Loading...
The URL can be used to link to this page
Your browser does not support the video tag.
Home
My WebLink
About
11-07-2017 Subrecipient Agreement for 2016 CDBG Grant Funds between the county of SLO and the City of SLO
SUBRECIPIENT AGREEMENT FOR 2016 CDBG GRANT FUNDS BETWEEN THE COUNTY OF SAN LUIS OBISPO AND THE CITY OF SAN LUIS OBISPO THIS AGREEMENT is made and entered into this �k day ofo w- a A 2017 by and between the County of San Luis Obispo, a political subdivision of the State of California, hereinafter called "Recipient," and the City of San Luis Obispo, a municipal corporation of the State of California, located in the County of San Luis Obispo, hereinafter called "Subrecipient"; jointly referred to as "Parties." WITNESSETH WHEREAS, on July 15, 2014, the Recipient and the Subrecipient entered into a Cooperative Agreement (herein the "Cooperative Agreement) to implement the Housing and Community Development Act of 1974, herein called the "Act". Said Act is omnibus legislation relating to federal involvement in a wide range of housing and community development activities and is administered by the federal Department of Housing and Urban Development (herein "HUD"); and WHEREAS, on April, 12, 2016, the San Luis Obispo County Board of Supervisors approved the County of San Luis Obispo Program Year 2016 Action Plan, of the Consolidated Plan and projected use of funds pursuant to applicable federal regulations (24 C.F.R. Part 570) (hereinafter referred to as the "2016 Action Plan"); and WHEREAS, on April 12, 2016, the San Luis Obispo County Board of Supervisors approved funding in the amount of $105,000 from the County's 2016 Community Development Block Grant (hereinafter referred to as "CDBG") Program for the Subrecipient to implement the "ADA Pedestrian Accessibility Project," hereinafter referred to as the "Project,"; and WHEREAS, the Parties' participation in the programs funded by the Act complies with all applicable federal laws, regulations and executive orders; and WHEREAS, the agreement shall remain in effect throughout the implementation of projects specified in the Urban County of San Luis Obispo's Program Year 2016 Action Plan of the 2015 Consolidated Plan and any amendments thereto; and WHEREAS, the Subrecipient is a "Subrecipient" as defined in the Code of Federal Regulations at 24 CFR 570.500(c); and WHEREAS, the Parties desire to enter into this Agreement to govern the use of the CDBG funds for the Project and for Program Administrative; and NOW THEREFORE, pursuant to the provisions of Title 24, Chapter V, of the Code of Federal Regulations, the Parties agree as follows: This Agreement sets forth the responsibilities of the Recipient and the Subrecipient in accomplishing the objectives of the CDBG program (CFDA Title #14.218) as set forth in the Housing and Community Development Act of 1974, as amended. 1 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(0) (referred to collectively and individually as "sub -recipients") to be used by the sub -recipients to provide certain eligible services in connection with the Recipient's desire to develop viable urban communities, through community development activities, as specified in 24 CFR 570.200 ("CDBG Program"); and Recipient agrees to fund the services of the Subrecipient, and the Subrecipient agrees to perform the services for Recipient hereinafter described in Exhibit A — Statement of Work, during the term, and otherwise subject to the covenants and conditions hereinafter set forth. 1. Statement of Work A. Activity Description The Subrecipient agrees to perform during the term of this Agreement, all tasks, obligations, and services set forth in the Statement of Work attached to this Agreement as Exhibit A and incorporated into this Agreement by this reference. The Subrecipient shall perform the CDBG-eligible activity described in Exhibit A. The Statement of Work provides information for the Recipient to effectively monitor performance of all projects being completed under this Agreement. The 2016 Action Plan includes a project description and a budget for each project funded wholly, or in part, by CDBG funds. The Subrecipient may request modification of the tasks, schedule or budget in writing to the Recipient. The Recipient shall review each request to modify tasks, schedule or budget on a case-by-case basis and will respond to the Subrecipient within 30 days of the request. The projects listed in the Statement of Work shall be implemented by the Subrecipient. The Statement of Work includes a concise description of each project (i.e., project location, project scale, and clientele to be served) as referred to in the 2016 Action Plan, specifically the Appendix entitled "Listing of 2016 Approved Project U.S. Department of Housing & Urban Development Community Planning Development Consolidated Plan." B. National Obiectives All activities funded with CDBG funds must meet one of the CDBG programs' 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 Peilormance Measures The Subrecipient certifies that the activities carried out under this Agreement will meet the CDBG program national objective of primarily benefitting low - FA and moderate -income persons. The grant is anticipated to serve up to 1,220 (estimated) disabled adults. Program effectiveness is measured through an on-going evaluation of the CDBG program. The Subrecipient agrees to provide the levels of program services according to the goals in Exhibit A. D. Staffing Any changes in key personnel assigned or their general responsibilities under this project as described in Exhibit A must be reported to the Recipient. E. Performance Monitoring The Recipient 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 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 will be initiated by the Recipient. The Recipient will use the Subrecipient's performance reports to monitor the delivery of the Program requirements under this Agreement. In addition, the Recipient's representative may visit the Subrecipient's offices to inspect the records required by HUD to be maintained to document expenditures funded by this grant. These records include copies of the original source documentation demonstrating that the program clients are eligible to receive HUD -funded services, and that funds were expended to deliver the services described in item 1.A., "Activity Description," above. 2. Payment for Services The Recipient shall reimburse the Subrecipient for the services performed by the Subrecipient pursuant to the terms of this Agreement and in accordance with the 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 Services/Program Expenses. 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 government or accumulation of CDBG Program Income, as set forth in Section 15 and as a result of this Agreement, and shall not be a charge on any other funds of the Recipient. All requests for reimbursement shall be submitted as per Section 19 for costs incurred under this Agreement, along with one (1) set of copies of original source documentation supporting the expenditures by the Subrecipient for the projects identified in Exhibit A — Statement of Work, which shall be submitted to the Recipient in such form acceptable to the Recipient in its sole and absolute discretion. Such documentation shall 3 be submitted prior to any payment, in whole or in part, by the Recipient of the Reimbursement Amount. 3. Availability of Funds/Modifications The Recipient's provision of funding to the Subrecipient pursuant to this 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 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 the Agreement, until all environmental review has been completed and certified by Recipient's Department of Planning and Building and Recipient has issued a written "Authorization to Obligate Funds and Incur Costs." 5. Term of Agreement The term of this Agreement shall commence on the date first written above and terminate April 20, 2018, unless said work is completed prior to the date or unless sooner terminated as herein provided. Prior to the end of this Agreement, the Director of the Department of Planning and Building may extend the term 60 days upon receiving and approving in writing, a written request from the Subrecipient prior to the termination of this Agreement. The written request must include an explanation for the extension and remediation plan to resume the program activity(ies). 6. Time for Performance The Subrecipient shall not perform any work under this Agreement until Recipient gives the Subrecipient a written approval (which shall serve as an Authorization to obligate funds and incur costs). All services required of the Subrecipient under this Agreement shall be completed on or before the end of the term of the Agreement. 7. Designated Representative A. The Recipient's representative is as follows: Name and Title: Tony Navarro, Planner III Address: County of San Luis Obispo Department of Planning and Building 976 Osos Street, Rm. 300 San Luis Obispo, CA 93408 E-mail Address: tnavarro@co.slo.ca.us Telephone No.: (805) 781-5787 Fax No.: (805) 781-5624 C! B. The Subrecipient's representative 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.: Brian Nelson, P.E. Engineer II City of San Luis Obispo Public Works Department 919 Palm Street San Luis Obispo, CA 93401 BNelson@slocity.org (805) 781-7113 8. Timely Completion and Expenditure Timely completion of the Project is the highest priority of this Agreement. To ensure timely completion and expenditures, the Subrecipient will demonstrate reasonable progress in the implementation of the Project by completing and expending allocated CDBG Project funds by April 20, 2018. 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. The Agreement requires the Subrecipient to develop and submit a remediation plan to the Recipient for its review and approval. The purpose of the remediation plan is to outline a detailed course of action to complete the project and drawdown funds in compliance with applicable regulations. Failure to comply with this Agreement and remediation plan will trigger administrative requirements in accordance with 2 CFR Part 200.338 and 2 CFR Part 200.305(b) (6). 9. Compensation and Method of Payment For such performance of the Project description, County shall reimburse the Subrecipient an amount not to exceed $105,000 ("Reimbursement Amount"), which shall constitute full and complete compensation hereunder for the Project. 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 County's receipt of CDBG program funds from the federal government or accumulation of CDBG program income, as set forth in Section 15 and as a result of this Agreement, and shall not be a charge on any other funds of the County. GT The Subrecipient shall use the Payment Request Form (Exhibit A of this Agreement) for reimbursement purposes. All reimbursement requests shall be submitted via the Request for Payment 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. 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; 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; C. 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; D. 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 Section 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 Opportunities for Low- and Very Low -Income Persons); as amended, 12 U.S. C. 1701 u; 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 Orders 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 24 CFR 570.904(d) and 2 CFR Part 200.321: 0 1. Contracting with Small and Women and Minority Owned Businesses (W/MBE). The Subrecipient will take all necessary affirmative steps to assure that minority owned and/or women owned businesses 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. Affirmative steps shall include the following: (a) Placing small businesses and minority owned and/or women owned businesses on solicitation lists; (b) Assuring that qualified small businesses and minority owned and/or women owned businesses are solicited whenever they are potential sources; (c) Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small businesses and minority owned and/or women owned businesses; (d) Establishing delivery schedules, where the requirement permits, which encourage participation by small businesses and minority owned and/or women owned businesses; (e) Using the services and assistance of the Small Business Administration, and the Minority Business Development Agency of the Department of Commerce; and (f) Requiring subcontractors to take the five affirmative steps listed above. 2. Land Covenants. This 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 County and the United States are beneficiaries of and entitled to enforce such covenants. The Subrecipient, in undertaking its obligation 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. E. 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; 7 F. Equal Employment Opportunity and (EEO/AA); The Subrecipient will, in all solicitations or advertisements for employees placed by or on behalf of the Subrecipient, state that it is an Equal Opportunity or Affirmative Action employer; G. 2 CFR Part 200 entitled "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards"; H. 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; I. The Labor Standards Regulations set forth in Section 570.603 of 24 CFR Part 570; and HUD Handbook 1344.1. The Subrecipient agrees to comply with the requirements of the Secretary of Labor in accordance with the Davis -Bacon Act as amended, the provisions of Contract Work Hours the Safety Standards Act, the Copeland "Anti -Kickback" Act (40 U.S.C. 276, 327- 333) and all other applicable federal, state and local laws and regulations pertaining to labor standards insofar as those acts apply to the performance of this Agreement. The Subrecipient shall maintain documentation that demonstrates compliance with hour and wages requirements of this part. Such documentation shall be made available to the Recipient for review upon request. 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 County 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. J. The Architectural Barriers Act of 1968 (42 U.S.C. Section 4151 and the Americans with Disabilities Act of 1990 (ADA); K. The Hatch Act relating to the conduct of political activities (Chapter 15 of Title 5, U.S.C.); L. 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; M. 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; N. 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; O. Section 401(b) of the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. 4831 (b)); and P. 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. 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 rime and sub -prime contractors). The Subrecipient shall work with the Recipient to verify eligibility for all contractors 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. To verify and document a contractor's eligibility the Recipient shall check the General Services Administration System for Award Management site (http://www.sam.gov/portal/SAM##l) to assure the contractor's eligibility and shall submit the verification to the Subrecipient prior to the notification and award of the contract. The Recipient and the Subrecipient shall retain a copy of the verification(s) for their file to verify for each consultant/contractor. The Subrecipient further agrees to comply with any environmental, procurement, construction, and other guidelines provided by the Recipient. All local code regulations must be recognized and services provided must conform to the said standards. 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 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. In the event that the Subrecipient violates any such regulations, laws and/or executive orders, and such violation(s) result in the Recipient incurring expenses and/or making payments to HUD attributable to some or all of the CDBG funds received by the Subrecipient, then the Subrecipient shall pay to Recipient, on the demand of Recipient, all of the said expenses incurred by Recipient and all of the payments made by Recipient as a result of the Subrecipient's said violation(s). As required by Section 34, the Subrecipient shall obtain any necessary permits, licenses and certificates that may be necessary for its performance under this Agreement. 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. The Recipient is entitled to use one or more of the following remedies for non-compliance, temporarily withhold cash payments pending correction of deficiencies by the Subrecipient; disallow all or part of the cost of the activity or action not in compliance; wholly or partly suspend or terminate the current award for the Subrecipient's program; withhold further awards for the program; and/or take other remedies that may be legally available. Q. 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 C of this 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). R. 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 when an individual contractor receives $100,000 of covered funds on projects involving housing construction, demolition, rehabilitation, or other public construction is required to comply with Section 3. The purpose of the Section 3 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, 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. All Section 3 covered contracts shall include the following clause (referred to as the Section 3 clause): 10 The work to be performed under this 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 (hereafter "Section 3") and the implementing regulations at 24 CFR 135 (Economic Opportunities for Low -And Very Low -Income Persons). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD -assisted projects covered by Section 3, 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 Contractor 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 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 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 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 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 will 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. 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. 11. Subcontracts The Subrecipient shall incorporate the same or substantially equivalent requirements as are contained in this Agreement in all subcontracts which utilize any CDBG funds and/or support any CDBG program(s) covered by this Agreement; when program(s) utilize(s) from CDBG funds and other funding sources, all funds shall be 11 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 as set forth in this Agreement. 12. Non-Discrimination/Religious Activities No person with responsibilities in the operation of any project under this Agreement will discriminate because of race, creed, color, national origin, ancestry, religion, age, sex, political affiliation, sexual orientation, gender identity, disability, beliefs, marital or familial status or status. 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. The Subrecipient agrees that funds provided under this Agreement will not be utilized for inherently religious activities prohibited by 24 CFR 570.2000), such as worship, religious instruction, or proselytization. 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. 13. 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 program 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 program activities assisted under this Agreement. No member, officer or agent of the Subrecipient shall participate in the selection of the award, or administration of, a 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 contract, or have a financial 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 12 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 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. 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, 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. 14. Fiscal Control The Subrecipient shall be responsible for the internal control and monitoring of fiscal and programmatic/operational goals and procedures. The Subrecipient shall establish such fiscal controls and fund accounting procedures as required by Federal regulations, or as may be deemed necessary by HUD and Recipient to ensure the proper disbursal of, and accounting for, funds paid to the Subrecipient under the CDBG programs. 13 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 Agreement. The Subrecipient shall be notified in writing and shall be permitted to respond regarding any controversy or proceeding between the Recipient and HUD arising from this 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 21 of this Agreement. 15. 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 14 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 Agreement, the Subrecipient shall report all program income as defined in 24 CFR 570.500(a), generated by activities carried out with CDBG funds under this 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 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 Agreement and on hand with the Subrecipient when 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)(7) 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 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). 16. Reversion of Assets Upon expiration of this 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 15 funds provided to the Subrecipient in the form of a loan) in excess of $25,000 shall be either: A. Used to meet one of the national objectives in 24 CFR Part 570.208 until five (5) years after expiration of this Agreement, the length of time to be further prescribed by mutual agreement of the Parties and delineated in Section 15, of this Agreement. B. 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 on above -reference property as to any CDBG funds received and that such lien will be notarized and recorded in the Office of the County Recorder, will utilized form specified by the Recipient, and will be subject to provisions listed in Section 15 of this Agreement. 17. 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 2 CFR 200.313(c). The Subrecipient shall also establish procedures for managing equipment, which meet the requirements of 2 CFR 200.313(d)). Further, proceeds from disposition of such equipment shall be treated as program income as specified in Section 15 and 16 of this Agreement. 18. Records and Reports The Subrecipient agrees to supply to the Recipient, on a quarterly basis, any progress reports and/or other documentation as may be required by the Recipient to audit performance of this Agreement and/or to enable the Recipient to analyze and evaluate Subrecipient's operation of the Project. The Subrecipient shall maintain separate accounting and financial records for each funding (revenue) source in support of the project(s). A. Payment Request Form: The Subrecipient shall submit a Payment Request Form (Exhibit D) and copies of the original supporting documents for payment to the Recipient. B. Progress Reports: Progress reports shall be made using the Quarterly Report Form (Exhibit E) and shall address project status and, if applicable, explanation 16 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; direct benefit statistics; and a summary of expenditures, obligations, program income, and drawdown 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(s), and responses to such comments, and additional project information, as needed. The Subrecipient shall submit such report quarterly within thirty (30) days of the close of report period including in the event that no expenditures occurred, which shall be documented in the quarterly report. C. Completion Report: The Subrecipient shall prepare and submit to the Recipient a Completion Report within thirty (30) days of project completion. Said report shall consist of an overview and evaluation of the project, 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. D. HUD/Recipient Reports: The Subrecipient shall submit to the Recipient in a timely manner other reports as requested/required by HUD and/or the Recipient including, but not limited to the Certified Payroll Reports, and Wage Determination documentation, and provide, as requested by HUD and/or the Recipient, information necessary to prepare the Consolidated Annual Performance and Evaluation Report, and other such reports and/or plans. E. Audit: The Subrecipient shall be responsible for conducting an annual audit of its CDBG program in compliance with Title 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. F. The Subrecipient shall use the Community Development Block Grant Program On -Site Monitoring Checklist No.4 — Public Facilities — Construction, hereinafter referred to as "the Checklist," (see Attachment 1) to collect and retain all Project documents to provide the Recipient for its records. 19. Project Review Conference: In the event that quarterly reports indicate funds will not be expended by April 20, 2018, or within the agreed upon schedule, the Subrecipient will notify the Recipient of the completion deficiencies and the Subrecipient will have 45 calendar days to provide its plan for meeting time and expenditure agreements. Failure to correct the deficiency within 45 calendar days will require the Recipient to schedule a Project Review Conference. The Subrecipient must also comply with the term extension requirement in Section 5 of this Agreement, if necessary. 17 Upon failure to develop a plan for meeting completion and expenditure requirements, the Recipient will schedule a Project Review Conference. The Project Review Conference will serve to identify reasons for delayed performances and weaknesses in the project implementation plan. Based on the Project Review Conference discussions, both the Recipient and the Subrecipient will generate a remedial plan that may include but is not limited to re -design of the Project, amendments to the Project, extending the term of the Project, or re -allocation of the funds to another eligible CDBG project. 20. Agreement Responsibility for Monitoring and Records HUD, the Office of the Inspector General (OIG), and the designated representatives of the Subrecipient, 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 (2 CFR Part 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 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 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. 21. Inspection Rights The Subrecipient agrees to allow the Recipient to inspect physical premises of any project(s) upon 24-hour advance notice. 22. Request for Technical Assistance The Subrecipient shall refer to the Recipient 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. 23. Hold Harmless and Indemnification The Subrecipient shall hold the Recipient 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 Agreement. 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 Agreement because of the Subrecipient's professed expertise and experience in performing the services provided for under this 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 Agreement, except as otherwise expressly provided for by this 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 Agreement. 24. 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: 19 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 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 Alternative 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 Subrecipient. 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 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 20 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, 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 Subrecipients, 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 for 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 investigation, 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. 21 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 limitation. Verification of Coverage Subrecipient shall furnish the County with original certification 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: San Luis Obispo County Department of Planning and Building Attention: Tony Navarro, Planner III 976 Osos Street, Rm. 300 San Luis Obispo, CA 93408 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. 25. Covenants and Conditions Each term and each provision of this Agreement to be performed by the Subrecipient shall be construed to be both a covenant and a condition. 26. 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. 27. Effect of Termination A. Termination of Agreement for Convenience: In accordance with 24 CFR 570.509(e) and 2 CFR 200.339, the Agreement may be terminated for convenience by either party before the completion of the grant -assisted activities. The terminating party must provide 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, 22 provided, however, that no notice of termination given by the Subrecipient shall be effective unless HUD has agreed to release Recipient from its obligations pursuant to the program activity(ies) in Exhibit A — Statement of Work. Alternatively, the 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 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 Agreement to undertake, conduct or perform the project(s) identified in this Agreement, or if the Subrecipient violates any of the covenants, agreements, or stipulations of this Agreement, the Recipient shall thereupon have the right to terminate this 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 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 Agreement, unless the termination is for cause, in which event the Subrecipient need be compensated only to the extent required by law. 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). E. The Subrecipient hereby expressly waives any and all claims for damages for compensation arising under this Agreement except as set forth in this Section in the event of such termination. 28. Taxpayer Identification Number The Subrecipient shall provide the Recipient with a complete Request for Taxpayer Identification Number and Certification, Form W-9 (Rev. 2007), as issued by the Internal Revenue Service. 29. Modification of Agreement Except as provided in Section 3, the tasks described in this Agreement and all other terms of this Agreement may be modified only upon mutual written consent of the Recipient and the Subrecipient. 23 30. Use of the term "Recipient' Reference to "Recipient" in this Agreement includes the designated Recipient representative, or any authorized representative acting on behalf of the Recipient. 31. Assurances The Subrecipient hereby assures and certifies that it has complied with the HCD Act, applicable regulations, policies, guidelines and requirements, 2 CFR Part 225, 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 that during the term of the Agreement it will maintain current copies of said assurances and certifications at the address specified below. 32. Notices All notices given, or required to be given, pursuant to this Agreement shall be in writing and may be given by personal delivery or by mail as identified in Section 7. Notice sent by mail shall be addressed to each party's designated representative as set forth above. When addressed in accordance with this Section, 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 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 this Section. 33. Permits and Licenses The Subrecipient, at its sole expense, shall obtain and maintain during the term of this Agreement, all appropriate permits, licenses, and certificates that may be required in connection with the performance of services under this Agreement. 34. Waiver A waiver by the Recipient of any breach of any term, covenant, or condition contained in this 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 Agreement whether of the same or different character. 35. Governing Law The terms of this 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. 36. Entire Agreement This agreement sets forth the full and entire understanding of the Parties regarding the matter set forth herein, and any other prior or existing understandings or agreements by the Parties, whether formal or informal, regarding such matters are hereby superseded 24 or terminated in their entirety. No verbal agreement or implied covenant shall be held to vary the provisions of this Agreement. This Agreement shall bind and inure to the benefit of the Parties to this Agreement and any subsequent successors and assigns. 37. Patents & Royalties A. The County will provide two HMIS licenses for the Subrecipient. 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. 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 County upon completion of the Project, 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 and agrees to indemnify and hold harmless the County 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. 38. 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 Agreement shall be the property of the Recipient 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 Agreement. 25 NOW, THEREFORE, the Parties hereto have caused this Subrecipient Agreement to be executed and attested by their proper officer thereunder duly authorized, and their official seals to be hereunto affixed, all as of the day first above written. APPROVED AS TO FORM AND CONTENT: CITY OF SAN LUIS OBISPO, J. Christine Dietrick MN DATED: City of San Luis Obispo BY: 7/-14 D ek nson, City Manager DATED: // G (,�" 2:g�� Carrie Gallagher, City Clerk DATED: IL 6 12X 11- 26 ATTEST: COUNTY OF SAN LUIS OBISPO M Marvin A. Rose Interim Director, Department of Planning and Building DATED: APPROVED AS TO FORM AND EFFECT: RITA L. NEAL County Counsel Am Deputy County Counsel DATED: 27 EXHIBIT A STATEMENT OF WORK Community Development Block Grant Agreement between the Recipient and the Subrecipient for 2016 Community Development Block Grant funds As part of the County of San Luis Obispo 2016 Action Plan, the County Board of Supervisors allocated CDBG funds to the projects as follow: City of San Luis Obi Curb Ramp Project on Marsh Street between Archer St. and California Blvd., San Luis Obispo Total Budget $105,000 $105,000 Project Description The City of San Luis Obispo will use CDBG funds specifically to install or modify 11 accessible curb ramps intersections, as identified in Exhibit B. Type of Project The infrastructure improvements to install accessibility ramps and sidewalks to aid in the mobility of disabled adults. Purpose and Project Completion Date The City of San Luis Obispo will complete and expend all 2016 CDBG funds allocated to the 2016 CDBG funded project no later than April 20, 2018. The Subrecipient agrees that Recipient has sole discretion to determine whether the Subrecipient has complied with the following Project milestones and dates. 1. Issue Notice to Proceed/Start Construction: January 19, 2018 2. Construction 50% complete: February 13, 2018 3. Contraction 100% Complete: February 26, 2018 4. Final Inspection/Project Acceptance: March 6, 2018 5. All CDBG Project Funds Drawn April 2, 2018 At the discretion of the County Director of Planning and Building, the Recipient may revise or grant a time extension to any portion of the above Project schedule. The Project Manager, on behalf of the Subrecipient, must submit a written request for a time extension prior to the specific schedule deadline for the extension. The Subrecipient and Recipient must maintain all Agreement amendment documentation as evidence and transparency of compliance with the conditions of this Agreement. The Project will benefit an estimated 1,220 disabled adults of the City of San Luis Obispo, CA. 9 :1 Project completion date Final invoices and copies of the original source documentation for administrative expenses by the Subrecipient must be submitted to the County of San Luis Obispo no later than April 20, 2018. c EXHIBIT B City of San Luis Obispo Community Development Block Grant funds SCHEDULE OF COMPENSATION 1. AMOUNT OF COMPENSATION. For performing and completing all work and services described in Exhibit A, and for providing all materials required therefore, Recipient shall pay Subrecipient the total amount of $105,000. 2. ADDITIONAL SOURCE OF FUNDS. The City of San Luis Obispo will allocate $45,000 of City General Funds to the Project. The combined CDBG Funds and City General Funds shall be used as follows: Use of Funds Amount* Intersection of Johnson and Marsh — Construct three accessible curb $26,000 ramps, replace domes on one ramp. Intersection of Marsh and Toro — Install truncated domes on two ramps, $16,000 construct one accessible curb ramp. Intersection of Marsh and Santa Rosa — Install one accessible curb $12,500 ramp Intersection of Marsh and Morro - Install truncated domes on three $14,000 ramps, install one accessible curb ramp. Intersection of Marsh and Chorro — Install truncated domes on four $6,000 ramps Intersection of Marsh and Garden — Install truncated domes on three $4,500 ramps Intersection of Marsh and Broad — Install truncated domes on three $4,000 ramps Intersection of Marsh and Nipomo — Construct one accessible curb ramp $12,500 Intersection of Marsh and Beach — Install truncated domes on two $4,000 ramps Intersection of Marsh and Carmel — Install three accessible ramps $33,000 Intersection of Marsh and Archer — Install truncated domes on one $12,500 ramp, construct one accessible curb ramp Project Design $5,000 Total $150,000 *Budget may shift from one intersection to another to allow for actual costs per intersection. Budget shifts shall be documents by the Subrecipient. The above total amount listed shall include all out-of-pocket expenses incurred by Subrecipient in the performance of such services. 30 Capital Expenses Construction/Rehabilitation (provide specific details) Permits and Fees Design Engineering Acquisition Other Soft Costs (define) Subtotal Personnel Expenses Salaries Benefits Subtotal Other Expenses Other (define) Subtotal TOTAL Project Budget Form CDBG $105,000 Total Project Budget $145,000 d,n $0 $5,000 $0 $0 $0 $0 $0 $105,000 $0 i, 1 41 1 $0 a, r% $105,000 on $150.000 $0 $0 $0 $0 $150,000 3. BILLING. At the end of each quarter in which the services are performed or expenses are incurred under this Agreement. 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 Attn: Soutsida Inpravongviengkham, Accountant 976 Osos Street, Room 300 San Luis Obispo, California 93408 In the event a quarterly report is not submitted on a timely basis, the reimbursement of a submitted invoice may be upheld until the Subrecipient complies with the terms stated in Section 19 of this Agreement. 4. METHOD OF PAYMENT. Payment to Subrecipient of the compensation specified in Section 1 of this Exhibit shall be made as follows: A. Subject to the maximum allowable compensation set forth in Section 1 of this Exhibit, the Recipient shall pay the Subrecipient, based on the submittal and approval of an invoice, on the basis determined by this Agreement during the term of this Agreement. 31 EXHIBIT C Project Mitigation Measures and Conditions (40 CFR 1505.2(c) Summarize below all mitigation measures adopted by the County of San Luis Obispo in the approved federal environmental review document per the National Environmental Policy Act (NEPA) to reduce, avoid, or eliminate adverse environmental impacts and to avoid non-compliance or non-conformance with the above -listed authorities and factors. These measures/conditions and hereby incorporated in this Agreement. The staff responsible for implementing and monitoring mitigation measures shall be clearly identified in the Project construction plan(s). Law, Authority, or Factor Flood Disaster Protection Act of 1973 and National Flood Insurance Reform Act of 1994 [42 USC 4001-4128 and 42 USC 5154a] Wetlands Protection Executive Order 11990, particularly sections 2 and 5 Clean Air Clean Air Act, as amended, particularly section 176(c) & (d); 40 CFR Parts 6, 51, 93 Mitigation Measure M-01. During construction, the City of San Luis Obispo shall require the contractor to comply with City approved water pollution control plan (WPCP). The WPCP will outline work specific best management practices for controlling runoff, including creek protection controls and storm drain inlet protection requirements, to mitigate construction related impacts to San Luis Obispo Creek. The City of San Luis Obispo will implement the San Luis Obispo County Air Pollution Control District (APCD) standard mitigation measures below: M-02. Reduce the amount of the disturbed area where possible; M-03. Use of water trucks or sprinkler systems in sufficient quantities to prevent airborne dust from leaving the site. Increased watering frequency would be required whenever wind speeds exceed 15 mph. Reclaimed (non - potable) water should be used whenever possible; M-04. All dirt stock pile areas should be sprayed daily as needed; M-05. Permanent dust control measures identified in the approved project revegetation and landscape plans should be implemented as soon as possible following completion of any soil disturbing activities; M-06. Exposed ground areas that are planned to be reworked at dates greater than one month after initial grading should be sown with a fast 32 germinating, non-invasive grass seed and watered until vegetation is established; M-07. All disturbed soil areas not subject to revegetation should be stabilized using approved chemical soil binders, jute netting, or other methods approved in advance by the APCD; M-08. All roadways, driveways, sidewalks, etc. to be paved should be completed as soon as possible. In addition, building pads should be laid as soon as possible after grading unless seeding or soil binders are used; M-09. Vehicle speed for all construction vehicles shall not exceed 15 mph on any unpaved surface at the construction site; M-10. All trucks hauling dirt, sand, soil, or other loose materials are to be covered or should maintain at least two feet of freeboard (minimum vertical distance between top of load and top of trailer) in accordance with CVC Section 23114; U1151 Install wheel washers where vehicles enter and exit unpaved roads onto streets, or wash off trucks and equipment leaving the site; M-12. Sweep streets at the end of each day if visible soil material is carried onto adjacent paved roads. Water sweepers with reclaimed water should be used where feasible; M-13. All of these fugitive dust mitigation measures shall be shown on grading and building plans; M-14. 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 20% opacity, and to prevent transport of dust offsite. 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. 33 Historic Preservation National Historic Preservation Act of 1966, particularly sections 106 and 110; 36 CFR Part 800 M-15. Any contractor conducting work which will disturb these painted surfaces receive notification of the lead content and the condition of the lead containing surfaces prior to demolition, renovation, or any activity which would disturb the material. All work should be conducted in compliance with the CAL -OSHA and EPA regulations. M-16. All lead-based paint materials shall be removed by a licensed lead-based paint removal contractor according to the requirements of CCR Sections 1532.1 et seq. and 35001 et seq. Certification of removal shall be approved by the County General Services Department prior to the commencement of the proposed work. M-17. Lead based paint and related debris must be disposed of in accordance with all applicable federal, state and local laws governing such disposal for the proposed rehabilitation work. M-18. In the event archaeological resources are found to include human remains, or in any other case when human remains are discovered during construction, construction in the vicinity of the find will stop, the County Coroner is to be notified in addition to the Planning Department and Environmental Coordinator so property disposition may be accomplished. Also, in the event that cultural or historical resources are discovered during implementation of the project, the County will consult further with the State Historic Preservation Office pursuant to 36 CFR Section 106 Part 800.13(b) of the National Historic Preservation Act.) M-19. During earth moving activities or construction work activities, in the event 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 Planning Department will 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. If the find is determined to be significant, appropriate mitiqation will be formulated and implemented. 34 doe � :E * W CL 00-C£cu C: E ® o ] o V- @ .c @ /a)(� —252 @ 2 g >, 2 c: t E=2� Gm-� / o < O c X220 E @ -\ o 2 £ .g kƒ�3 .(n §�/ S � � / cn u o E I O � , 2 2 � .g IL o co —� !0a) O-ƒ k §ƒ) 2 >c) cn q � Faz § � �L 2� M 0 7�§ � V � CL/ 2-0 L , O2AOR ��a E� 0W �� D 2 �/3 ° Z §�/ w � 2\ .cn >-CO R 6 k « @ 'a o L) 0 0 E 7Dcn om /cu 0 � k k k @ E o _0 c E < C� a) 0 >Uk� CL 00-C£cu C: E ® o ] o V- @ .c @ /a)(� —252 @ 2 g >, 2 c: t E=2� Gm-� < O X220 E @ @ 3 2 £ .g kƒ�3 .(n k / cn < O U) — m §ƒ) \2E 2Jm c%CL §2 om a)=3 C� o D / � «ƒ � c� 0 C C 0 k § 2 D o C U) � 2 \ —� q q § m E 6 6 k § E D a -C m D 2 (L 70 km @@ 2' §k k C.) Cd ' � � _ o % §2 C C 7 cm Em � « c iE5 � CE U = �o p L §2 :2k 0 ©— =3f.@ @ § 2 k 2 § � 0 k Ua _ k0 � C § cu U� CU%U) Nq W t x W O LL O H O LL 0 O w IL N d a+ V Q V d O L CL CL Q O N 7 rr m N m ea Z ) U) ° O a) a) O cu (B m cu 7 fn > co U-0 IXii C7 Cl)o m a 0 U Li > •5 W co0 a`) aa) ca _0 O yL+ L C141 Q '0 a) •O a) o cEo -D a) p) ° d 'O > N "O d � LL a) a) rn U a) — cn a) N c6 a -a a) W O cuC) cu C)_0 >, E co E Q) rn o � cLo v� C) � ° a o CO a a /^0 LL m 0) a ES;`. U cOn 70 j U)O �zz a) cn U >'o)c aa) Cl w C:U L CL N Q a W O O .� O O a) O O O LO Lo O_ mo _O �{} U) a) 70I L 0 Q a) C ?� Q O N Q (0 U N a) U U u) �'�a�iv°i m UN O C C J'"� O . /� V M> 2 L W U � FD�Ev) /� I..L co C Q cu pow C: z,� cu'5 U 5 a) E o U °a—' cook° �a •`-7���� mC)mw oo�� cid-U o N d a+ V Q V d O L CL CL Q O N 7 rr m N m ea Z SUBRECIPIENT: PROGRAM/PROJECT: Attachment 1 COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM (CDBG) - ONSITE MONITORING CHECKLIST No. 4 — PUBLIC FACILITIES - CONSTRUCTION AGENCY - PROJECT MANAGER(S): DATE: COUNTY REVIEWER(S): San Luis Obispo County Page 137 Public Facility - Construction Checklist PUBLIC FACILITIES PROJECT CHECKLIST The items that are in BOLD below are required by the County as part of the projects implementation and documentation. Application (County has copy) Environmental Review NEPA (County Responsible) Subrecipient Agreement General Program Administration (County Responsible) Grant management and Record Keeping Permits Progress Reports Financial Management Procurement Micro -Purchase (2 CFR 200.320a) Small Purchases Professional Services Competitive Sealed bids for Construction Section 3 MBEM/BE Equal Employment Opportunity Labor Standards for Construction Project Completion Documents San Luis Obispo County Page 138 Public Facility - Construction Checklist Each project file must contain the original subrecipient agreement/MOU between the County and the Subrecipient. Is the subrecipient implementing the program/project as specified in the agreement? Compare the program/project status to the implementation schedule and provide correspondence regarding the agreement. Yes —No — NA _ Records or correspondence concerning matching funds. Yes _ No _ NA _ Letter(s) requesting amendments, with justification (s) (Optional, as needed) Yes _ No —NA _ Subrecipient Agreement amendments # (Optional, as needed) Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective action(s) cited: San Luis Obispo County Page 139 Public Facility - Construction Checklist For each project, indicate if the project is on schedule, ahead of schedule, or behind schedule. Note progress in monitoring letter. Yes _ No _ NA _ Progress quarterly reports to include Contract/Subcontract Reports and "Request for Payment/Financial Status Report Yes —No _ NA _ Annual reports per agreement Yes _ No _ NA _ Completion Report Progress Reports Due:(County Promect Manager to define at execution of the Subrecipient Agreement] Other documents, comments and/or concerns)/recommendation(s), finding(s)/corrective action(s) cited: San Luis Obispo County Page 140 Public Facility - Construction Checklist In accordance with 2 CFR 200, formerly OMB circular A-100, A-128 or A-133, subrecipients must meet the audit requirements specified therein. Additionally, all financial transactions with CDBG monies are subject to federal audit. Subrecipients must be prepared to explain how transactions were made, why, and be able to account for any funds expended (Review financial portion for internal control, cash management system and processes; accounting records and audits). Yes- No — NA — Internal Control: Management system chart of accounts Accounting Records: Yes —No _ NA _ Request for Payment(s) Yes No NA _ Financial Status Report (Quarterly Report) Yes _ _ No NA Source documentation, time records (staff admin) and materials (copies of invoices) Yes _ No _ NA —Audit report – Single audit for each year Yes _ No _ NA —Please provide any other audits Yes _ No _ NA —Budgetary Proof of Receipts & Disbursements Yes _ No _ NA _ W-9 form (contractors and vendors) Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective action(s) cited: San Luis Obispo County Page 141 Public Facility - Construction Checklist The subrecipient shall maintain and provide records required by the Federal regulations specified in 24 CFR 570.506. For monitoring purposes refer to 24 CFR 570.502, 2 CFR Part 200, and 24 CFR 302, 200.305, 200.306, 200.307, 200.308, 2 CFR Part 200 Subpart F — Audit Requirements, 2 CFR Part 200 Subpart E — Cost Principles, 200.302 and other records necessary to document compliance with 24 CFR 570. Yes No NA _ Retain all financial records, supporting documents, statistical records, and all other records pertinent to the subrecipient agreement and Federal regulations Yes No.- NA Maintain client data for five years at minimum demonstrating client eligibility. Data shall include, but not be limited to, client name, address, income level or other basis for determining eligibility, and description of service provided. Yes _ No _ NA _ All records pertaining to the subrecipient agreement and Federal regulations are provided and made available to the County, HUD, and the Comptroller General of the United States or any of their authorized representatives to audit, examine, and make excerpts or transcripts of all relevant data. Yes _ No _ NA _ For each project determined to benefit low and moderate income persons based on the Low -Mod Area (LMA) served by the activity, provide the boundaries of the service area. Yes _ No _ NA _ Regulatory justification via a detailed project description that the project meets the LMA criteria for eligibility purposes. Yes _ No _ NA _ Provide full description of project carried out including the location, amount of CDBG, and other funds budgeted, obligated and expended for the project. Yes _ No _ NA _ Record of subrecipient actions to utilize local low income workforce (Section 3 form). Yes _ No _ NA _ Record of subrecipient actions to utilize minority,and women businesses WBEMBE), and the award of contracts for supplies, equipment, construction or services to minority and women businesses. Yes _ No _ NA _ Financial records, in accordance with 2 CFR Part 200, "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards," as amended from time to time, or as superseded and implemented by codification in the Code of Federal Regulations. Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective action(s) cited: PERMITS 24 CIFIR 570.506 Subrecipients must maintain records regarding the 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 NA Coastal Permit Yes —No _ NA _ Land -use permits (entitlements) Yes _ No _ NA _ Building permits Yes _ No _ NA _ Encroachment permits Yes _ No _ NA _ Permit fee receipts Yes _ No _ NA _ Other permits Other documents, comments and/or concern(s)/recommendation(s), findings)/corrective actions(s) cited: Subrecipients must maintain records regarding any procurement that will be funded by CDBG. Regardless of the method of procurement used, subrecipients must develop and retain documentation to demonstrate their reasons for choosing the method of procurement, the basis for selection or rejection of consultants, consultant qualifications, contract specifications, and scope of work. Describe the methods of procurement (competitive negotiation, competitive sealed bids, small purchase, or non-competitive negotiation) used on all procurements (e.g., soft costs and hard costs) and identify the individuals or firm that prepared the RFP. Also state the subrecipient's rational for the procurement method. Yes __ No NA Subrecipient Procurement Policy Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective actions(s) cited: SMALL PURCHASES 2 CIFIR • • 1 According to 2 CFR 200.318, subrecipients must maintain records to detail the significant history of a procurement. These records include files on the rationale for selecting the methods of procurement used, selection of contract type, the contractor selection/rejection process, and the basis for the cost or price of a contract. Small purchases may be used per 2 CFR 200.320, and whether the subrecipient followed its own procurement policies and procedures. Yes No NA Documentation of item being purchased (do not artificially divide the procurement so as to constitute a small purchase) Yes _ No _ NA —Clearance of Vendor (Contractor/Subcontractor SAM check for debarment) Yes _ No _ NA _ Obtain and document price/rate quotations either by phone or in writing from a minimum of three sources Yes No NA Document the businesses contacted and prices quoted; Yes No NA Document the basis for selection and cost Yes _ No _ NA _ Prepare and execute a contract formalizing the scope of work, delivery schedule and the terms of compensation Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective actions(s) cited: PROFESSIONAL SERVICES 2 CFR 200.320 Subject to 2 CFR 200.320. For procurement involving architecture or engineering (A/E) services, subrecipients may use competitive proposal procedures whereby competitors' qualifications are evaluated and the most qualified competitor is selected, subject to 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 to Section 3 and MBE/WBE requirements. See Section 3 and MBE/WBE sections. Yes —No _ NA _ Request for Proposal (RFP) for Design Professional Services Yes _ No _ NA _ Affidavits of publication for RFP or newspaper notice clipping (minimum 10 days allowed for response) Yes —No _ NA _ Certified copy of the RFP evaluation. Yes _ No _ NA _ Contractor / Subcontractor SAM Yes —No _ NA _ Copy of the Notice of Award Yes _ No _ NA _ Executed Architect/Engineer contract with CDBG language and any related addenda, etc. Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective actions(s) cited: Subject to formal advertisement, 2 CFR 200.320 (d). Yes _ No _ NA _ Affidavit of publication and/newspaper notice clipping of the invitation/notice for bids. Yes _ No _ NA _ Solicitation list and copy of the transmittal letters of those contractors whom may be solicited for bids Yes —No _ NA _ Provide Federal Wage Decision Yes _ No _ NA _ Minutes of pre-bid conference Yes _ No _ NA _ Copy of the bid opening minutes as needed Yes _ No _ NA _ Copy of the bid tabulation sheet(s) Yes No NA _ Contractor/Subcontractor SAM debarment check NOTE: Contractor/Subcontractor SAM debarment check must be completed for each individual contractor workingon the job Yes _ No _ NA _ Copy of the staff report and minutes of the Council/Board meeting when the award is made Yes —No _ NA _ Copy of the notice of award/preconstruction conference Yes _ No _ NA _ Copy of the fully executed contract/bid documents with required bonds (Labor and Material Payment Bond with associated power of attorney and Performance Bond with associated power of attorney), certifications, any related addenda, change orders, etc. Yes _ No _ NA _ Minutes of the pre -construction conference, sign -in sheet and agenda Yes —No _ NA _ Wage decision lock in date form Yes _ No _ NA _ Copy of the notice to proceed from subrecipient to contractor Yes _ No _ NA _ Copy of final project plans/specs Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective action(s) cited: SECTION ; Subrecipients must ensure that HUD -funded jobs, training, and contracts are provided to local low-income residents, particularly those that reside in public housing and businesses that substantially employ them. Section 3 applies to construction project funded with more than $200,000 of CDBG funds. It also applies to contractors and subcontractor who are paid $100,000 in CDBG funds. The County collects Section 3 information from the subrecipients and contractors. See Attachment 2 of this Agreement for Section 3 data collection form. This form must be completed by the Subrecipient, contractors, and subcontractors. Subrecipient must add Section 3 language to their subsequent contracts with contractors or subcontractors. See Attachment 3 of this Agreement for Section 3 language. Yes _ No _ NA _ Economic Opportunity for Low and Very Low Income Persons in Connection with Assisted Projects - (HUD - 60002) Yes —No _ NA _ Section 3 Contractor Certification Form, if applicable Yes _ No _ NA _ Section 3 New Hire Certification Form, if applicable Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective action(s) cited: 200.321 Subrecipients must ensure that HUD -funded jobs, training, and contracts are provided to small and minority firms and women's business enterprise (MBE/WBE). The WBE/WBE applies to CDBG funded construction project specifically to contractors or subcontractors who are paid $10,000 or more in CDBG funds. The County submits annual MBE/WBE report to HUD. Subrecipient must collect MBE/WBE data and forward to the County. See Attachment4 of this Agreement for the MBE/WBE form. Subrecipients must add MBE/WBE language to their contracts of more than $10,000 in CDBG funds. See Attachment 5 of this Agreement for the MBE/WBE language. Yes _ No NA Completed MBE/WBE forms Yes No NA MBE/WBE language included with the project contracts Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective actions(s) cited: .EQUAL EMPLOYMENT OPPORTUNITY 24 CFR 570.506 Subrecipients are subject to compliance with Equal Employment Opportunity laws that prohibit workplace discrimination, and require to be posted on the project site and subrecipients office. Provide photo documentation that both sites are posted with appropriate EEO poster. Yes —No _ NA _ EEO posters at construction site Yes _ No _ NA _ EEO posters at Subrecipient office Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective action(s) cited: LABOR STANDARDS FOR CONSTRUCTION 24 CFR 570.603 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 each federal government contract in excess of $2,000 for the construction, alteration, or repair of public buildings or public works. Many federal laws 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 Act, for example. Yes —No _ NA _ Designation of a Labor Standards Compliance Officer by the subrecipient Yes _ No _ NA _ Construction Project Handbook included with the bid packet Yes _ No _ NA _ Photo Documentation of posters, wage decisions, and HUD form 4010 Yes _ No _ NA _ Weekly payrolls and Statement of Compliance Yes _ No _ NA _ Payroll review worksheet Federal Wage Decision # which was in effect Yes No NA __ Number of interviews with employees (# ) Other documents, comments and/or concern(s)/recommendation(s), finding(s)/corrective action(s) cited: PROJECT • •N DOCUMENTS 24 CFR 570.506 Subrecipient must provide final documentation to assure the CDBG funded project is complete and is in compliance with CDBG program requirements, and invoices and surety (bond) are paid. Yes _ No _ NA _ Architect or Engineer's letter of final acceptance or certificate of substantial completion Yes —No _ NA _ Final change order with tabulation of over runs and under runs Yes _ No _ NA _ A copy of record (as -built) drawings Yes _ No _ NA Final inspection report Yes ^ No ` NA _ Final Closeout Public Hearing w/minutes from the City/County Yes No NA Contractors affidavit of compliance and all lien releases to subrecipient Yes _ No _ NA _ Written Consent of Surety, if any, to final payment Yes _ No _ NA _ Building permit sign -off by jurisdiction Yes _ No _ NA _ Occupancy Permit from jurisdiction Other documents, comments and/or concerns)/recommendation(s), finding(s)/corrective action(s) cited: Attachment 2 to Checklist No. 4 — Public Facilities - Construction Sample Section 3 Data Collection Form SECTION 3 TRAINING AND EMPLOYMENT GOALS Name of Project: Name of (Sub)Contractor: Amount of Award: $ ❑ No New Hires. The contractor/sub-contractor used its existing employees to complete the HUD funded construction project. The contractor/subcontractor did not hire new employee(s) solely because of the HUD funded project. Number of Anticipated Hires Number of Filled Positions Number of Section 3 Hires Skilled Semi -Skilled Skilled Trainees Unskilled Trainees Semi -Skilled Trainees Professional & Admin Clerical Apprentices Other ❑ No New Hires. The contractor/sub-contractor used its existing employees to complete the HUD funded construction project. The contractor/subcontractor did not hire new employee(s) solely because of the HUD funded project. Attachment 3 to Checklist No. 4 — Public Facilities - Construction SECTION 3 CONTRACT LANGUAGE TO ENCOURAGE LOW INCOME "NEW HIRES" SOURCE: Title 24 — Code of Federal Regulations — Part 135 -- Economic Opportunities for Low- and Very Low -Income Persons (24 CFR 135) Contract lan ua a to add pursuant to 24 CFR Part 135.38 — Section 3 clause § 24 CFR 135.38 Section 3 clause. Non -Public Housing Authority entities that obligate or commit to spend over $200,000, or when an individual contractor receives $100,00 of covered funds on projects involving housing construction, demolition, rehabilitation, or other public construction is required to comply with Section 3. The purpose of the Section 3 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, 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. All Section 3 covered contracts shall include the following clause (referred to as the Section 3 clause): A. The work to be performed under this 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 (hereafter "Section 3") and the implementing regulations at 24 CFR 135 (Economic Opportunities for Low - And Very Low -Income Persons). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD -assisted projects covered by Section 3, 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. B. As evidenced by its execution of this Agreement, the Contractor certifies that it is under no contractual or other impediment that would prevent it from complying with the part 135 regulations. C. 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 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 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. D. The Contractor agrees to require this Section 3 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 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. E. By its signature to this Agreement, the Contractor will 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. F. 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. G. With respect to work performed in connection with section 3 covered Indian housing assistance, section 7(b) of the Indian Self -Determination and Education Assistance Act (25 U.S. C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of section 3 and section 7(b) agree to comply with section 3 to the maximum extent feasible, but not in derogation of compliance with section 7(b). (Dated: 08/15/2017) Attachment 4 to Checklist No. 4 — Public Facilities - Construction MBEMBE Data Collection Form 1 t'. �. HSG -1002 ` f"A iv f L ?•tllfilii3� i?P�)i){ 1 �-iil'irE �.�)iflUi!lt� E'•: �r'`VC)li`.°�" (�"da`I'-'C� DATE: SEPTEN-18ER 6, 2017 TO: HUD PROJECT CONTRACTORS AND SUBCONTRACTORS SUBJECT: MINORITY AND WOMEN OWNED BUSINESSES All project contractors and subcontractors who received 610,000 or more in HUD funds must complete this form. Thank you for your hard work in making HUD funded projects success in San Luis Obispo County. HUD requires the County to submit annual reports regarding the hiring practices on HUD funded projects. One such report isa tally of how many minorioj and/or women owned businesses were hired. Please complete this form and submit it directly to County Planning and Buildingby Wednesday, September2o, 2017. Forms may be directed to the address listed at the bottom of theform, or if you prefer,you may submit this form to the city or county staff personwho managed the HUD funds forthe project(s) that you worked on. Business Name (HUD project contractor or subcontractor) Business Address Employer Identification Number(EIN) Nameof HUD -Funded Project Total HUD Funds Paid to Your Business Indicate whether 50% or more of your company's ownership is held by individualswho are: LJ BlackAmericar Native American Hasidic jean LJ White American I LJ Hispanic American U AsiarVPacificAmericar Indicate whether 50% or more of your company's ownership is held bya woman/women- LJYes I U No You may submit this form directly to County Planning & Building. Attention: Allison Rustick, fax x (805) 781-5624, or email address: arustick@co.slo.ca.us ._ ice.. L�t3 CC1i;O .3?�::i cG!yrnr_41%6rlasp.$104a,a3 Attachment 5 to Checklist No. 4 — Public Facilities - Construction MBE/WBE Language for Contracts Contract IanQuame to add pursuant to CFR 200.327 — Contractina with small and minorify firms, women's business enterprise and labor surplus area firms. (e) Contracting with small and minority firms, women's business enterprise and labor surplus area firms. 1. The grantee and subgrantee will take all necessary affirmative steps to assure that minority firms, women's business enterprises, and labor surplus area firms are used when possible. 2. Affirmative steps shall include: Placing qualified small and minority businesses and women's business enterprises on solicitation lists; ii. Assuring that small and minority businesses, and women's business enterprises are solicited whenever they are potential sources; iii. Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority business, and women's business enterprises; iv. Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority business, and women's business enterprises; V. Using the services and assistance of the Small Business Administration, and the Minority Business Development Agency of the Department of Commerce; and vi. Requiring the prime contractor, if subcontracts are to be let, to take the affirmative steps listed in paragraphs (e)(2) (i) through (v) of this section. (Dated: 02/06/2017) RESOLUTION NO. 10698 (2016 SERIES) A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN LUIS OBISPO, CALIFORNIA, APPROVING THE 2016 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) PROGRAM WHEREAS, the City of San Luis Obispo along with the cities of Arroyo Grande, Atascadero, Morro Bay, Paso Robles, Pismo Beach, and the County of San Luis Obispo cooperatively administer several federal grant programs under the provisions of the September 23, 2014 Cooperative Agreement executed between the City and County, and under applicable U.S. Department of Housing and Urban Development Department (HUD) rules; and WHEREAS, pursuant to said agreement, the Urban County Public Participation Plan, and HUD rules, the City Council held a public hearing on March 1, 2016, to consider funding recommendations by the Human Relations Commission (HRC), to review applications for federal grant funding, and to consider public comments on community needs and the use of such funds; and WHEREAS, the Council has considered applications for Community Development Block Grant (CDBG) funds, public testimony, the Urban County's proposed One -Year Action Plan, and the HRC and staff recommendations included in the agenda report; and NOW, THEREFORE, BE IT RESOLVED, by the Council of the City of San Luis Obispo as follows: Section 1. Environmental Determination. The project is exempt from environmental review per CEQA Guidelines under the General Rule (Section 15061(b)(3)). It can be seen with certainty that CDBG funding allocations could not have a significant effect on the environment. Section 2. 2016 Community Development Block Gant Program Amendments. The City's 2016 Community Development Block Grant Program is hereby approved, as shown in Exhibit A. The Co Develo ment Direct r is authorized to approve final dollar amounts once HUD releases allocations with the direction to make up differ n051 theme two amounts. Any additional increase in funding shall be allocated to HASLO's affordable housing project once increases for public services (15% of allocation) and program administration (20% of allocation) have been adjusted. Section 3. Board ofSunervisors Consideration. The Council hereby forwards the above actions to the San Luis Obispo County Board of Supervisors for consideration prior to the Board's final action on the Urban County's 2016 Consolidated Plan. Section 4. Community Development Director Authority. The Community Development Director is hereby authorized to act on behalf of the City in exec a eements and other actions necessary to ' ment thea raved Consolidated Plan CDBG Pro am including revisions to funding amounts for the 2016 CDBG Program if the City's actual CDBG allocation is different than expected. Resolution No. 10698 (2016 Series) Page 2 Upon motion of Council Member Christianson, seconded by Vice Mayor Carpenter, and on the following vote: AYES: Council Members Ashbaugh, Christianson and Rivoire, Vice Mayor Carpenter and Mayor Marx NOES: None ABSENT: None The foregoing resolution was adopted this 1" day of March 2016. 'q P'�" Vy r Jan Marx ATTEST: Lee Price, MMC Interim City Clerk APPROVED AS TO FORM: iristine Dietrick Attorney IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the City of San Luis Obispo, California, this day of��'_ Lee Prig, MMC Interim City Clerk Resolution No. 10698 (2016 Series) EXHIBIT A A W N NN Er 3 G7 a T C N � c n � � o o G) o D f/ 3 C � w � N 0 o m Q Q r to C WOs (°o -3 a 3 7 7 N Q 0 o e° (n r O m V1 0)1-41 0 O ti �3 )D. C Z 0 ((D O (D co N D N N c W� 4 r- o g d yz W C) � O Dv '0 Oc' �' 1 =� �° 1 - (A �c< 0 CD r a, �. (c mmD 1 A 2 D r'cW@y I o U) O a r c g v, M n �i N k W --I m 0' y rn .. = BE CD D y y n a n D�o D� Dr O. m a 'a 2 D 0. < 0 CD (A 3 0 > cn rD 0 c nO ' W w rn < N W (D Cn o C a 7 .. 00E"N D z O O ani x. 49 K Go O Wr O CD Oi cn Q 'rn = o` D d> N y w O C' CD r- o 0 (D N = =3fD ro' 0 (D 0 go O 9 O 7 Fn' 7" in A3 9, 3 7 go 0 Q y z --. -CO 6 y = 7 ;, b 0 3 n . 1 (D O 0 (O (D 0 CD o m m 3 N ;o U) 3 cn rn y � N 0 < rn dw d! 44 {A 4A 4A 4A 4A 40 49 4A 6% ��n N.a O (�D N 0071 O O N Oo 00 fOD 0 CO {O --• OD a0 O O O w O O (D -" C W 00 00 N W 00 O O O O O O O O -% 0) O O O" O O Fo' d 4m 4A 69 4A " 4A <A 40 fR 40 4A 40 ^ G o N -) Z j 0 OD m Po PO 0 000 00 W AOA w W 0 COD N 8 W O N 00 A i I N O1 1 N D1 4A 4A H9 d► 4A 49 169 40 49 4A 4A A O 0 N 00 m O , ,OBD 0 N a 0@ 0 0 EA EA 4A 4A 4A 49 49 4A CO) to w CD O 0 W O O a� Of 00 JS 0 O .O pW 0 ��pp N O O O O O O O -W+ N iA 49 4A 40 40 d9 4A 4A GH 4A 4A A O K) -, N .0 OWD ((D N 0071 O 00 00 ) 00 C, 0 O N O O N CD Wf O 0 N 0 O N O N 00 0) Page 3 N O j m / J v 00 3 d n c CL co 0 0 m 0 CL 0 7 N R 10698