HomeMy WebLinkAboutAGMT - Orange County (CDBG Assisted Activities - KC06661) 1
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( 1 IDIS #:1661 Amendment No. 1 to
2 Contract No. KC06661
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5 AMENDMENT NO. 1
6 TO CONTRACT NO. KC06661 WITH CITY OF SEAL BEACH AND
7 COUNTY OF ORANGE /HOUSING AND COMMUNITY
8 SERVICES DEPARTMENT City of Seal Beach
9 (CDBG PROGRAM)
10
11 TITLE OF PROJECT: Leisure World ADA Housing Rehabilitation Program MAY 9 2007
12 570.202(a)(1); 14A Rehab: Single Unit Residential
13 D epartment of
--., Development Services
14
15 AMENDMENT NO. 1 TO CONTRACT executed on - °
16
17 BY AND BETWEEN: City of Seal Beach, a municipal
18 Corporation in the State of California, and
19 hereinafter referred to as "SUBRECIPIENT ",
20
21 AND COUNTY OF ORANGE, a political subdivision
22 of the State of California and recognized
23 Urban County under the Federal Housing
24 - and Community Development Act of 1974
25 (Public Law 93 -383), as amended,
26 hereinafter referred to as "COUNTY ".
27
28 RECITALS
29 This Amendment No. 1 is made with reference to the following facts:
30 WHEREAS, the parties hereto on August 21, 2006 entered into the above referenced
31 Contract for $200,000.00 for the Leisure World Housing Rehabilitation Program; and,
32 WHEREAS, the SUBRECIPIENT has submitted to COUNTY a request to amend and /or
33 extend Contract No. KC06661 and, pursuant to Section IV. Amendments, the parties are
34 permitted to extend and /or amend (including, but not limited to, reprogramming of funds,
35 change of scope of services and /or eligible costs items) subject contract; and,
36 WHEREAS, pursuant to Section IV of the above referenced contract, the parties desire
37 to amend Contract No. KC06661 to permit:
38 ❑ the reprogramming of $ from Contract No.
39 to Contract No. •
40
41 ® the amending of the Scope of Services to capture eligible activities and
42 reimbursable costs;
43
44 ❑ the extension of contract term;
45
46 ❑ the increase of funding through reprogramming of available, uncommitted
47 program income and /or recaptured funds.; and,
48
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( 1 } IDIS #: 1661 ndment No. 1 to
2 Contract No. KC06661
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4 EXCEPT AS AMENDED HEREIN, the remainder of Contract No. KC06661 shall remain in
5 full force and effect.
6 NOW THEREFORE. IT IS AGREED BY THE PARTIES HERETO, that the Contract No.
7 KC06661 is hereby amended as follows:
8 A. Contract Changes:
9 1. Delete the following:
10 Page 1, line 11
11 "TILTLE OF PROJECT: - Leisure World ADA Housing Rehabilitation Program"
12 2. The following shall be substituted in place of the above:
13 Page 1, line 11
14 "TITLE OF PROJECT: Leisure World Housing Rehabilitation Program"
15 B. Contract Changes - Scope of Services:
16 1. Delete the following:
17 Page Al, line 14
18 "TITLE OF PROJECT: Leisure World ADA Housing Rehabilitation Program"
19 2. The following shall be substituted in place of the above:
20 Page Al, line 14
21 "TITLE OF PROJECT: Leisure World Housing Rehabilitation Program"
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f 1 IDIS #: 1661 • • Amendment No. 1 to
2 Contract No. KC06661
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4 IN WITNESS WHEREOF, SUBRECIPIENT has caused this Amendment to be executed by
5 its Director of Development Services and its Senior Planner; COUNTY has caused this
6 Amendment to be executed by the Director of Housing and Community Services Department,
7 all having been duly authorized by the City Council of SUBRECIPIENT and the Orange County
8 Board of Supervisors, respectively.
9
10 SUBRECIPIENT:
11 City of Seal Beach,
12 a municipal corporation,
13 in the State of California
14
15
16 By: t � ��/ y _ By: 0 - , .
17 I , Lee Whittenberg Na - a ry Olivera
18 e: Director of Development Serv' es Tit - -nior Planner
19 Date: D. - 2 A/'
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21
22 COUNTY OF ORANGE, a political
23 subdivision in the State of California
24
25 By: M /Lli.,
26 D rector
27 Housing and Community
28 Services Department
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30 ////////////////////////////// /////// /// / / / //////llllll/lll// 111/ tlllll/ll l/l/lllllllllll/ll/l//l///lllll
31 COUNTY COUNSEL
32 APPROVAL AS TO FORM
33
34 Date: April 27, 2004
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s v Contract No. KC06661
IDIS No.: 1661
COUNTY OF ORANGE
HOUSING AND COMMUNITY SERVICES DEPARTMENT
"To work in partnership with and advocate for Orange County's diverse communities, improve lives
by supporting and providing needed community services, strengthen economic viability, and
preserve and expand affordable housing opportunities; thereby enhancing the quality of life for our
community."
Transmittal of Contract
SUBRECIPIENT: City of Seal Beach
PROJECT TITLE: Leisure World ADA Housing Rehabilitation Program
FUNDING SOURCE: CDBG
Accompanying this cover page is the above referenced contract, which includes:
TABLE OF CONTENTS
I. Contract Form
II. Definitions
III. Conditions of Funding
a. Amount of contract: $ 200,000.00
IV. Amendments
V. Payments
VI. General Administration
VII. Performance
VIII. Performance Monitoring
IX. Modifications /Transfers of Real Estate
X. Audits
XI. Federal Administrative Requirements
XII. Environmental Conditions
XIII. Notices
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. Contract No. KC06661
2 IDIS No. 1661
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6 COUNTY OF ORANGE
7 HOUSING AND COMMUNITY SERVICES DEPARTMENT
8 COMMUNITY DEVELOPMENT BLOCK GRANT - PARTICIPATING CITY
9 (Program Year 2006 -07)
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11 ! TITLE OF PROJECT: Leisure World ADA Housing Rehabilitation Program
12 570.202(a)(1) 14A Rehab: Single Unit Residential
13
14 This agreement, hereinafter referred to as "CONTRACT ", is entered into on
15 1
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17 BY AND BETWEEN City of Seal Beach, a municipal corporation,
18 in the State of California, and hereinafter
19 referred to as "SUBRECIPIENT ".
20
21 AND COUNTY OF ORANGE, a political subdivision
22 of the State of California and recognized Urban
23 County under the Federal Housing and
24 Community Development Act of 1974 (Public
25 Law 93 -383), as amended, hereinafter
26 referred to as "COUNTY ".
27
28 RECITALS
29 I This CONTRACT is made with reference to the following facts, among others:
30 WHEREAS, COUNTY has applied for and anticipates receiving funds from the United
31 States Department of Housing and Urban Development, hereinafter referred to as "HUD ",
32 under Title I of the Housing and Community Development Act of 1974 (Public Law 93 -383, as
33 amended) for the purpose of funding projects meeting one of the HUD national objectives;
34 and
35 WHEREAS, COUNTY and Participating Cities previously entered into a Cooperation
36 ! Agreement dated July 1, 2005, as amended, in which both parties agreed to cooperate in the
37 ! undertaking, or assist in the undertaking, of community development and housing assistance
38. ' activities; and
39 WHEREAS, SUBRECIPIENT has submitted to COUNTY an application for funding of a
40 housing and community development activity; and
41 WHEREAS, COUNTY adopted its Annual Action Plan, (hereinafter referred to as
42 I "ANNUAL ACTION PLAN "), including any mid -year amendments, which sets forth the PROJECT
43 described herein; and
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Contract No. KC06661
2 IDIS No. 1661
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5 WHEREAS, HUD, in accordance with 24 CFR Part 570 Subpart 0, 570.902, will annually
6 review the performance of COUNTY to determine whether COUNTY has carried out it's
7 ' Community Development Block Grant (CDBG) assisted activities in a timely manner and has
8 significantly disbursed CDBG funds and met the mandated "1.5 ratio" threshold; and
9 WHEREAS, COUNTY approved an allocation of $200,000 (Two Hundred Thousand
10 Dollars and 00 Cents) in project funding to SUBRECIPIENT for the Fiscal Year 2006 -07; and
11 WHEREAS, HUD has accepted and certified the ANNUAL ACTION PLAN.
12 WHEREAS, COUNTY engages SUBRECIPIENT to assist COUNTY in utilizing aforesaid
13 funds.
14 NOW, THEREFORE, the parties enter into the following:
15 I. CONTRACT FORM
16 This CONTRACT consists of:
17 A. The following provisions;
18 B. All applicable Federal Regulations, including 24 CFR 570;
19 C. Applicable State and COUNTY laws and regulations; and,
20 D. The attached SUBRECIPIENT SCOPE OF SERVICES, which is incorporated as if
21 fully set forth herein; and,
22 E. The attached CHILD SUPPORT PROVISIONS, which are incorporated as if fully
23 set forth herein.
24 II. DEFINITIONS
25 For the purposes of this CONTRACT the following definitions shall apply:
26 A. HUD: United States Department of Housing and Urban Development.
27 B. HOUSING AND COMMUNITY SERVICES DEPARTMENT (HCS): COUNTY
28 department designated as the Lead Agency for the development and implementation of
29 County of Orange Urban County Program's Consolidated Plan.
30 C. DIRECTOR: DIRECTOR of the Orange County Housing and Community
31 Services Department, or designee.
32 D. EQUIPMENT: Tangible, non - expendable, personal property having a useful life
33 of more than one year and an acquisition cost of $5,000 or more per unit.
34 E. PROGRAM INCOME: The gross income received by SUBRECIPIENT directly
35 generated from the use of the subject program funds.
36 F. CONSTRUCTION BID PACKAGE: A package of bidding documents which includes
37 the proposal, bidding instructions, CONTRACT documents, detailed estimated costs, and plans
38 and specifications for a construction project, all prepared in accordance with applicable
39 Federal regulations.
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4 G. GRANTEE PERFORMANCE REPORT (GPR) INFORMATION FORM: A PROJECT
5 activity data document provided by COUNTY to SUBRECIPIENT used to monitor and track the
6 performance of SUBRECIPIENT.
7 H. HOUSING AND COMMUNITY SERVICES (HCS) POLICY ON DOCUMENTING
8 SUBRECIPIENT COSTS: A COUNTY document setting policies regarding types of
9 documentation required to support the costs incurred and paid (including but not limited to
10 copies of paid invoices, certified payroll registers, bank statements, etc.).
11 I. PROJECT: Any site or sites, including buildings, and /or activities assisted with
12 federal program funds.
13 J. PROGRAM ADMINISTRATION: An activity relating to the general management,
14 oversight and coordination of community development programs. Costs directly related to
15 carrying out eligible activities are not included.
16 K. OMB: Federal Office of Management and Budget.
17 L. CAPER: Consolidated Annual Performance and Evaluation Report. An annual
18 published report to HUD and the public on all housing - related activities.
19 M. CDBG: Community Development Block Grant funds.
20 O. SUBSTANTIAL AMENDMENT: The County will consider a change in project
21 scope as a "substantial amendment" under the following circumstances:
22 1. County or subrecipient decides not to carry out an activity previously
23 I described in the Annual Action Plan;
24 j 2. County or subrecipient carries out an activity not previously described in the
25 I Annual Action Plan;
26 I 1 3. County or subrecipient changes the purpose, scope, location or beneficiaries
27 I of an activity;
28 I 4. County or subrecipient changes the use of CDBG funds from one eligible
29 activity to another;
30 I 5. County or subrecipient changes 25% or more in one program activity.
31 III. CONDITIONS OF FUNDING
32 I A. County advises SUBRECIPIENT that a significant change in entitlement funding
33 I may result in a change in the current process utilized by COUNTY to determine funding
34 allocations. SUBRECIPIENT acknowledges that the obligation of the COUNTY is contingent
35 upon the availability of Federal, State or local Government funds, which are appropriated or
36 I allocated for the payment of such an obligation. If funding levels are significantly affected by
37 Federal budgeting or if funds are not allocated and available for the continuance of the
38 I function performed by SUBRECIPIENT, the CONTRACT may be terminated by the COUNTY at
39 I the end of the period for which funds are available. The COUNTY shall notify SUBRECIPIENT at
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5 the earliest possible time of any service, which will or may be affected by a shortage of funds.
6 No penalty shall accrue to the COUNTY in the event this provision is exercised and the
7 COUNTY shall not be obligated nor liable for any damages as a result of termination under
8 1 this provision of this CONTRACT, and nothing herein shall be construed as obligating the
9 COUNTY to expend or as involving the COUNTY in any contract or other obligation for the
10 future payment of money in excess of appropriations authorized by law.
11 I I B. Eligible costs related to services provided by SUBRECIPIENT must be incurred
12 during the period beginning July 1, 2006. The PROJECT shall be completed and all funds
13 provided through this CONTRACT shall be expended on eligible PROJECT activities prior to
14 June 30, 2007. The term of this CONTRACT may be extended upon mutual agreement of the
15 parties in writing in accordance with Section IV.D. below. COUNTY will reclaim any unused
16 balance of funds for reallocation to other COUNTY approved projects if such extension does
17 not occur.
18 C. SUBRECIPIENT may be eligible to request additional funding up to the maximum
19 set forth in the applicable FY 2006 -07 Annual Action Plan if SUBRECIPIENT meets or exceeds
20 any one of the Required Expenditure Thresholds at 50 %, 70% or 80% on or prior to the
21 rmilestone date established herein in Section V.E.3.
22 D. If additional funding is available for allocation to SUBRECIPIENT, SUBRECIPIENT
23 and COUNTY shall first amend the Subrecipient Scope of Services component of this
24 CONTRACT. Furthermore, SUBRECIPIENT shall demonstrate, to the satisfaction of DIRECTOR,
25 that the Expenditure and Performance Thresholds set forth herein Section V.E. 3. and Section
26 VII.B., as amended, will continue to be met before such extension and additional allocation
27 shall be granted.
28 IV. AMENDMENTS
29 A. COUNTY, through its DIRECTOR without further action by the COUNTY's Board
30 of Supervisors (hereinafter referred to as "BOARD ") and SUBRECIPIENT may by mutual
31 I agreement amend and /or extend this CONTRACT and /or incorporated Subrecipient Scope of
32 Services, at any time, up to 45 (forty -five) days prior to CONTRACT expiration, provided that
33 the proposed action is not a SUBSTANTIAL AMENDMENT as defined herein and by the "FY
34 • 2006 -2007 Funding Allocation Policy and Process & Citizen Participation Plan ", any such
35 amendment makes specific reference to this CONTRACT, is executed in writing, and signed by
36 1 a duly authorized representative of the SUBRECIPIENT's organization. SUBRECIPIENT's
37 written request to amend must include a revised budget for funds being extended, if that
38 budget is different in scope from the originally agreed upon SUBRECIPIENT SCOPE OF
39 SERVICES. SUBRECIPIENT must also comply with the original thresholds and milestones
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5 I outlined in Section VII.B. herein. Such amendment shall not invalidate this CONTRACT, nor
6 I relieve or release COUNTY or SUBRECIPIENT from their respective obligations under this
7 CONTRACT. Any proposed amendment to this CONTRACT shall be submitted to DIRECTOR,
8 and approved by DIRECTOR in writing prior to commencement of any activity covered by said
9 I amendment.
10 B. SUBRECIPIENT agrees that COUNTY may, at its sole discretion, amend this
11 CONTRACT to conform with federal, state or local governmental guidelines, policies, and
12 available funding amounts.
13 C. If any amendment results in a change in the funding amount, SUBRECIPIENT
14 SCOPE OF SERVICES, threshold and milestone dates or schedule of activities to be
15 undertaken as part of this CONTRACT, such modifications will be incorporated only by written
16 amendment executed by DIRECTOR and SUBRECIPIENT.
17 D. CONTRACT Extension
18 1. The term of this CONTRACT and the provisions herein may be extended
19 to cover an additional time period as specified herein.
20 2. The date for PROJECT completion and expenditure of all funds may be
21 extended by the DIRECTOR without further action by the BOARD for a period not to exceed
22 six (6) months from June 30, 2007. All extension approvals must be in writing and signed by
23 the DIRECTOR. In the event of such extension, the deadline for submittal of invoices shall be
24 forty -five (45) days after the new expiration date.
25 3. CONTRACT extension provisions are not applicable to PROGRAM
26 ADMINISTRATION activities.
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27 IV. PAYMENTS
28 1 A. Funds from COUNTY to SUBRECIPIENT shall be disbursed subsequent to
29 availability of funds from HUD to COUNTY.
30 I B. Funds shall not be disbursed for any costs incurred prior to the certification by
31 COUNTY and /or HUD of Certificate(s) of Insurance and environmental compliance, as further
32 defined in Section VI and Section XII of this CONTRACT. Additionally, when applicable, no
33 funds shall be disbursed prior to submittal of certified payroll documentation to COUNTY with
34 each invoice package /request for payment, as further defined in Section XI.
35 C. CONTRACT Amount
36 I It is expressly agreed and understood that the total amount to be paid by
37 COUNTY under this CONTRACT shall not exceed $200,000. Reimbursement for the payment
38 of eligible project expenses shall be made in accordance with the budget specified in Section
39 II. of SUBRECIPIENT SCOPE OF SERVICES.
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5 D. Readiness
6 SUBRECIPIENT shall be required to demonstrate to COUNTY its readiness to
7 immediately initiate its PROJECT upon execution of this CONTRACT by providing to the
8 COUNTY documentation including, but not limited to, the following: Board or Council
9 Minutes /Resolution; Awarded bid documents with timeline requirements; and, executed
10 Architects and Engineers (hereinafter referred to as "A &E ") contract with specific project
11 timelines consistent with funding. By September 30, 2006 SUBRECIPIENT shall provide
12 COUNTY a Project Readiness Checklist incorporating the status of all PROJECT- phasing
13 milestones. In the case of milestones not yet reached, SUBRECIPIENT shall provide projected
14 target dates for when said milestones will be met. The Project Readiness Checklist shall
15 dearly demonstrate that SUBRECIPIENT will meet the "Required Expenditure Thresholds"
16 established herein Section V. E. 3. SUBRECIPIENT acknowledges that said Project Readiness
17 Checklist may be considered to evaluate the performance of the SUBRECIPIENT.
18 E Payment of Project Activities
19 1. COUNTY will reimburse SUBRECIPIENT for eligible project- related costs only.
20 SUBRECIPIENT shall submit requests for reimbursement to COUNTY on a quarterly basis
21 beginning on July 1, 2006, and must provide adequate documentation as required by COUNTY
22 in accordance with the COUNTY's Housing and Community Services Department, (hereinafter
23 referred to as "HCS ") Policy for Documenting Subrecipient Costs. In addition, SUBRECIPIENT
24 will provide a progress performance report (i.e. Grantee Performance Report hereinafter
25 referred to as "GPR" Information Form) for the time period covered, as prescribed by
26 COUNTY. Failure to provide any of the required documentation and reporting will cause
27 COUNTY to withhold all or a portion of a request for reimbursement, or return the entire
28 reimbursement package to SUBRECIPIENT, until such documentation and reporting has been
29 received and approved by COUNTY.
30 2. If SUBRECIPIENT has no request for reimbursement during any quarter
31 during the term of this CONTRACT, a GPR, including an explanation as to why no invoices
32 were being processed, shall be required in lieu of a request for reimbursement.
33 3. The following "Required Expenditure Threshold" criteria has been
34 established to guide the SUBRECIPIENT in structuring and scheduling their expenditure of
35 funds received through this CONTRACT. The criteria thresholds are consistent with the
36 criteria used by HCS to determine performance including, but not limited to, determinations of
37 future award of funds, additional funding requests and /or determinations for the recapture of
38 funding.
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5 Minimum Required
6 Milestone Date Expenditure Threshold
7 November 30, 2006 50% of Contracted Amount Expended
8 January 31, 2007 70% of Contracted Amount Expended
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10 4. SUBRECIPIENT will have forty -five (45) days following the expiration of
11 the CONTRACT to submit—outstanding invoices for reimbursement of eligible costs incurred
12 during the CONTRACT period. After the forty -five (45) day period for submitting invoices has
13 expired, COUNTY shall reallocate the remaining balance under this CONTRACT for other
14 program purposes and SUBRECIPIENT shall be ineligible for any further reimbursement.
15 F. Program Income
16 I . 1. SUBRECIPIENT shall comply with regulations set forth in 24 CFR
17 570.504, as well as all applicable State or COUNTY regulations concerning the reporting and
18 I payment procedures for program income.
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19 2. All Program Income accrued shall be returned to COUNTY or drawn down
20 prior to SUBRECIPIENT receiving any reimbursement from grant funds provided under this
21 CONTRACT. SUBRECIPIENT agrees to execute the appropriate COUNTY standardized
22 CONTRACT when returning and using program income funds.
23 3. SUBRECIPIENT shall provide information of the receipt of PROGRAM
24 INCOME by SUBRECIPIENT related to PROJECT on all GPR INFORMATION FORMS submitted
25 with requests for reimbursement.
26 1 4. SUBRECIPIENT shall complete and submit a Year -End Program Income
27 Worksheet, including any reimbursement remittance necessitated therein, by July 15,
28 following the fiscal year in which this CONTRACT is in force.
29 VI. GENERAL ADMINISTRATION
30 A. SUBRECIPIENT shall provide the oversight, administration, and project
31 management necessary to accomplish all contracted activities in a timely manner.
32 SUBRECIPIENT also agrees to comply with all applicable federal, state, and local laws and
33 regulations governing the funds provided under this CONTRACT.
34 B. Independent Contractor
35 Nothing contained in this CONTRACT is intended to, or shall be construed in any
36 manner, as creating or establishing the relationship of employer /employee between the
37 parties. SUBRECIPIENT and its subcontractors shall at all times remain independent
38 contractors with respect to the services to be performed under this CONTRACT. COUNTY shall
39 be exempt from payment of any Unemployment Compensation, FICA, retirement, life and /or
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5 medical insurance and Workers' Compensation Insurance as SUBRECIPIENT and its
6 j subcontractors are independent contractors.
7 C. Hold Harmless
8 ; . SUBRECIPIENT shall hold harmless, defend with counsel approved in writing by
9 COUNTY and indemnify COUNTY, its elected and appointed officials, officers, employees,
10 agents and those special districts and agencies which COUNTY's Board of Supervisors acts as
11 1 the governing board ( "COUNTY IMDEMNITEES ") from any and all claims, actions, suits,
12 charges and judgments whatsoever including but not limited to personal injury or property
13 damage that arise out of SUBRECIPIENT's and /or its subcontractor's use of funds,
14 performance or nonperformance of the project and /or scope of work called for in this
15 CONTRACT. •
16 D. Assignability
17 SUBRECIPIENT shall not assign or transfer any interest in this CONTRACT
18 without the prior written consent of COUNTY.
19 E. Subcontracts
20 1. SUBRECIPIENT shall submit all subcontract agreements to COUNTY for
21 I review and consent prior to entering into such subcontracts. For construction subcontracts,
22 SUBRECIPIENT shall submit the Construction Bid Package. to COUNTY for review and written
23 approval by DIRECTOR prior to advertising for bids and award for the construction contract.
24 SUBRECIPIENT shall construct project in accordance with the Construction Bid Package, which
25 i DIRECTOR approved, unless prior written approval is received from DIRECTOR for
26 modification thereof:
27 2. SUBRECIPIENT shall assume responsibility for all subcontracted services
28 to assure CONTRACT compliance.
29 3. SUBRECIPIENT shall cause this CONTRACT, in its entirety, to be included
30 in and made a part of any subcontract executed in the performance of this CONTRACT.
31 4. SUBRECIPIENT shall monitor all subcontracted services on a quarterly
32 basis to assure CONTRACT compliance.. Results of said monitoring efforts shall be
33 summarized in written form, and supported with documented evidence of follow -up action(s)
34 to correct any area(s) of CONTRACT non - compliance. Documentation shall be made available
35 for periodic monitoring by representatives of COUNTY and /or HUD.
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3 1 F. Relocation
4 SUBRECIPIENT shall, in all matters relating to the project:
5 I 1. Take all reasonable steps to minimize displacement by providing tenants
6 reasonable opportunity to lease and occupy dwelling units in the project being improved; and,
7
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9 1 2. When applicable, submit to COUNTY a Plan outlining financial and
10 advisory assistance in securing temporary housing for any eligible tenant who is temporarily
11 ' or permanently relocated due to the project.
12 3. Comply with the Uniform Relocation Assistance and Real Property
13 Acquisition Policies Act of 1970, as amended by the Uniform Relocation Act /URA, 49 CFR Part
14 24 and 24 CFR 570.606 for persons displaced by the project; and,
15 • 4. Have in effect and follow a residential anti - displacement and relocation
16 plan required under section 104(d) of the Housing and Community Development Act of 1974,
17 as amended, in conjunction with any activity assisted with funding under the subject
18 program.
19 G. Fair Housing
20 SUBRECIPIENT shall affirmatively further fair housing in accordance with 24
21 CFR 570.904.
22 H. Insurance
23 No costs shall be incurred and no funds shall be disbursed prior to written
24 certification of approval by COUNTY of insurance fulfillment.
25 1. SUBRECIPIENT, at its own expense, agrees to deposit with COUNTY prior
26 to the execution and provision of services under this CONTRACT, Certificates of Insurance,
27 including all endorsements required herein, necessary to satisfy COUNTY that the insurance
28 provisions of this CONTRACT have been complied with, and to keep such insurance and the
29 certificates therefore on deposit with COUNTY during the entire term of this CONTRACT. In
30 addition, all contractors and subcontractors performing work on behalf of SUBRECIPIENT
31 pursuant to this CONTRACT shall be covered under SUBRECIPIENT's insurance or shall obtain
32 insurance subject to the same terms and conditions as set forth herein for SUBRECIPIENT.
33 SUBRECIPIENT shall require that any contractor or subcontractor working for SUBRECIPIENT
34 have the insurance required by this section and not allow contractors or subcontractors to
35 work if the contractors or subcontractors have Tess than the level of coverage required by the
36 1 COUNTY under this CONTRACT. SUBRECIPIENT shall provide notice of the insurance
37 ; requirements to every contractor or subcontractor, and to receive proof of insurance prior to
38 allowing any contractor or subcontractor to begin work. Such proof of insurance must be
39 maintained by SUBRECIPIENT through the entirety of this CONTRACT for inspection by
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4 , COUNTY representative at any reasonable time. All insurance policies required by this
5 !CONTRACT shall declare any deductible or self- insured retention (SIR) in an amount in excess
6 ! of $25,000 ($5,000 for automobile liability) which shall specifically be approved by COUNTY
7 Executive Office /Office of Risk Management. SUBRECIPIENT shall be responsible for
8 reimbursement of any deductible to the insurer.
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10 2. SUBRECIPIENT shall maintain insurance acceptable to COUNTY in full
11 force and effect throughout the term of this CONTRACT. If SUBRECIPIENT fails to maintain
12 , insurance acceptable to COUNTY for the full term of this CONTRACT, COUNTY may terminate
13 I this CONTRACT.
14 3. The policy or policies of insurance must be issued by an insurer licensed
15 to do business in the State of California (California Admitted Carrier).
16 4. Minimum insurance company ratings as determined by the most current
17 edition of the Best's- Key Rating Guide /Property- Casualty /United . States or ambest.com
18 shall be A- (Secure Best's Rating) and VIII (Financial Size Category). SUBRECIPIENT will file
19 with COUNTY, prior to the commencement of performance of services under this CONTRACT,
20 an original Certificate of Insurance and all required endorsements evidencing that coverage
21 required by this CONTRACT is in effect.
22 5. If the carrier is a non - admitted carrier in the State of California, COUNTY
23 Executive Office /Office of Risk Management retains the right to approve or reject carrier after
24 a review of the company's performance and financial ratings.
25 6. The policy or policies of insurance maintained by SUBRECIPIENT shall
26 provide the minimum limits and coverage as set forth herein below:
27 Coverage Minimum Limits
28 Commercial General Liability_ to $1,000,000 combined single limit
29 include a Broad Form Property per occurrence
30 Damage Endorsement, including the
31 Peril of Fire, and Contractual Liability $2,000,000 Aggregate
32 Automobile Liability including all $1,000,000 combined single limit
33 owned non -owned and hired vehicles per occurrence
34 Workers' Compensation Statutory
35 Sexual Misconduct $1,000,000 per occurrence
36 Employer's Liability $1,000,000 per occurrence
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4 7. Each insurance policy required by this CONTRACT shall be endorsed to
5 ; contain the following provisions:
6 j a. This insurance shall not be changed, cancelled, limited in scope of
7 I coverage or non - renewed until after 30 days written notice has been given to COUNTY of
8 11 Orange /HCS (Endorsement must be attached to Certificate of Insurance).
9 i If a 30 -day notice of cancellation endorsement is not received,
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10 I the cancellation clause must include language as follows, which edits the pre - printed ACORD
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11 certificate: Should any of the above described policies be cancelled before the expiration date
12 j thereof, the issuing company will mail 30 days written notice to the certificate holder named
13 as: County Of Orange /Housing and Community Services Department.
14 b. All rights of subrogation are hereby waived against COUNTY, it's
15 elective and appointed officials, officers and employees when acting within the scope of their
16 employment or appointment, and COUNTY and their Board or Commissions, which are
17 governed by COUNTY Board of Supervisors. (Endorsement must be attached to Certificate of
18 Insurance).
19 c. As respects operations of the named insured performed on behalf
20 of COUNTY, COUNTY is added as an additional insured except for Workers'
21 Compensation /Employers' Liability. (Endorsement must be attached to Certificate of
22 I Insurance).
23 d. SUBRECIPIENT is aware of the provisions of Section 3700 of the
24 California Labor Code which requires every employer to be insured against liability for
25 Worker's Compensation or be self- insured in accordance with the provisions of that code. The
26 SUBRECIPIENT will comply with such provisions and shall furnish the COUNTY satisfactory
27 evidence of such compliance for the period of this contract, statutory Worker's Compensation
28 Insurance and Employer's Liability Insurance with minimum limits of $1,000,000 per
29 occurrences.
I
30 1 e. It is agreed that any insurance maintained by COUNTY will apply
31 1 in excess of, and not contribute with, insurance provided by this policy. (Endorsement must
32 be attached to Certificate of Insurance for the General Liability policy).
33 f. Commercial General Liability policy shall contain a severability of
34 interests clause.
35 IN
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5 8. Insurance information shall be submitted to:
6 County Of Orange
7 j Housing and Community Services Department
8 Attention: Community Development Services
9 1770 North Broadway
10 Santa Ana, CA 92706 -2642
11 9. Upon written advice of COUNTY's Risk Manager, any of the above
12 insurance types may be increased or waived due to current insurance marketplace conditions.
13 In addition, COUNTY Risk Manager retains the right to require additional insurance coverage
14 as may be deemed appropriate to adequately protect COUNTY. COUNTY's requirements shall
15 be reasonable and shall be designed to assure protection from and against the kind and
16 extent of risks, which exist at the time a change in insurance is required.
17
18 ! 10. COUNTY shall notify SUBRECIPIENT in writing of changes in the
19 insurance requirements. If SUBRECIPIENT does not deposit copies of acceptable certificates
20 of insurance and endorsements with COUNTY incorporating such changes within thirty (30)
21 days of receipt of such notice, this CONTRACT may be in default without further notice to
22 , SUBRECIPIENT, and COUNTY shall be entitled to all legal remedies.
23 The procuring of such required policy or policies of insurance shall not be
24 I construed to limit SUBRECIPIENT's liability hereunder or to fulfill the indemnification
25 provisions and requirements of this CONTRACT.
26 I. Grantor Recognition
27 SUBRECIPIENT shall insure recognition of the role of the COUNTY in providing
28 services through this CONTRACT. All activities, facilities and items utilized pursuant to this
29 CONTRACT shall be prominently labeled as to funding source. In addition, SUBRECIPIENT will
30 include a reference to the support provided herein in all publications made possible with funds
31 made available under this CONTRACT. SUBRECIPIENT will retain documentation of such
32 recognition, which shall be available for periodic monitoring by representatives of COUNTY or
33 HUD.
34 J. Records to be Maintained
35 SUBRECIPIENT shall maintain all records required by the Federal regulations
36 specified in 24 CFR 570.503(b)(2), 570.506, 570.507 and 570.508 that are pertinent to the
37 activities to be funded under this CONTRACT. Such records shall include, but not be limited
38 to:
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4 1. Records providing a full description of each activity undertaken;
5 2. Records demonstrating that each activity undertaken meet one of the
6 National Objectives of the CDBG program;
7 3. Records required to determine the eligibility of activities;
8 4. Records required to document the acquisition, improvement, use, or
9 disposition of real property acquired or improved with CDBG assistance;
10 5. Records documenting compliance with the fair housing and equal
11 opportunity components of the CDBG program;
12 6. Financial records as required by 24 CFR 570.502, and OMB Circular A-
13 87; and
14 7. Other records necessary to document compliance with Subpart K of 24
15 CFR 570.
16 K. Retention
17 SUBRECIPIENT shall retain all records pertinent to expenditures incurred under
18 this CONTRACT for a period of five (5) years after the termination of all activities funded
19 under this CONTRACT, or after the resolution of all Federal audit findings, whichever occurs
20 later. Records for non - expendable property acquired with funds under this CONTRACT shall
21 be retained for five (5) years after final disposition of such property. Records for any
22 displaced person must be kept for five (5) years after s /he has received final payment.
23 L. Client Data
24 1. SUBRECIPIENT shall maintain client data demonstrating client eligibility
25 for services provided for a period of five (5) years after the termination of all activities funded
26 under this CONTRACT, or after the resolution of all Federal audit findings, whichever occurs
27 later. Such data shall be consistent and include, but not be limited to, client name, address,
28 verifiable income level (as documented by income tax returns, employee payroll records,
29 retirement statements, etc. or other third party documentation acceptable to COUNTY, for
30 determining eligibility), and description of service provided. Such information shall be made
31 available to HUD representatives, COUNTY monitors, or their designees, for review upon
32 request.
33 2. SUBRECIPIENT shall develop and implement procedures to ensure the
34 confidentiality of records pertaining to any individual provided family violence prevention or
35 treatment services under any project assisted under the subject program, including protection
36 against the release of the address or location of any family violence shelter project, except
37 with the written authorization of the person responsible for the operation of the shelter.
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4
5 M. Property Records .
6 SUBRECIPIENT shall maintain real property inventory records, which clearly
7 identify properties purchased, improved, or sold. Properties retained shall continue to meet
8 eligibility criteria, rental limitations, health, safety and building codes, etc., and shall conform
9 with the "changes in use" restrictions specified in 24 CFR 570.505.
10 N. Close -Out /
11 SUBRECIPIENT's obligation to COUNTY shall not end until all close -out
12 requirements are completed. Activities during this close -out period shall be completed in
13 accordance with 24 CFR 570.509 and shall include, but are not limited to: making final
14 payments; submitting final invoice(s), report(s), in accordance with the requirements of
15 paragraph V.E.4 above, and documentation; disposing of program assets (including the return
16 to COUNTY of all unused materials and equipment); remitting any program income balances
17 and receivable accounts to COUNTY, and determining the custodianship of records.
18 O. Equipment
19 SUBRECIPIENT shall use, manage and dispose of equipment in accordance with
20 24 CFR 85.32 and 24 CFR 570.502.
21 VII. PERFORMANCE
22 A. SUBRECIPIENT shall comply with all applicable HUD regulations, as described in
23 Section XI of this CONTRACT, concerning administrative requirements and maintain records
24 as to services provided and total number of persons served through the project, including but
25 I not limited to, population -served analysis (i.e. extremely -low income persons, very-low
26 income persons, and low- income persons as defined by HUD). Such information shall be
27 1 available for periodic monitoring by representatives of COUNTY or HUD and shall be submitted
28 I by SUBRECIPIENT in report form to COUNTY by dates specified by COUNTY.
29 B. The following "Performance Threshold" criteria shall be used to assess the level
30 j of performance of the SUBRECIPIENT. Furthermore, the criteria will be considered by HCS
31 when determining future funding. In order to be considered in compliance with the following
32 performance criteria, the SUBRECIPIENT must, on or before the required milestone date,
33 submit to HCS a request for reimbursement which demonstrates that SUBRECIPIENT has
34 expended funds and met their proposed accomplishment goals at the required levels, unless
35 exempted in writing by the DIRECTOR.
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4
5
6 Minimum
7 . Performance Expenditure and
8 Milestone Date Accomplishment Thresholds
9 October 31, 2006 30% of Contracted Amount Expended and
10 30% of Proposed Accomplishments Met
11 November 30, 2006 50% of Contracted Amount Expended and
12 50% of Proposed Accomplishments Met
13 January 31, 2007 70% of Contracted Amount Expended and
14 70% of Proposed Accomplishments Met
15 March 31, 2007 80% of Contracted Amount Expended and
16 80% of Proposed Accomplishments Met
17 Failure to achieve at least the aforementioned 50% drawdown, without written
18 exemption approved by the DIRECTOR, may cause any remaining balance in this CONTRACT
19 I,to be reclaimed by COUNTY, and will negatively affect future funding to SUBRECIPIENT.
20 Failure to achieve the aforementioned 80% drawdown goal, without written
21 exemption approved by the DIRECTOR, may cause any remaining balance in this CONTRACT
22 to be reclaimed by COUNTY, and will impact future funding to SUBRECIPIENT.
23 C. SUBRECIPIENT shall complete and submit a Year End GPR Information Form by
24 !July 15, following the fiscal year in which this CONTRACT is in force.
25 D. Should the activity being funded through this CONTRACT be completed,
26 cancelled or terminated prior to the termination date set forth herein in Section III. B.,
27 SUBRECIPIENT shall complete and submit a Mid-Year End GPR at the time of the completion,
28 cancellation or termination. Said GPR Information Form shall consist of a cumulative reporting
29 of project-related expenditures and accomplishments relative to the attached SUBRECIPIENT
30 SCOPE OF SERVICES. If activity funded through this CONTRACT is completed, or if funds
31 allocated through this CONTRACT are fully expended, prior to end of CONTRACT term,
32 SUBRECIPIENT must continue to serve it's clients for the entire term of this CONTRACT.
33 E. SUBRECIPIENT shall complete and submit a GPR in support of all requests for
34 reimbursement. Said GPR shall consist of a cumulative report of project-related
35 accomplishments relative to attached SUBRECIPIENT SCOPE OF SERVICES for the subject
36 quarter. If at any time during the term of this CONTRACT SUBRECIPIENT has no activity
37 occur during any quarter, SUBRECIPIENT shall prepare and submit to COUNTY a Quarterly
38 GPR, regardless of actual activity.
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5 F. SUBRECIPIENT acknowledges that the GPR Form is a monitoring tool that will
6 be reviewed and evaluated to determine SUBRECIPIENT's level of performance relative to this
7 CONTRACT.
8 G. SUBRECIPIENT shall submit all requested data necessary to complete the
9 Consolidated Annual Performance and Evaluation Report (CAPER), and monitor program
10 accountability and progress in accordance with HUD requirements, in the format and at the
11 'time designated by COUNTY.
12 VIII. PERFORMANCE MONITORING
13 A. Performance monitoring of SUBRECIPIENT by COUNTY and/or HUD shall consist
14 of requested, and/or required written reporting, as well as onsite monitoring by COUNTY or
15 HUD representatives.
16 B. COUNTY shall periodically evaluate SUBRECIPIENT's progress in complying with
17 the terms of this CONTRACT. SUBRECIPIENT shall cooperate fully during such monitoring.
18 COUNTY shall report the findings of each monitoring to SUBRECIPIENT.
19 C. COUNTY shall monitor the performance of SUBRECIPIENT against the goals,
20 !outcomes, milestones and performance standards required herein. Substandard performance,
21 as determined by COUNTY, will constitute non-compliance with this CONTRACT for which
22 COUNTY may immediately terminate the CONTRACT. If action to correct such substandard
23 performance is not taken by SUBRECIPIENT within the time period specified by COUNTY,
24 payment(s) will be denied in accordance with the provisions contained in Section V of this
25 CONTRACT.
26 IX. MODIFICATIONS/TRANSFERS OF REAL PROPERTY
27 A. Any proposed modification or change in use of real property acquired or
28 improved, in whole or in part, by CDBG funds from the use planned at the time of the
29 acquisition or improvement, including disposition, is expressly prohibited.
30 B. SUBRECIPIENT shall ensure that any real property under SUBRECIPIENT's
31 control that was acquired or improved in whole or in part with CDBG funds in excess of
32 $25,000 is either:
33 1. Used to meet one of the national objectives contained in 24 CFR
34 570.208 for a period not less than five years, or for such period of time as determined to be
35 appropriate by COUNTY, after expiration of the CONTRACT and close-out of SUBRECIPIENT's
36 participation in the CDBG Program, or, until five years after the close-out of the grant from
37 which the assistance to the property was provided, whichever occurs first; or,
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4 2. Disposed of in a manner that results in COUNTY being reimbursed in an
5 . amount equal to the current fair market value of the property Tess any portion of the value
6 attributable to expenditures of non -CDBG funds for acquisition of, or improvement to, the
7 I property. Such reimbursement is not required after the period of time specified in accordance
8 with IX. B. 1. above.
9 l X. AUDITS
10 If SUBRECIPIENT expends Federal funds in a fiscal year which equal or exceed
11 $500,000 (five hundred thousand dollars and no cents) as specified in OMB Circular A -133-
12 Revised, SUBRECIPIENT shall cause an audit at SUBRECIPIENT's expense to be prepared by a
13 Certified Public Accountant (CPA) who is a member in good standing with the American
14 Institute of Certified Public Accountants (AICPA) of the California Society of CPA's. The audit
15 must be performed annually in accordance with Generally Accepted Auditing Standards
16 1 1(GRAS) authorized by the AICPA and Federal laws and regulations governing the programs in
17 which it participates. Furthermore, COUNTY retains the authority to require SUBRECIPIENT to
18 submit similarly prepared audit at SUBRECIPIENT's expense even in instances when
19 SUBRECIPIENT's expenditure is less than $500,000. SUBRECIPIENT will be required to
20 identify corrective action taken in response to any findings identified by CPA related to their
21 I funded activity or program.
22 SUBRECIPIENT shall submit two (2) copies of such audit report, including a copy of the
23 management letter, to COUNTY within six (6) months of the end of each CONTRACT year in
24 which SUBRECIPIENT has received federal funding (i.e. July1 - June 30). Failure to meet
25 I this requirement may result in COUNTY denying reimbursement of funds to SUBRECIPIENT,
26 as well as future funding qualification. SUBRECIPIENTS, which are exempt from statutory
27 audit requirements, shall maintain records, which are available for review by COUNTY or
28 Federal officials. SUBRECIPIENT acknowledges that any and all "Financial Statements"
29 submitted to COUNTY pursuant to this COUNTY become Public Records and are subject to
30 public inspection pursuant to Sec.6250 et seq. of the California Government Code.
31 XI. FEDERAL ADMINISTRATIVE REQUIREMENTS
32 A. Financial Management
33 1 1. Accounting Standards
34 I SUBRECIPIENT agrees to comply with Office of Management and Budget
35 (herein referred to as "OMB ") Circular A -87 and agrees to adhere to the accounting principles
36 I and procedures required therein, utilize adequate internal controls, and maintain necessary
37 j source documentation for all costs incurred.
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5 2. Cost Principles
6 I SUBRECIPIENT shall administer its program in conformance with OMB
7 Circulars A -122, "Cost Principles for Non-Profit Organizations," or A -21, "Cost Principles for
8 Educational Institutions, ".(and if SUBRECIPIENT is a governmental or quasi - governmental
9 agency, the applicable sections of 24 CFR 85, "Uniform Administrative Requirements for
10 Grants and Cooperative Contracts to State and Local Governments /') as applicable. These
11 principles shall be applied for all costs incurred whether charged on a direct or indirect basis.
12 B. Civil Rights
13 1. Compliance
14 SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of
15 1964, as amended, Title VIII of the Civil Rights Act of 1968, as amended, Section 109 of the
16 Title I of the Housing and Community Development Act of 1974, Section 504 of the
17 Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, the Age Discrimination
18 I Act of 1975, Executive Order 11063, and with Executive Order 11246, as amended by
19 Executive Orders 11375 and 12086.
20 I 2. Nondiscrimination
21 SUBRECIPIENT. shall not discriminate against any employee or applicant
22 for employment because of race, color, creed, religion, ancestry, national origin, sex,
23 disability or other handicap, age, marital status, or status with regard to public assistance.
24 I SUBRECIPIENT will take affirmative action to insure that all employment practices are free
25 I from hiring, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff, and
26 termination discrimination. Such employment practices include but are not limited to the
27 following: rates of pay or other forms of compensation, and selection for training, including
28 apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees
29 1 and applicants for employment, notices to be provided by the COUNTY setting forth the
30 provisions of this nondiscrimination clause.
31 3. Rehabilitation Act
32 I SUBRECIPIENT agrees to comply with any federal regulations issued
33 pursuant to compliance with Section 504 of the Rehabilitation Act of 1973, (29 U S.C. 706)
34 which prohibits discrimination against the handicapped in any federally assisted program.
35 I COUNTY shall provide SUBRECIPIENT with any guidelines necessary for compliance with that
36 portion of the regulations in force during the term of this CONTRACT.
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4 C. Drua -Free Workplace
5 SUBRECIPIENT shall continue to provide a drug free workplace by:
6 1. Publishing a statement notifying employees that the unlawful
7 manufacture, distribution, dispensing, possession, or use of a controlled substance is
8 prohibited in the SUBRECIPIENT's workplace and specifying the actions that will be taken
9 against employees for violation of such prohibition;
10 2. Establishing an ongoing drug -free awareness program to inform
11 employees about:
12 a. The dangers of drug abuse in the workplace;
13 b. The SUBRECIPIENT's policy of maintaining a drug -free workplace;
14 c. Any available drug counseling, rehabilitation, and employee
15 assistance programs;
16 d. The penalties that may be imposed upon employees for drug
17 abuse violations occurring in the workplace;
18 3. Making it a requirement that each employee engaged in the
19 performance of the grant be given a copy of the statement required by paragraph C.1;
20 4. Notifying the employee in the statement required by paragraph C.1.
21 that, as a condition of employment under the grant, the employee will:
22 a. Abide by the terms of the statement;
23 b. Notify the employer in writing of his or her conviction for a
24 I violation of a criminal drug statute occurring in the workplace, no later than five (5) calendar
25 I days after such conviction;
26 5. Notifying COUNTY in writing, within ten (10) calendar days after
27 receiving such notice as stated under paragraph C.4(b) from an employee or otherwise
28 receiving actual notice of such conviction. Employers of convicted employees must provide
29 notice, including position title, to every grant officer or other designee on whose grant activity
1
30 the convicted employee was working, unless COUNTY has designated a central point for the
31 receipt of such notices. Notice shall include the identification number(s) of each affected
32 grant; and
33 I 6. Taking one of the following actions, within thirty ( 30) calendar days of
34 receiving notice, as stated under paragraph C.4(b), with respect to any employee who is so
35 convicted:
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5 a. Taking appropriate• personnel action against such an employee,
6 up to and including termination, consistent with the requirements of the Rehabilitation Act of
7 1973, as amended; or,
8 b. Requiring such employee to participate satisfactorily in a drug
9 abuse assistance or rehabilitation program for such purposes by Federal, State, or local
10 health, law enforcement, or other appropriate agency.
11 1 D. Affirmative Action
12 SUBRECIPIENT agrees that it shall be committed to carry out an Affirmative
13 Action Program that encompasses the principles provided in President's Executive Order
14 11246, as revised on January 4, 2002.
15 E. Americans with Disabilities Act
16 SUBRECIPIENT agrees to comply with any federal regulations issued pursuant
17 to compliance with the Americans with Disabilities Act which prohibits discrimination and
18 ensures equal opportunity for persons with disabilities in employment, State and local
19 government services and public accommodations.
20 F. Employment Restrictions
21 1. Prohibited Activity
22 SUBRECIPIENT is prohibited from using funds provided herein, or
23 personnel employed in the administration of the program, for: political activities, sectarian or
24 religious activities, lobbying, political patronage, and nepotism activities.
25 2. OSHA
26 Where employees are engaged in activities not covered under the
27 Occupational Safety and Health Act of 1970, they shall not be required or permitted to work,
28 be trained, or receive services in buildings or surroundings or under working conditions, which
29 are unsanitary, hazardous or dangerous to the participants' health or safety.
30 3. Labor Standards
31 a. SUBRECIPIENT agrees to contact COUNTY no less than fourteen
32 (14) days prior to bid opening date to seek consultation regarding application of requirements
33 per federal labor standards regulations or Davis -Bacon related Acts.
34 b. As this CONTRACT is funded In whole or part by Federal funds,
35 SUBRECIPIENT will comply with Federal Labor Standards, as referred to in this CONTRACT. If
36 the Federal Davis -Bacon determinations differ from the State Prevailing Wage requirement,
37 SUBRECIPIENT will not pay less than the higher of the two rates.
38 c. SUBRECIPIENT will comply with Davis -Bacon and /or State
39 Prevailing Wage requirements, when applicable.
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4 I d. As applicable to the subject activity and project, SUBRECIPIENT
5 1 agrees to comply with the requirements of the Secretary of Labor in accordance with the
6 Davis -Bacon Act as amended, the provisions of Contract Work Hours and Safety Standards
7 Act, the Copeland "Anti- Kickback" Act (40 U.S.C. 276, 327 -333), and all other applicable
8 I federal, state and local laws and regulations pertaining to labor standards insofar as those
9 acts apply to the performance of this CONTRACT. If applicable, SUBRECIPIENT shall maintain
10 documentation, which demonstrates compliance with hour and wage requirements of this
11 part. Such documentation shall be made available to COUNTY for review upon request.
12 ; e. SUBRECIPIENT agrees that, except with respect to the
13 rehabilitation or construction of residential property designed for residential use for less than
14 eight (8) units, all contractors engaged under contracts in excess of $2,000.00 for
15 construction, renovation or repair of any building or work financed in whole or in part with
16 assistance provided under this CONTRACT, shall comply with federal requirements pertaining
17 to such Contracts and with the applicable requirements of the regulations of the Department
18 of Labor, under 29 CFR, Parts 3, 1, 5, 7 and 1926 governing the payment of wages and ratio
19 of apprentices and trainees to journeymen; provided, that if wage rates higher than those
20 required under the regulations are imposed by state or local law, nothing hereunder is
21 I intended to relieve SUBRECIPIENT of its obligation, if any, to require payment of the higher
22 rate. SUBRECIPIENT shall cause or require to be inserted in full, in all such Contracts subject
23 to such regulations, provisions meeting the requirements of this paragraph.
24 e. In cases where Davis -Bacon applies, SUBRECIPIENT agrees to
25 submit the Construction Bid Package for this project to DIRECTOR for review and written
26 approval prior to advertising for bids and award of the construction Contract. SUBRECIPIENT
27 shall construct project in accordance with the Construction Bid Package, which DIRECTOR
28 approved, unless prior written approval is received from DIRECTOR for modification there
29 from.
30 4. California Labor Code Compliance
31 a. If Prevailing Wage laws apply, SUBRECIPIENT hereby agrees to
32 ' pay, or cause its subcontractors to pay, Prevailing Wage rates at all times for all construction,
33 improvements, or modifications to be completed for COUNTY under this CONTRACT.
34 SUBRECIPIENT herein agrees that SUBRECIPIENT shall post, or cause to be posted, a copy of
35 the most current, applicable Prevailing Wage rates at the site where the construction,
36 improvements, or modifications are performed.
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5 b. Payroll Records
6 SUBRECIPIENT agrees that:
7 Certified copies of all payroll records for this project shall be
8 required pursuant to the provisions of California Labor Code Section 1776. The reporting
9 format and words of certification shall be as indicated in Title 8 California Code of Regulations
10 Section 16401.
11 Certified copies of payroll records of all subcontractors working
12 on this project are required. It shall be the responsibility of the prime contractor to ensure
13 subcontractor compliance.
14 Certified copies of all payroll records shall be submitted on a
15 weekly basis to COUNTY through the duration of this CONTRACT.
16 SUBRECIPIENT acknowledges that failure to comply with Section
17 1776 may result in a forfeiture of twenty -five dollars ($25) for each calendar day, or portion
18 1 1 thereof, for each worker, until strict compliance is effectuated, and it should be recognized
19 that a contractor or subcontractor, or agent or representative thereof who neglects to comply
20 1 is guilty of a misdemeanor pursuant to Labor Code Section 1777.
21 5. Economic Opportunities
22 a. Compliance
23 This Contract is may be subject to the requirements of Section 3
24 of the Housing and Urban Development Act of 1968 (12 USC 1701u) as amended, the HUD
25 regulations issued pursuant thereto at 14 CFR, Part 135, and any applicable rules and orders
26 of HUD issued thereunder prior to the execution of this contract. If applicable, compliance
27 with the aforementioned provisions of "Section 3 ", shall be a condition of the federal financial
28 assistance provided under this CONTRACT. Failure to fulfill these requirements shall subject
29 1 SUBRECIPIENT and any sub - subrecipients, their successors and assigns, to those sanctions
30 specified by the contract through which federal assistance is provided. SUBRECIPIENT
31 certifies and agrees that no contractual or other disability exists which would prevent
32 compliance with requirements.
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4
5 The Contractor agrees to abide by the Section 3 clause, as set
6 forth in 24 CFR, 135.20(b), below and will also cause this Section 3 clause to be inserted in
7 any subcontracts executed with third parties for work covered by this Contract.
8 "The work to be performed under this contract is subject to the requirements of
9 section 3- of the Housing and - Urban Development Act of 1968, as amended, - 12
10 U.S.C. 1701u (section 3). The purpose of section 3 is to ensure that employment
11 and other economic opportunities generated by HUD assistance or HUD - assisted
12 projects covered by Section 3, shall, to the greatest extent feasible, be directed to
13 low- and very low- income persons, particularly persons who are recipients of HUD
14 assistance for housing.
15 The parties to this contract agree to comply with HUD's regulations in 24 CFR part
16 135, which implement Section 3. As evidenced by their execution of this contract,
17 the parties to this contract certify that they are under no contractual or other
18 impediment that would prevent them from complying with the part 135
19 regulations.
20 The contractor agrees to send to each labor organization or representative of
21 workers with which the contractor has a collective bargaining agreement or other
22 understanding if any, a notice advising the labor organization or workers'
23 representative of the contractor's commitments under this section 3 clause, and
24 will post copies of the notice in conspicuous places at the work site where both
25 employees and applicants for training and employment positions can see the
26 notice. The notice shall describe the section 3 preference, shall set forth minimum
27 number and job titles subject to hire, availability of apprenticeship and training
28 positions, the qualifications for each; and the name and location of the person(s)
29 taking applications for each of the positions; and the anticipated date the work
30 shall begin.
31 The contractor agrees to include this section 3 clause in every subcontract subject
32 to compliance with regulations in 24 CFR part 135, and agrees to take appropriate
33 action, as provided in an applicable provision of the subcontract or in this section
34 3 clause, upon a finding that the subcontractor is in violation of the regulations in
35 24 CFR part 135. The contractor will not subcontract with any subcontractor where
36 the contractor has notice or knowledge that the subcontractor has been found in
37 violation of the regulations in 24 CFR part 135.
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3 The contractor will certify that any `vacant employment positions, including
4 training positions, that are filled (1) after the contractor is selected but before the
5 contract is executed, and (2) with persons other than those to whom the
6 regulations of 24 CFR part 135 require employment opportunities to be directed,
7 were not filled to circumvent the contractor's obligations under 24 CFR part 135.
8 Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions,
9 termination of this contract for default, and debarment or suspension from future
10 HUD assisted contracts.
11 With respect to work performed in connection with section 3 covered Indian
12 housing assistance, section 7(b) of the Indian Self- Determination and Education
13 Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under
14 this contract. Section 7(b) requires that to the greatest extend feasible (1)
15 preference and opportunities for training and employment shall be given to
16 Indians, and (ii) preference in the award of contracts and subcontracts shall be
17 given to Indian organizations and Indian -owned Economic Enterprises. Parties to
18 this contract that are subject to the provisions of section 3 and section 7(b) agree
19 to comply with section 3 to the maximum extent feasible, but not in derogation of
20 compliance with section 7(b)."
21 6. Hatch Act
22 SUBRECIPIENT agrees that no funds provided, nor personnel employed
23 under this CONTRACT, shall be in any way or to any extent engaged in the conduct of political
24 activities in violation of the Hatch Act, 5 U.S.C. Section 1501 et seq.
25 7. Conflict of Interest
26 SUBRECIPIENT agrees to abide by the provisions of 24 CFR 570.611,
27 OMB Circulars 102 and 110, as applicable, with respect to conflicts of interest, and covenants
28 that it presently has no financial interest and shall not acquire any financial interest, direct or
29 indirect, which would conflict in any manner or degree with the performance of services
30 required under this CONTRACT. SUBRECIPIENT further covenants that in the performance of
31 this CONTRACT no person having such a financial interest shall be employed or retained by
32 SUBRECIPIENT hereunder. These conflict of interest provisions apply to any person who is an
33 employee, agent, consultant, officer, or elected official or appointed official of COUNTY or
34 SUBRECIPIENT, or any designated public agencies which are receiving funds under the CDBG
35 Entitlement program.
36 1M
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4 I
5 I G. Copyright
I
6 If this CONTRACT results in any copyrightable material, COUNTY and /or grantor
7 agency reserves the right to royalty -free, non - exclusive, and irrevocable license to reproduce,
8 publish or otherwise use and to authorize others to use, the work (i.e., photographs and the
9 like) for government purposes.
10 H. Religious Organization
11 SUBRECIPIENT agrees that funds provided under this CONTRACT will not be
12 utilized for religious activities, to promote religious interest, or for the benefit of a religious
13 organization in accordance with the federal regulations. However, in accordance with HUD
14 Notice CPD 04 -10, issued September 29, 2004, SUBRECIPIENT shall provide and promote
15 equal treatment to all faith -based organizations in administering its federal HUD activities.
16 I. Anti - Lobbying
17 SUBRECIPIENT certifies that:
18 1. No Federal appropriated funds will be paid, by or on behalf of it, to any
19 person for influencing or attempting to influence an officer or employee of any agency, a
20 . Member of Congress, an officer or employee of congress, or an employee of a Member of
21 Congress in connection with the awarding of any Federal Contract, the making of any Federal
22 grant, the making of any Federal loan, the entering into of any Cooperative Agreement, and
23 the extension, continuation, renewal, amendment, or modification of any Federal Contract,
24 grant, loan, or Cooperative Agreement;
25 2. SUBRECIPIENT will complete and submit Standard Form -LLL "Disclosure
26 of Lobbying Activities," if any funds other than Federal appropriated funds have been paid, in
27 accordance with its instructions; and,
28 3. SUBRECIPIENT shall include subject anti - lobbying certification in award
29 ; documents for all sub - subrecipients at all tiers (including sub - subcontracts, sub - subgrants, and
30 Contracts under grants, loans, and Cooperative Agreements) and that all sub - subrecipients shall
31 certify and disclose accordingly.
32 XII. ENVIRONMENTAL CONDITIONS
33 A. SUBRECIPIENT shall comply with HUD Environmental Review under HUD
34 regulations at 24 CFR 58, which implement the National Environmental Policy Act (NEPA);
35 and, the California Environmental Quality Act (CEQA). No costs shall be incurred and no
36 funds shall be disbursed prior to certification by COUNTY and /or HUD of environmental
37 compliance.
38 ///
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• Contract No. KC06661
2 IDIS No. 1661
3
4 B. SUBRECIPIENT shall incur no costs for any project - related activity defined in
5 I SUBRECIPIENT SCOPE OF SERVICES and COUNTY shall not disburse funds prior to
6 1 certification by COUNTY and /or HUD for environmental compliance.
7 C. SUBRECIPIENT shall provide requested materials to COUNTY for the
8 Environmental Review process required by applicable regulations.
9 D. Air and Water
10 SUBRECIPIENT agrees to comply with the following regulations insofar as they
11 apply to the performance of this CONTRACT:
12 1. Clean Air Act, 42 U.S.C., 1857, et seq.
13 2. Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251, et
14 seq. .
15 3. Environmental Protection Agency (EPA) regulations pursuant to 40 CFR
16 50 and 58, as amended.
17 E. Flood Disaster Protection
18 SUBRECIPIENT agrees to comply with the requirements of the Flood Disaster Protection Act of
19 1973, including as applicable any regulations set forth in 24 CFR 55 (implementing Executive
20 Order 11988), in regard to the sale, lease or other transfer of land acquired, cleared, or
21 improved under the terms of this CONTRACT, as it may apply to the provisions of this
22 CONTRACT.
23 F. Lead -Based Paint
24 SUBRECIPIENT agrees that any construction or rehabilitation of residential
25 structures with assistance provided under this CONTRACT shall be subject to HUD Lead -Based
26 Paint Regulations at 24 CFR 570.608, and 24 CFR 35, and in particular Sub -Part B thereof.
27 Such regulations pertain to all HUD - assisted housing and require that all owners, prospective
28 owners, and tenants or properties constructed prior to 1978 be properly notified with the
29 "Protect Your Family From Lead In Your Home" (http: / /www.epa.gov /lead) that such
30 properties may include lead -based paint.
31 G. Historic Preservation
32 SUBRECIPIENT agrees to comply with the Historic Preservation requirements
33 set forth in the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470) and
34 the procedures set forth in 36 CFR 800, Protection of Historic Properties, insofar as they apply
35 to the performance of this CONTRACT.
36 In general, this requires concurrence from the State Historic Preservation
37 Officer for all rehabilitation and demolition of historic properties that are fifty years old or
38 Polder or that are included on a Federal, State, or local historic property list.
39 /1/
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• • Contract No. KC06661
2 IDIS No. 1661
3
4
5 H. Energy Efficiency Standards
6 SUBRECIPIENT agrees to comply with the California Energy Commission
7 Assembly Bill 970, Title 24, Part I of the California Code of Regulations (AB970: Building
8 Efficiency Energy Standards), in regard to construction and property development, when
9 applicable.
10 XIII. NOTICES
11 1 Any communication with COUNTY and SUBRECIPIENT concerning this CONTRACT shall
12 I be directed as follows:
13 COUNTY:
14 I • County of Orange
15 Housing and Community Services Department
16 1770 North Broadway
17 Santa Ana, California 92706 -2642
18 I Attention: Chief, Contract Administration Section
19
i
20 I SUBRECIPIENT:
21 • City of Seal Beach
22 . 211 Eighth Street
23 Seal Beach, California 90740
24 Attention: Paul Da Veiga
25
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j ; Aft Contract No. KC06661
2 I IDIS No. 1661
3
4
5 I IN WITNESS WHEREOF, CITY has caused this CONTRACT to be executed by its Director
6 l of Development Services and its Senior Planner; COUNTY has caused this CONTRACT to be
7. j executed by the DIRECTOR of the Housing and Community Services Department; all having
8 been duly authorized by the City Council of SUBRECIPIENT and the Orange County Board of
9 Supervisors, respectively.
10
11 SUBRECIPIENT*:
12
13 City of Seal Beach,
14 a municipal corporation,
15 in the State of California
16
17 BY: - 41_/ `�" B
18 a • -. Lee Whittenburg Name: P:uI Da -
19 Title: Director of Development Services Title: Se for PI ner
20 I Date: ��', Date:
21
22 *For Contractors /Vendors that are a corporation. Signature requirements are as follows:
23 1) One signature by the Chairman of the Board, the President or any Vice President,
24 And
25 2) One signature by the Secretary, any Assistant Secretary, the Chief Financial Officer
26 or an Assistant Treasurer.
27 For Contractors /Vendors that are not a corporation, the person who has authority to bind
28 the Contractor /Vendor to a CONTRACT must sign on one of the lines above.
29
30
31
32 COUNTY OF ORANGE, a political
33 subdivision of the State of California
34
35 By:
36 DIRECTOR,
37 Housing and Community
38 Services Department
39
40 Date:
41
42 COUNTY COUNSEL,
43 APPROVAL AS TO FORM:
44
45
46 Date: April 5, 2006
47 1 ///
48 ///
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1 •
Scope of Services
2 CDBG Contract No. KC06661
3 IDIS No. 1661
4 •
5 COMMUNITY DEVELOPMENT BLOCK GRANT
6 SUBRECIPIENT SCOPE OF SERVICES
7 (Program Year 2006 -07)
8
9
10 This Scope of Services is part of the Contract between the County of Orange
11 and City of Seal Beach, SUBRECIPIENT, dated
12 It is incorporated into that Contract as though fully set forth therein:
13
14 TITLE OF PROJECT: Leisure World ADA Housing Rehabilitation Program
15 SUBRECIPIENT: City of Seal Beach
16 ACTIVITY: Housing 570.202 (a) (1)
17 MATRIX CODE: 14A Rehab: Single Unit Residential
18
19 I. SCOPE OF SERVICES
20 A. Activities
21 SUBRECIPIENT will be responsible for administering a Year 2006 -07
22 Community Development Block Grant project described as follows in a manner
23 satisfactory to the COUNTY and consistent with any standards required as a condition
24 of providing these funds:
25 Project Description
26 Funds will be used to complete the rehabilitation of 30 -35 single - family units in
27 the Leisure World Community of Seal Beach. The rehabilitation work will consist of
28 modifications to the interior living space of each unit to provide greater accessibility
29 to each bathroom. No exterior rehabilitation work will occur. The work will include
30 modifications for accessibility to bathrooms, including showers and sinks as needed.
31 /1/
32 ///
33 1/1
34 ///
35 /11
36 ///
- Al -
•
1 Scope of Services
2 CDBG Contract No. KC06661
3 IDIS No. 1661
4
5 B. In addition to the normal administrative services required as part of this
6 Contract, the SUBRECIPIENT agrees to meet the following level(s) of
7 accomplishment:
8 Scope of Work
9 Use of Funds Level of Accomplishment
10 No. 1: Housing Rehabilitation 30 Units
11
12 C. National Objective
13 The subject activities are consistent in complying with the following
14 national objective as set forth in 570.208 (a) (3).
15 Direct Benefit - Low and Moderate Income: Low Mod Housing
16
17 D. Program Impact (outcomes): describe to what extent this activity delivered
18 the desired outcomes in the community or in the lives of the persons assisted:
19 2. Decent Affordable Housing. 2. Affordability
20 II. BUDGET
21 A. This contract is in an amount not to exceed $200,000.00(Two Hundred
22 Dollars and 00/100).
23 B Project Funding Budget
24 1. The subject proposal will be financed under this contract as
25 follows:
26 Housing Rehabilitation 570.202 (a) (1) $ 200,000.00
27
28 Total $ 200,000.00
29 ///
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31 • /1/
32 /1/
33 /1/
34 /1/
35 /1/
36 /1/
- A2 -
•
• •
1 Scope of Services
2 CDBG Contract No. KC06661
3 .. IDIS No. 1661
4
5
6 2. Funds shall be used for the following items:
7 Costs relating to the 'rehabilitation of single - family units in the Leisure World
8 Community of Seal Beach. The rehabilitation work will consist of modifications to the
9 interior living space of each unit to provide greater accessibility to each bathroom.
10 No exterior rehabilitation work will occur. The work will include modifications for
11 accessibility to bathrooms, including showers and sinks as needed.
12
13 3. Line items identified in Section II.B.1. above are to be considered
14 as estimates. Compensation for costs incurred during the life of this contract may
15 be reallocated between said line items. Upon written request by SUBRECIPIENT and
16 written approval by the DIRECTOR, compensation may be reallocated to address any
17 costs incurred for previously unbudgeted uses eligible under the applicable State and
18 Federal regulations, particularly the Federal regulations at CFR 24 Part 570. 202 (a)
19. (1).
20
21 III. SUBRECIPIENT CONTACT
22 City of Seal Beach
23 211 Eighth Street
24 Attention: Paul Da Veiga
25 Phone: (562) 431 -2527
26 Fax: (562) 431 -4067
27
28 COUNTY COUNSEL
29 APPROVAL AS TO FORM:
30 Date: April 5, 2006
-A3-
•
•
1 Exhibit to Contract No. KC06661
2 IDIS No. 1661
3
4 Housing and Community Services Department
5 Child Support Provisions
6
7
8
9 These Child Support Enforcement Provisions have been approved by the Orange County Board
10 of Supervisors and are hereby incorporated into Contract No. KC06661 at the direction of the
11 Director, Housing and Community Services Department.
12
13
14 PROVISIONS
•
15
16 Child Support Enforcement Requirements
17 1. In order to .comply with child support enforcement requirements of the
18 County of Orange, within 30 days of award of contract, contractor agrees to furnish to the
19 contract administrator:
20 a. In the case of an individual contractor, his /her name, date of
21 birth, Social Security number, and residence address;
22 b. In the case of a contractor doing business in form other than as
23 an individual, the name, date of birth, Social Security number, and residence address of each
24 individual who owns an interest of 10 percent or more in the contracting entity;
25 c. A certification that the contractor has fully complied with all
26 applicable federal and state reporting requirements regarding its employees; and
27 d. A certification that the contractor has fully complied with all
28 lawfully served Wage and Earnings Assignment Orders and Notices of Assignment and will
29 continue to so comply.
30 COUNTY COUNSEL
31 APPROVAL AS TO FORM:
32 Date: April 6, 2006
33
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40
- CS1
� \ • •
1 Exhibit to Contract No. KC06661
2 IDIS No. 1661
3
4
5 2. The certification will be stated as follows:
6 "I certify that City of Seal Beach is in full compliance with all applicable federal and
7 state reporting requirements its employees and with all lawfully served Wage and
8 Earnings Assignment Orders and Notices of Assignment and will continue to be in
9 compliance throughout the term of Contract No. KC06661 with the County of Orange.
10 I understand that failure to comply shall constitute a material breach of the contract
11 and that failure to cure such breach within 60 calendar days of notice from the County
12 shall constitute grounds for termination of the contract without cost to the County."
13 It is expressly understood that this data will be transmitted to
14 government agencies charged with the establishment and enforcement of child support orders
15 and for no other purposes.
16 Failure of the contractor to timely submit the data and /or certifications
17 required above or to comply with all federal and state reporting requirements for child support
18 enforcement or to comply with all lawfully served Wage and Earnings Assignment Orders and
19 Notices of Assignment shall constitute a material breach of the contract. Failure to cure such
20 breach within 60 calendar days of notice from the County shall constitute grounds for
21 termination of the contract.
22 ///
23 ///
24 ///
25 ///
26 ///
27 ///
28 ///
29 ///
30 ///
31 ///
32
-CS2-
.� • •
1 Exhibit to Contract No. KC06661
2 IDIS No. 1661
3
4 ORANGE COUNTY CHILD SUPPORT ENFORCEMENT
5 CERTIFICATION REQUIREMENTS
6
7 A. In the case of an individual contractor, his /her name, date of birth, S ocial Security
8 number, and residence address:
9
10 Name:
11 D.O.B.:
12 Social Security No:
13 Residence Address:
14
15
16 B. In the case of a contractor doing business in a form other than as an individual, the
17 name, date of birth, Social Security number, and residence address of each individual
18 who owns an interest of 10 percent or more in the contracting entity:
19
20 Name:
21 D.O.B.:
22 Social Security No:
23 Residence Address:
•
24
25
26 Name:
27 D.O.B.:
28 Social Security No:
29 Residence Address:
30
31
32 Name:
33 D.O.B.:
34 Social Security No:
35 Residence Address:
36
37
38 OC Form 5 -21 -98
39
-CS3-
.� • •
1 Exhibit to Contract No. KC0661
2 IDIS No. 1661
3
4 CERTIFICATION OF COMPLIANCE
5
6
7
8
9
10 "I certify that is in full compliance with
11 (Contractors Name)
12 all applicable federal and state reporting requirements regarding its employees and
13 with all lawfully served "Wage and Earnings Assignments Orders" and "Notices of
14 Assignments" and will continue to be in compliance throughout the term of:
15
16 1) Contract No. KC06661 or,
17
18 2) the Contract for City of Seal Beach, ADA Housing Rehabilitation Program with the
19 County of Orange. I understand that failure to comply shall constitute a material breach of
20 the contract and that failure to cure such breach within 60 calendar days of notice from the
21 County shall constitute grounds for termination of the contract without cost to the County."
22
23 B P. . / . // ' . '
24 Auth Signature
25 . me: Lee Whittenberg
26 Title: Director of Development Services
27
28
29
30 By: AMP • _
31 i thor ed'' _ _ - -
32 Na -: Pau 'a Veiga
33 Title: Senior Planner
34
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40
41 ///
42
43 ///
44
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46
47 /// .
48
49 ///
50 OC Certification 5 -21 -98
-CS4-