used for
both eligible and inherently religious activities, HOME funds may not exceed the cost of those
portions of the acquisition, construction, or rehabilitation that are attributable to eligible activities in
accordance with the cost accounting requirements applicable to HOME funds. Sanctuaries,
chapels, or other rooms used as its principal place of worship, are ineligible for HOME-funded
improvements. Disposition of real property after the term of the grant, or any change in use of the
property during the term of the grant, is subject to government-wide regulations governing real
property disposition. (See 24 CFR Parts 84 and 85).
If a state or local government voluntarily contributes its own funds to supplement federally funded
activities, the state or local government has the option to segregate the federal funds or commingle
them. However, if the funds are commingled, this section applies to all of the commingled funds.
Maricopa County Human Services Department/Community Development Division 49 of 59

Section II Special Provisions
ATTACHMENT H
REQUEST FOR REIMBURSEMENT COVER LETTER AND CERTIFICATION
CITY/TOWN LETTERHEAD
Date
Ursula Strephans, Assistant Director
Maricopa County Human Services Department
234 N. Central Avenue, Pi Floor
Phoenix, AZ 85004
Dear Renee:
Subject: Reimbursement Request
FY 200-1200 - (HOME, ADDI, CHDO)
The City/Town of is hereby requesting $ of its HOME funds
allocation for reimbursement of expenditures for the following programs/activities:
IDIS# Amount Requested $
Address/Activity
Environmental Release Date
This letter will certify that the City/Town of has complied with the requirements of
the HUD, Maricopa County Community Development, and the specific requirements of the HOME
program in the administration of the above-referenced programs/activities. The City/Town
additionally certifies that financial documents, environmental reviews, and the project files as
required under the HOME program are on file at our office. The required match is certified to be
from non-federal sources and has not been previously used. (Or: No match is required)
Enclosed with this request are the following:
1. HUD-40099 voucher
2. Match documentation
3. Expense documentation
4. HUD I statement (as applicable for acquisitions)
5. Other documentation or certifications as needed
If there are any questions, please contact at (phone number) or email@xxx.gov .
Sincerely,
Name
Title
Maricopa County Human Services Department/Community Development Division 50 of 59

Section II Special Provisions
ATTACHMENT I
HUD-40099
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Section II Special Provisions
ATTACHMENT J.
HOME FUNDS MATCH CERTIFICATION
Maricopa County Human Services Department/Community Development Division 52 of 59

Section II Special Provisions
ATTACHMENT K
CHDO PROGRESS REPORT
Maricopa County Human Services Department/Community Development Division 53 01 59


SECTION III WORK STATEMENT
MARICOPA HOME CONSORTIUM
INFORMATION SHEET
FY2012-2013
CHDO INFORMATION:
AGENCY NAME: Newtown Community Development Corporation
EXECUTIVE DIRECTOR: Allen L, Carlson
CONTACT PERSON: Allen L. Carlson TITLE: Executive Director
ADDRESS: 511 W. University Drive, Suite 4, Tempe, AZ 85281
PHONE: 480.517.1589 FAX: 480.517.1490
E-MAIL ADDRESS: _k_19.mdurs allen new
DUNS # 022225143
APPLICANT TYPE: (CHECK ONE) Owner _X_Developer Sponsor
ACTIVITY INFORMATION:
ACTIVITY NAME: Tempe Community Land Trust Homeownership
ACTIVITY ADDRESS: Scattered Site — to be determined
ACTIVITY SITE ACQUIRED: Yes _X_No
AMOUNT OF FUNDING:
HOME/CHDO CASH MATCH OTHER TOTAL
AMOUNT AMOUNT RESOURCES BUDGET
AMOUNT
$141,592 N/A $327,108 $468,700
COMPLIANCE WITH CONSOLIDATED PLAN:
PRIORITY RATED IN THE CONSOLIDATED PLAN X High Medium Low
LENGTH OF PRIOR COMMITMENT TO TARGET POPULATION (in years)
CONTRACT ADMINISTRATION:
This contract will be administered by the City/Town/County of: Tempe
Maricopa County Human Services Department/Community Development Division 550? 59

SECTION III WORK STATEMENT
MARICOPA HOME CONSORTIUM
WORK STATEMENT— PART B
FY2011-2012
CEEDO NAME: Newtown Community Development Corporation
ACTIVITY NAME: Tempe Community Land Trust Homeownership
SPECIFIC SERVICE AREA: Tempe
ACTIVITY DESCRIPTION: (in accordance with the provisions of 24 CFR Part 92.504(c)(1))
1.1 HOME funds will be used for: (indicate number of HOME assisted units in applicable category)
X Homebuyer Activities Rental Housing Multi-Family Rental (over 5 units)
For rental housing activities: HOME assisted units will be: Fixed Floating
For homeownership activities: CHDO will secure affordability period through:
X_ Resale Provisions Recapture Provisions
Activity Type: (Check one applicable category)
Acquisition Only Acquisition/New Construction New Construction only
Reconstruction Only Acquisition/ Reconstruction Rehabilitation only
_X Acquisition/Rehabilitation Demolition Relocation
Other (specify)
Description of specific activity:
Two eligible households will become first-time homebuyers through acquisition, rehabilitation and
resale of single-family homes through the Community Land Trust. Two permanently-affordable
housing units will be added to the City of Tempe housing stock. See Description of Specific Activity
Continued (p. 60) for development process and resale provisions details.
SERVICE AREA:
City of Tempe
[Region, City, Town, etc. (cannot be entire County)]
1.2 Beneficiaries: Total Number of Households to be served
Households by Income Level: At or below 30% of median
At or below 50% of median but above 30%
At or below 80% of median but above 50%
Other (Specify):
Households by Service Group: Elderly Family Handicap
Other (Specify) First-Time Homebuyers
Beneficiaries income eligibility will be verified by:
Maricopa County Human Services Department/Community Development Division 56 of 59

SECTION III WORK STATEMENT
Initial and subsequent eligibility will be verified by: Using W-2 statements, tax returns, verification of deposit
forms with recent bank statements, and 3 r1 party verification in conjunction with recent pay stubs. Household
size will be documented with social security cards, photo IDs, or birth certificates for all household members.
Definition of income to be used:
Section 8
PERFORMANCE MEASUREMENT SYTEM INFORMATION
A. OBJECTIVES AND OUTCOMES: Check appropriate box below.
OUTCOMES
AVA/L,ARLITY/
ACCESSIBILITY AFFORDABILITY SUSTAINABILITY
• DECENT Housing Rehab _X Homebuyer Housing Activities
HOUSING Em erg. Rehab Activities in a targeted
Rental Housing revitalization area
B. LOGIC MODEL PERFORMANCE INDICATORS:
OUTPUTS
INPUTS/RESOURCES ACTIVITIES PARTICIPATION OUTCOMES OBJECTIVES
Staff Assist 2 households Increased Decent Housing
Homebuyers Homeownership
Funding A/R 2 homes 2 households Improved Decent Housing
Neighborhoods
Contractors A/R 2 homes 2 households Improved Decent Housing
Neighborhoods
C. PERFORMANCE REPORTING GOALS
SCHEDULED ACTIVITY COMPLETION DATE: June 30, 2014
SCHEDULE OF IMPLEMENTATION:
I. TASKS START DATES COMPLETIO
DATES
Homeownership counseling, buyer preparation 7/1/2013 6/30/2014
Acquisition / Rehabilitation 10/1/2013 5/31/2014
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SECTION III WORK STATEMENT
Re-sale of properties 1/30/2014
ACTivrry BUDGET SUMMARY:
V. OTHER vm. TOTAL
III. HOME IV. CASH VI. RE- IX. ACTIVITY
AMOUNT MATCH SOURCES
VII. AMOUNT X. BUDGET
Acquisition $141,592 $158,408 $300,000
Demolition $ 0
New Construction $
Reconstruction $ 0
Rehabilitation $120,000 $120 000
Relocation $ 0
Development Costs (b) $13,000 $13,000
Staff Costs (6) $ 0
Services (b) $
Administration Costs $ 0
Development Fees $35,700 $35,700
Other (Specify) $ 0
TOTALS (for each $141,592 $ 0 $327,108 I $468,700
column)
(a) Provide information if match will be in the form of cash and will be used in this project only.
Do 0/ include non-cash match in this budget.
(b) These costs must be address specific; otherwise, these costs must be considered administrative
costs.
Detailed Activity Budget — Attach a detailed activity budget specific for proposed activity. The
detailed budget should include, at a minimum, each cost component by year.
ACTIVITY MATCH:
xm. SPECIM
XI. AMOUNT XII. FORM OF MATCH SOURCE
$35,398 IDEA / WISH match funds FHLB
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SECTION III WORK STATEMENT
XV. TOTAL
XIV. $35,398 XVII.
CHDO PROCEEDS:
Estimated CHDO Proceeds: $0
CHDO Proceeds will be expended for
All funding would be used for proposed project — any proceeds would be used for
acquisition of additional properties.
COST OVERRUNS:
Cost overruns, although not anticipated, will be handled by;
Private loans financing. Newtown received an equity equivalent investment from Wells Fargo Community
Development Corporation ($450,000), a recoverable grant for affordable housing development from AZ
Community Foundation / LISC ($75,000), and lines of credit with National Bank of Arizona ($750,000).
PROJECT VIABILITY:
I. Would the project be viable if funded at a lower level? _X yes no
2. If the project is not fully funded:
a. Describe the minimum amount needed to complete a viable project. 5_170,000_
b. Describe the revised project size (i.e., number to be served, number of units, etc.)
$170,000 could produce two units.
Marleopa County Human Services Department/Community Development Division 59 of 59

SECTION III WORK STATEMENT
Description of Specific Activity Continued
Development Process and Resale Provisions
In addition to the requirements set forth in Section IV Compensation, Newtown will execute a
Deed of Trust and Note provided by the City of Tempe and naming the city as Beneficiary in
order to secure any funds provided to Newtown as reimbursement for acquisition costs.
Upon resale of the property to an eligible buyer the city will provide a Deed of Release and
Reconveyance (By Beneficiary) for the secured acquisition funds.
Resale provisions will be used to ensure compliance with the period of affordability required by
HUD at 92.254 of the HOME regulation. The affordability restrictions will be secured by a
Community Land Trust (CLT) Ground Lease and a Declaration of Affirmative Land Use
Restrictions.
Community Land Trust (CLT) Ground Lease. Completed units shall be sold through Newtown's
Community Land Trust (CLT) program in which the buyer purchases the improvements only and
enters into a 99-year CLT Ground Lease with DEVELOPER. The CLT Ground Lease contains
provisions that require the housing to be used as the buyer's principal residence and restricts
resale to only Low-Income buyers. In addition, the CLT Ground Lease has a shared-
appreciation provision that limits the sale price of the housing and helps ensure affordability for
future buyers. A Memorandum of Ground Lease and Right of First Refusal are recorded. A
'Performance" Deed of Trust is also recorded with the DEVELOPER as the beneficiary; this
ensures the DEVELOPER is notified in the event the owner of the improvements attempts to
refinance or transfer the property.
The shared appreciation provision conforms to Maricopa HOME Consortium Recapture / Resale
Provisions: 'Fair Return" for leasehold properties is defined as the lessees purchase price, plus
25% of the lessee's share of the increase in leasehold value at time of resale based on a
leasehold valuation performed by a duly licensed appraiser.
Declaration of Affirmative Land Use Restrictions. Upon sale to an eligible buyer, a Declaration of
Affirmative Land Use Restrictive Covenant for HOME Proceeds is executed between the CITY
and DEVELOPER and recorded against the land to secure the Period of Affordability as
required by HUD. The Period of Affordability is based on the total amount of HOME funds
invested in the housing.
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SECTION IV COMPENSATION
Maricopa County
Human Services
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SECTION IV COMPENSATION
A. COMPENSATION
Subject to the availability and authorization of funds for the explicit purposes set forth below,
the AGENCY shall pay the CHDO compensation for services rendered as indicated in the
following subsections
B. METHOD OF PAYMENT
The CHDO shall submit reimbursement requests, including supporting documentation, for
work completed to the ADMINISTRATOR for approval. The CHDO may not request
disbursement of funds until the funds are needed for payment of eligible costs. The amount
of each request must be limited to the amount needed. Project proceeds, if any, must be
disbursed before the CHDO requests funds from the AGENCY. The final request for
payment shall be submitted to the ADMINISTRATOR no later than 30 days before June 30.
2015, in order to meet federal grant requirements. Funds spent after this date shall not be
reimbursed. Reimbursement by the AGENCY is not to be construed as final in the event
that HUD disallows reimbursement for the activity or any portion thereof.
Payments shall be made to all CHDOs by Community Development (CD) of Maricopa
County upon receipt of the following documents:
1. A letter from the CHDO (on official letterhead) which summarizes the dollar amount of
the request, match, program income (if any), project number, release of funds date,
and a certification that documents are on file and that all federal requirements have
been adhered to. Attachment H contains an outline of the required information and
is provided for your assistance.
2. Invoice detailing the payment request.
3. Payment Certification HUD Form 40099 (Attachment l).
4. Proof of payment and a copy of the invoice(s) for which reimbursement is requested.
The HOME Funds Match Certification Form (Attachment J) must be completed for
each pay request. The source documentation for match contribution must be from
non-federal sources, not previously utilized in another program or project, submitted
with the pay request and subsequently be available for monitoring and auditing.
5. A periodic progress report (Attachment K) is to be included, if requested by the
ADMINISTRATOR.
6. No request for reimbursement by a CHDO shall be honored by the AGENCY until the
ADMINISTRATOR reviews the request and approves same for payment.
7. If the CHDO requests funds in advance of an actual payment being made to a
contractor, the CHDO must further certify that it shall disburse funds within three (3)
days of receipt of the funds from AGENCY (Attachment H).
C. REIMBURSEMENT
The AGENCY shall provide financial assistance in an amount up to One hundred forty
one thousand five hundred ninety two dollars ($141.592.00) subject to the terms of this
Agreement and the availability of funds. This reimbursement amount constitutes the
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SECTION IV COMPENSATION
AGENCY's entire participation and obligation in the performance and completion of all work
to be performed under this Agreement.
D. RELEASE OF FUNDS (ROF)
No funds may be encumbered prior to the completion of the Environmental Review.
The ERR shall be completed before any funds are obligated. Funding is also conditioned
upon the completion of the ERR of every activity site by address. The responsibility for
certifying the appropriate ERR and ROF shall rest with the AGENCY. It is the responsibility
of the CHDO to notify the AGENCY and the ADMINISTRATOR, and to refrain from making
any commitments and expenditures on a site until a ROF has been Issued by the AGENCY.
Requested funds shall not be disbursed until these conditions are fully satisfied.
E. ENCUMBRANCE & EXPENDITURE REQUIREMENTS
The CHDO agrees to encumber at least 20% of this Agreement amount within fifteen (15)
months of the start of the funding year. The CI-IDO further agrees to encumber the
remaining unencumbered contract amount within 21 months after the start of the funding
year. These two encumbrance dates are September 30. 2014 and March 31, 2015. All
funds shall be drawn from the Maricopa County letter of credit by June 30. 2015.
If a CHDO does not meet the 15-month encumbrance date, the CHDO shall submit to the
ADMINISTRATOR, a written plan of action to comply with the 15 and 21-month
encumbrance dates. The ADMINISTRATOR shall make a recommendation to the full
Maricopa Home Consortium or quorum at a regular meeting, which shall make the final
decisions as to what action to take, including reallocation of funds according to Maricopa
HOME Consortium Policy and/or termination of this Agreement according to 24 CFR 85.43.
F. GRANT ADMINISTRATION
In accordance with federal regulations, including 24 CFR 92, the AGENCY is responsible for
ensuring the administration of HOME Program funds in accordance with all program
requirements. On behalf of the AGENCY, the ADMINISTRATOR is hereby designated to
fulfill all responsibilities in accordance with program requirements and as ADMINISTRATOR
of this Agreement and shall have all authority to determine performance and to take
appropriate actions as necessary.
Maricopa County Human Services Department/Community Development Division 63 of 59