HomeMy WebLinkAboutD-2183 Broad Street Place - Subrecipient Agreement for CDBG funds - Acquisition of Real PropertyRECORDING REQUESTED BY
First American Title Company
AND WHEN RECORDED MAIL DOCUMENT TO:
Director of Planning and Building
County of San Luis Obispo
976 Osos Street, Room 300
San Luis Obispo, Ca 93408
"*This document was electronically submitted
to San Luis Obispo County for recording"
2021018396
Tommy Gong
San Luis Obispo - County Clerk -Recorder
03/10/2021 02:12 PM
Recorded at the request of:
FIRST AMERICAN TITLE COMPANY
Titles:1 Pages:82
Fees: $0.00
Taxes: $0.00
Total: $0.00
Space Above This Line for Recorder's Use Only
A.P.N.: 053-231-048 File No.: 4009-6127807 (LB)
This document is recorded for the benefit
of the County of San Luis Obispo and is exempt
from recording fees pursuant to Sections 6103 and 27383
of the California Government Code.
SUBRECIPIENT AGREEMENT FOR CDBG GRANT FUNDS BETWEEN
THE COUNTY OF SAN LUIS OBISPO AND
BROAD STREET PLACE, L.P. FOR
ACQUISITION OF REAL PROPERTY IN THE CITY OF SAN LUIS OBISPO
SEPARATE PAGE PURSUANT TO GOUT CODE 27361.6
D-2183
RECORDING REQUESTED BY:
County of San Luis Obispo
AND WHEN RECORDED MAIL TO:
Director of Planning & Building
County of San Luis Obispo
976 Osos Street, Room 300
San Luis Obispo, CA 93408
APN: 053-231-048 (Space Above for Recorder's Use)
[Exempt from recording fee per Gov. Code § 27383]
SUBRECIPIENT AGREEMENT FOR CDBG GRANT FUNDS BETWEEN THE
COUNTY OF SAN LUIS OBISPO AND
BROAD STREET PLACE, L.P. FOR
ACQUISITION OF REAL PROPERTY IN THE CITY OF SAN LUIS OBISPO
THIS COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) SUBRECIPIENT
AGREEMENT is made and entered into on or about February 20, 2021, by and
between the County of San Luis Obispo, a political subdivision of the State of California,
(the "County" or "Recipient"), and Broad Street Place, L.P. (the "Subrecipient") whose
General Partner, Broad Street Place LLC, is wholly owned by People's Self -Help
Housing Corporation ("PSHHC"), a California nonprofit public benefit corporation, jointly
referred to as "Parties."
W I T N E S S E T H
WHEREAS, the County of San Luis Obispo (the "County") is a Participating
Jurisdiction in the funding programs of the federal Department of Housing and Urban
Development ("HUD"); and
WHEREAS, the County and the cities of Arroyo Grande, Pismo Beach, San Luis
Obispo, Morro Bay, Atascadero, and Paso Robles ("Partner Cities") meet the criteria
whereby they are considered by HUD to be the Urban County of San Luis Obispo, and
WHEREAS, HUD has approved funding for the Urban County of San Luis
Obispo's 2020 CDBG Program activities by executing the grant agreement numbered B-
20-UC-06-0508 (the "Grant Agreement") and the Federal Award date identified in the
Grant Agreement is August 12, 2020; and
WHEREAS, the Grant Agreement for the 2020 CDBG Program executed by
HUD and the County establishes the rights and responsibilities of HUD and the County;
and
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 1 of 56
WHEREAS, on May 5, 2020, the County Board of Supervisors, on behalf of the
Urban County of San Luis Obispo, approved the County Program Year 2020 Action
Plan ("the 2020 Action Plan") of the 2020 Consolidated Plan ("the Consolidated Plan")
and the projected use of funds pursuant to applicable federal regulations (24 C.F.R.
Part 570); and
WHEREAS, by approving the 2020 Action Plan, the County Board of
Supervisors, on behalf of the City of San Luis Obispo, approved funding in the amount
of $338,864 from the 2020 CDBG Program (Catalog of Federal Domestic Assistance
#14.218) for the purpose of assisting the Subrecipient with payment for the acquisition
of real property, currently owned by People's Self -Help Housing Corporation, to be used
for the development of the Broad Street Place project (an affordable housing project),
which is located at 3720 Broad Street in the City of San Luis Obispo (said real property
acquisition is herein referred to as the "Project"; and
WHEREAS, the $338,864 of 2020 CDBG Program funds approved for the
Project is comprised of the ,following: $338,864 in 2020 CDBG Program funds solely
from the City of San Luis Obispo, and does not include CDBG funds from the other
participating jurisdictions of the Urban County of San Luis Obispo; and
WHEREAS, this CDBG Subrecipient Agreement sets forth the benefits,
entitlements, obligations and responsibilities bestowed upon, and agreed to by the
Subrecipient in exchange for receiving and using the $338,864 in 2020 CDBG Program
funds from the City of San Luis Obispo, and the said $338,864 in 2020 CDBG Program
funds shall be used for the Project activities as described in this CDBG Subrecipient
Agreement; and
WHEREAS, People's Self -Help Housing Corporation (PSHHC, a California
nonprofit public benefit corporation), is the sole member and manager of Broad Street
Place LLC, a California limited liability company (the "General Partner" of the
Subrecipient), and PSHHC has also created the Subrecipient for the purpose of utilizing
tax credit investment funds; and,
WHEREAS, the Subrecipient will purchase the Property in fee from PSHHC and
will develop the Property with a 40-unit multi -family rental apartment project that
includes 39 units exclusively for CDBG-moderate, low, very low and extremely low-
income persons / households plus one manager's unit (herein referred to as the
"Project"); and,
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 2 of 56
WHEREAS, Broad Street Place, L.P. is the owner of the Property, the developer
and owner of the Project, and is the Subrecipient of this CDBG Subrecipient Agreement;
and
WHEREAS, Broad Street Place, L.P. is a "sub recipient" as defined in the Code of
Federal Regulations at 24 CFR 570.500(c); and
WHEREAS, Subrecipient is an eligible entity to act as designated project
sponsor and, as such, Subrecipient will carry out the Project; and
WHEREAS, according to federal regulations 24 CFR - 570.503, before
disbursing any CDBG funds to a subrecipient, a written agreement shall be signed by
the Recipient and Subrecipient; and
WHEREAS, the agreement shall remain in effect throughout the implementation
of projects specified in the Urban County of San Luis Obispo Program Year 2020 Action
Plan of the 2020 Consolidated Plan and any amendments thereto; and
WHEREAS, on behalf of the Subrecipient and its General Partner, PSHHC has
the Data Universal Numbering System number of 120975529 (the DUNS number).
NOW THEREFORE, pursuant to the provisions of Title 24, Chapter V, of the
Code of Federal Regulations, the Parties agree as follows:
This CDBG Subrecipient Agreement sets forth the responsibilities of the
Recipient and the Subrecipient in accomplishing the objectives of the CDBG program
pursuant to the Housing and Community Development Act of 1974 (the Act), as
amended.
Pursuant to 24 CFR 200, 24 CFR 570.500(c) and 24 CFR 570.501(b), the
Recipient may provide CDBG funds to public or private nonprofit agencies, authorities
or organizations, or for -profit entities authorized under 570.201(o) (referred to
collectively and individually as "subrecipients") to be used by the subrecipients to
provide/perform certain eligible services and activities in connection with the Recipient's
desire to develop viable urban communities, through community development activities,
as specified in 24 CFR 570.200 and 570.202 (a) ("CDBG Program"); and
Recipient agrees to fund the Project activities of the Subrecipient, and the
Subrecipient agrees to perform the Project activities for Recipient hereinafter described
in Exhibit A — Statement of Work, during the Term of this CDBG Subrecipient
Agreement, and otherwise subject to the covenants and conditions hereinafter set forth.
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 3 of 56
1. Statement of Work
A. Activity Description
The Subrecipient agrees to perform during the Term of this CDBG
Subrecipient Agreement, all CDBG-eligible activities, tasks, obligations, and projects set
forth in the Statement of Work attached to this CDBG Subrecipient Agreement as
Exhibit A and incorporated into this CDBG Subrecipient Agreement by this reference.
The Subrecipient and the County have executed and recorded the CDBG
Regulatory Agreement and Restrictive Covenants ("CDBG Covenants") concurrently
with this CDBG Subrecipient Agreement. The CDBG Covenants establish a twenty (20)
year compliance period for the forty (40) unit affordable housing project to be
constructed on the Project site. During the twenty (20) year compliance period, the
Subrecipient, or its subsidiary, shall operate and maintain the Project's site development
in conformance with the CDBG Covenants and with the requirements of this CDBG
Subrecipient Agreement. In case of a conflict between the CDBG Covenants and this
CDBG Subrecipient Agreement, the more restrictive covenants, standards, and/or
requirements shall apply.
The Statement of Work includes a project description, tasks to be
performed, project schedule and a budget for the Project. The Subrecipient may
request modification of the Project activities, tasks, schedule, or budget in writing to the
Recipient. The Recipient shall review each request to modify the activities, tasks,
schedule, or budget on a case -by -case basis and will respond to the Subrecipient within
30 days of the request.
B. National Obiectives
All activities and projects funded with CDBG funds must meet one of the
CDBG Program's National Objectives: (1) to primarily benefit low- and moderate -income
persons; (2) to aid in the prevention or elimination of slums or blight; or (3) to meet
community development needs having a particular urgency, as defined in 24 CFR
570.208.
C. Level of Accomplishment — Goals and Performance Measures
The Subrecipient certifies that the Project activities carried out under this
CDBG Subrecipient Agreement will meet the CDBG program national objective of
primarily benefitting low- and moderate -income persons (income eligible persons or
households). It is intended for the CDBG funds to be used to serve thirty-nine (39) or
more unduplicated CDBG-moderate, low, very low and extremely low-income persons /
households per year by providing and managing thirty-nine (39) affordable housing units
plus a manager's unit at the Project site. Eight (8) of the thirty-nine (39) affordable
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 4 of 56
housing units shall be designated as CDBG-assisted units. Program effectiveness is
measured through an on -going evaluation of the Project's activities (i.e., acquisition of
real property, currently owned by PSHHC, that will be used to develop the Broad Street
Place Apartments / affordable housing project, and then the subsequent development
and management of the Broad Street Place Apartments / affordable housing project).
The Subrecipient agrees to perform the Project activities according to the goals in
Exhibit A.
D. Staffinq
Any changes in key personnel assigned or their general responsibilities
during the real property acquisition stage of the Project, as described in Exhibit A, must
be reported to the Recipient.
E. Performance Monitorin
The Recipient (the County) will monitor the Subrecipient's performance
against goals and performance standards, as stated above. Substandard performance,
as determined by the Recipient, will constitute noncompliance with this CDBG
Subrecipient Agreement. If action to correct such substandard performance is not taken
by the Subrecipient within a reasonable period of time after being notified by the
Recipient, Agreement suspension and/or termination procedures (i.e. default
proceedings) will be initiated by the Recipient.
Project activities, tasks, schedule, and reporting requirements related to
property acquisition and development are described in Section 21 (Records and
Reports) and in Exhibit A, Sections 1, 2 and 3 (Project Description, Scope of Work: Real
Property Acquisition, and Reporting). In the event that property acquisition and/or
Project development will not be completed as scheduled, the Subrecipient will notify the
Recipient of the completion deficiencies and that said deficiency(s) shall be corrected
within 45 calendar days. Failure of the Subrecipient to correct the deficiency(s) within
45 calendar days will require the Recipient (the County) to schedule a Project Review
Conference pursuant to Section 8 (Project Review Conference).
The Recipient (the County) will use the Subrecipient's performance
reports to monitor the performance of activities and delivery of services under this
CDBG Subrecipient Agreement. In addition, the Recipient's representative may visit the
Subrecipient's offices to inspect the records required by HUD to be maintained in order
to document the activities, services and expenditures funded by this grant. These
records include copies of the original source documentation that tracks the performance
of the real property acquisition activities, documents the on -going provision of affordable
housing to CDBG-moderate, low, very low and extremely low-income persons /
households, demonstrates that the program clients are eligible to receive HUD -funded
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 5 of 56
services, and verifies that funds were expended to perform the activities described in
item 1.A., "Activity Description," above.
On -Going Project Operation tasks, schedule and reporting requirements
related to the twenty (20) year compliance period are described in Exhibit A, Section 4
(On -Going Project Operation) and in the CDBG Regulatory Agreement. Deficiencies in
the Subrecipient's performance and/or of Project compliance, as determined by the
Recipient at its sole discretion, may cause the Recipient (the County) to implement the
thirty (30) day notice and cure provisions described in the CDBG Deed of Trust Section
18 (Default) and the CDBG Note Section A.5 (Default).
2. Payment for Activities and Services
The Recipient (the County) shall reimburse the Subrecipient for the activities and
services performed by the Subrecipient pursuant to both the Statement of Work and
Scope of Work in Exhibit A and in accordance with the conditions and terms set forth in
the "Schedule of Compensation" attached hereto as Exhibit B. The compensation shall
be paid at the time and manner set forth in Exhibit B. Further, the "Schedule of
Compensation" shall be based on the Approved Line -Item Budget as set forth in Exhibit
B. The Reimbursement Amount shall constitute reimbursement only for allowable costs
incurred as a result of the Project activities. $5,000 of the $338,864 in CDBG funds
shall be held by the County as a retainer fee, to be held after completion of the
acquisition of the real property and then released after completion of the subsequent
development of the said real property with an affordable housing project. At the
discretion of the Recipient, the Recipient may request the Subrecipient submit an
invoice of up to $1,000 during the Project's construction phase. Periodic draw down of
CDBG funds help to assure HUD of the Project's progress.
The Parties understand and agree that reimbursement of Project costs shall be
conditioned upon the Recipient's receipt of CDBG Program funds from the federal
government, as set forth in Section 3 (Availability of Funds), or accumulation of CDBG
Program Income, as set forth in Section 18 (Program Income), and as a result of this
CDBG Subrecipient Agreement, and shall not be a charge on any other funds of the
Recipient.
All requests for reimbursement shall be submitted as per Section 17 (Fiscal
Control) for costs incurred under this CDBG Subrecipient Agreement, along with one (1)
set of copies of original source documentation supporting the expenditures by the
Subrecipient for the Project identified in Exhibit A — Statement of Work. All
reimbursement requests shall be submitted to the Recipient in such form acceptable to
the Recipient in its sole and absolute discretion. Such documentation shall be
submitted in whole or in part by the Subrecipient prior to any payment of the
Reimbursement Amount.
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 6 of 56
3. Availability of Funds / Modifications
The Recipient's (the County's) provision of funding to the Subrecipient pursuant
to this CDBG Subrecipient Agreement is contingent on the availability of CDBG funds
and continued federal authorization for CDBG program activities and is subject to
amendment or termination due to lack of funds or authorization. This CDBG
Subrecipient Agreement is subject to written modification and termination as necessary
by Recipient in accordance with requirements contained in any future Federal
legislation, regulations, or Recipient policy. All other modifications must be in written
form and approved by both Parties.
4. Obligation of Funds
The Subrecipient shall not obligate any funds, incur any costs, or initiate
identified project(s), which are the subject of this CDBG Subrecipient Agreement, until
all environmental review has been completed and certified by Recipient's Department of
Planning and Building and Recipient has issued a written "Environmental Assessment"
form or has received from HUD an "Authorization to Obligate Funds and Incur Costs."
The Recipient has, in fact, received from HUD an "Authorization to Obligate Funds and
Incur Costs" for the Broad Street Apartments (the Project) dated June 27, 2020.
5. Term of Agreement
The Term of this Agreement shall commence on the date written above and,
unless sooner terminated as hereinafter provided, shall terminate fifty-five (55) years
from the date of the recordation of a notice of completion (of construction) issued for the
Project development AND the initial occupancy of all of 39 affordable rental units by
income eligible tenants (CDBG-moderate, low, very low and extremely low-income
persons / households). At the conclusion of the Term of this Agreement, all principal
and interest are due and payable pursuant to the CDBG Note.
The start of the twenty (20) year compliance period of the CDBG Covenants and also
the start of the fifty-five (55) year Term of this CDBG Subrecipient Agreement shall be
documented, as follows:
A. Upon initial occupancy of all 39 affordable rental units by income eligible
households the Subrecipient shall report to the Recipient (the County) that the Project
development has begun to provide a benefit to CDBG-moderate, low, very low and
extremely low-income persons / households, per 24 CFR 570.201 and 24 CFR 570.208
of the federal CDBG regulations. The Recipient shall then, at its discretion, document
the start of the twenty (20) year compliance period of the CDBG Covenants and also the
start of the fifty-five (55)-year Term of this CDBG Subrecipient Agreement.
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 7 of 56
B. Reversion of Assets. The five (5) year period set forth in 24 CFR
570.503(b)(7) for compliance with one or more national objectives shall be included and
contained within the twenty (20) year compliance period established by the CDBG
Covenants.
6. Time for Performance
The Subrecipient shall not perform any work under this CDBG Subrecipient
Agreement until Recipient gives the Subrecipient a written approval (which shall serve
as an Authorization to obligate funds and incur costs). All activities and services
required of the Subrecipient under this CDBG Subrecipient Agreement shall be
completed on or before the end of the Term of this CDBG Subrecipient Agreement.
7. Timely Completion and Expenditure
Timely completion of the Project is the highest priority of this CDBG Subrecipient
Agreement. To ensure timely completion and expenditures, the Subrecipient will
demonstrate reasonable progress as follows:
A. Within one (1) month after the execution date of this CDBG Subrecipient
Agreement, no later than March 31, 2021, the Subrecipient shall acquire the real
property (the Project) and expend the allocated CDBG Project funds ($338,864 to be
expended by the Subrecipient for acquisition, and $5,000 shall be held by the County as
a retainer fee until completion of Project development and then paid by the County to
the Subrecipient). This completion date may be extended only with prior written
approval by the County Director of Planning and Building in conformance with Section 8
(Project Review Conference).
B. Within thirty (30) months after execution of this CDBG Subrecipient
Agreement, no later than September 30, 2023, the Subrecipient shall complete
construction of, AND obtain final permit approval and certificate of occupancy from the
permitting authority, for the 40-unit Broad Street Place project (an affordable housing
project). The apartments shall be constructed in compliance with the City of San Luis
Obispo approved construction permits for the apartments. This completion schedule
may be extended only with prior written approval by the County Planning Department
Director in conformance with Section 8 (Project Review Conference) but shall in no
event be extended beyond September 30, 2024.
Failure to meet established performance goals and standards and/or non-
compliance with applicable rules and regulations shall constitute non-compliance with
the terms of this Agreement.
If the Recipient (the County), in its sole discretion, determines that the
Subrecipient fails to meet the performance goals and standards of this CDBG
Agreement then pursuant to Section 8 (Project Review Conference) the Recipient may
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 8 of 56
schedule a Project Review Conference and require the Subrecipient to promptly
develop and submit a remediation plan to the Recipient for review and approval.
8. Project Review Conference:
In the event that quarterly reports required by Section 21 (Records and Reports)
indicate funds will not be expended by March 31, 2021, and/or that the Project
development will not be completed by September 30, 2023, the Subrecipient will notify
the Recipient (the County) of the completion deficiencies and correct the deficiency(s)
within 45 calendar days. Failure of the Subrecipient to correct the deficiency(s) within
45 calendar days will require the Recipient to schedule a Project Review Conference.
The Project Review Conference will serve to identify reasons for delayed
performances and weaknesses. Based on the Project Review Conference discussions,
both the Recipient (the County) and the Subrecipient will generate a remediation plan
that may include but is not limited to re -design of the Project and Project development,
amendments to the Project, extending the term of the Project, or re -allocation of the
funds to another eligible CDBG project. Approval of said remediation plan shall be at
the sole discretion of the County Director of Planning and Building and shall be in
conformance with all applicable CDBG program and HUD regulations.
Failure to comply with this remediation plan and/or this CDBG Subrecipient
Agreement will trigger administrative requirements in accordance with 2 CFR Part
200.338 and 2 CFR Part 200.305(b) (6). In addition, such failure shall constitute an
Event of Default. The procedures for addressing such default(s) and related cure
period(s) are set forth in the CDBG Deed of Trust and CDBG Note.
9. Compensation and Method of Payment
For performance of the Project (i.e., property acquisition), the Recipient (the
County) shall reimburse the Subrecipient an amount not to exceed $338,864
("Reimbursement Amount"), which shall constitute full and complete compensation
hereunder for the Project. Of the $338,864, the amount of $333,864 in CDBG funds
shall be expended by the Subrecipient for property acquisition, and $5,000, or balance
thereof per Section 2 (Payment for Activities and Services) of this Agreement, shall be
held by the County as a retainer fee until completion of Project development, and then
paid by the County to the Subrecipient. The Reimbursement Amount will only be paid if
reimbursable from the federal government under the Housing and Community
Development Act of 1974 for the amount indicated above, or from CDBG program
income, as described in 24 CFR 570.500(a), and accumulated as a result of this
Agreement. The Reimbursement Amount shall constitute reimbursement only for
allowable costs incurred as a result of the Project.
The Parties understand and agree that such reimbursement, if any, shall be
conditioned upon the Recipient's receipt of CDBG program funds from the federal
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 9 of 56
government or accumulation of CDBG program income, as set forth in Section 18
(Program Income) and as a result of this Agreement, and shall not be a charge on any
other funds of the Recipient. The Subrecipient shall use the Payment Request Form
(Exhibit D of this Agreement) for reimbursement purposes.
All reimbursement requests shall be submitted via the Payment Request Form
supporting the invoice for costs incurred under this Agreement, along with one (1) set of
copies of all original source documentation supporting the expenditures by the
Subrecipient for the Project, which shall be submitted to the Recipient in such form
acceptable to the Recipient in its sole and absolute discretion. Such supporting
documentation shall be submitted prior to any payment, in whole or in part, by the
Recipient of the Reimbursement Amount.
10. Designated Representative
A. The Recipient's representative is as follows:
Name and Title: Tony Navarro, County Planner
Address: County of San Luis Obispo
Department of Planning and Building
976 Osos Street, Rm. 300
San Luis Obispo, California 93408
E-mail Address: tnavarro@co.slo.ca.us
Telephone No.: (805) 781-5787
Fax No.: (805) 781-5624
B. The Subrecipient's representative(s), who shall be responsible for job
performance, negotiations, contractual matters, and coordination with the Recipient
Representative is as follows:
Name and Title:
Address:
E-mail Address
Telephone No.:
Morgen Benevedo, Senior Vice -President
People's Self -Help Housing Corporation
3533 Empleo Street
San Luis Obispo, California 93401
morgenb@pshhc.org,
(805) 540-2475
The Subrecipient's professional services shall be actually performed by, or
shall be immediately supervised by, the Subrecipient's representative.
C. Any party may change such address(es) given above by providing notice
in writing to the other parties, and thereafter notices shall be transmitted to the new
address(es).
11. Assurances
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 10 of 56
The Subrecipient hereby assures and certifies that it has complied with the
Housing and Community Development Act, applicable regulations, policies, guidelines
and requirements, 2 CFR Part 200, as amended and that it will comply with all
applicable Federal, State and local laws and regulations as they relate to acceptance
and use of Federal funds for this Federally -assisted program. Also, the Subrecipient
represents and warrants with respect to the Statement of Work specified in Exhibit A of
this Agreement, that it will comply with all of the provisions of 24 CFR Part 570, as
applicable. The Subrecipient further represents and warrants that it will comply with any
further amendments or changes to said required assurances and certifications, and that
during the term of this Agreement it will maintain current copies of said assurances and
certifications at the address of the Subrecipient's representative, as provided in Section
10 (Designated Representative).
12. Compliance
The Subrecipient agrees that it undertakes hereby the same obligations to Recipient
that Recipient has undertaken to HUD pursuant to Recipient's CDBG application and
certifications. The obligations undertaken by the Subrecipient include, but are not
limited to, the obligation to comply with all federal laws and regulations described in
Subpart K of 24 CFR Part 570 and specifically with each of the following:
A. The Housing and Community Development Act of 1974 (Public Law 93-
383) as amended, and legislative changes contained in the Housing and Urban -Rural
Recovery Act of 1983; and the Housing and Community Development Act of 1987, plus
all succeeding revisions and amendments to these Acts.
B. Final regulations of the Department of Housing and Urban Development
relating to Community Development Block Grants (Title 24, Chapter V, Part 570 of the
Code of Federal Regulations commencing with Section 570.1) dated September 6,
1988; and revisions to 24 CFR Part 570 at Subpart J entitled "Grant Administration" and
dated March 11, 1988, plus all succeeding revisions and amendments to these
regulations.
C Land Covenants. This CDBG Subrecipient Agreement is subject to the
requirements of Title VI of the Civil Rights Act of 1964 (P.L. 88-352) and 24 CFR
570.601 and 602. In regard to the sale, lease, or other transfer of land acquired,
cleared or improved with assistance provided under this Agreement, the Subrecipient
shall cause or require a covenant running with the land to be inserted in the deed or
lease for such transfer, prohibiting discrimination as herein defined, in the sale, lease or
rental, or in the use or occupancy of such land, or in any improvements erected or to be
erected thereon, providing that the Recipient and the United States are beneficiaries of
and entitled to enforce such covenants. The Subrecipient, in undertaking its obligation
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 11 of 56
to carry out the program assisted hereunder, agrees to take such measures as are
necessary to enforce such covenant, and will not itself so discriminate.
D. Regulations of the Department of Housing and Urban Development
relating to environmental review procedures for the Community Block Grant program
(Title 24, Subtitle A, Part 58 of the Code of Federal Regulations, commencing at Section
58.1) except that the Subrecipient does not assume Recipient's environmental
responsibilities as described in 24 CFR Part 570.604.
E. Environmental Mitigation: The Subrecipient shall implement and monitor
all Project mitigation measures approved in the Project's National Environmental Policy
Act (NEPA) document prepared by the Recipient. Per 40 CFR 1505.2(c), Exhibit H
(Environmental Mitigation Measures for Broad Street Place) of this CDBG Subrecipient
Agreement summarizes all mitigation measured adopted by the Recipient in the Project
NEPA document to reduce, avoid, or eliminate adverse environmental impacts and to
avoid non-compliance or non-conformance. The staff responsible for implementing and
monitoring mitigation measures shall be clearly identified in the Project construction
plan(s).
F. Title VI of the Civil Rights Act of 1964 (Public Law 88-352) as amended;
Title VIII of the Civil Rights Act of 1968 (Public Law 90-284) (affirmatively furthering fair
housing) as amended; Section 104(b) and 109 of Title I of the Housing and Community
Development Act of 1974 as amended; Section 3 of the Housing and Urban
Development Act of 1968 (employment priorities for new hires); 12 U.S.C. 1701 u
(Economic opportunities for low- and very low-income persons); Section 504 of the
Rehabilitation Act of 1973; the Americans with Disabilities Act of 1990; the Age
Discrimination Act of 1975; Executive Order 11246 as amended by Executive Order
11375 and 12086; Executive Order 11063 as amended by Executive Order 12259; and
HUD regulations heretofore issued or to be issued to implement these authorities
relating to civil rights, and pursuant to 24 CFR 570.904(d) and 2 CFR Part 200.321:
1. Contracting with Small and Women and Minority Owned Businesses
(W/MBE) (2 CFR 200.321). The Subrecipient will take all necessary affirmative
steps to assure that minority owned and/or women owned business enterprises
and labor area surplus firms are used when possible. Such firms and businesses
have 50% or more ownership by an ethnic minority person(s) and/or by
woman/women. All construction projects receiving HUD funds and all
contractors and subcontractors who receive $10,000 or more in HUD funds shall
fulfill these hiring requirements. These steps are in addition to full and open
competition and must include, at a minimum, the following six affirmative steps:
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 12 of 56
a. Solicitation Lists. Subrecipient must place small and minority businesses
and women's business enterprises on solicitation lists (2 CFR 200.321 (b)
(1);
b. Solicitations. The Subrecipient must assure that it solicits small and
minority businesses and women's business enterprises whenever they are
potential sources (2 CFR 200.321 (b) (2);
c. Dividing Requirements. Subrecipient must divide total requirements,
when economically feasible, into smaller tasks or quantities to permit
maximum participation by small and minority businesses and women's
business enterprises (2 CFR 200.321 (b) (3);
d. Delivery Schedules. The Subrecipient must establish delivery schedules,
where the requirement permits, which encourage participation by small
and minority businesses and women's business enterprises (2 CFR
200.321 (b) (4);
e. Obtaining Services and Assistance. The Subrecipient must use the
services and assistance, as appropriate, of such organizations as the
Small Business Administration and the Minority Business Development
Agency of the Department of Commerce (2 CFR 200.321 (b) (5); and
f. Prime Contractor Requirements. The Subrecipient must require the prime
contractor, if subcontractors are anticipated or let, to take the five
affirmative steps as described in (a) through (e) above (2 CFR 200.321 (b)
(6).
G. Economic Opportunities for Low- and Very Low -Income Persons (24 CFR
Part 135) Non -Public Housing Authority entities that obligate or commit to spend over
$200,000, or any individual contractor or subcontractor that receives $100,000 of
covered funds on projects involving housing construction, demolition, rehabilitation, or
other public construction is required to comply with Section 3 of the Housing and Urban
Development Act of 1968, hereinafter referred to as "Section 3 (HUD)".
The purpose of the Section 3 (HUD) is to ensure that employment and other economic
opportunities generated by the U.S. Department of Housing and Urban Development
(HUD) assistance or HUD assisted project covered by Section 3 (HUD), shall, to the
greatest extent feasible, be directed to low and very low-income persons, particularly
persons who are recipients of HUD assistance for housing.
The Subrecipient shall insure that all Section 3 (HUD) covered contracts (where
$100,000 or more in HUD funds are used to reimburse a contractor or subcontractor for
work) shall include the following clause:
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1. The work to be performed under this CDBG Subrecipient Agreement is
subject to the requirements of Section 3 of the Housing and Urban Development
Act of 1968, as amended, 12 U.S.C. 1701 u and the implementing regulations at
24 CFR 135 (Economic Opportunities for Low -And Very Low -Income Persons).
The purpose of Section 3 (HUD) is to ensure that employment and other
economic opportunities generated by HUD assistance or HUD -assisted projects
covered by Section 3 (HUD), shall, to the greatest extent feasible, be directed to
low- and very low-income persons, particularly persons who are recipients of
HUD assistance for housing.
2. As evidenced by its execution of this Agreement, the Subrecipient certifies
that it is under no contractual or other impediment that would prevent it from
complying with the part 135 regulations.
3. The Contractor agrees to send to each labor organization or
representative of workers with which the Contractor has a collective bargaining
agreement or other understanding, if any, a notice advising the labor organization
or workers' representative of the Contractor's commitments under this Section 3
(HUD) clause, and will post copies of the notice in conspicuous places at the
work site where both employees and applicants for training and employment
positions can see the notice. The notice shall contain the Section 3 (HUD)
preference, shall set forth: (1) the minimum number and job titles subject to hire;
(2) availability of apprenticeship and training positions; (3) the qualifications for
each; and the name and location of the person(s) taking applications for each of
the positions; and (4) the anticipated date the work shall begin.
4. The Contractor agrees to require this Section 3 (HUD) clause in every
subcontract subject to compliance with regulations in 24 CFR Part 135, and
agrees to take appropriate action, as provided in an applicable provision of the
subcontract or in this Section 3 (HUD) clause, upon a finding that a subcontractor
is in violation of the regulations in 24 CFR Part 135. The Contractor shall not
subcontract with any subcontractor where the Contractor has notice or
knowledge that the subcontractor has been found in violation of the regulations in
24 CFR Part 135.
5. By its signature to this Agreement, the Contractor certifies that any vacant
employment positions, including training positions, that are filled (1) after the
Contractor is selected but before the contract is executed, and (2) with persons
other than those to whom the regulations of 24 CFR Part 135 require
employment opportunities to be directed, were not filled to circumvent the
Contractor's obligations under 24 CFR Part 135.
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 14 of 56
6. Noncompliance with HUD's regulations in 24 CFR Part 135 may result in
sanctions, termination of this Agreement for default, and debarment or
suspension from future HUD assisted contracts.
H. The Labor Standards Regulations set forth in Section 570.603 of 24 CFR
Part 570; and HUD Handbook 1344.1. If this Agreement involves construction or facility
improvements exceeding $2,000 awarded by the Recipient, the Subrecipient agrees to
comply with:
Prevailing Wages: Requirements of the Secretary of Labor in accordance with
the Davis -Bacon Act (40 USC 276a to 276 a-7) as supplemented in the Department of
Labor regulations (29 CFR Part 5) applies. The Federal minimum wage rates for this
Project as predetermined by the United States Secretary of Labor are set forth in the
Special Provisions. If there is a difference between the minimum wage rates
predetermined by the Secretary of labor and the prevailing wage rates determined to be
applicable to this contract by the Director of the California Department of Industrial
Relations for similar classifications of labor, the Subrecipient and its contractor and
subcontractors shall pay not less than the higher wage rate.
The Subrecipient agrees that, except with respect to the rehabilitation of
residential property designed for residential use for less than eight (8) households, all
contractors engaged under contracts in excess of $2,000.00 for construction, renovation
or repair of any building or work financed in whole or in part with assistance provided
under this Agreement, shall comply with federal requirements adopted by the Recipient
pertaining to such contract, and with the applicable requirements of the regulations of
the Department of Labor, under 29 CFR, Parts 3, 1, 5 and 7 governing the payment of
wages and ratio of apprentices and trainees to journeymen; provided, that if wage rates
higher than those required under the regulations are imposed by state or local law,
nothing hereunder is intended to relieve the Subrecipient of its obligation, if any, to
require payment of the higher wage. The Subrecipient shall cause or require to be
inserted in full, in all such contracts subject to such regulations, provisions meeting the
requirements of this paragraph, for such contracts in excess of $10,000.00.
Copeland Anti -Kickback Act: During the performance of this Agreement, the
Subrecipient and its contractors and subcontractors agree to comply with the Copeland
Anti -Kickback Act (18 USC 874) as supplemented in the Department of labor
regulations (29 CFR Part 3). This act provides that the Subrecipient, its contractor and
subcontractors shall be prohibited from inducing any person employed in the
construction, completion, or repair of public facilities to give up any part of the
compensation which they are otherwise entitled.
The Subrecipient, its contractor and subcontractors shall maintain documentation
that demonstrates compliance with hour and wages requirements of this part. Such
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 15 of 56
documentation shall be made available to the Recipient for review upon request. The
Subrecipient's contractor and subcontractors agree to include a provision requiring such
compliance in its lower tier covered contracts and transactions.
Agreements exceeding $100,000 that involve the employment of mechanics or laborers
shall comply with the following:
Contract Work Hours and Safety Standards Act: Where applicable, during the
performance of this Agreement, all contracts awarded by the Subrecipient, the prime
contractor and subcontractors in excess of $2,000 for construction contracts and in
excess of $100,000 are required, pursuant to the Contract Work Hours and Safety
Standards Act, to apply the four clauses below. These clauses shall be inserted in
addition to the clauses required by 29 CFR Part 5.5(a) or 29 CFR Part 4.6. As used in
this section, the terms laborers and mechanics include watchmen and guards.
a. Overtime requirements. No contractor or subcontractor contracting for any
part of the contract work which may require or involve the employment of
laborers or mechanics shall require or permit any such laborer or mechanic in
any workweek in which he or she is employed on such work to work in excess of
forty hours in such workweek unless such laborer or mechanic receives
compensation at a rate not less than one and one-half times the basic rate of pay
for all hours worked in excess of forty hours in such workweek.
b. Violation; liability for unpaid wages; liquidated damages. In the event of any
violation of the clause set forth in paragraph (a) of this section, the contractor and
any subcontractor responsible therefor shall be liable for the unpaid wages. In
addition, such contractor and subcontractor shall be liable to the United States (in
the case of work done under contract for the District of Columbia or a territory, to
such District or to such territory), for liquidated damages. Such liquidated
damages shall be computed with respect to each individual laborer or mechanic,
including watchmen and guards, employed in violation of the clause set forth in
paragraph (a) of this section, in the sum of $10 for each calendar day on which
such individual was required or permitted to work in excess of the standard
workweek of forty hours without payment of the overtime wages required by the
clause set forth in paragraph (a) of this section.
c. Withholding for unpaid wages and liquidated damages. The Recipient shall
upon its own action or upon written request of an authorized representative of the
U.S. Department of Housing and Urban Development (HUD) or the U.S.
Department of Labor (DOL) withhold or cause to be withheld, from any moneys
payable on account of work performed by the contractor or subcontractor under
any such contract or any other Federal contract with the same prime contractor,
or any other federally -assisted contract subject to the Contract Work Hours and
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 16 of 56
Safety Standards Act, which is held by the same prime contractor, such sums as
may be determined to be necessary to satisfy any liabilities of such contractor or
subcontractor for unpaid wages and liquidated damages as provided in the
clause set forth in paragraph (b) of this section.
d. Subcontracts. The contractor or subcontractor shall insert in any subcontracts
the clauses set forth in paragraph (a) through (d) of this section and also a clause
requiring the subcontractors to include these clauses in any lower tier
subcontracts. The prime contractor shall be responsible for compliance by any
subcontractor or lower tier subcontractor with the clauses set forth in paragraphs
(1.) through (4.) of this section.
Bonding Requirements. For construction or facility improvements contracts or
subcontracts exceeding the Simplified Acquisition Threshold ($150,000) the Recipient
may accept the bonding policy and requirements of the Subrecipient provided that the
Recipient has made a determination that the CDBG funds are adequately protected. If
such a determination has not been made, the minimum requirements must be as
follows:
1. Bid Guarantee. At the submission of a bid to the Subrecipient, the contractor
shall furnish a "bid" guarantee equivalent to five percent of the bid price. The
"bid guarantee" must consist of a firm commitment such as a bid bond,
certified check, or other negotiable instrument accompanying a bid as
assurance that the bidder will, upon acceptance of the bid, execute such
contractual documents as may be required within the time specified.
2. Performance Bond. At the time of execution of a contract between the
Subrecipient and the contractor, the contractor shall furnish a "faithful
performance" bond in the sum of one hundred percent (100%) of the contract
price to guarantee the performance of the contract.
3. Payment Bond. At the time of execution of the contract, the contractor shall
furnish a "payment" bond in the sum of one hundred percent (100%) of the
contract price to assure payment as required by law of all persons supplying
labor and material in the execution of the work provided for in the contract.
I. Equal Employment Opportunity. Agreements exceeding $10,000 are
subject to the following:
During the performance of this Agreement, the Subrecipient agrees it will not
discriminate against any employee or applicant for employment because of race, color,
religion, sex, or national origin, and hereby promises to comply with the provisions on
contractor agreements contained in Presidential Executive Order #11246 as amended
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 17 of 56
by Executive Order 11375 and as approved by the Department of Labor Relations (41
CFR Part 61).
J. CFR Part 200 entitled Uniform Administrative Requirements Cost
Principles and Audit Requirements for Federal Awards, Administrative regulations,
including, but not limited to, applicable Sections of Department of Housing and Urban
Development regulations located at:
1. 24 CFR 92.505 — Uniform Administrative Requirements. Pursuant
to 24 CFR 92.505, the Subrecipient will comply with the requirements of 2 CFR part
200, except that the following provisions shall not apply: §§ 200.306, 200.307, 200.308
(not applicable to participating jurisdictions), 200.311 (except as provided in § 92.257),
200.312, 200.329, 200.333, and 200.334. The provisions of 2 CFR 200.305 apply as
modified by § 92.502(c). If there is a conflict between definitions in 2 CFR part 200 and
24 CFR part 570, the definitions in 24 CFR part 570 shall govern.
K. The following laws and regulations relating to preservation of historic
places: Public Law 89-665 the Archaeological and Historical Preservation Act of 1974
(Public Law 93-291), and Executive Order 11593 including the procedures prescribed
by Advisory Council on Historic Preservations in 36 Code of Federal Regulations, Part
800.
L. The Architectural Barriers Act of 1968 (42 U.S.C. Section 4151 and the
Americans with Disabilities Act of 1990 (ADA).
M. The Hatch Act relating to the conduct of political activities (Chapter 15 of
Title 5, U.S.C.).
N. The Flood Disaster Protection Act of 1973 (Public Law 93-234 and the
regulations adopted pursuant thereto) Section 202(a) and the regulations in 44 CFR
parts 59 through 79.
O. The Clean Air Act (42 U.S.C. Chapter 85) and the Federal Water Pollution
Control Act, as amended (33 U.S.C. Section 1251 et seq.) and the regulations adopted
pursuant thereto.
P. Executive Order 12372, which requires State Clearinghouse review and
comment of any CDBG project for the planning, construction, reconstruction, and/or
installation of water or sewer facilities.
Q. Section 401(b) of the Lead -Based Paint Poisoning Prevention Act (42
U.S.C. 4831 (b)).
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 18 of 56
R. Debarment and Suspension. An agreement or contract must not be
made to parties listed on the governmentwide exclusions in the System for Award
Management (SAM) database, in accordance with 2 CFR 180 that implements
Executive Orders 12549 and 12689, "Debarment and Suspension." Provision of 24
CFR Part 570.609, and 24 CFR 5.105(c) for procurement activities regarding use of
debarred, suspended, or ineligible contractors or subcontractors and 24 CFR Part 24 for
non -procurement activities, regarding use of debarred, suspended, or ineligible
contractors or subcontractors. This Agreement is a covered transaction for purposes of
2 CFR 180 and 2 CFR 3000. As such the Subrecipient is required to verify with the
Recipient that the Subrecipient, its contractors, subcontractors, its principles (defined at
2 CFR 180.940), or its affiliates (defined at 2 CFR 180.905) are excluded (defined at 2
CFR 180.940) or disqualified (defined at 2 CFR 180.935).
The Subrecipient must comply with 2 CFR 180, subpart C and 2 CFR 3000,
subpart C during the term of this Agreement and any other contract that may arise as a
result of this agreement. Subrecipient must include a provision requiring such
compliance in its lower tier covered contracts and transactions.
If it is later determined that the Subrecipient did not comply with 2 CFR 1800,
Subpart C and 2 CFR 3000, subpart C, in addition to remedies available to the
Recipient and the Federal Government, may pursue available remedies, including but
not limited to suspension and/or debarment.
Contractors excluded, disqualified or otherwise ineligible (e.g., suspension,
debarment, or limited denial of participation) for Federal procurement and non -
procurement programs per 24 CFR 570.609 shall not be considered for contract award.
This applies to any CDBG-assisted contracts for the procurement of goods and
services, professional services, public services, and construction activities (prime and
sub -prime contractors).
The Subrecipient shall work with the Recipient to verify eligibility for all
contractors and subcontractors, its principles or its affiliates are not excluded or
disqualified subject to procurement requirements prior to contract award by the
Subrecipient. The Subrecipient shall not use a self -certification letter or form signed by
the contractor as a substitute for evidence of their eligibility status.
To verify and document a contractor's eligibility the Subrecipient shall check the
General Services Administration System for Award Management site
(https:Hsam.gov/SAM/) to assure the contractor's eligibility and shall submit the
verification(s) to the Recipient prior to the notification and award of the contract. The
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 19 of 56
Subrecipient shall retain a copy of the verification(s) for their file to verify results for
each contractor.
The Subrecipient further agrees to comply with any environmental, procurement,
construction, and other guidelines provided by Recipient. All local code regulations
must be recognized and services provided must conform to the said standards.
S. Reporting. The Subrecipient also agrees to submit an annual
performance and evaluation report no later than 30 days after the completion of the
most recent program year showing the status of all activities as of the end of the
program year. The purpose of the performance and evaluation report is to assist the
Recipient (the County) in complying with its reporting obligations under 24 Code of
Federal Regulations section 570.507(a) and under 24 Code of Federal Regulations Part
91. The Recipient shall specify the content and format of this report.
T. Rights to Inventions. Per 2 CFR Appendix II to Part 200(F), if the use of
CDBG award meets the definition of "funding agreement" under 37 CFR 401.2(a) and
the Agreement includes the performance of experimental, developmental, or research
work, the Subrecipient must provide for the rights of the Federal Government and the
Recipient in any resulting invention as established by 37 CFR part 401, Rights to
Inventions Made by Non-profit Organizations and Small Business Firms under
Government Grants, Contracts, and Cooperative Agreements. This contract
incorporates by reference the patent and inventions rights as specified within in the 37
CFR §401.14. Contractor must include this requirement in all sub -tier contracts involving
experimental, developmental, or research work.
The regulation at 37 C.F.R. § 401.2(a) currently defines "funding agreement" as
any contract, grant, or cooperative agreement entered into between any Federal
agency, other than the Tennessee Valley Authority, and any contractor for the
performance of experimental, developmental, or research work funded in whole or in
part by the Federal government. This term also includes any assignment, substitution of
parties, or subcontract of any type entered into for the performance of experimental,
developmental, or research work under a funding agreement as defined in the first
sentence of this paragraph.
U. Clean Air Act and the Federal Water Pollution Control Act. If this
Agreement involves construction or facility improvements and exceeds $150,000 the
following provision is applicable. The Subrecipient shall comply with all applicable
standards, orders, or regulations issued under Section 306 of the Clean Air Act (42
USC 7401 — 7671q), Section 508 of the Clean Water Act (33 USC 1368), Executive
Order 11738, and EPA regulations (40 CFR Part 15), which prohibit the use under non-
exempt federal contracts, grants, or loans of facilities included in the EPA List of
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 20 of 56
Violating Facilities. Violations will be reported to the US EPA Administrator for
Enforcement (EN-329).
By execution of this Agreement, the Subrecipient, its contractor and subcontractors will
be deemed to have stipulated as follows:
The Subrecipient, its contractor and subcontractors hereby declare that no person
who will be utilized in the performance of this contract has a violation of Section 508
of the Clean Water Act or Section 306 of the Clean Air Act which prohibits them
from perform work on a federally funded project.
During the performance of this contract, the Subrecipient, its contractor and/or
subcontractor agrees to comply with all applicable standards, orders, and
regulations issued pursuant to the Clean Air Act (42 USC 7401-7671q), and the
Federal Water Pollution Control Act as amended (33 USC 1251-1387). Violations
must be reported to the EPA.
That any facility that is or will be utilized in the performance of this Agreement,
unless the Agreement is exempt under the Clean Air Act, as amended (42 USC
7401 — 7671q et seq., as amended by Public Law 91-604), and under the Federal
Water Pollution Control Act, as amended (33 USC 1251 et seq., as amended by
Public Law 92-500), Executive Order 11738, and regulations in implementation
thereof (40 CFR 15) is not listed, on the date of this Agreement award, on the EPA
List of Violating Facilities pursuant to 40 CFR 15.20.
That the Subrecipient, its contractor and subcontractors agree to comply and remain
in compliance with all the requirements of Section 114 of the Clean Air Act and
Section 308 of the Federal Water Pollution Control Act and all regulations and
guidelines listed thereunder.
That the Subrecipient, its contractor and subcontractors shall promptly notify the
Recipient of the receipt of any communication from the Director, Office of Federal
Activities, EPA, indicating that a facility that is or will be utilized for the Agreement is
under consideration to be listed on the EPA List of Violating Facilities.
That the Subrecipient, its contractor and subcontractors agree to include or cause to
be included the requirements of this article in every nonexempt subcontract, and
further agrees to take such action as the government may direct as a means of
enforcing such requirements.
V. Procurement of Recovered Materials. During the performance of this
Agreement, the Subrecipient, its contractor and subcontractors agree to comply with all
of the standards, order, and requirements issued under Section 6002 of the Solid Waste
Disposal Act, Pub. L. No. 89-272 (1965) (codified as amended by the Resource
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 21 of 56
Conservation and Recovery Act at 42 USC 6962). See 2 CFR 200, Appendix II (J), or
at 2 CFR 200.322.
The Subrecipient, its contractor and subcontractors shall include the provisions of this
article in all subcontracts under the Agreement.
The following provides the clause that the Subrecipient, its contractor and
subcontractors can include in contracts meeting the above thresholds:
(1) In the performance of this contract, the (name of contractor here) shall
make maximum use of products containing recovered materials that are EPA -
designated items unless the product cannot be acquired:
(i) Competitively within a timeframe providing for compliance with the
contract performance schedule;
(ii) Meeting contract performance requirements; or
(iii) At a reasonable price
(2) Information about this requirement, along with the list of EPA -designated
items, is available at EPA's Comprehensive Procurement Guidelines web site:
https://www.epa.gov.gov/smm/comprehensive-procurement-quideIine-cpq-program.
The requirements of Section 6002 include procuring only items designated in
guidelines of the EPA at 40 CFR 247 that contain the highest percentage of recovered
materials practicable, consistent with maintaining a satisfactory level of competition,
where the purchase price of the item exceeds $10,000 or the value of the quantity
acquired by the preceding fiscal year exceeded $10,000; procuring solid waste
management services in a manner that maximizes energy and resource recovery; and
establishing an affirmative procurement program for procurement of recovered materials
identified in the EPA guidelines.
W. The Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970 and regulations adopted to implement the Act in the Code of Federal
Regulations, Title 24, Part 42.
13. Subcontracts
The Subrecipient shall incorporate the same or substantially equivalent
requirements as are contained in this CDBG Subrecipient Agreement in all subcontracts
which utilize any CDBG funds and/or support any CDBG program(s) covered by this
CDBG Subrecipient Agreement. When program(s) utilize(s) CDBG funds and other
funding sources, all funds shall be subject to CDBG regulations. The Subrecipient, by
entering into any such subcontract for performance of any portion of its CDBG program,
is not relieved of its responsibilities to Recipient (the County) as set forth in this CDBG
Subrecipient Agreement.
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14. Non-Discrimination/Religious Activities
No person with responsibilities in the operation of any project under this CDBG
Subrecipient Agreement will discriminate because of race, creed, color, national origin,
age, sex, political affiliation, sexual orientation, gender identity, handicap, beliefs, or
marital or familial status.
The Subrecipient agrees that funds provided under this CDBG Subrecipient
Agreement will not be utilized for inherently religious activities prohibited by 24 CFR
570.2000), such as worship, religious instruction, or prose lytization.
The Subrecipient will ensure that every effort is made to provide equal
opportunity to every potential minority and women's business vendor, contractor and
subcontractor.
The Subrecipient will take affirmative action to insure that all employment
practices are free from such discrimination. Such employment practices include but are
not limited to the following: hiring, upgrading, demotion, transfer, recruitment or
recruitment advertising, layoff, termination, rates of pay or other forms of compensation,
and selection for training, including apprenticeship.
The Subrecipient agrees to post in conspicuous places, available to employees
and applicants for employment, notices to be provided by the contracting agency setting
forth the provisions of this nondiscrimination clause.
15. Standard of Conduct/Conflict of Interest and Lobbying
No member, officer or employee of the Subrecipient or its designee or agents, no
member of the governing body of the locality in which the program is situated, and no
other public official of such locality or localities who exercises any functions or
responsibilities with respect to the Project activities during his/her tenure or for one year
thereafter, shall have any interest, direct or indirect, in any contract or subcontract, or
the process thereof, for work to be performed in connection with the Project activities
assisted under this CDBG Subrecipient Agreement.
No member, officer or agent of the Subrecipient shall participate in the selection
of the award, or administration of, any Project related property acquisition activities or
construction contract supported by Federal funds if a conflict of interest, real or
apparent, would be involved.
No covered persons who exercise or have exercised any functions or
responsibilities with respect to CDBG-assisted activities, or who are in a position to
participate in a decision -making process or gain inside information with regard to such
activities, may obtain a financial interest in any Project activities, or have a financial
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 23 of 56
interest in any contract, subcontract, or agreement with respect to the CDBG-assisted
activity, or with respect to proceeds from the CDBG-assisted activity, either for
themselves or those with whom they have business or immediate family ties, during
their tenure or for a period of one (1) year thereafter. For purposes of this Section, a
"covered person" includes any person who is an employee, agent, consultant, officer, or
elected or appointed official of the Recipient, the Subrecipient, or any designated public
agency.
By entering into this CDBG Subrecipient Agreement, the Subrecipient certifies:
A. No federal appropriated funds have been paid or will be paid, by or on
behalf of the Subrecipient, to any person for influencing or attempting to influence an
officer or employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with the awarding of
any Federal contract, the making of any Federal grant, the making of any Federal loan,
the entering into a cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant loan, or cooperative
agreement in accordance with the Department of Interior and Related Agencies
Appropriations Act, known as the Byrd Amendments, and HUD'S 24 Code of Federal
Regulations (CFR) 87.
Furthermore, for Agreements of $100,000 or more shall file the required
certification in Exhibit D. This certification process also applies to the Subrecipient's
contractor and subcontractors contracts, of $100,000 or more, who must certify to the
tier above that it will not and has not used Federal appropriated funds to pay any person
or organization for influencing or attempting to influence an officer or employee of any
agency, a member of Congress, officer or employee of Congress, or an employee of a
member of Congress in connection with obtaining any Federal contract, grant, or any
other award covered by 31 USC 1352. Each tier shall also disclose any lobbying with
non -Federal funds that takes place in connection with obtaining any Federal award.
Such disclosures are forwarded from tier to tier up to the Recipient.
B. If any funds other than federal appropriated funds have been paid or will
be paid to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an
employee of a member of Congress in connection with this federal contract, grant, loan,
or cooperative agreement, the Subrecipient shall complete and submit Standard Form
LL, "Disclosure Form to Report Lobbying," in accordance with its instructions, and other
federal disclosure forms as requested.
C. The Subrecipient shall require that the language of this certification be
included in the award documents for all subawards at all tiers (including subcontracts,
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 24 of 56
subgrants, and contracts under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance
was placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction imposed by
Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not more than $100,000
for each such failure.
D. Mandatory Disclosures. The Subrecipient must disclose, in a timely
manner, in writing to the Recipient all violations of Federal criminal law involving fraud,
bribery, or gratuity violations potentially effecting the Federal award described in 2 CFR
200.113. Failure to make require disclosures can result in any of the remedies
described in 2 CFR 200.338 Remedies for noncompliance, including suspension or
debarment.
16. Use of Funds for Entertainment, Meals or Gifts
The Subrecipient represents and warrants that it will not use funds
provided through the Agreement to pay for entertainment, meals or gifts.
17. Fiscal Control
The Subrecipient shall be responsible for the internal control and monitoring of
fiscal and programmatic/operational goals and procedures. The Subrecipient (the
County) shall establish such fiscal controls and fund accounting procedures as required
by Federal regulations, or as may be deemed necessary by HUD and the Recipient to
ensure the proper disbursal of, and accounting for, funds paid to the Subrecipient under
the CDBG programs.
Disbursement of Funds: CDBG funds shall generally be disbursed by Recipient
to the Subrecipient on a reimbursement for actual expenses basis.
The Recipient agrees to pay the Subrecipient progress payments at the time and
in the manner set forth in the Schedule of Compensation, Exhibit B. Payment by the
Recipient is not to be construed as final in the event HUD disallows reimbursement for
the project or any portion thereof. Source documentation, as specified by the Recipient,
supporting the invoice(s) shall be submitted by the Subrecipient with request for
payment.
The Subrecipient shall be liable for all amounts which are determined to be due
by HUD including, but not limited to, disallowed costs which are the result of the
Subrecipient's or its contractor's conduct under this CDBG Subrecipient Agreement.
The Subrecipient shall be notified in writing and shall be permitted to respond regarding
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 25 of 56
any controversy or proceeding between the Recipient and HUD arising from this CDBG
Subrecipient Agreement.
All financial transactions must be supported by complete and verifiable source
documents. Records shall provide a clear audit trail and shall be maintained as
specified in Section 22 (Agreement Responsibility for Monitoring and Records) of this
CDBG Subrecipient Agreement.
18. Program Income
Program Income is defined in Subpart J of 24 CFR Part 570.504 and is described
as gross income received by the Subrecipient and directly generated from the use of
CDBG funds.
Program income includes, but is not limited to, the following:
A. Proceeds from the disposition by sale or long-term lease of real property
purchased or improved with CDBG funds;
B. Proceeds from the disposition of equipment purchased with CDBG funds;
C. Gross income from the use or rental of real or personal property acquired
by the Subrecipient with CDBG funds, less costs incidental to generation of the income;
D. Gross income from the use or rental of real property owned by the
Subrecipient that was constructed or improved with CDBG funds, less costs of the non-
CDBG portion;
E. Payment of principal and interest on loans made using CDBG funds
except as provided in 24 CFR Part 570.500(a)(3);
F. Proceeds from the sale of loans or obligations secured by loans made with
CDBG funds;
G. Interest earned on program income pending its disposition; and
H. Funds collected through special assessments made against properties
owned and occupied by households not of low or moderate income where the
assessments are used to recover all or part of the CDBG programs portion of a public
improvement.
During the effective Term of this CDBG Subrecipient Agreement, the
Subrecipient shall report all program income as defined in 24 CFR 570.500(a),
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 26 of 56
generated by activities carried out with CDBG funds under this CDBG Subrecipient
Agreement. Program Income may be retained by the Subrecipient subject to the
provisions of the Cooperative Agreement, the Act, and its regulations. Any program
income retained must only be used for eligible activities in accordance with all CDBG
requirements.
It shall be the Subrecipient's responsibility to manage and use the program
income in compliance with the standards and requirements set forth in section
570.504(a) & (b) (1) through (b)(3). The transfer of CDBG funds from the Recipient to
the Subrecipient shall be adjusted to reflect any program income in accordance with the
principles set forth in section 570.504(b) (2) (i) and (ii). In addition, all of the provisions
of this CDBG Subrecipient Agreement shall apply to the management and use of the
program income.
Recipient shall monitor the use of any program income, requiring appropriate
record keeping and reporting by the Subrecipient as may be needed for this purpose,
and shall report the use of such program income to HUD. In the event of close-out as
defined in section 570.509 of the federal regulations or change of status of the
Subrecipient, (i.e., from Subrecipient to entitlement), all program income on hand or
received by the Subrecipient subsequent to the close-out or change of status shall be
paid to the Recipient.
Program income attributable to projects funded under this CDBG Subrecipient
Agreement and on hand with the Subrecipient when this CDBG Subrecipient Agreement
expires, is terminated with or without cause, or received after the Agreement expiration,
shall be paid to the Recipient as required by 24 CFR Part 570.503(b)(8) when the
Subrecipient ceases to be under continuous Agreement with the Recipient for the
operation of CDBG programs. As long as there is no break in the CDBG Subrecipient
Agreement period, program income shall be governed by the provisions of this Section.
The Project shall continue to meet the CDBG program national objective per 24
CFR 570.208 as required by 24 CFR 570.503(b)(7)(i). If the Project is not used in
accordance with 24 CFR 570.503(b)(7)(i) the Subrecipient shall reimburse the Recipient
to comply with the requirements of 24 CFR 570.503 (b)(7)(ii).
19. Reversion of Assets
A. Reversion of Assets. The five (5) year period set forth in 24 CFR
570.503(b)(7) for compliance with one or more national objectives shall be included and
contained within the twenty (20) year compliance period established by the CDBG
Covenants.
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 27 of 56
B. Upon expiration of this CDBG Subrecipient Agreement, the Subrecipient
shall transfer to the Recipient any CDBG funds on hand at the time of expiration and
any accounts receivable attributable to the use of CDBG funds. Any real property under
the Subrecipient's control that was acquired and/or improved in whole or in part with
CDBG funds (including CDBG funds provided to the Subrecipient in the form of a loan)
in excess of $25,000 shall be either:
1. Be used to meet one of the national objectives in 24 CFR Part
570.208 until the end of the twenty (20) year compliance period established by
the CDBG Covenants (pursuant to Section 5.13 above — Term of Agreement), or
the length of time to be further prescribed by mutual agreement of the Parties.
2. Be disposed of in such manner that the Recipient is reimbursed in
the amount of the fair market value of the property at the time of disposition of
the property less any portion of the value attributable to expenditures of non-
CDBG funds for acquisition and/or improvement of such property. The payment
is Program Income to the Recipient.
If the Subrecipient is a private non-profit organization, the Subrecipient further
agrees to a voluntary lien / deed of trust on above -reference property as to any CDBG
funds received and that such lien / deed of trust will be notarized and recorded in the
Office of the County Recorder. The Subrecipient will utilize the lien / deed of trust form
specified by the Recipient, and will be subject to provisions listed in this CDBG
Subrecipient Agreement and in the CDBG Covenants.
20. Procurement/Equipment
Equipment, which shall be defined as tangible, nonexpendable, personal
property having a useful life of more than one (1) year and an acquisition cost of $1,000
or more per unit, is eligible for purchase using CDBG funds only upon prior approval of
the Recipient and subject to 24 CFR Part 570.207(b)(1). Such equipment shall be used
by the Subrecipient in the project for which it was acquired as long as needed,
regardless of whether such project continues to be supported by Federal funds; at the
time, equipment may be used in other activities currently or previously supported by a
Federal agency. Use of such equipment is also subject to provisions of 24 CFR Part
200.313(c). The Subrecipient shall also establish procedures for managing equipment,
which meet the requirements of 24 CFR Part 200.313(d). Further, proceeds from
disposition of such equipment shall be treated as program income as specified in
Section 18 (Program Income) of this CDBG Subrecipient Agreement.
21. Records and Reports
The Subrecipient agrees to supply to the Recipient (the County), on a quarterly
and annual basis, any progress reports and/or other reasonable documentation as may
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 28 of 56
be required by the Recipient to audit performance of the property acquisition activities
covered by this CDBG Subrecipient Agreement (and the subsequent property
development and management activities) and to enable the Recipient to analyze and
evaluate utilization of the CDBG funds by the Subrecipient. The Subrecipient shall
maintain separate accounting and financial records for each funding (revenue) source in
support of the Project.
A. Payment Request Form: the Subrecipient shall submit a Payment Request
Form (Exhibit "D") and copies of the original supporting documents to the Recipient for
all payment requests.
B. Progress Reports: Progress reports for Project activities shall be made
using the Quarterly Report Form (Exhibit E) and shall address project status and, if
applicable, explanation of any problems/delays encountered and/or anticipated and
measures to be taken to correct such problems; revised milestones including
anticipated schedule for project completion (of property acquisition and site
development); and a summary of expenditures, obligations, program income, and
drawdown(s) to date. In addition, the Subrecipient shall provide as part of the progress
report any citizen comments received during the reporting period relative to the Project,
the responses to such comments, and additional project information, as needed. During
the property acquisition period and during the subsequent property development
activities, the Subrecipient shall submit such reports quarterly within thirty (30) days of
the close of report period. This includes any reporting periods during which no
expenditures occurred.
C. CDBG Monitoring Checklist: The Subrecipient shall use the CDBG
Monitoring Checklist — Housing/Rehab., hereinafter referred to as "the Checklist,"
(Exhibit F) to collect and retain all Project documents to be provided to the Recipient for
its records.
D. Completion Report (Property Acquisition): The Subrecipient shall prepare
and submit to the Recipient a Completion Report within thirty (30) days of completion of
property acquisition activities covered by this CDBG Subrecipient Agreement (and the
subsequent property development activities). Said reports shall consist of an overview
and evaluation of the Project property acquisition and development activities, a
comparison of milestones' progress, total costs incurred, listing of files, listing of
personnel, and other reasonable information requested by the Recipient. The
Completion Report shall be made as part of the Quarterly Report Form.
E. Annual HUD/Recipient Reports / Performance Monitoring: The Project's
twenty (20) year compliance period is described in Exhibit A, Section 4 (On -Going
Project Operation) and in the CDBG Regulatory Agreement. During the Project's twenty
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 29 of 56
(20) year compliance period, starting immediately upon completion of Project
development AND initial occupancy of all of the Project's 39 affordable rental units, the
Subrecipient shall submit to the Recipient (the County) in a timely manner all reports
and materials as requested/required by the Recipient for HUD compliance including, but
not limited to annual performance monitoring reports, the Contractor/Subcontractor,
EEO-4, Minority Financial Institution Reports (if applicable), and the Affirmative
Marketing Report. The Subrecipient shall provide, as requested by HUD and/or the
Recipient, information necessary to prepare the Consolidated Plan, Final Statement of
Community Development Objectives, Consolidated Annual Performance and Evaluation
Report, Grantee Performance Report (GPR), and other such reports and/or plans.
F. Annual Financial Audit: During the twenty (20) year compliance period the
Subrecipient shall be responsible for conducting an annual audit of its CDBG program in
compliance with Title 2 CFR Part 200.500 — 200.520 issued pursuant to the Single Audit
Act of 1984 and the Single Audit Amendments of 1996, P.L. 98-502, as applicable. A
copy of said audit shall be forwarded to the Recipient upon completion. Any costs
associated with the annual audit shall be the responsibility of and paid for by the
Subrecipient.
G. Annual Certification. During the fifty-five (55) year Term of this CDBG
Subrecipient Agreement, starting immediately upon completion of Project development
AND initial occupancy of all the Project's 39 affordable rental units, the Subrecipient
shall submit to the County an annual certification signed by the Subrecipient's executive
officer or chief financial officer certifying whether the Project development is or is not
being operated and managed in full compliance with the Tax Credit Regulatory
Agreement. Non-compliance under the terms of the Tax Credit Regulatory Agreement
shall constitute an Event of Default under the CDBG Note and CDBG Deed of Trust,
subject to applicable cure periods.
If the Subrecipient does not exceed the expenditure limits per 2 CFR Part
200.000-520, the Subrecipient shall provide the Recipient with a copy of the
Subrecipient's latest Audit Report.
22. Agreement Responsibility for Monitoring and Records
HUD, the Office of the Inspector General (OIG), and the designated
representatives of the Recipient (the County), and other appropriate officials shall have
access to all personnel records, management information, and fiscal data of the
Subrecipient and any agency or contractor with whom the Subrecipient executes a
subcontract necessary to carry out any CDBG program(s) for monitoring purposes (24
CFR 200.328, 200.327 and 200.326). The Subrecipient shall respond in a timely
manner to all identified corrective action needs as a result of HUD, Recipient, or other
monitoring. The Subrecipient shall submit to Recipient all required reports and
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 30 of 56
monitoring corrective action plans on a timely basis, as delineated by the Recipient.
Records shall be maintained as follows:
A. The Subrecipient agrees to retain all pertinent records under CDBG
program, including financial records, until advised by the Recipient that further retention
is unnecessary. Generally, records shall be retained for a period for five (5) years from
the end of the Project Term (see Section 5 above — Term of Agreement) or the fiscal
year in which the last project covered by the Recipient's annual agreement with HUD is
completed. Records shall be open and available for inspection by auditors and/or other
staff assigned by HUD and/or the Recipient during the normal business hours of the
Subrecipient. If at the end of such five-year period, there is ongoing litigation, claims,
negotiations, audit or other action involving the Subrecipient's or the Recipient's
records, which has started before expiration of the five (5) year period, the Subrecipient
will retain the records until the completion of the action and resolution of all issues which
arise from it as stated in 2 CFR Part 200.333.
B. Consistent with applicable state and local laws regarding privacy and
obligations of confidentiality, the Subrecipient shall furnish and cause each of its own
subrecipients or subcontractors to furnish all information and reports required hereunder
and will permit access to its books, records and accounts to the Recipient, HUD or its
agent, or other authorized Federal officials for purposes of investigation to ascertain
compliance with the rules, regulations and provisions stated herein The Subrecipient
also must provide citizens with reasonable access to records on the past use of CDBG
funds (24 CFR 570.508)..
C. Records for nonexpendable property shall be retained for a period of five
(5) years after final disposition of the property, if applicable.
23. Inspection Rights
The Subrecipient agrees to allow the Recipient (the County) to inspect physical
premises of any project(s) at reasonable times upon a minimum 24-hour advance
notice.
24. Request for Technical Assistance
The Subrecipient shall refer to the Recipient (the County) any regulatory or
procedural questions regarding operation of its CDBG program. All formal requests for
technical assistance shall be submitted in writing. Requests should specify the problem
area, particular assistance being requested and proposed solution if applicable.
Informal questions regarding day-to-day program operation may be directed to the
designated Recipient representative.
25. Hold Harmless and Indemnification
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 31 of 56
The Subrecipient shall hold the Recipient (the County) and the Recipient's officers,
employees, agents and volunteers harmless and free from any and all claims, liabilities or
expenses, including attorney's fees, arising out of or relating to any negligent act,
negligent omission, or other wrongful conduct related in any way to the Subrecipient's
performance of its services pursuant to this CDBG Subrecipient Agreement, provided
such claims, liabilities or expenses were not the result of the gross negligence or fraud
of the Recipient or the Recipient's officers, employees, agents or volunteers. In the
event the Recipient and/or any of the Recipient's officers, employees, agents or
volunteers are named in any lawsuit, or should any claim be made against it or any of
them by lawsuit or otherwise arising out of or relating to such negligent act, negligent
omission or other wrongful conduct, the Subrecipient shall indemnify them for any
judgment rendered against them, any sums paid out in settlement or otherwise, and all
costs incurred by them in their defense, including, but not limited to attorney's fees.
The Subrecipient also understands and agrees that it is being employed to perform
the services provided for by this CDBG Subrecipient Agreement because of the
Subrecipient's professed expertise and experience in performing the services provided
for under this CDBG Subrecipient Agreement. In addition, the Subrecipient
understands and agrees that while the Recipient and the Recipient's officers or agents
may elect to do so, they have no duty to review, inspect, or supervise the work
performed by the Subrecipient pursuant to this CDBG Subrecipient Agreement, except
as otherwise expressly provided for by this CDBG Subrecipient Agreement. As a
consequence, the Subrecipient waives any right of contribution against the Recipient or
any of the Recipient's officers, employees, agents and volunteers arising out of such
failure to inspect, review, monitor or supervise the work performed by the Subrecipient
pursuant to this CDBG Subrecipient Agreement.
26. Insurance
Subrecipient shall procure and maintain for the duration of the contract insurance
against claims for injuries to persons or damages to property which may arise from or in
connection with the performance of the work hereunder by the Subrecipient, its agents,
representatives, or employees.
MINIMUM SCOPE AND LIMIT OF INSURANCE
Coverage shall be at least as broad as:
1. Commercial General Liability (CGL): Insurance Services Office (ISO) Form CG
00 01 covering CGL on an "occurrence" basis for bodily injury and property
damage, including products -completed operations, personal injury and
advertising injury, with limits no less than $1,000,000 per occurrence. If a general
aggregate limit applies, either the general aggregate limit shall apply separately
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 32 of 56
to this project/location or the general aggregate limit shall be twice the required
occurrence limit.
2. Automobile Liability: ISO Form Number CA 0001 covering, Code 1 (any auto), or
if Subrecipient has no owned autos, Code 8 (hired) and 9 (non -owned), with limit
no less than $1,000,000 per accident for bodily injury and property damage.
3. Workers' Compensation insurance as required by the State of California, with
Statutory Limits, and Employer's Liability Insurance with limit of no less than
$1,000,000 per accident for bodily injury or disease. If Subrecipient will provide
leased employees, or, is an employee leasing or temporary staffing firm or a
professional employer organization (PEO), coverage shall also include an
Alternate Employer Endorsement (providing scope of coverage equivalent to ISO
policy form WC 00 03 01 A) naming the County as the Alternate Employer, and
the endorsement form shall be modified to provide that County will receive not
less than thirty (30) days advance written notice of cancellation of this coverage
provision. If applicable to Subrecipient's operations, coverage also shall be
arranged to satisfy the requirements of any federal workers or workmen's
compensation law or any federal occupational disease law.
If the Subrecipient maintains higher limits than the minimums shown above, the County
requires and shall be entitled to coverage for the higher limits maintained by the
contractor.
Professional Liability/Errors and Omissions
Insurance covering Subcontractor's liability arising from or related to this Contract, with
limits of not less than $1 million per claim and $2 million aggregate. Further,
Subrecipient understands and agrees it shall maintain such coverage for a period of not
less than three (3) years following this CDBG Subrecipient Agreement's expiration,
termination or cancellation.
Additional Insured Status
The County, its officers, officials, employees, and volunteers are to be covered as
insureds on the auto policy with respect to liability arising out of automobiles owned,
leased, hired or borrowed by or on behalf of the Subrecipient; and on the CGL policy
with respect to liability arising out of work or operations performed by or on behalf of
the Subrecipient including materials, parts, or equipment furnished in connection with
such work or operations. General liability coverage can be provided in the form of an
endorsement to the Subrecipient's insurance (at least as broad as ISO Form CG 20
10, 11 85 or both CG 20 10 and CG 23 37 forms if later revisions used).
Primary Coverage
For any claims related to this contract, the Subrecipient's insurance coverage shall be
primary insurance as respects the County, its officers, officials, employees, and
volunteers. Any insurance or self-insurance maintained by the County, its officers,
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 33 of 56
officials, employees, or volunteers shall be excess of the Subrecipient's insurance and
shall not contribute with it.
Notice of Cancellation
Each insurance policy required above shall state that coverage shall not be canceled,
except after thirty (30) days' prior written notice (10 days for non-payment) has been
given to the County.
Failure to Maintain Insurance
Subrecipient's failure to maintain or to provide acceptable evidence that it maintains the
required insurance shall constitute a material breach of the Contract, upon which the
County immediately may withhold payments due to Subrecipient, and/or suspend or
terminate this Contract. The County, at its sole discretion, may obtain damages from
Subrecipient resulting from said breach.
Waiver of Subrogation
Subrecipient hereby grants to County a waiver of any right to subrogation which any
insurer of said Subrecipient may acquire against the County by virtue of the payment of
any loss under such insurance. Subrecipient agrees to obtain any endorsement that
may be necessary to affect this waiver of subrogation, but this provision applies
regardless of whether or not the County has received a waiver of subrogation
endorsement from the insurer.
Deductibles and Self -Insured Retentions
Any deductibles or self -insured retentions must be declared to and approved by the
County. The County may require the Subcontractor to provide proof of ability to pay
losses and related investigations, claim administration, and defense expenses within
the retention.
Acceptability of Insurers
Insurance is to be placed with insurers with a current A.M. Best's rating of no less than
A:VII, unless otherwise acceptable to the County.
Claims Made Policies
If any of the required policies provide coverage on a claims -made basis:
1. The Retroactive Date must be shown and must be before the date of the contract
or the beginning of contract work.
2. Insurance must be maintained, and evidence of insurance must be provided for
at least five (5) years after completion of the contract of work.
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 34 of 56
3. If coverage is canceled or non -renewed, and not replaced with another claims -
made policy form with a Retroactive Date prior to the contract effective date, the
Subrecipient must purchase "extended reporting" coverage for a minimum of five
(5) years after completion of contract work.
Separation of Insureds
All liability policies shall provide cross -liability coverage as would be afforded by the
standard ISO (Insurance Services Office, Inc.) separation of insureds provision with no
insured versus insured exclusions or limitations.
Verification of Coverage
Subrecipient shall furnish the County with original certificates and amendatory
endorsements or copies of the applicable policy language effecting coverage required
by this clause. All certificates and endorsements are to be received and approved by
the County before work commences. However, failure to obtain the required documents
prior to the work beginning shall not waive the Subrecipient's obligation to provide
them. The County reserves the right to require complete, certified copies of all required
insurance policies, including endorsements required by these specifications, at any
time.
Certificates and copies of any required endorsements shall be sent to:
Department of Planning and Building
County of San Luis Obispo
976 Osos Street, Room 300
San Luis Obispo, CA 93408
Attn: Housing Section / CDBG Funds
Subcontractors
Subrecipient shall require and verify that all subcontractors maintain insurance meeting
all the requirements stated herein.
Special Risks or Circumstances
County reserves the right to modify these requirements, including limits, based on the
nature of the risk, prior experience, insurer, coverage, or other special circumstances
27. Covenants and Conditions
Each term and each provision of this CDBG Subrecipient Agreement to be
performed by the Subrecipient shall be construed to be both a covenant and a
condition.
28. Effect of Termination
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For Agreements exceeding $10,000 the following applies:
A. Termination of Agreement for Convenience: In accordance with 24 CFR
Part 570.509 (e) and 2 CFR 200.339, this CDBG Subrecipient Agreement may be
terminated by either party after a thirty (30) days written notice of intention to terminate,
setting forth the reasons and the effective date of such termination, has been given to
the other party, provided, however, that no notice of termination given by the
Subrecipient shall be effective unless HUD has agreed to release Recipient (County)
from its obligations pursuant to the program activity(ies) in Exhibit A — Statement of
Work. Alternatively, this CDBG Subrecipient Agreement will automatically terminate in
the event that the United States Government terminates the CDBG programs or
terminates the program activity(ies) which is the subject of the Agreement.
B. Termination of Agreement for Cause: In accordance with 24 CFR Part
570.509 (f) and 2 CFR 200.339, the Parties hereto understand that pursuant to the
Recipient's execution of the HUD application, the Recipient assumed responsibility as to
the performance of the projects. If through any cause the Subrecipient fails to fulfill in a
timely and proper manner its obligations under this CDBG Subrecipient Agreement to
undertake, conduct or perform the project(s) identified in this CDBG Subrecipient
Agreement, or if the Subrecipient violates any of the covenants, agreements, or
stipulations of this CDBG Subrecipient Agreement, the Recipient shall thereupon have
the right to terminate this CDBG Subrecipient Agreement by giving written notice of
such termination and specifying the effective date thereof at least (5) days before the
effective date of such termination. Notwithstanding the above, the Subrecipient shall
not be relieved of liability to the Recipient for damages sustained by the Recipient by
virtue of any payments to the Subrecipient for the purpose of set-off until such time as
the exact amount of damages due the Recipient from the Subrecipient is determined.
C. Upon termination, as stated in subsections A or B above of this CDBG
Subrecipient Agreement, the Recipient shall be liable to the Subrecipient only for work
done by the Subrecipient up to and including the date of termination of this CDBG
Subrecipient Agreement, unless the termination is for cause, in which event the
Subrecipient need be compensated only to the extent required by law.
The Subrecipient hereby expressly waives any and all claims for damages for
compensation arising under this CDBG Subrecipient Agreement except as set forth in
this Section in the event of such termination.
D. If this Agreement is terminated pursuant to this Section, the Subrecipient
shall remain responsible for compliance with the requirements in 2 CFR 200.343
(Closeout) and 2 CFR 200.344 (Post -closeout adjustments and continuing
responsibilities).
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 36 of 56
29. Taxpayer Identification Number
The Subrecipient shall provide the Recipient with a complete Request for
Taxpayer Identification Number and Certification, Form W-9 (Rev. 2018), as issued by
the Internal Revenue Service.
30. Modification of Agreement
Except as provided in Section 3 (Availability of Funds), the tasks described in this
CDBG Subrecipient Agreement and all other terms of this CDBG Subrecipient
Agreement may be modified only upon mutual written consent of the Recipient and the
Subrecipient.
31. Use of the term "Recipient"
Reference to "Recipient" in this CDBG Subrecipient Agreement includes the
designated Recipient representative, or any authorized representative acting on behalf
of the Recipient (the County).
32. Notices
All notices given, or required to be given, pursuant to this CDBG Subrecipient
Agreement shall be in writing and may be given by personal delivery or by mail. Notice
sent by mail shall be addressed to each party's designated representative as set forth
above in Section 10 (Designated Representative). When addressed in accordance with
Section 10, such notice shall be deemed given upon deposit in the United States mail,
postage prepaid. In all other instances, notices shall be deemed given at the time of
actual hand delivery. Changes may be made in the names or addresses of persons to
whom notices are to be given by giving notice in the manner prescribed in Section 10.C.
Notices shall be sent to the Recipient and to Subrecipient's representative at the
addresses shown in Section 10 (Designated Representative):
With a copy to: Banc of America Housing Fund XIV Limited Ptnrship, LLLP
c/o Enterprise Community Asset Management, Inc.
70 Corporate Center
11000 Broken Land Parkway, Suite 700
Columbia, Maryland 21044
Attn: Asset Management
With a copy to: (E-mail address) sshack@enterprisecommunity.com
Attn: General Counsel
With a copy to: Kenneth S. Gross, Esq.
Gallagher Evelius & Jones LLP
218 North Charles Street, Suite 400
Baltimore, Maryland 21201
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 37 of 56
Telephone: (410) 727-7702
Facsimile: (410) 468-2786
33. Permits and Licenses
The Subrecipient, at its sole expense, shall obtain and maintain during the Term
of this CDBG Subrecipient Agreement, all appropriate permits, licenses, and certificates
that may be required in connection with the performance of services under this CDBG
Subrecipient Agreement, or as specified in Section 39 (Patents & Royalties).
34. Waiver
A waiver by the Recipient (the County) of any breach of any term, covenant, or
condition contained in this CDBG Subrecipient Agreement shall not be deemed to be a
waiver of any subsequent breach of the same or any other term, covenant, or condition
contained in this CDBG Subrecipient Agreement whether of the same or different
character.
35. Violation or Breach Agreement Terms
A breach of any of the stipulations contained in this Agreement may be sufficient
grounds for withholding of progress payments, withholding of final payment, termination
of the Agreement, suspension/debarment or any other action determined to be
appropriate by the Recipient (the County).
36. Governing Law
The terms, covenants and conditions of this CDBG Subrecipient Agreement shall
be interpreted according to the laws of the State of California. Should litigation occur,
venue shall be in the County of San Luis Obispo.
37. Integrated Agreement
This CDBG Subrecipient Agreement represents the entire Agreement between
the Recipient (the County) and the Subrecipient and all preliminary negotiations and
agreements are deemed a part of this CDBG Subrecipient Agreement. No verbal
agreement or implied covenant shall be held to vary the provisions of this CDBG
Subrecipient Agreement. This Agreement shall bind and inure to the benefit of the
Parties to this CDBG Subrecipient Agreement and any subsequent successors and
assigns.
38. No Assignment Without Consent.
A. Inasmuch as this County CDBG Subrecipient Agreement is intended to
secure the specialized services of the Subrecipient, unless a transfer is allowed either
(i) in the County CDBG Note or (ii) pursuant to subsection B below, the Subrecipient
shall not have the right to either (1) assign or transfer this County CDBG Subrecipient
Agreement, or any part hereof or monies payable hereunder, or (II) modify its own
organizational structure, including and not limited to transferring any of PSHHC's rights,
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 38 of 56
title and interest as the sole member and manager of the General Partner or any of the
General Partner's partnership interests in Subrecipient, without the prior written consent
of the County, which consent will not be unreasonably withheld, and any such
assignment or transfer without the County's prior written consent shall be considered
null and void.
B. A limited partner(s) may remove and replace a general partner(s) of the
Subrecipient for cause pursuant the Subrecipient / limited partner agreement. However,
the Subrecipient's General Partner, Broad Street Place LLC, shall not be replaced
without prior written approval of the County, and the County shall consider then approve
or disapprove such replacement without unreasonable delay, within 30 days upon
receipt by the County of a written request from the limited partner(s).
39. Patents & Royalties
A. Subrecipient shall provide and pay for all licenses and royalties necessary for the
legal use and operation of any of the equipment or specialties used in the Project
activities. Certificates showing the payment of any such licenses or royalties and
permits for the use of any patented or copyrighted devices shall be secured and
paid for by Subrecipient and delivered to the Recipient upon completion of the
Project activities, if required.
B. Subrecipient shall assume all costs arising from the use of patented materials,
equipment, devices, or processes used in or incorporated in the Project activities
and agrees to indemnify and hold harmless the Recipient and its duly authorized
representatives from all suits of law, or actions of every nature for or on account
of the use of any patented materials, equipment, devices, or processes.
40. Copyright
Any reports, maps, documents or other materials produced in whole or part by
the Subrecipient, its contractor or any subcontractor or person responsible to the
Subrecipient under this CDBG Subrecipient Agreement shall be the property of the
Recipient (the County) and none shall be subject to an application for copyright by or on
behalf of the Subrecipient, contractor, subcontractors or any person responsible to the
Subrecipient during performance of this CDBG Subrecipient Agreement.
(Signatures appear on the following pages.)
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 39 of 56
This CDBG Subrecipient Agreement may be executed in counterparts and shall be fully
effective as if signed by all parties whether or not the signatures of all the parties appear
on the original or on any one copy of this CDBG Subrecipient Agreement.
NOW, THEREFORE, the Parties hereto have caused this CDBG Subrecipient
Agreement to be executed and attested by their proper officer thereunder duly
authorized, all as of the day first above written.
SUBRECIPIENT
Broad Street Place, L.P.
a California limited partnership
By: Broad Street Place LLC
a California limited liability company
Its: General Partner
By: People's Self -Help Housing Corporation
a California nonprofit public benefit corporation
Its: sol member and manager
Ken Trigueiro
Chief Executive Officer and President
Morgen Benevedo
Executive Vice President
(**signatures must be notarized)
ate
Date
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 40 of 56
COUNTY OF SAN LUIS OBISPO
BY: * /�U�
revor Keith, Director
Department of Planning and Building
DATED:
�1
(*signature must be notarized)
APPROVED AS TO LEGAL FORM AND EFFECT:
RITA L. NEAL
County Counsel
By: puty CcOnty Counsel
Dated: March 4, 2021
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 41 of 56
ACKNOWLEDGMENT
A notary public or other officer completing this certificate verifies only the
identity of the individual who signed the document to which this certificate is
attached, and not the truthfulness, accuracy, or validity of that document.
STATE OF CALIFORNIA
ss.
COUNTY OF SAN LUIS OBISPO
On _ , 20 2 (, before me, &. A , , a
Notary Public, in aQd for the State of California, personally appeared KeAJ
i 6 e D EAJ'�, who proved to me on the basis
of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within
instrument and acknowledged to me that he/she/they executed the same in his/her/their
authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s)
or the entity upon behalf of which the person(s) acted, executed the instrument.
I certify under PENALTY OF PERJURY under the laws of the State of California that the
foregoing paragraph is true and correct.
WITNESS my hand and official seal.
L.A.BERTRAND Signature
~ Notary PublicpCaliforn Z Signaturef Notary Public
S _ San Luis Obispo Count n
� Commission # 2210707
My Comm. Expires Sep 16, 2021
ACKNOWLEDGMENT
A notary public or other officer completing this certificate verifies only, the
identity of the individual who signed the document to which this certificate is
attached, and not the truthfulness, accuracy, or validity of that document.
STATE OF CALIFORNIA
ss.
COUNTY OF SAN LUIS OBISPO
On , 20Z before me, AwQ , a
Notary Public, in and for the State of California, personally appeared
, who proved to me on the basis
of satisfactory evidence to be the person(s) whose name(s is re subscribed to the within
instrument and acknowledged to me tha he he/they executed the same inQister/their
authorized capacity(ies), and that b his er/their signature(s) on the instruhe person(s)
or the entity upon behalf of which the person(s) acted, executed the instrument.
I certify under PENALTY OF PERJURY under the laws of the State of California that the
foregoing paragraph is true and correct.
WITNESS my hand and official seal.
C
w ANN C. WE88 Signature v
�'�"'�`•_ NotaryPubkic- California Y Signature of Notary Public
_ San Luis Obispo County
Y Commission i 2285035
My Comm. Expires May 9, 2023
EXHIBIT A
STATEMENT OF WORK
SUBRECIPIENT AGREEMENT FOR CDBG GRANT FUNDS BETWEEN THE
COUNTY OF SAN LUIS OBISPO AND
BROAD STREET PLACE, L.P. FOR
ACQUISITION OF REAL PROPERTY IN THE CITY OF SAN LUIS OBISPO
As part of the Urban County of San Luis Obispo 2020 Action Plan, CDBG funds have
been allocated to the following project(s):
Summary of
PSHHC and Broad Street Place, L.P. CDBG allocations
by the County of San Luis Obispo
CDBG allocations
Budget
County of San Luis Obispo CDBG allocation: Permanent
Affordable Rental Housing — Broad Street Place Apartments by
$338,864
People's Self -Help Housing Corporation (PSHHC)
Total
$338,84
Broad Street Place — Land Acquisition Costs
1. Project Description
Property Acquisition: People's Self -Help Housing Corporation ("PSHHC") has
created a nonprofit affiliate, Broad Street Place LLC ("Broad Street LLC"). Broad Street
LLC, as the General Partner, has created Broad Street Place, L.P. (the "Subrecipient")
which is the Subrecipient of this CDBG Subrecipient Agreement. The Subrecipient will
use the $338,864 in 2020 CDBG Program funds to acquire real property — specifically
the land parcel at 3720 Broad Street in the City of San Luis Obispo, in the County of
San Luis Obispo, that is currently owned by PSHHC. The Subrecipient will then
develop the parcel by constructing the Broad Street Place Apartments, which will be an
affordable housing project that has thirty-nine (39) affordable rental apartment units plus
a manager's unit (project total of 40-units) (the "Project"). The Subrecipient will manage
the property and the thirty-nine (39) affordable apartment units for a twenty (20) year
compliance period (pursuant to the CDBG Covenants) and shall use the thirty-nine (39)
affordable apartment units to provide housing to CDBG-moderate, low, very low and
extremely low-income persons / households. The land parcel shall be developed in
conformance with permits approved by the City of San Luis Obispo, specifically Project
Permits No. USE 1094-2017, approved on October 25, 2017, and ARCH-0641-2019,
approved January 2, 2020.
On -going Project Operation: The Subrecipient and the County have executed
and recorded the CDBG Regulatory Agreement and Restrictive Covenants ("CDBG
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 42 of 56
Covenants") concurrently with this CDBG Subrecipient Agreement. The CDBG
Covenants establish a twenty (20) year compliance period for the forty (40) unit
affordable housing project to be constructed on the Project site. During the twenty (20)
year compliance period, the Subrecipient shall operate and maintain the Project
development in conformance with the CDBG Covenants and with the requirements of
this CDBG Subrecipient Agreement. In case of a conflict between the CDBG
Covenants and this CDBG Subrecipient Agreement, the more restrictive covenants,
standards, and/or requirements shall apply.
The thirty-nine (39) affordable apartment units shall be occupied by income
eligible tenants (CDBG-moderate, low, very low and extremely low-income persons /
households) continuously throughout the twenty (20) year compliance period (pursuant
to the CDBG Covenants), to the satisfaction of the Recipient (the County) and HUD.
2. Scope of Work: Real Property Acquisition
(a) This CDBG Subrecipient Agreement shall be recorded prior to the
disbursement of any CDBG funds to the Project. The Subrecipient agrees that the 2020
CDBG Program funds of $338,864 shall be secured through the establishment of a lien
in fifth position on the title of the said estate (a fee interest in the real property, currently
owned by PSHHC, to be acquired pursuant to this CDBG Subrecipient Agreement).
The Subrecipient agrees to take any and all actions necessary to secure, retain, and
defend the fifth position of the County's lien on the title of the Project site/estate (a fee
interest in the real property to be acquired) unless the County has agreed in writing to a
different arrangement within the chain of title and the County has issued its written
consent to such a change prior to any such change in title being initiated or put into
effect.
(b) Within one (1) month after execution of this CDBG Subrecipient Agreement,
no later than March 31, 2021, the Subrecipient shall complete all activities related to
acquisition of the real property — the land parcel — that will be used to develop the 40-
unit Broad Street Place Apartments (an affordable housing project) and shall expend
$333,864 of the available $338,864 in CDBG funds. The County shall retain the
remaining $5,000 in CDBG funds until completion of the development of the said
affordable housing project (Broad Street Place Apartments). The March 31, 2021
completion date may be extended only with prior written approval by the Recipient,
specifically the County's Director of Planning and Building, in conformance with Section
8 (Project Review Conference).
(c) Within thirty (30) months after execution of this CDBG Subrecipient
Agreement, no later than September 30, 2023, the Subrecipient shall complete
construction of, AND obtain final permit approval and certificate of occupancy from the
permitting authority, for the 40-unit Broad Street Place Apartments (affordable housing
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 43 of 56
project). The apartments shall be constructed in compliance with the San Luis Obispo
City approved construction permits for the apartments. This completion schedule may
be extended only with prior written approval by the Recipient, specifically the County's
Director of Planning and Building, but shall in no event be extended beyond September
30, 2024.
(d) $333,864 of the total amount of $338,864 of 2020 CDBG funds authorized
through this CDBG Subrecipient Agreement shall be used to pay for and/or reimburse
the Subrecipient for acquisition of the real property, currently owned by PSHHC, that is
to be used for the development of the Broad Street Place Apartments (an affordable
housing project). $5,000 of the $338,864 in CDBG funds shall be held by the County as
a retainer fee until after completion of the acquisition of the real property and then
released after completion of the subsequent development of the said real property with
an affordable housing project.
(e) If the County, in its sole discretion, determines that the Subrecipient and/or
Project development fail to comply with the Scope of Work standards and requirements
described herein, such failure shall constitute an Event of Default. The procedures for
addressing such default(s) and related cure period(s) are set forth in the CDBG Deed of
Trust and CDBG Note, and in this CDBG Subrecipient Agreement Section 8 (Project
Review Conference).
3. Reporting
(a) Construction Phase. During the thirty (30) month -construction period
following the acquisition of the development site for the Broad Street Place Apartments,
the Subrecipient shall submit quarterly progress reports to the County describing the
building and construction progress made towards completing the Broad Street Place
Apartments. The quarterly reports shall be submitted to the County within 15 days after
the end of each quarter. The Subrecipient shall also submit a project completion report
within 60 days after obtaining final construction permit approval and certificate of
occupancy from the permitting authority.
(b) CDBG Monitoring Checklist: The Subrecipient shall use the CDBG
Monitoring Checklist — Housing/Rehab., hereinafter referred to as "the Checklist,"
(Exhibit F) to collect and retain all Project documents to be provided to the Recipient for
its records.
(c) On -going reporting. See below — Scope of Work: On -Going Project
Operation.
4. Scope of Work: On -Going Project Operation
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 44 of 56
(a) Upon initial occupancy of all 39 affordable rental units by income eligible
households the Subrecipient shall report to the Recipient (the County) that the Project
development has begun to provide a benefit to CDBG-moderate, low, very low and
extremely low-income persons / households, per 24 CFR 570.201 and 24 CFR 570.208
of the federal CDBG regulations. The Subrecipient shall also identify which rental units
that have been designated as the eight (8) CDBG-assisted units. The Recipient shall
then, at its discretion, document the start of the twenty (20) year compliance period of
the CDBG Covenants and the start of the fifty-five (55) year Term of this CDBG
Subrecipient Agreement.
(b) For each year of the twenty (20) year compliance period of the CDBG
Covenants the Subrecipient shall own, operate and manage the Broad Street Place
Apartments in full compliance with all applicable government codes and laws, and to the
full satisfaction of the County. The Subrecipient shall provide housing and related
services, benefits, and assistance to CDBG-moderate, low, very low and extremely low-
income persons / households, in compliance with 24 CFR 570.201 and 24 CFR 570.208
of the federal CDBG regulations, throughout the entire twenty (20) year compliance
period.
(c) Thirty-nine (39) of the forty (40) apartment units shall be occupied by
income eligible tenants (CDBG-moderate, low, very low and extremely low-income
persons / households) continuously throughout the twenty (20) year compliance period
of the CDBG Covenants, to the satisfaction of the Recipient (the County) and HUD.
(d) Performance Monitoring: In conformance with the CDBG Covenants:
(i) Each year, throughout the entire twenty (20) year compliance period
of the CDBG Covenants, the Subrecipient shall provide all beneficiary
information in a report format and time schedule that: 1) is acceptable to
the County, and 2) that enables the County to meet all reporting
requirements of HUD and the CDBG Program.
(ii) Each year the Subrecipient shall fully assist and cooperate with the
County as the County monitors and audits the Project performance during
the twenty (20) year compliance period of the CDBG Covenants. The
Subrecipient shall promptly address and resolve all shortcomings of the
Project's performance or defects identified by the County to the County's
satisfaction.
(iii) During the Project's twenty (20) year compliance period the
Subrecipient shall submit to the County in a timely manner all reports and
materials as requested/required by the County for HUD monitoring
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 45 of 56
including, but not limited to the Contractor/Subcontractor, EEO-4, the
Minority Financial Institution Reports (if applicable), and the Affirmative
Marketing Report. The Subrecipient shall provide, as requested by HUD
and/or Recipient, information necessary to prepare the annual monitoring
report, the Consolidated Plan, Final Statement of Community
Development Objectives, Consolidated Annual Performance and
Evaluation Report, Grantee Performance Report (GPR), and other such
reports and/or plans.
(iv) Annual Finance Audit: During the Project's twenty (20) year
compliance period the Subrecipient shall be responsible for conducting an
annual audit of its CDBG program in compliance with Title 2 CFR Part
200.500 — 200.520 issued pursuant to the Single Audit Act of 1984 and
the Single Audit Amendments of 1996, P.L. 98-502, as applicable. A copy
of said audit shall be forwarded to the County upon completion. Any costs
associated with the annual audit shall be the responsibility of and paid for
by the Subrecipient.
(e) During the fifty-five (55) year Term of this CDBG Subrecipient Agreement,
the Subrecipient shall retain legal ownership of the Project property (real estate parcel)
and development and of all rights, royalties, profits and proceeds generated or caused
by the Project property and/or development.
(f) Annual Certification. During the fifty-five (55) year Term of this CDBG
Subrecipient Agreement, starting immediately upon completion of Project development
AND initial occupancy of all of Project units, the Subrecipient shall submit to the County
an annual certification signed by the Subrecipient's executive officer or chief financial
officer certifying whether the Project development is or is not being operated and
managed in full compliance with the Tax Credit Regulatory Agreement. Non-
compliance under the terms of the Tax Credit Regulatory Agreement shall constitute an
Event of Default under the CDBG Note and CDBG Deed of Trust, subject to applicable
cure periods.
(g) Reversion of Assets. The five (5) year period set forth in 24 CFR
570.503(b)(7) for compliance with one or more national objectives shall be included and
contained within the twenty (20) year compliance period established by the CDBG
Covenants.
5. Expenditure of Funds
Within one (1) month from the date that this CDBG Subrecipient Agreement is
executed, no later than March 31, 2021, the Subrecipient shall expend $333,864 of the
total amount of $338,864 of CDBG funds that has been allocated to the Project to
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 46 of 56
acquire the land parcel currently owned by PSHHC, the fee owner, on which the Broad
Street Place Apartments project will be developed (an affordable housing project —
located at 3720 Broad Street, San Luis Obispo CA). This completion date may be
extended only with prior written approval by the Recipient, specifically Director of the
County Department of Planning and Building, in conformance with Section 8 (Project
Review Conference).
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 47 of 56
EXHIBIT B
SCHEDULE OF COMPENSATION
Broad Street Place Apartments (Affordable Housing Project)
for Community Development Block Grant funds
1. Compensation. Subject to the terms and conditions of this CDBG Subrecipient
Agreement, the County shall provide to the Subrecipient the amount of Three -Hundred
Thirty -Eight Thousand Eight Hundred Sixty -Four Dollars ($338,864.00) of 2020 CDBG
Program funds to enable the Subrecipient to pay for eligible land acquisition costs
related to the Project. In no instance shall the County be liable for Project costs in
excess of $338,864, nor for any unauthorized or ineligible costs. The Subrecipient shall
not obligate or expend the funds for any purpose other than for the land acquisition
related to the Project. Payment for the foregoing shall be in accordance with the
following procedure:
(a) Concurrently with this CDBG Subrecipient Agreement, the Subrecipient shall
execute a promissory note in favor of the County in the amount of $338,864 ("CDBG
Note"), a deed of trust and security agreement ("CDBG Deed of Trust"), and a
regulatory agreement and restrictive covenants ("CDBG Covenants"). This CDBG
Subrecipient Agreement, the CDBG Deed of Trust and the CDBG Covenants shall be
recorded prior to any payment of CDBG Program funds from the County to the
Subrecipient.
(b) The Subrecipient shall submit a completed Subrecipient Payment Request
Form (see attached Exhibit D) with each payment request. Such payment requests
may be submitted no more frequently than on a monthly basis. The Subrecipient shall
also submit receipts and other documentation that describe the documents, materials,
and activity(ies) that will be paid for and/or reimbursed with each specific payment
request.
(c) The Subrecipient may not request disbursement of CDBG funds until the
funds are needed for payment of eligible costs (i.e., reimbursement of eligible Project
land acquisition costs). Do not request more than is necessary.
(d) The CDBG Covenants affecting the Project (property acquisition and
development) shall provide for its use as an affordable housing project that benefits
CDBG-moderate, low, very low and extremely low-income persons / households for a
compliance period of at least twenty (20) years from the date the Subrecipient begins to
provide a benefit at the Project development (i.e. the twenty (20) year compliance
period established by the CDBG Covenants).
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 48 of 56
For performing and completing the land acquisition described in Exhibit A, and activities
directly related to such land acquisition (including the $5,000 retainer fee), Recipient
(the County) shall pay Subrecipient the total amount of:
-- LINE -ITEM BUDGET --
CDBG allocations
Budget
County of San Luis Obispo CDBG allocation: Permanent
Affordable Rental Housing — Broad Street Place Apartments by
$338,864
People's Self -Help Housing Corporation (PSHHC)
Total
$338,864
BILLING. Subrecipient shall submit an invoice and copies of all original supporting
documentation to the Recipient at the following address:
County of San Luis Obispo
Department of Planning and Building
976 Osos Street, Room 300
San Luis Obispo, California 93408
Attn: Soutsida Inpravongviengkham, Accountant
Progress Reports. During the subsequent construction phase that precedes the start
of the twenty (20) year compliance period, the Subrecipient shall submit quarterly
progress reports to the Recipient using the Quarterly Report Form attached as Exhibit
E.
METHOD OF PAYMENT. Payment to Subrecipient of the compensation specified in
the Approved Line -Item Budget of this Exhibit (shown above) shall be made as follows:
A. Subject to the maximum allowable compensation set forth in the
Approved Line -Item Budget of this Exhibit, the Recipient shall pay the
Subrecipient for land acquisition costs related to the Project, based on the
submittal and approval of an invoice, and based on conformance with this CDBG
Subrecipient Agreement during the Term of this CDBG Subrecipient Agreement.
2. Sources and Availability of Funds. It is understood by the parties hereto that
the funds being used for the purposes of this CDBG Subrecipient Agreement are funds
furnished to the County through HUD pursuant to the provisions of Title 1 of the
Housing and Community Development Act of 1974 (42 U.S.C. 5301 et. seq.)
(hereinafter referred to as the "Act"). Notwithstanding any other provision of this CDBG
Subrecipient Agreement, the liability of the County shall be limited to the CDBG funds
that are available. The Subrecipient understands that the County must wait for the
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 49 of 56
release of funds from HUD before grant funds may be advanced or reimbursed. The
County shall incur no liability to the Subrecipient, its officers, agents, employees,
suppliers, or contractors for any delay in making any such payments, unless such delay
is caused by County's intentional misconduct.
3e Relationship to Grant Agreement. The Subrecipient acknowledges and agrees
that this CDBG Subrecipient Agreement is subject to the obligations and limitations
imposed on the County by the Grant Agreement for the 2020 CDBG Program (Grant
Agreement) executed by HUD and the County, and by all future amendments to the
Grant Agreement, and that this CDBG Subrecipient Agreement is intended to be in
conformance and harmony with the Grant Agreement. The Subrecipient further
acknowledges that if the Grant Agreement is terminated by the United States
Government prior to the implementation by appropriation and/or funding of this CDBG
Subrecipient Agreement, then the County shall have the right to terminate or amend this
CDBG Subrecipient Agreement by giving written notice of the termination or
amendment of the Agreement to the Subrecipient. The Subrecipient hereby expressly
agrees to the provisions of the Grant Agreement and further expressly agrees that
nothing in this CDBG Subrecipient Agreement shall be deemed to require the County to
perform an obligation in conflict with the Grant Agreement. The Subrecipient further
agrees that the County's right to enter into amendments to the Grant Agreement is not,
and shall not be restricted or impaired, in any way, by this CDBG Subrecipient
Agreement.
4. Reimbursement of Improper Expenditures. If at any time within applicable
statutory periods of limitation it is determined by the County or by HUD or its duly
authorized representatives, or by the United States Secretary of Treasury or his duly
authorized representatives that funds provided for under the terms and conditions of this
CDBG Subrecipient Agreement have been used by or on behalf of the Subrecipient in a
manner or for purposes not authorized or prohibited by the Act or regulations adopted
pursuant thereto the Subrecipient shall, at the County's request, pay to the County an
amount equal to one hundred percent of the amount improperly expended.
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 50 of 56
f=VA:11-311te7
PROGRESS REPORT FORM
Broad Street Place Apartments
for Community Development Block Grant funds
See the following two pages.
Broad Street Place Apts. - CDBG Subrecipient Agreement - Page 51 of 56
COUNTY Or, SAN LIAS OBISPO
DEPARTMENT OF PLANNING & SUILDMG
KSG-1009
1.2111/2017
Please subrn-t a copy of this report for each quarter of the program fiscal year. If you have not expended
any funds dur;ng a quarter, poease submit a form and mark 0 or NIA. For the 4' c uwter report, please
attach a copy of your beneficiary records for the erTsdre year. Reports for quarters 1, 2, & 3 must be
submitted within 30 days of the end of the quarter. The 4111 quarter report must be submitted w-thin 15 days
of the end of the 41" quarter.
AGREEMEINT TERM:
QUARTER:
�Q1=July-5eot.. Q =Oct -Dec, Q3 Jan -Mar. Qa=apr jun
J
PROJECT
CONTACT
PHONE
ORGANIZATION
FAITWRASED
ORG MIIZATiOM'
0YES ONO
ACTION PLAN YEAR
llP;l;V
TOTAL FUNDING
AWARD
AMOUNT
SPENT TO DATE
"ect (a)
Rudoct (bI
Expenses this
period deb
Experuces
Previously
reported (db
Expenwn to
date ;c + d)
Funds
received to
dated
Other Funds
received to
date (RI
Balance
available lb -el
COMG M7
S
other
S
TOTAL
S
Narrative -Status of Approved Activities:
Problems Encoante red & Corrective Actions taken_
975 0505 STqEE71, gOOM 300 j S N LUIS 031SF,".. &� 93408 1 $05-_,Sl-5600 ,7' R5 e- -1 :;AGE 1 0--
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 52 of 56
HSG-1008
12111/207
BENEFICIARY DATA & DEMOGRAPHIC CHARACTERISTICS
CUMULATIVE NQN )UPLICATED BENEFICIARIES
RACE
TOTAL
HISPANIC**
WhAa
BlacklAfrican ,err erican
Asaan
Arerican lndiartfAfas-ka dative
Native HawaiianfCM3at Pacfic Islande*
BlackJAfricankmerican & Whiite
Asian &' White
American IndiardAlaska N"ve &White
American IndiardA aska Native & BiackfAfrican American
Other Muld-Racial
Refuse to Say,
TOTAL
.' ?[.span a to nest ttansideted to tw a race. [tut ,atrtet art >=thnttity. Pebf& tnay he White & 4 (span c @{aek & ttitt pank. ett.. Pieasr dentiry the purr ttet of
Wspivik clients out tr Voee tuial.
BENEFICIARIES
FEMALE HEAD OF HOUSEHOLD
TOTAL
INCOM E LEVEL
(INCOME LEVELS UPDATED ANNUALLY AT 1mtPs JA w wJwduserguv bo WdataseWiLt�roi
Ext-err_ely Lave
Very Lcw
Law
How well is u-is p-,gram se~ving the argeted populations?
976 CSGS ,,EE t , r2CL M .300 I SAIN LUIS OBISPC. CA 9-3408 1805 i -556W ; ---Y, RS ,- -? PAGE 2 OF Z
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 53 of 56
(This page is intentionally left blank.)
Broad Street Place Apts. — CDBG Subrecipient Agreement — Page 54 of 56
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EXHIBIT F
CDBG Monitoring Checklist - Housing/Rehab
See the following 13 pages.
�<
r .tilt
E
of .Y.. .. Monitoring
a F
PROGRAM/PROJECT:
AGENCY — PJ
MANAGER(S).-
COUNTY REVIEWER,
DATE:
2 CM 2K360 Statutory and bather) p*lfryregtdreme M
(a) The Federd owxuding effencynwsa mam e award in amanner.ggp= ensure that Federul fr noft is expended
and an=med progr m tore Fmpiememed in full acmrdancevAth U.S. statumryand pubifc pokyyrequiremerats: incluft but not ilrraated to,
thasepruaWngpubfrcweafare;.deeenubwrnnentmadproNbitingatis deralhadon.7heFedemimwdZngnjenrymusroo amuniearetorimmn-
Federul eWWadf-kuarupuhhcparigr requirementx. indu&ngthaue in geneml apprnpriaUwx pravdsiom and incarponse drew either directly
or by rejerenae in the leans and cana4ta ins of Noe Federof amend.
24 CF'S SM216 7lrcrerds to br mahmh wd.
Each reapieratshalf eiWWsh and roaffir a sufpaaen t records to enable fire Secretary to determine vrhether the reapierelm met the
regWra•rnerusofthispcar,Aamdmimurat,doefalfowingrKardsoreneedert.f
(a} Recars�praavhdiraga fulf descniptiaa of each actaiaity assisseed far befrag assisbedJ wrlda fBBG funds ineiudir� its kuiotiara ftFthe
attivftylaosa raphimdfaaasbthe amrraratgft7Wfunmk&x&reAobl&teaiaardaWerrdedjarthe a&Afy;andmhe
pvavrsian insubpa+rtcurdri, which iris aftak..
fb) RecordsdwnanstrosregNxateacaacdAyrmdertatmmeetsaneafthecrkeriamtEarthin5571!20&
(4) For each atdvitycarded"fear NhepurposeafpravddirgorunpmWjghaeasrngwfeicch s detemuened tobsnefxiowand
pawns
(&Acopyofa wnlUn gpvemerrrwith each landlord ordevekperreceMng CDW assistance indieaongthe total numberof dwelling
units in each multifamdyS&Uatrre assisted and Naenurraber of these units which w*f be ocaAokdbykwondmadleaMLi==
households afaranisrasttE:
(a) The total cast of the argft, mdudirtgboth MgGmadnon-Offs f anah.
rAD Frar each ankacmq*d by a low and househak thesae and inaine of drehousehoid
(N) FarMOW laouaftardy
09 Tare rentchaWd(artobe charged) sfEerassbtancefureach dwellfrtgurdt in each sn=m assisted- and
IF) Such k4brrewoaaasne essarytoshowtheafjbrdabOye,funfitsaerupbed(ortobeoccupkgbylawand
inammhouselaaPds puvsuantto crasda esk*fthedand made pubk by Me recoent
N For each property acWdred on which there are no serarchmm eMence of commitments ensurirg Vm*- the chuda in §
570.208p)(3) Ml be met when the s scrum are bur7t
f'i)Whereapplicabkrecords dem nsm;tingthatNeear vuyqutdoesunderthespeciadconiftonsatIS70.e1r,1g(o0Jfyl;
&i& Far anyAomeftler assistance actft quaWiUunder I S70.201fei 57M201(4 or 570-204ldentif=rka of doe appifcable
egg&rxy armd evidence the acaiwiymeess the eiigib8fxjr criteria jar YhatpRaatisior4 fnr arrysuch activity alvatifyir�g
under g57ti21f8(alehesite and lacar eafeachhrrmebuyers:householdBand
Mq) For a NSM201(V housift ser WowadW% identecadan of the H0Uf prsgject(s) ar ass5sMee char the hacrsi V services actiw'ty
svppoft and evidence that prra eeg4 or asdsrance meet lire )i0MEprggmm kicame largaft requba meaats at 24 CFR 922.52 or
9225Q
S?b 0S IS LnEET. Tt^t?M'300 1 SW LU S OBtSPO. CA 8 i 80v-731 5830 7-1-1 PAGE= 1 OF 13
135'J" I;
THE ITEMS BELOW ARE REQUIRED BY THE COUNTY AS PART OF THE PROJECT IMPLEMENTATION AND
DOCUMENTATION.
The subTecip"ent viall maintain ardprovide records required bythe Federal regulations specified in 24 CPR 570.50,-r.
For monitoring purposes refer to 24 CFR 570.502, 2 CFR Pan 200, and 24 CFR302, 200.305, 20-0.306, 2D0-307,200.308,2
CPR Part 200 Subpan F-Autirt Requirements, 2CFR Part 200 Subpart E -Cost: Principles, 20D.-M2and otl',er records
necessa ry to document compliarre with 24 CRR. 570-
Overall Grant Management
a Internal Controls -Contacts and Grg Chart
0 Records to be Maintained - Application,
Agreement, Correspondence
Environmental Review (NEPA) by Project Manager
r7 Eligibility Documentation
• Acf6vity
Clients
= Land Acquisition
= Procurement
1b Small Purchases)
0 Professional Services
0 Competitive Sealed Bids
0 Section 3
. MBE)WB,E
= Construction
, Labor Standards for Construction
• ContractorlSubcontractor
Certificati an
• Certified Payrol;
0 Project Schedule/Milesiones
. Necessary permits and certification
Financial Documentation
• Source documentation of expenses
• Invoices &receipts
• Payment requests
• Audit
Progress Reports
Z! Project Completion
Monitoring Documentation
• Letters
• Proof of insurance
0 Relocation Plan
0 Lead Based Paint
0 Section 504
Ur Inspection Checklist
SA; i L;_:SZ-3:SP,_- :A 31403 1 K5-75155-L' P AC:;-z C Or '3
2 CFR 00.303 Internal Controls. (a) Establish and maintain effective internal control over the federal award that
_ provides reasonable assurance that the non -Federal entity is managingthe Federal award in compliance with
P !Federal statcires, r ulatiorrs, and the terms and conditions of the Feaderal award.
YES
NO
N/A
PROCEDURES & ORGANIZATION
Does the Subrecipient maintain written p*-ocedures describing its management of tire CDBG
program?
Is there clear documentation of staff/positions dedicated to CDBG Profect management with
updated contact Information? (Wbo oversees day to day administration of the program?) i.e.
Organization Chart/Financial Internal Control Organization
Does the Subrecipient have a system in place to collectltrackthe benefEciary
characlteristirsffnancial progress? (CAPER and t3mel y spend down)
Has the Subrecipient supplied requested documertaton in a timeiy warner?
Please keep a record of written correspondence with the County, 3nducling significant emails or formal
letters.
YES
NO
NIA
CORRESPONDENCE
Letr_er(s) informing Vie subrecipient of funding awards, written notices, etc.
Letter(s) requestIng amencinewts, writ*; 'ustif cadon(s) (Optcional, as needed)
Author zacion to incur costs
CFR 370.306 Records to be Maintained. (a) Records providing a full description of each activity assisted (or
being assisted) with CDBC farads, Fnduding its location fif the actrvigr has a geographical locus), the arr.ount of
CDBG funds budgeted. obligated and expendedfor the activity, and the provision in subpart C under which it is
Eligible,
Each project file must contain the original subrecipient agreernent,°MOU between the County and the
Subrecipient. Compare the programdproject status to the impiementadon schedule and provide
correspondence regarding the agreement,
YES
NO
Nfdl
PROJECT fJILE
Does the CDBG project fi le conta°n a copy of the Grant Appl icatson?
Does the file contain a copy of the Subrecipient Agreement containing a full description of actin tgr
carded out includingthe location, amount off C G, and other funds budgeted, ob".igated and
expended for the activity?
Subreci ient Agreement amendments # (O :lonal, as needed)
Act"ruicy'Timeline- did the subrecipient perform atnJv±ty as scheduled?
Exhibit A - Project Parameters
Has the subreci ient inn: Eemented the project/program as oescribed in the agreement?
Other documents, comments andlor col:cern(s)frecommendation(s), fin ding(s)i'correcrWe action(s) cited.
976 OSCS M, EE '.30C I SANI L`J; S ^c S? .. CA, 93408 1 805-%61 ;6i_ ? I '^.':T 5 ?-` - PAGE 3 C:,:: .t 3
24 CFR 570L 506 Records to be molorairmd. fib} Records demonstrating thor each acrh7ty undemken meets one
of the criteriri setforth in 9 570.20&
AqI Public Facility projects must document activity eligibility. Pubftcfacilitie5 that include housing or services
provided MUst also document client eligibilltv. (i.e. a housing faciliry for transitional age youth)
YES
I NO
I NIA
ACTIVITY ELIGIBILITY
What is the target population forthis project?
Does it require process or procedure for eligibilfty documentation? (See below for presumed-
Urn'ted Clientele)
-berefit
Is the process or 2roredure =n writing and available to the appropriate staff- members?
YES
NO
NIA
CLIENT ELIGIBILITY
For income -based clientele, are the appropriate incorne threshold Urnits documented and being
applied?
Does the project/client file contain the aopropr�ate ellgib1ity documents described in Exhibit A of
the Subrecioienc Agreement?
I 24 CFR 570-208(a)(3) & 24 CPR 5770.506(b)(4)[i ii)l
YES
NO
N/A
LIMITED CLIENTELE
Is the lim.ated dientele served clearly and docamenwo?(24CR570-'zC8(ii)(2)(iXA) &
24CFR570-506(bY,3)(!))
If the activityls based or, the nature and location of the activity, do the files. contain
docurnerration to support that the beneficiaries are predominant lm%L and moderate -income?
(570-2081a)[2)(iXD) & 5570-506(b)(3)(il))
YES
NO
NIA
UM AREA BENEFIT
For each project cleten.nfned to beneft 'ow and r.mclerate-income persons based on the Lm%+ Vod
Area `LMA) served by the activity, are the boundaries of the service area defined?
Is the percent of persons served within the area boundary at least 55% I ow- and moderate -
income?
Other documents, comments and/or cc rcern(s)1recom mend ati on(s), finding(s)fcorrective action(s) cited:
q76 0 1; 715 5 -1 DOM 117-n ; Safi C2 5 L)F'S71v :A 7 -LB I A OE--S' -3K-'- —.-�'711S -,-' - ' 134 GE 11 C;: 13
24 CFR 570.506 Final documentation required to assure !and acquisition compliance by all pardes and
payment of alf invoices and surety (bond).
YES
NO
NIA
ITEM
TiVe Report
Pur&ase Agreement
Property Acq uisitiGn Notice. See "Relocation PFan" section.
Ch-her documents, comments and/or concern(s)lrecommendationts),fnding(sycorreave action(s)cited.
SMALL PURCHASES
According to 2 CF-R 200.318, subredpients must maintain records to detail the significant history of a
procurement. These records include files an the rationale for selecidrig the methods of procurement used,
selection of contract type, the contractor selectionIrejection process, and the basis for the cost or price of a
contract. Smail purchases may be used per 2 CFR 200.320, and whether the subrecspient followed its own
procurement policies and procedures.
YES
NO
N/A
ITEM
Subreciplent Procurement Policy
Documentation ulitem beirZ purchased (do not artiflaally divide ite procurement so as to
constitute a small purchasel
Clearance of Vendor (Convactor/Subcontracto, SAM check for debarment)
Obtain and document pricelyate quotations either by phone or 7n writing from a minimum of
three sources
Document the businesses contacted and prices quoted
Document the basis for selection and cost
Prepare and execute a contract formalifng!1he scapecfwork, delivery schedule and the terms of
compensation
PROrESSIrk NAL SERVICES
Subject to 2 CFR 200.320. For procurement involving architecture or engineering (AIE) services,
subrecipients may use competitive proposal proced-ureswilereby cornpetitcirs qualifications are evaluated
and the most qualified competitor is selected, sul:)ectto negotiation of fair and reasonable compensation.
Professional services are subject to 2 CFR 200.320 (d), and whether the subrecipient followed Its own
procurement policies and procedures. Professional services are subject Section 3 and MBFJWBE
requirements. See Section 3 and MBEM,'BE sections.
376 CSCS'717-EE7R=�', 3W I L.a-; C 1SPO CA 934f-'S ' SE-761 7-- -'g PL,GC 5 0-7 73
V— ,.........—..--I
t
YES
NO
NIA
ITEM
Request for Proposa-. (RFP) for Design Professional Services
Affidavits of publication for RP or newspaper notice clipping (mimmum'IC days affooNed for
resigor-se)
Certified copy of Ve RFP evaluation
Contractor I Subcontractor SAM
Copy of the Notce of Award
Executed Architect/Engineer contrea with CDBG an and any related addenda, etc
COMPETI[TIVE SEALED BIDS
Subject to fbrma6 advertisement, 2 CFR 200.320 (d).
YES
NO
NIA
ITEM
Affidavit of publication and/newspaper notice crepping of ,he invitationtrutice for bids
Solicitation Isst and copy of the transmittal lette-3 Df those contractors whorr, rrzy be solicited for
bids
Povide Federal Wage Decision
Minutes of pre -bid conference
Copy of the bid opening minutes as needed
Copy of the Wid tabulation sheets)
Contractor/Subcontractor SAS debarment check NOTE: ContractorlSubcoAtractor SAM
debarment check must be compleredjby tffch Wfiddual wnrractor Wy �kln an rheJob
Copy of the staff report and minutes of the CoinciltBoardmeet fngwhen the award is made
Copy of the notice of cNard/preconstruction conference
Copy of the fully executed contractlYcl documents with required bonds (Labor and Material
Payment Bond with associated power of attorney and Performance Bond with associated power
of attorney), certifications, arty related addenda, change orders, etc.
Minutes of the pre -construction conference,sigh-insheet anti
nda
Wage decision lack in date form
Copy of the notice to proceed from subrecipient to contractor
Copy off real qrpject Elar.s1specs
SECTION 3
Subrecipients must ensure that HUD-fundedjobs, training, and contracts are provided to local low-income
residents, particularly those that reside in public housing and businesses that substantially employ thern.
Section 3 applies to construction project funded vAth more thari $20D,GO0 of CDOG funds. It also appli-esto
contractors and subcontractor who are paid $100,000 in CDBG funds. The County collects Section 3
information from the subrecipients and cortractors.
YES
NO
NIA
ITEM
Economc Opportunty for Low and Very Low -Income Persons in Connector: voith Assisted Projects
.. (nUD - 60002)
.motion 3 Contractor Certification Form, if applicable
376 05C S STRE -=-. i 3C A, ! . S� N, L - *.S CS ZA -3 3 43 S : 8 -5 - 781 - 50:10 ' o 7 3 i - PAGE 6 L:- '��
71_11111. .1 1
I Zj
II I I Section 3 New Hire Certff"ton Form, ifappliGable I
MANDE REPORT
Subrecipients must ensure that RUD-funded jobs, training, and contracts are provided to smalf and minority
firms and womens business enterprise (MEEMBE). The WBEIWBE applies to CDBG funded construction
project specifically to contractors or subcontractors who are paid $10,000 or more in CDEG -funds. The
County submits annuao' IVISEANBE report to HUD, Subrecipient must collect MBEAIVBE data and forward to
the County.
YES
NO
NIA
ITEM
Completed MBEMBE forms
MBE[WBE language included with tlne project contracts
Other documents, comments and/or corcern(s)lrecommendation(s), finding(s)1corrective actions) cited:
LABOR STANDARDS FOR CONSTRUCTION
The Davis -Bacon Act and Related Act [DBRA) require payment of prevailing wages on federally funded or
assisted construction projects, The Davis Bacon Act applies to eacfi federal government contract in excess
of $2,000 for the construction, alteration, or repair of public buildings or public works. Manyfederatiaws
that authorize federal assistance for construction through grants are Davis -Bacon "related Acts,' Related
Acts include, but are not limited to, the Copeland "Anti -Kickback" Act, and the Fair Labor Standards Acre for
example.
YES
NO
NIA
ITEM
Who is responsiblefor ensuring Labor Standards compiiance bythesubreciplent?
Is the Construction croject Hanabook included with the bid packez?
Did the subrecipient pay at ;east the fede-,-al minimum wage for cons.ruczior. laborers?*
Please provide a payroll review worksheet.
Did the sub•ecipient submit weekly certif ed payroJs?
Did the subrecipient corriphyvfich the Contract Work Hours and Safety Standards Act {overtime
1. 5K rwj > 40 haurs per week)
Did the Subrecipierri: complywfth the Copeland 'Anti -kickback" Act (verify permissible deductions)?
Did the subred.pient hire additional employees to complete the project? *f so, drd they complyw-th
Section 3 recuirerrents?
Does the s�brecjpentfb4iow "Equal ErnpiGymert Oppoturity' -Tequirements(contracts in excess
of 510,000)7 Verify E=-0 poster visibility within subrecipient's office-
2750SCS STREE7 ROG'.A 3"%Sk4 _'13 SZQ 334:3 33s--L1 -5600, , '7`.%S 7,D7,3
I
I A_to,7t_XXXX
L.�n� I
Davis Bacon Act— Tedecal PrevaRing Wages
Photo Documentation of posters, wage decisions, and 1-iUD form 4010
Federal Wage DecAsion # — whin was in effect
Number of site interviews with employees (#)
Photo Documentation of project site before, du;,ir& and after prqecr completion
*Under the Housing and Corrinnur-fty DevelapmentAM the rehan oFsinge4arnlly awner-occupied dwelliraps are exempt earn the
Federa3 Prevafl7ng Mge. Howwar, all fabw-ers rmist be paid at lei the feders, min"inuir wage for construction workers,
YES
NO
NIA
POSTERS (available in Spanish as needed)
Contractors Minlmum'Wage
Emp=oyee Polygraph Protect'on
EqLal Employment Opportunity
Fair ' ousing
Minimum Wage
OSHA job Seery
Emp?oyee Rights Under the Davis Bacon Act
Employee Rights on Government Contracts
Employee Rights Under tf-,e National Labor Reladons Act
Applicable Federal Wage Decision
HUD4010
Subrecpients must maintain records regardingther issuance of land -use (entitlements), building permits,
encroachment permits, right-of-way permits, etc., necessary to undertake the CDBG funded project. Copies
of any and all permits, including receipts for permit fees, must be provided.
YES
NO
NIA
PERMITS
Coastal Permit
Land -use permits (entitterrents)
SuAding permits
Encroachment Rermits
Permit fee rec ipts
Occupancy permit
Other permits
tither documents, comments and/or conce rn(s)lrecom men dati on(s), find ing(sycorrecrIve action(s) cited:
376 OSOS STRTE IZCOW3013 : SAN L� iS OF' SP'3 __' � �403 1 1335j8l -9 K0 77�—Ks 7-'--! PAGE S 3r I =!
2 CFR 200.302 Financial Management; 24 CFR 570.509 Grant closeout procedures.
24 CFR 57CLS06 Records to he maimmained. (h) Financial records in accordance with the applicable requirements
listed in §570.502, indudingsource documentation far enrides not subjiut to 2 Mpart2f)D. Grantees shaft
maintain vWdence to support haw the CDBG funds provided to such entities are expended. Such documentation
must include, to the extent applicable, invDices, schedules containing comparisons of budgeted amounts and
actual expenditures, construction progress schedules signed by appropriate parties (eq�, general contractor
and/or a project architect), and/or other documentation appropriate to the nature of the activity. Grantee records
pertaining to obligations, expenditures, and drawdowns must be able to refatefinandaf transact ons to either a
soedftc origin year grant or to Program income received during a specific program year.
YES
NO
NIA.
ITEM
Does the Sub7ecipient maintain a ledger of eligible expenses?
Are eligible expenses recorded with appropriate source documentation, time records (staff admin)
and materials (copies of invokes)?
Has tle Subreclpient retained all f nanciall records, supporting documents, stafstiral rm-.0eds, and
all other records pertinent to the subrecipient agreement and } ederal regulations?
CONSTRUCTION,ACTIVTTY- RederaJ Wage Decision #
Type.
In effect [date]
CONSTRUCTION ACTWl Does the file contain the record ofweelcly certified payrolls?
Does the file contain a record of submitted. Requests for Payment(&J?
Do subrecipient acco untirg records reconcile with those of the County?
PROGRAM INCOME. Does the subreci pient follow the appropriate guidelines for program income?
(24 CFR 570502(aX4) Exhibit 3-18, Section F, HUD Checklist}
Has the subrecipient pxovided an Audit report? (Single audit for each year, any other audits)
Did the contractors provide an affidawt of, cornpl'ante and al" lien releases to subrecipient?
Did the subrecipient subm'ft Frial draw down request aicing wth invoices and backup
documentation for final closeout?
Other documents comments and/or concern(s)/rerornmendation(sA, fmcling(s)/correct2ve action(s) cited:
For each project, indii-cate if the project is on schedule, ahead of schedule, or behind schedule. Note
progress in monitoring letter.
PA -:tl 9 Oc -it
C7 6 OS05 5 -IREE-, -- 3 3 �`i` 31 CC L-: S LR! 324,38 ��SjY 6�0 i -7�.7PS --' .',
f, z
Progress Regsrtz Due. (Provide Progress Reports submitted according to the subrecipient arareement.1
L3 Qtr i duly -August) Original SubmissionDate:
L3 Qtr 2ISeptember-December) Original Submission Date:
U Qtr 3 (lan ua rrM a rch) Original Submission Date.,
13 Qtr4(ApTi!-�jne) Original Submission Date:
Final Report Due: (Provide final report submitted according to the subrecil2jent agreement.)
L3 Originav Submission Date:
YES NO NIA ITEM
Does the projectfile contain the Progress Reports?
Fnai Completion Report
Other documents, comments and/or concern(s)1recommendation(s), flnding{s)/carreczive action(s) cited:
24 CFR 570.369 Grant closeout procedures.
YES
NO
NIA
ITEM
Is there a letter pf foal acceptance or certificate of completion from a City Council, Architect,
Eng-Eneer, or -final decTsior-maxi ng body?
Is there a final change order with tabulation of over Tuns and under runs?
Is there a copy of record (as -built) draWhigs?
Has 1he Bull d5ng permit been signed -off and passed inspection by :he jur'scl iction? If so, has a copy
of the final been prov7ded?
For pub I ic worlks Protects, are the .Renal Closeout Public niea6rig wf minutes; from the City/County
provided?
Was a Yw ritten Consent of Surety, if any, provided for flnal payment?
Other documents, comments and/or concern(s)1rerommenclation(s), finding{s)/corrective action(s) cited
rG 0 5 --5 ME'_-- RD' CN �'- 300 15f.h Lk;. S " B - SP-C. CA -73 ;40.3 8 �:3 :73' , -5 � -7Y-7 =s 7-- -1 PAG F 1 C 0': -13
YES
NO
WA
ITEM
Retain all financial records, suppovfjng documents, statistical records, and all other records
pertli, ent to the subred.pliert agreement and Federal regulations
Mairitair, client data for five years at minimum clemorstrating client eligibility. Data she[ jrcluce,
NA not tie limited to, client name, address, income level or other basisfor determining eligibility,
and description of service provided_
Proofof insurance
YES
NO
NIA
PREWOUS MONITORING RESULTS
Any outstanding findings from previous monitoring process
Any outstanding concerns from previous monitoring process
Any outstanding findings from current monitoring process
Any outstanding concerns frDm current monitoring process
Other documents, comments and/or cc ricerri(s)/recomm end ati on(s), hriclingl[s)/corrective action(s) cited
Relocation requirements are triggered anytime HUD funds are used for property acquisition, and anytime
residentiai or business tenants must move (even temporarily) because of HUD funded work. The CDBG
applications are not complete without copies of the relocation notices that have been sent to prop"
owners and to affected tenants. The subrecipient must also complete and submit a relocation plan. The
subrecipient shall subunit relocation plan prepared by a relocation specialist, or compete and submit its
awn relocation plan using the County s; relocation plan terriplate. When preparing the CDBG subrecipient
agreement, CounW staff must review the Relocation plan for compliance.
YES
NO
N/A
RELOCATION PLAN
Relocation Notice
Relocation Letter
Relocation Plan
Compliance with approved Revocation Plan
376 053S STREE-, 7.v0*,, "313 1 SAN U-15 Clk.43408 I 60r-:761-5500 '-7v,-PS PAGE 'I Cj= 13
A
Residential structures must be lead-free. Pursuant to 24 CFR 570.608, CDBG funded projects are subject to
lead -based paint regulations - specifically acquisition and/or rehabilitation of structures for residential
use. The amount of work will determine what level of compliance is necessary for removingthe lead -based
paint. Exemption is granted for
0 Residential structures built during or after '1978
0 Afl studio units, dormitory and barrack units.
0 H_ousirg exclusiveiy for elderly or people with d-sabilities, uriess a chM under the age of 6 will
reside there.
0 Deteriorated or disturbed painted surfaces of less than 2 square feet interior surface area - and/or -
20 squ are feet exteri or surface area in residential structures, for example:
cl Acquisition, rental assistance a r operating expenses of a pre-1 978 stricture with an as ea of
deteriorated paint nt surface of less than 2 square feet interior surface area - andior - 20
square feet exterior surface area.
o Rehabilitation work or a pre-1978 structure that wg[[ disturb a painted surface area of less
than 2 squarefeet interior surface area - and/or - 20 square feet- exterior surface area
YES
NO
MIA
LEAD BASED PAINT
Structure built before 1973
Correct level of compliance is in in place (Le, seal off work area and use safe work practices, or
hire a corm sultaix and use trained wor�ers)
Exempt project: Studio units, dormitory or barrack structures
Exempt project: Housirig solely for ei derly or people with d isabi Dies
Area of deteriorated i disturbed painted surface is less than 2 square feet interior / 20 square feet
exte-jor squafe feet in size
U
Section 504 requires that counting the total number of project units, that a minimum of 5% of the dwelling
units, or at least one unit, whichever is greater, shall be made accessible to nersons With mobility disabiiyties
and an additional 2% Gf the dwelling units, or at least one unit, whichever is greater, shall be made
accessible to persons with hearing of Visual disabilities. This applies to rehab projects having 15 or more
units and the cost of the rehab is 75% or more of the replacement rost of the completed facility (See 24 CFR
13.23(a)J. Section 504 also applies to new construction projects with five or more units (See 24 CFR 8.22 and
also 24 CFR 8.3 - Defir,ition. Multi -Family Housing).
YES
NO
MIA
SECTION 504
Correct number of Sect�on 504 requirements (number of Section 504 units) are included in the
subrecipieni: agreemert a,-,d construction drawIngs
5%of the units are accessible to persons With mobility disabLities
2% of the ur its are accessi ble to persons with tzearmg or visual disabl-I hies
Or -site inspection confirms that the correct number of Section 504 unis have been provrded
SAN I 305-731-:i603 ; PACE 1710'- '3
r
Other documents, comments andior concerns)/recommendation(s), fnding(s)/correcrve action(s) cited
YES No NIA ITEM
Complete the unit inspection checklist (HUME1HUD)
Other documents, comments and/or concerns)/recornmendation(s), fhnding(s}fcorreet ,e action(s) cited:
.75 D 055T-,L"E", RC:, ; Sr:-, LAN L,.' s.,a.:I-' CL.3='132, i 5-5€,X , r "."M5' ...uE- .3 C
EXHIBIT G
LOBBYING DISCLOSURE FORM
�XHIBIT D — LOBBYING FORM AND DISCLOSURE
CERTIFICATION REGARDING LOBBYING — CONTRACTS, GRANTS, LOANS AND COOPERATIVE
AGREEMENTS
The undersigned certifies to the best of his or
her knowledge and belief, that:
A. No federal appropriated funds
have been paid or will be paid, by oron behalf of
the Subrecipient, to any person for influencing or
attempting to influence an officer or employee
of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a
Member of Congress in connection with the
awarding of any Federal contract, the making of
any Federal grant, the making of any Federal
[oan,the entering into a cooperative agreement,
and the extension, continuation, renewal,
amendment, or modification of any Federal
contract, grant loan, or cooperative agreement
In accordance with the Department of interior
and Related Agencies Appropriations Act, known
as the Byrd Amendments, and HUD'S 24 Code of
Federal Regulations (CFR) 87.
B. if any funds other than federal
appropriated funds have been paid or will be
paid to any person for influencing or attempting
to influence an officer or employee of any
agency, a Member of Congress, an officer or
employee of Congress, OT an employee of a
Organization Name
Name
Name and Title of Authorized Representative
member of Congress in connection with this
federal contract, grant, loan, or cooperative
agreement, the Subrecipient shall complete and
submit Standard Form LL, "Disclosure Form to
Report Lobbying," in accordance with Its
Instructions, and other federal disclosure forms
as requested.
C. The Subrecipient shall require
that the language 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.
This certification is a material
representation of fact upon which reliance was
placed when this transaction was made or
entered into. Submission of this certification is a
prerequisite for making or entering Into this
transaction Imposed by Section 1352, Title 31,
U.S. Code. Any person who fails to file the
required certification shall be subject to a civil
penalty of not less than $10,000 and not more
than $100,000 for each such, failure.
Award Number or Project
Signature Date
EXHIBIT H
NEPA FORM FOR
BROAD STREET PLACE APARTMENTS
ATTENTION:
This Exhibit H is an informational item.
The environmental mitigation measures on the
following pages were prepared pursuant to the
National Environmental Policy Act. These measures
are regulatory requirements for the Broad Street
Place Apartments.
All project development plans shall contain these
mitigation measures. The measures shall be part of
all agreements with the prime contractor, contractors
and subcontractors, who shall fully implement and
comply with these mitigation measures.
Broad Street Place Apartments received HUD approval of a NEPA
Environmental Assessment document in 2020.
On June 11, 2020, the County issued a NEPA Environmental
Assessment providing mitigation measures that support a Finding
of No Significant Impact. On June 27, 2020, HUD released an
Authorization To Use Grant Funds.
QPPSMENT"
9e4N DEVF�-�C
U.S. Department of Housing and Urban Development
451 Seventh Street, SW
Washington, DC 20410
www.hud.gov
espanol.hud.gov
Environmental Assessment
Determinations and Compliance Findings for HUD -assisted Projects
24 CFR Part 58
Project Information
Project Name: Broad Street Place Affordable Rental Housing Project
Responsible Entity: County of San Luis Obispo
Grant Recipient (if different than Responsible Entity): County of San Luis Obispo
State/Local Identifier: CA
Preparer: Tony Navarro, Planner III
Certifying Officer Name and Title: Trevor Keith, Director, Planning and Building Department,
County of San Luis Obispo
Grant Recipient (if different than Responsible Entity):
Consultant (if applicable): N/A
Direct Comments to Tony Navarro, Planner III, tnavarro@co.slo.ca.us
Conditions for Approval: (List all mitigation measures adopted by the responsible entity to
eliminate or minimize adverse environmental impacts. These conditions must be included in
project contracts and other relevant documents as requirements). [24 CFR 58.40(d), 40 CFR
1505.2(2)]
CLEAN AIR
CA-1 Prior to any construction activities at the site, the Project proponent shall ensure that a
geologic evaluation is conducted to determine if the area disturbed is exempt from the
Asbestos Air Toxics Control Measure (ATCM) regulations. An exemption request must
be filed with the San Luis Obispo County Air Pollution Control District (APCD), as
applicable. If the site is not exempt from the requirements of the regulation, the
applicant must comply with all requirements outlined in the Asbestos ATCM. This may
include development of an Asbestos Dust Mitigation Plan and Asbestos Health and
Safety Program for approval by the APCD.
CA-2 Any scheduled demolition activities or disturbance, removal, or relocation of utility
pipelines shall be coordinated with the APCD Enforcement Division at (805) 781-5912
to ensure compliance with NESHAP, which include, but are not limited to:
A. Written notification, within at least 10 business days of activities commencing, to the
APCD,
B. Asbestos survey conducted by a Certified Asbestos Consultant, and,
C. Applicable removal and disposal requirements of identified ACM.
CA-3 During construction/ground disturbing activities, the applicant shall implement the
following particulate (dust) control measures. These measures shall be shown on
grading and building plans. In addition, the contractor shall designate a person or
persons to monitor the dust control program and to order increased watering, modify
practices as necessary, to prevent transport of dust -off site. Their duties shall include
holiday and weekend periods when work may not be in progress. The name and
telephone number of such persons shall be provided to the Community Development
and Public Works Departments prior to commencement of construction.
A. Reduce the amount of disturbed area where possible.
B. Use water trucks or sprinkler systems in sufficient quantities to prevent airborne dust
from leaving the site and from exceeding the APCD's limit of 20% opacity for no
greater than 3 minutes in any 60-minute period. Increased watering frequency will be
required whenever wind speeds exceed 15 m.p.h. and cessation of grading activities
during periods of winds over 25 m.p.h. Reclaimed (non -potable) water is to be used
in all construction and dust -control work.
C. All dirt stockpile areas (if any) shall be sprayed daily and covered with tarps or other
dust barriers as needed.
D. Permanent dust control measures identified in the approved Project revegetation
and landscape plans shall be implemented as soon as possible, following
completion of any soil disturbing activities.
CA-4
CA-5
E. Exposed grounds that are planned to be reworked at dates greater than one month
after initial grading shall be sown with a fast germinating, non-invasive, grass seed
and watered until vegetation is established.
F. All disturbed soil areas not subject to revegetation shall be stabilized using approved
chemical soil binders, jute netting, or other methods approved in advance by the
APCD.
G. All roadways, driveways, sidewalks, etc. to be paved shall be completed as soon as
possible. In addition, building pads shall be laid as soon as possible after grading
unless seeding or soil binders are used.
H. Vehicle speed for all construction vehicles shall not exceed 15 m.p.h. on any
unpaved surface at the construction site.
I. All trucks hauling dirt, sand, soil, or other loose materials, are to be covered or shall
maintain at least two feet of freeboard (minimum vertical distance between top of
load and top of trailer) in accordance with California Vehicle Code Section 23114.
J. Install wheel washers where vehicles enter and exit unpaved roads onto streets or
wash off trucks and equipment leaving the site.
K. Sweep streets at the end of each day if visible soil material is carried onto adjacent
paved roads. Water sweepers shall be used with reclaimed water where feasible.
Roads shall be pre -wetted prior to sweeping when feasible.
L. All PM10 mitigation measures required shall be shown on grading and building
plans.
M. The contractor or builder shall designate a person or persons to monitor the fugitive
dust emissions and enhance the implementation of the measures as necessary to
minimize dust complaints, reduce visible emissions below the APCD's limit of 20%
opacity for no greater than 3 minutes in any 60 minute period. Their duties shall
include holidays and weekend periods when work may not be in progress. The name
and telephone number of such persons shall be provided to the APCD Compliance
Division prior to the start of any grading, earthwork, or demolition.
Prior to any construction activities at the site, the Project proponent shall ensure that all
equipment and operations are compliant with California Air Resource Board and APCD
permitting requirements, by contacting the APCD Engineering Division at (805) 781-
5912 for specific information regarding permitting requirements.
To reduce sensitive receptor emissions impact of diesel vehicles and equipment used to
construct the Project and export soil from the site, the applicant shall implement the
following idling control techniques:
A. California Diesel Idling Regulations
1. On -road diesel vehicles shall comply with Section 2485 of Title 13 of the
California Code of regulations. This regulation limits idling from diesel -fueled
commercial motor vehicles with gross vehicular weight ratings of more than
10,000 pounds and licensed for operation on highways. It applies to
California and non -California based vehicles. In general, the regulation
specifies that drivers of said vehicles:
a. Shall not idle the vehicle' s primary diesel engine for greater than 5
minutes at any location, except as noted in Subsection (d) of the
regulation; and,
b. Shall not operate a diesel -fueled auxiliary power system (APS) to power a
heater, air conditioner, or any ancillary equipment on that vehicle during
sleeping or resting in a sleeper berth for greater than 5.0 minutes at any
location when within 1,000 feet of restricted area, except as noted in
Subsection (d) of the regulation.
2. Off -road diesel equipment shall comply with the 5-minute idling restriction
identified in Section 2449(d)(2) of the California Air Resources Board's In -
Use Off -Road Diesel regulation.
3. Signs must be posted in the designated queuing areas and job sites to
remind drivers and operators of the state's 5minute idling limit.
B. Diesel Idling Restrictions Near Sensitive Receptors (residential homes). In
addition to the State required diesel idling requirements, the Project applicant
shall comply with these more restrictive requirements to minimize impacts to
nearby sensitive receptors:
1. Staging and queuing areas shall not be located within 1,000 feet of sensitive
receptors.
2. Diesel idling within 1,000 feet of sensitive receptors shall not be permitted.
3. Use of alternative fueled equipment is recommended.
4. Signs that specify the no idling areas must be posed and enforces at the site.
C. Soil Transport. The final volume of soil that will be hauled off -site, together with
the fleet mix, hauling route, and number of trips per day will need to be identified
for the APCD. Specific standards and conditions will apply.
CA-6 Prior to issuance of construction permits, construction and architectural plans shall note
the requirement to use low VOC architectural coatings (71 grams/liter or less). The
applicant or contractor shall submit documentation of compliance to the City Community
Development Department prior to final inspection. Conclusion: With recommended
construction mitigation measures, the Project will have a less than significant impact on
air quality.
CA-7 Prior to any grading activities at the site, the Project proponent shall ensure that a
geologic evaluation is conducted to determine if Naturally Occurring Asbestos (NOA) is
present within the area that will be disturbed. If NOA is not present, an exemption
request shall be filed with the APCD. If NOA is found at the site, the applicant must
comply with all requirements outlined in the Asbestos Airborne Toxic control Measures
(ACTM).
CA-8 Should hydrocarbon -contaminated soil is encountered during construction activities, the
San Luis Obispo County Air Pollution Control District (APCD) shall be notified as soon
as possible and no later than 48 hours after affected material is discovered to determine
if an APCD Permit will be required. In addition, standard APCD required procedures
shall be implemented immediately after contaminated soil is discovered.
CA-9 If old utility pipelines or structural improvements are encountered and have the potential
to contain asbestos, the applicant will consult with APCD and obtain necessary permits.
HISTORIC PRESERVATION
HP-1 Due to the possibility of the presence of prehistoric and/or historic resources below the surface
exists, the County of San Luis Obispo shall require that archaeological and Native American
monitors be present during any ground disturbing activities
HP-2 In the event that cultural or historic resources are discovered during Project implementation
activities, construction activities shall ease and the Environmental Coordinator shall be notified
so that the extent and location of discovered materials may be recorded by a qualified
archaeologists, and disposition of artifacts may be accomplished in accordance with state and
federal law. Pursuant to 36 CFR Section 800.13(b), further consultation with the State Historic
Preservation Office is required.
HP-3 In the event archaeological resources are found to include human remains, or in any other case
when human remains are discovered during construction, the County Coroner shall be notified in
addition to the Environmental Coordinator so proper disposition may be accomplished.
HP-4 During earth moving activities, in the even archaeological resources are unearthed or discovered,
construction in the vicinity (within 50 meters, or 150 feet) of the find will stop, and the
Environmental Coordinator and the Planning and Building Department will be notified so that
the extent and location of discovered materials may be recorded by a qualified archaeologist, and
disposition of artifacts may be accomplished in accordance with state and federal law. If the find
is determined to be significant, appropriate mitigation will be formulated and implemented.
NOISE ABATEMENT AND CONTROL
NA-1 To assure an acceptable exterior noise level of 65 dB and an interior 45 dB level, the
Project shall comply with applicable State, Federal and local building code
requirements. To document compliance with this mitigation measures, the applicant
shall provide the County a copy of the Occupancy Permit when issued by the City of
San Luis Obispo.
WETLAND PROTECTION
WP-1 The Project proponent shall obtain all necessary storm permits. The building plan
submittal shall include a copy of the Stormwater Pollution Prevention Plan (SWPPP) for
reference. Incorporate erosion control measures into the building plans as required by
the Regional Water Quality Control Board, identified in the SWPPP, and in accordance
with Section 10 of the City of San Luis Obispo's Waterways Management Plan. Include
reference to the Waste Discharge Identification (WDID) number on the grading and
erosion control plan for reference.
LAND DEVELOPMENT
LD-1 The Project proponent shall comply with all City of San Luis Obispo conditions of
approval as identified and required in ARCH-0641-2019 (3720 Broad Street) Review
and Modification to the Proposed Mixed -use Project (dated January 2, 2020), identified
in Attachment G of this document.
Law, Authority, or Factor
Mitigation Measure
City of San Luis Obispo Resolution No.
ARC-0641-2019
See conditions of approval by the Architectural Review
Commission.
CERTIFICATE
This is to certify that the interest in real property conveyed by the "Subrecipient Agreement for
CDBG Grant Funds between the County of San Luis Obispo and Broad Street Place, L.P.,"
dated on or about February 20, 2021 from Broad Street Place, L.P., a California limited
partnership, to the County of San Luis Obispo, a political subdivision of the State of California,
is hereby accepted by the undersigned officer or agent on behalf of the Board of Supervisors
of the County of San Luis Obispo pursuant to the authority conferred by Board of Supervisors'
Resolution 2020-116 adopted May 5, 2020, and the grantee consents to recordation thereof by
its duly authorized officer.
COUN OF SAN L O PO
— �(Z�
Trev r Keith, Director
Department of Planning and Building
ACKNOWLEDGMENT
A notary public or other officer completing this certificate verifies only the identity
of the individual who signed the document to which this certificate is attached, and
not the truthfulness, accuracv, or validitv of that document.
STATE OF CALIFORNIA
ss.
COUNTY OF SAN LUIS OBISPO
On C(- , 20 Z I, before me, , a
Notary Public, in and for the State of California, personally appeared
I-IREVOS, who proved to me on the basis
of satisfactory evidence to be the person(s) whose name(s is re subscribed to the within
instrument and acknowledged to me tha a he/they executed the same i is er/their
authorized capacity(ies), and that b is er/their signature(s) on the instrument the person(s)
or the entity upon behalf of which the rson(s) acted, executed the instrument.
I certify under PENALTY OF PERJURY under the laws of the State of California that the
foregoing paragraph is true and correct.
WITNESS my hand and official seal. --
Signature
/�� ANN c. wEae Signature of Rotary Public
Notary Pubiic • California
tw.• San Luis Obispo County f
Commission r 2285035
My Comm. Expires May 9. 2023