HomeMy WebLinkAboutAgenda Report - July 7, 1993 (64)j OF
CITY OF LODI
COUNCIL COMMUNICATION
AGENDA TITLE: Consider Authorizing Mayor to Sign Urban County Cooperation
Agreement
MEETING DATE: July 7, 1993
PREPARED BY: Community Development Director
RECOMMENDED AC"ION: That the City Council authorize the Mayor to sign the
UrSan County Cooperation Agreement which establishes the
basis for the distribution of Community Development Block
Grant and NOME funds.
BACKGROUND INFORMATION: The agreement
the past in
agreement for
both.
FUNDING: None required.
Prepared by Eric Veerkamp
JBS/EV/cg
is different from what has been approved in
that instead of approving a separate
each program, one agreement will apply to
3�m B. Schroe r
unity Development Director
APPROVED �� _
THOMAS A. PETERSON ecycieoapTape
City Manager A
cc -t
CCCD93. 30/T1ATt;. C1C_.
I URBAN COUNTY
2 COMMUNITY DEVELOPMENT BLOCK GRANT AND
3 HOME INVESTMENT PARTNERSHIP ACT
4 COOPERATION AGREEMENT
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6 THIS AGREEMENT is entered into this 2 it day of 1olz 1993, by and between the City of
7 Lodi . hereinafter referred to as Recipient, and the County of San Joaquin, hereinafter referred
8 to as County.
9 WHEREAS, the Recipient is a duly constituted corporation under the laws of the State of
10 California, and is empowered thereby to undertake essential community development and housing
11 assistance activities, specifically urban renewal and publicly assisted housing; and
12 WHEREAS, the County is duty constituted subdivision of the State of California, and is also
13 empowered by State law to undertake essential community development and housing assistance
14 activities, specifically urban renewal and publicly assisted housing; and
15 WHEREAS, Goverment Code Sections 6500, et seq., authorize two or more public agencies to
.116 jointly exercise any power common to both; and
17 WHEREAS, the County shall be responsiole'ur the application for grants available to the Urban
18 County; and
19 WHEREAS, it is mutually desired by the parties hereto to enter into a Cooperation Agreement, in
20 accord with the Housing and Community Development Act of 1974, as amended, and applicable Federal
21 rules and regulations adopted pursuant therein, whereby the oarties shall jointly undertake community
22 development and houp' .g assistance activities financed in whole or in part by Community Development
23 Block Grant (CDBG) funds; and
24 WHEREAS, tfie Department of Housing and Urban Development requires the County, as grant
25 applicant, to enter into written agreement with recipients of Home Investment Partnership Act (HOME)
26 funds, pursuant to 24 CFR 92.504.
27 NOW, THEREFORE, BE IT RESOLVED as follows:
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I. The parties hereto agree to cooperate to undertake, or assist in undertaking. community
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renewal and lower income housing assistance activities, specifically urban renewal and
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publicly assisted housing, pursuant to the Housing and Community Development Act of
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1974, as amended, and HOME Program guidelines, 24 CFR Part 92.
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II. The parties agree that:
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A. CDBG Allocation
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Annual CDBG allocations will be distributed to the Recipient based on the criteria
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contained in the Urban County Allocation Agreement adapted by both the
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Recipient and the County.
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B. CDBG Eligible Activities
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Each activity undertaken shall meet ore of the mandated national objectives, set
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forth in 24 CFR 570.208. Final determination's of eligibility shall be made by the
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County, and provided to the Recipient.. Eligible activities may include the
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following:
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1. Activities which benefit low and moderate income persons. The
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Recipient shall document income limits applied, and the point in time
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when the benefit was determined.
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2. Activities which benefit low and moderate income persons based on the
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ai na served by the activity. The Recipient shall documenr•
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a. The boundaries of the service area; and
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b. The income characteristics of families and unrelated individuals
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in the service area.
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3. Activities which benefit low and moderate income persons because the
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activity involves a far "ity or service designed for use by a limited clientele
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consisting exclusively or predominantly of low and moderate income
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persons. The Recipient shall document:
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a The facility or service is designed for, and used by, senior
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citizens, handicapped persons, battered spouses, abused
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children, the homeless, illiterate persons, or migrant farm workers
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(presumptive low/mod benefit); or
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b. The nature and, if applicable, the location of the facility or service
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and that it is used predominantly by low and moderate income
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persons; or
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C. The size and annual income of the family of each person
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receiving the benefR.
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4. Activities which benefit low and moderate income persons based on the
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creation of jobs. The Recipient shall provide:
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a A copy of a written agreement from each assisted business
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containing:
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(1) a commitment by the business that it will make at least
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St % of the jobs available to low and moderate income
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persons, and will provide training for any of these jobs
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requiring special skills or education; and
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(2) a listing by job title of the permanent jobs to be created,
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which jobs require special skills or education. and which
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jobs are part-time. if any; and
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(3) a description of actions to be taken by the Recipient and
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business to ensure that low/ mod income persons receive
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first consideration for these jobs.
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b. A listing by jot• title of the permanent jobs filled, and which jobs
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of those were available to low/mod income persons. and a listing
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of low/mod income persons interviewed for a particular job; and
which low and moderate income persons were hired.
5. Activities which benefit low and moderate income persons based on the
retention of jobs. The Recipient shall provide:
a. Evidence that, in the absence of CDBG assistance, jobs would
be lost; and
b. For each business assisted, a listing by job title of permanent
jobs retained; and
C. For each retained job claimed to be held by a low/mod income
person, information of the size and annual intone of the
person's family.
6. Activities which aid in the prevention or elimination of slums or blight
based on addressing one or more of the conditions which qualified an
area as a slum or blighted area. The Recipient shall provide:
a. The boundaries of the area; and
b. A description of the condi ions which qualified the area at the
time of its designatirn in sufficier' detail to demonstrate how the
area met the slum and/or blight c: iteria.
7. Activities which meet a community development need having a particular
urgenrf. The Recipient shat! document:
a. The nature and degree of seriousness of the condition, requiring
assistance; and
b. That the CDBG activity was designed to address the urgent
need; and
C. The timing of the dove' -ailment of the serious condition; and
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CL Evidence that confirm that other financial resources to alleviate
the need were not available.
CDBG Eligibility Determination
The Recipient shall demonstrate that an eligibility determination was made as
prescribed in 24 CFR 570.201. Final determination's of efigibil'pty shall be made
by the County, and provided to the Reclplent.
CDBG Property Acquisition or Improvement
The Recipient shall document any real property acquisition or improvement in
whole or in part using CDBG funds that exceeds $25,000. A subrec.pient may
not change the use, or planned use, of any such property. (including the
aneficiaries of such use), from that for which the acquisition or improvement was
made, for five years after the closeout of the grant, unless the Recipient provides
affected citizens with reasonable notice of, and opportunity to comment on, any
such proposed change, and either:
1. The new use of such property qualifies as meeting one of the national
objectives, and is not a building for the ganerat con ,�uct of government.
or
2. The property is disposed of in a manner which results in the amount of
the current fair market value of the CDBG funded acquisition or im-
provement, and the Recipient's CDBG Program is reimbur,-.d in this
amount.
CDBG Citizen Participation
The Recipient shall comply with the citizen participation requirements as follows:
1. Provide citizens with information concerning the amount of CDBG funds
expected to be available, and
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2. Prm.de citizens with the range of activities that may be undertaken with
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CDBG funds; and
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3. Hold at least one public hearing to obtain citizen views on community
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needs; and
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4. Publish community -wide. its proposed statement of community devel-
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opment objectives and projected use of CDBG funds so as to afford
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affected citizens the opportunity to comment.
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F. CDBG Subrecipient Agreements
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The Recipient shall enter into agreements with all subrecipients that, at a
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minimum, includes the requirements of this agreement, and the following:
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1. Suspension or termination may occur if the subrecipient materially fails
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to comply with any term of the award in accordance with 24 CFR 85.43,
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and that the award may be terminated for coiwenience in accordance
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with 24 CFR 85.44; and
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2 Where applicable the subreceipient will comply with conditions pre -
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scribed in 24 CFR 570.2000 for the use of funds by religious organiza-
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tions.
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G. CDBG Recordkeeping
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The Recipient shall establish and maintain sufficient records to enable The
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Department of Housing and Urban Development (HUD), to determine whether the
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Recipient has met the requirements of 24 CFR 570, Community Development
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Nock Grant Program. At a minimum, the following records are needed:
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1. Records providing a full description of each activity assisted (or being
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assisted) with CDBG funds including its location the amount of CDBG
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funds budgeted, obligated and expended for the activ;ty and the eligibility
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provision.
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H.
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CDBG Reports
The Recipient shall submrt the following performance andlor evaluation reports
to the County to facilitate mandaied reporting to HUD:
1. A quarterly calendar report of progress and accomplishments for all
funded activities, to include a quantitative list of activity beneficiary
type(s); and
2. An annual equal employment opportunity report (HUD/EEO-4) on
Recipient empk,,yment, containing data as of June 30th; and
3. A semi-annual Minority Business Enterprise Report by March 30th,
indicating contract and subcontract activity during the first half of the
fiscal year and, by September 30th, a report on such activity during the
second had of the year and
4. The Recipient's may be required to submit such other reports and infor-
mation as HUD determines are necessary to carry out its responsibilities.
CDBG Program Income
The Recipient shall inform the County of any program income generated by
exp^n: iture of CDBG funds. Program income earned by the Recipient is to be
returned to ma County or retained by the Recipient. Where program income is
to be retained by the Recipient, program income may be used only for eligible
activities, subject to all applicable requirements governing the use of CDBG
funds. When the subrecipient retains program income, program income shall be
substantially disbursed before additional drawdowns of grant funds are made for
the same activity. Upon close-out or change in status, the Recipient shall return
to the County all program income on -hand and received subsequent to close-out
or change in status.
CDBG Administration
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I As the primary general-purpose local government unit under the Housing and
2 Community Development Act of 1974, as amended, it shall be the responsibility
3 of the County to appy for grants, to administer all funds received, and to
4 undertake or assist in undertaking essential community development and housing
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assistance activities.
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1. The County shall maintain records in accordance with applicable statutes
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and regulations and with approved accounting procedures, and said
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records shall be available for public inspection at all times: and
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2 The County and the Recipient shall take all required actions necessary
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to comply with:
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a. Section 104 (b) of Title 1 of the Housing and Community Devel-
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opment Act of 1974, as amended, including Title VI of the C;: l
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Rights Act of 1964, Title Vlll of the Civil Rights Act of 1968,
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Section 109 of Title I of the Housing and Community Develop -
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ment Act of 1974, and other applicable laws, and
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b. Provision of the National Environmental Policy Act of 1969.
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K. CDBG Uniform Administrative Requirements
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The Recipient shall comply with applicable uniform administrative requirements,
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as described in 24 CFR 570.502 and the Urban County's certification required by
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Section 104 (b) of Title I the Housing and Community Development Act of 1974,
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as amended including Tile VI of the Civil Rights Act of 1964, Title Vlll of the Civil
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Rights Act of 1968, Section 109 of Title I of the Housing and Community
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Development Act of 1975, and other applicable laws.
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L Reversion of CDBG Assets
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The Recipient and any of its subrecipients shall, at the expiration of the CDBG
grant, transfer to the County any CDBG- funds on hand at the time of expiration,
and any accounts receivable attributable to the use of CDBG funds.
M. CDBG Audit
Annually, the Recipient shall undertake an audit of its entire operation. by an
independent auditor, in accordance with generally acce-table government
auditing standa-4s; covering financial audits. Results of this audit shall be
forwarded to the County within 30 days of completion of the audit. Additionally.
the Recipient and any subrecipients of CDBG funds shall make available for
review all documentation related to the utilization of CDBG funds upon notification
by HUD, the County or their designated agents.
N. CDBG Property and Acquisition
Property records are to be maintained for all equipment acquired with CDBG
funds having an initial acquisition cost of $5,000 or more. A copy of the property
record should br forwarded to the County upon receipt of the equipment.
O. CDBG Subrecipient Agreement
Pursuant to 24 CFR 570.501 (b). the Recipient is subject to the same require-
ments applicable to subrecipients, including the requirement of a written
agreement set forth in 24 CFR 570.503.
The parties furtt,ar agree that:
A. HOME Allocation:
Annual HOME allocations will be distributed to the Recipient based upon the
formula established within the Urban County Allocation Agreement. The HOME
allocation will be reduced by 15% to meet HUD's Community Housing Develop-
ment Organization (CHDO) set-aside mandate and up to 10% to cover costs
related to compliance with H^ME administrative requirements. An additional 5%
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of the HOME allocation may be set-aside for CHDO administrative related
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expenses. The net HOME allocation will be used as the basis for the Urban
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County allocation of funds. Once the Recipient is informed of its HOME
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allocation. the Recipient will submit a detailed listing of activities to be performed,
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a schedule for completing the activities, and a budget.
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B. HOME Eligible Activities:
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HOME funds may only be used for eligible activities as reflected in 24 CFR
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92205. Eligible activities include:
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1. Moderate Rehabilitation - construction to an existing structure where the
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average total development cost is less than or equal to $25,000.
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2. Substantial Rehabilitation - Rehabilitation where the average total
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development cost of the project is greater than $25,000.
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3. Conversion - Conversion of an existing structure from an alternative use
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to affordable residential housing.
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4.. Reconstruction - Building a new structure on an existing foundation.
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5. New Construction - Newly build residential project.
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6. Tenant Based Assistance - Rental assistance to eligible tenants.
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7. Acquisition of Property
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& Relocation Costs
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9. Administrative Costs - UmW to 10% of annual allocation. (Reserved for
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actual HOME program administration by the participating jurisdiction.)
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10. Project Soft Costs:
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a Finance related costs
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b. Pre -construction related costs
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C. Project audit costs
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d. Affirmative marketing and fair housing
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C. HOME income Targeting
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HOME funds may only be used in pursuit of providing affordable housing for low
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income and very low income families and individuals; 100% of HOME funds must
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be used to benefit families and individuals whose annual income falls at or below
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80% of the County median income.
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1. Rental Housing -
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a At least 90% of HOME funds must be invested in units that are
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occupied by families whose incomes do not exceed 60% of the
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median family income for the area; and
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b. The remaining funds (up to 10%) must be invested in units
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occupied by families below 80% of median income, and if a
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rental housing project has 3 or more units, 20% of HOME monies
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must be spent on units occupied by families whose incomes are
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less than or equal to 50% of the media,. family income: for the
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area
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2. Homeownership -
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a. HOME funds must benefit first-time homebuyers, existing low -
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income homeowners whose family incomes are at or below 80%
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of the area median income.
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D. Home AffordabTiN
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1. Rental Housing
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a- HOME assisted unit rents must be at or below the lesser of
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either:
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(1) The existing Section 8 Fair Market Rent, or
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(2) 30% of the adjusted income of a family whose income is
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less than or equal to 80% of the median income for the
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area (High Home Rent);
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b. Remain affordable for the following terms based on the average
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HOME subsidy per unit:
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Rehabilitation of up to $15,000 5 years
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Rehabilitation off $15,000 - $40,000 10 years
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Rehabilitation of $40,000 + 1 S years
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New Construction (any amount) 20 years
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C. Have at least 20% of a project's units occupied by very low -
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income families paying not more than 30% of monthly adjusted
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gross income for rent.
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2. Homeownership-
omeownership-"--,t4
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Benefit first time homebuyer whose family income is at or below 80% of
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the area median income, and the purchase price of the property must be
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less than 90% of the median area purchase price.
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3. To insure compliance with the aforementioned affordability criteria, a
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Deed of Trust shall be recorded on the benefiting property securing the
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HOME investment. The County of San Joaquin shall be named as
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beneficiary on the Deed of Trust. In the event of default or prepayment,
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and subsequent liquidation of debt, the County will credit the Recipients
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HOME account equal to the liquidated amount.
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E. Maximum Per Unit HOME Subsidy
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Tne maximum per unit subsidy for San Joaquin County is:
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0 Bedrooms $54,870
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1 Bedroom $62,898
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2 Bedrooms 576,483
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3 Bedrooms $98,943
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4 Bedrooms $108.609
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F. HOME Repayments
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Repayment, interest. and other return on the investment of HOME funCs are to
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be remitted to the County to be used later by the Recipient for subsequent
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HOME eligible activities.
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C. Uniform Administrative Recluirements for HOME
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The Recipient shag comply with applicable uniform administrative requirements.
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as descrit:ed in 24 CFR Part 92.505(a).
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H. HOME Housing Qua:hy Standards
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Owners of rental housing assisted with HOME funds must maintain the housing
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in compliance with applic 2ble Housing Ouality Standards and local code
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requirements for the duration of the agreement (tor a period of 5-20 years, or
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longer :f FHA ins+,rance is used).
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I. Other Federal Requirements
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The Recipient shall comply with the following federal requirements when making
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HOME funds available.
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1. Equal Opportunity - No person in the United States shall. on the grounds
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of race, color, national origin, religion or sex, be excluded from participa-
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tion in, be denied the benefits of, or be subjected to discrimination under
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any program or activity funded in whole or in part with HOME funds.
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a. Fair Housirg Act and implementing regulations at 24 CFR part
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; :. . E. 0. 11063, as amended by E. 0. 12259 (Equal Opportunity
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in Housing) and implementing regulations at 24 CFR 107: and
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Title VI of the Civil Rights AM of 1964 (Nondiscrimination in
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Federally Assisted Programs).
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b. Age Discrimination Act of 1975 and implementing regulations and
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the prohibitiat against discrimination against handicapped
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individuals under Sec. 504 of the Rehabilitation Act of 1973 and
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implementing regulations.
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C. i he requiremertts of E0.11246 (Equal Opportunity Employment)
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and implementing regulations.
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d The requirements d E.O. 11625 and 12432 (concerning Minority
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Business Enterprise), and 12138 (concerning Women's Business
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Enterprise).
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2. Fair Housing - The Recipient will affirmatively further fair housing.
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J. Affirmative Marketing
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The Recipient shall establish affirmative marketing procedures and requirements
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for. HOME assisted housing containing five or more housing units.
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K HOME Flood Insurance
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HOME funds may not be used with respect to acquisition. new construction or
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rehabilitation of a project located in an area identified by FEMA as having special
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flood hazards, unless the Recipient's community is participating in the National
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Flood Insurance Program, and flood insurance is obtained as a condition of
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approval of the commitment.
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L HOME Disbursements
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Disbursement requests must be made through the County. Disbursements will
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not be made until needed for payment.
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M. HOME Subrecipient Agreement
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The Recipient must enter into an . agreement with all subrecipients of HOME
funds ensuring compliance with HOME Program requirements. The agreement
should irrfude each of the parts stated in 24 CFR Part 92504.
N. Commungy Housinq Dovelopment Organization (CHDO)
This set-aside will be placed in an established fund, and will be distributed
annually, in a lurip sum, to a qualified CHDO performing a HOME eligible activity.
The selection of a qualified CHDO will be conducted by a committee, consisting
of a representative from each Urban County jurisdiction.
O. HOME Matching Funds
The Recipient shall contribute any matching funds for rental assistance,
rehabilitation and substantial rehabilitation; and new construction for HOME
assisted projects, as required by HUD. Any matching requirement for HOME
funds allocated in FY 1992 is waived.
P. HOME Recordkeeping
The Recipient shall maintain the folla.ving records, subject to audit:
1. Source of funds for each project;
2. Efforts to maximize participation by the private sector in HOME funded
projects;
3. Description of each activity assisted with HOME funds. to include census
tract location, the amount of HOME funds budgeted, committed and
expended for the activity;
4. Documentation demonstrating compliance with match requirements;
s_ For each family assisted, records that demonstrate income targeting, and
unit affordability;
6. Documentation of equal opportunity and fair housing compliance;
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7. Documentation and data on the steps taken to implement the Recipient
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outreach program to minority and female owned businesses; and
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8. Records to demonstrate compliance with environmental review require-
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ments.
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U. HOME Record Retention
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Records must be retained for three years after closeout of funds, and/or three
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years after period of affordability expires.
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R. HOME Reports
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Annually, by September 15th, a report prepared by the Recipient shall be
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submitted to the County and shall include at a minimum:
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1. Analysis of the Recipient's efforts to maximize participation by the private
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sector;
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2. An analysis of the extent to which HOME funds were distributed among
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different housing categories;
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3. _ An assessment of the Recipient's minority outreach program, including
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analysis of participation by minorities and women and entities owned by
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minorities and women; and
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a. A listing of housing related activities benefiting low income persons
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undertaken in the Recipient's jurisdiction, assisted with federal, non -
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federal or private funds.
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S. Reversion of HOME Assets
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The Recipient and any of its subrecipients shall, at the expiration of this
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agreement, transfer to the County any HOME funds on hand at the tima of
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expiration, and any accounts receivable attributable to the use of HOME funds.
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T. HOME Certifications
I The Recipient certifies to the County it is in compliance with the Certifications
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included within Attachment 2 `
3 U. Use of HOME Funds
4 1. HOME funds must be obligated by the Recipient to a specific project
5 ::3;::^ 15 months of zward. CHDO set-aside must be obligated within 18
6 months of award
7 2. If the Recipient determines that it cannot obligate its allocation within 15
g months of award, a bank will be established where unobligated HOME
g allocations will be placed for use by jurisdictions who have identified a
10 HOME eligible project(s). Any jurisdiction using a Recipient's banked
11 HOME allocation, will owe the Recipient an equal amount of subsequent
12 HOME allocations.
13 IV. Environmental Standards
14 Prior to the commencement of each HOME and CDBG funded activity, the Recipient will
is complete all mandated environmental reviews in compliance with 24 CFR Part 58,
16 Environmental Review Procedures for Community Development Block Grants. The
17 County will determine the required environmental review procedure to be completed for
18 each activity, and provide technical assistance to facilitate compliance.
19 V. Certifications & Disclosures
20 Attachment 1 includes Grantee Certifications which are mandated by HUD. The
21 Recipient shall certify that it has adopted and will enforce policies as follows:
22 A. Drug free work place.
23 B. Prohibition of excessive use of force within Recipient's jurisdiction.
24 C. Enforce state laws against physically barring entrance to or exit from facilities
25 subject to non-violent civil rights demonstrations
26 The Recipient shall certify and disclose to the County accordingly.
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VI. Term Of Agreement
The terms of this Agreement shall apply to activities which will be funded from Fiscal
Years 1994-1996 CDBG allocations and HOME allocations from Federal Fiscal Years 1992-
1996.
A. Any notice of intent to terminate or withdraw from this Agreement by either of the
pE.. cies hereto shall have no effect until September 30, 1996, the end of the three
,,Par Urban County qualification period and such additional time that may be
required for the expenditure of funds, granted to the County for such period.
B. This Agreement shall remain in effect during any period that Recipient or any
subrecipients of CDBG funds have control over CDBG or HOME funds, including
program income.
C. This agreement will automatically renew at the end of the three year Urban
County qualification period, if no changes to the agreement are required by HUD
that would require the execution of anew agreement. The renewal period will
coincide with the period of sutsequent Urban County qualification.
VII. Fair Housing
CDBG or HOME funding for activities in or in support of any cooperating unit of general
local government that does not affirmatively further fair housing within its own jurisdiction
or that impedes the County's actions to comply with its fair housing certification is
prohibited.
VIII. Amendmerns
As CDBG or HOME requirements change, the terms of this Agreement will change.
CDBG and HOME program changes affecting this Agreement shall be attached
unilaterally by the County as amendments to this Agreement. A copy of all amendments
shall be forwarded to the Recipient.
IX. Other Programs
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1 That by executing this agreement the Recipient: `
2 A. May not apply for grants under the Small Cities or State CABG Programs for
3 fiscal years in which it is a participant in the Urban County CDBG program; and
4 B. May not participate in HOME consortium except through the Urban County.
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6 IN WITNESS WHEREOF, the parties have execute(: the above instrument on the day and year first
7 above written.
8
9 COUNTY
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11
By:
12
WILLIAM N. SOUSA, Chairman
13
Board of Supervisors
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15
16
17
ATTEST: JORETTA J. HAYDE
' 18
Clerk of the Board of Supervisors
19
of the County San Joaquin,
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State of California
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22
By: _
23
Deputy Clerk
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25
26
APPROVED AS TO FORM:
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28
JOHN F. CHEADLE
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County COUNSEL
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31
By:
32
EDWARD R. BURROUGHS
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Deputy County Counsel
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35
36
37
38
39
40
41
42
43
CO -O AGR
19-
RECIPIENT
By:
Ph lip A. Penning Mayor
City of Lodi
ATTEST:
tenni fe_r Irl_ Fpm y Cit'/Clerk
City of_jg�
1
6513.01
ATTACH,%IE%T 1 Exhibit 4-2
COMMUNITY DEVELOPMENT BLOCK GRANT
GRANTEE CERTIFICATIONS
In accordance with the Housing and Community Development Act of
1974, as amended, and with 24 CFR 570.303 of the Community
Development Block Grant regulations, the grantee certifies that:
(a) It possesses legal authority to make a grant submission and
to execute a community development and housing program;
(b) Its governing body has duly adopted or passed as an official
act a resolution, motion or similar action authorizing the
person identified as the official representative of the
grantee to submit the final statement and amendments thereto
and all understandings and assurances contained therein, and
directing and authorizing the person identified as the
official representative of the grantee to act in connection
with the submission of the final statement and to provide
such additional information as may be required;
(c) Prior to submission of its final statement to HUD, the
grantee has:
1. Met the citizen participation requirements of
5570.301(b);
2. Prepared its final statement of community development
objectives and projected use of funds in accordance
with 5570.301(c) and made the final statement available
to the public;
(d) It is following a detailed citizen participation plan which:
1. Provides for and encourages citizen participation, with
particular emphasis on participation by persons of low
and moderate income who are residents of slum and
blighted areas and of areas in which funds are proposed
to be used, and provides for participation of residents
in low and moderate income neighborhoods as defined by
the local jurisdiction;
2. Provides citizens with reasonable and timely access to
local meetings, information, and records relating to,
the grantee's proposed use of funds, as required by the
1 9/92
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6513.01
Exhibit 4-2
L
regulations of the Secretary, and relating to the
actual use of funds under the Act;
3. Provides for technical assistance to groups
representative of persons of low and moderate income
that request such assistance in developing proposals
with the level and type of assistance to be determined
by the grantee;
4. Provides for public hearings to obtain citizen views
and to respond to proposals and questions at all stages
of the community development program, including at
least the development of needs, the review of proposed
activities, and review of program performance, which
hearings shall be held after adequate notice, at times
and locations convenient to potential or actual
beneficiaries, and with accommodation for the
handicapped;
5. Provides for a timely written answer to written
complaints and grievances, within 15 working days where
practicable; and
6. Identifies how the needs of non-English speaking
residents will be met in the case of public hearings
where a significant number of non-English speaking
residents can be reasonably expected to participate;
(e) The grant will be conducted and administered in compliance
with:
1. Title VI of the Civil Rights Act of 1964 (Public Law
88-352, 42 U.S.C. 52000d et seg.); and
2. The Pair Housing Act (42 U.S.C. 3601-20);
(f) It will affirmatively further fair housing;
(g) It has developed its final statement -f projected use of
funds so as to give maximum feasible priori -;y to activities
which benefit low and moderate income families or aid in the
prevention or elimination of slums or blight; (the final
statement of projected use of funds may also include
activities which the grantee certifies are designed to meet
other community development needs having a particular
urgency because existing conditions pose a serious and
immediate threat to the health or welfare of the community,
9/92 2
6513.01
r -v -
Exhibit 4-2
MF
and other financial resources are not available); except
that the aggregate use of CDBG funds received under section
106 of the Act, and if applicable, under section 108 of the
Act, during program year(s) 199 (a period
specified by the grantee consisting of one, two, or three
specific ccurecutive program years), shallpprincipally
benefit persons of low and moderate income is a manner that
ensures that not less than 70 percent of such funds are used
for activities that benefit such persons during such period;
(h) It has developed a community development plan, for the
period specified in paragraph (g) above, that identifies
community development and housing needs and specifies both
short and long-term community development objectives that
have been developed in accordance with the primary objective
and requirements of the Act;
(i) It is following a current comprehensive housing
affordability strategy (CHAS) which has been approved by HUD
pursuant to 5570.306 and Part 91, and that any housing
activities to be assisted with CDSG funds will be consistent
with the CHAS;
(j) It will not attempt to recover any capital costs of public
improvements assisted in whole or in part with funds
provided under section 106 of the Act or with amounts
resulting from a guarantee under section 108 of the Act by
assessing any amount against properties owned and occupied
by persons of low and moderate income, including any fee
charged or assessment made as a condition of obtaining
access to such public improvements, unless:
1. Funds received under section 106 of the Act are used to
pay the proportion of such fee or assessment that
relates to the capital costs of such public
improvements that are financed from revenue sources
other than under Title I of the A=t; or
2. For purposes of assessing any amount against properties
owned and occupied by persons of moderate income, the
grantee certifies to the Secretary that it lacks
sufficient funds received under section 106 of the Act
to comply with the requirements of subparagraph (1)
above;
9/92
6513.01
..4-2
` (k) Its notification, inspection, testing and abatement
procedures concerning lead-based paint will comply with
5570.608;
(1) It will comply with the acquisition and relocation
requirements of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970j, as amended.. as
required under S570.606(b) and Federal implementing
regulations; and the requirements in S570.606(c) governing
the residential antidisplacement and relocation assistance
plan under section 104(d) of the Act (including a
certification that the grantee is following such a plan);
and the relocation requirements of 5570.606(d) governing
optional relocation assistance under section 105(a)(11) of
the Act;
(m) It has adopted and is enforcing:
1. A policy prohibiting the use of excessive force by law
enforcement agencies within its jurisdiction against
any individuals engaged in non-violent civil rights
demonstrations; and
2. A policy of enforcing applicable State and local laws
against physically barring entrance to or exit from a
facility or location which is the subject of such non-
violent -civil rights demonstrations within its
jurisdiction;
(n) To the beat of its knowledge and belief:
1. No Federal appropriated funds have been paid or will be
paid, by or on behalf of it, to any person for
influencing or attea:ting 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 ha,re
been paid or will be paid to any perscn for influencing
or attempting to influence an officer or employee of
9/92 4
6513.01
Exhibit 4-2
any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract,
grant, loan, or cooperative agreement, it will complete
and submit Standard Form -LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions;
and
3. It will require that the language of paragraph (n) of
this 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 subrecipients
shall certify and disclose accordingly;
(o) It will or will continue to provide a drug-free workplace
by:
1. Publishing a statement notifying employees that the
unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is
prohibited in the grantee's workplace and specifying
the actions that 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 grantee's policy of maintaining a drug-free
workplace;
(c) Any available drug counseling, rehabilitation, and
employee assistance programs; and
(d) The penalties that may be imposed upon employees
for drug abuse violations occurring in the
workplace;
3. Making it a requirement that each employee to be
engaged in the performance of the grant be given a copy
of the statement required by paragraph 1;
5 9/92
6513.01
Exhibit 4-2
4. Notifying the employee in the statement required by
paragraph 1 that, as a condition of employment under
the grant, the employee will -
(a) Abide by the terms of the statement; and
(b) Notify the employer in writing of his or her
conviction for a violation of a criminal drug
statute occurring in the workplace no later than
five calendar days after such conviction;
S. Notifying the agency in writing, within ten calendar
days after'receiving notice under subparagraph 4(b)
from an employee or otherwise receiving actual notice
of such conviction. Employers of convicted employees
must provide notice, including position title, to every
grant officer or other designee on whose grant activity
the convicted employee was working, unless the Federal
agency has designated a central point for the receipt
of such notices. Notice shall include the
identification number(s) of each affected grant;
6. Taking one of the following actions, within 30 calendar
days of receiving notice under subparagraph 4(b), with
respect to any employee who is so convicted -
(a) Taking appropriate personnel action against such
an employee, up to and including termination,
consistent with the requirements of the
Rehabilitation Act of 1973, as amended; or
(b) Requiring such employee to participate
satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes
by a Federal, State, or local health, law
enforcement, or other appropriate agency;
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.
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Exhibit 4-2
8. The grantee may insert in the space provided below the
site(s) for the performance of work done in connection
with the specific grants
Place of Performance (Street address, city, county,
state, zip code)
Check if there are workplaces on file that are
not identified here= and
(p) It will comply with the other provisions of the Act and with
other applicable laws.
Signature Date
Title
in
9/92
6513. 01,
APPENDIX TO CDBG CERTIFICATIONS
Exhibit 4-2
INSTRUCTIONS CONCERNING LOBBYING AND DRUG-FREE WORKPLACE
REQUIREMENTS:
A. Lobbying Certification - Paragraph n
This certification is a material representation of fact
upon which reliance was placed when this. transaction
was made or entered into. Submission of this
certification is a prerequisite for making or entering
into this transaction imposed by section 1352, title
31, U•S. Code. Any person who fails to file the
required certification shall be subject to a civil
penalty of not less than $10,000 and not more than
$100,000 for each such P-11ure.
B. Drug -Free Worknlace Certification - Paragraph o
1. By signing and/or submitting this application
or grant agreement, the grantee is providing
the certification set out in paragraph (o).
2. The certification set out in paragraph (o) is a
material representation of fact upon which
reliance is placed when the agency awards the
grant. If it is later determined that the grantee
knowingly rendered a false certification, or
otherwise violates the requirements of the Drug -
Free Workplace Act, HUD, in addition to any other
remedies available to the Federal Government, may
take action authorized under the Drug -Free
Workplace Act.
3. For grantees other than individuals,
Alternate I applies. (This is the information
to which entitlement grantees certify).
4. For grantees who are individuals, Alternate
II applies. (Not applicable to CDBG
Entitlement grantees.)
5. Workplaces under grants, for grantees other
than individuals, need not be identified an
the certification. If known, they may be
identified in the grant application. If the
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6513.01
Exhibit 4-2
grantee does not identify the workplaces at
the time of application, or upon award, if
here is no application, the grantee must
keep the identity of the workp_ace(s) on file
in its office and make the information
available for Federal inspection. Failure to
identify all known workplaces constitutes a
violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the
actual address of buildings (or parts of
buildings) or other sites where work under
the grant takes place. Categorical
descriptions may be used (e.g., all vehicles
of a mass transit authority or State highway
department while in operation, State
employees in each local unemployment office,
performers in concert halls or radio
stations).
7. If the workplace identified to the agency
char"es during the performance of the grant,
the grantee shall inform the agency of the
change(s), if it previously identified the
workplaces in question (see paragraph five).
B. Definitions of terms in the Nonprocurement
Suspension and Debarment common rule and
Drug -Free Workplace common rule apply to this
certification. Grantees' attention is
called, in particular, to the following
definitions from these rules:
"Controlled substance" means a controlled
substance in Schedules I through V of the
Controlled Substances Act (21 U.S.C.812) and
as further defined by regulation (21 UR
1308.11 through 1308.15);
"Conviction" means a finding of guilt
(including a plea of nolo contendere) or
imposition of sentence, or both, by any
judicial body charged with the responsibility
to determine violations of the Federal or
State criminal drug statutes;
9/92
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9/92
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Exhibit 4-2
"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 not 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
subrecipients or subcontractors in covered
workplaces).
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