Garden Grove City Council
September 26, 2023

CAPER 29
OMB Control No: 2506-0117 (exp. 09/30/2021)
Citizen Participation Plan 91.105(d); 91.115(d)
Describe the efforts to provide citizens with reasonable notice and an opportunity to comment on performance reports.

The City’s effort to provide citizens with reasonable notice and an opportunity to comment on performance reported in the Draft FY 2022-2023 CAPER follows the process outlined in the Citizen Participation Plan.

As outlined in the Public Notice, due to COVID-19, the City has modified its process for reviewing and accepting comments related to the CAPER to ensure social distancing and to limit the spread of COVID-

19. The Draft CAPER was made available for public review online at https://ggcity.org/neighborhood- improvement, and all public comments were directed to staff via email.

The 30-day public review and comment period for the FY 2022-2023 CAPER was from August 25, 2023, through September 26, 2023. Notices for the public hearing were published in local English, Spanish and Vietnamese newspapers on August 25, 2023. The City held public hearings to receive public comments regarding the FY 2022-2023 CAPER at the September 11, 2023 Neighborhood Improvement and Conservation Commission meeting, and at the September 26, 2023, Garden Grove City Council meeting.

The public notices that were published are included in Attachment 1.

CAPER 30
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-45 - CDBG 91.520(c)
Specify the nature of, and reasons for, any changes in the jurisdiction’s program objectives and indications of how the jurisdiction would change its programs as a result of its experiences.

The City of Garden Grove CDBG program did not have any significant changes to the Consolidated Plan goals.

Does this Jurisdiction have any open Brownfields Economic Development Initiative (BEDI) grants?
No
[BEDI grantees] Describe accomplishments and program outcomes during the last year.

CAPER 31
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-50 - HOME 24 CFR 91.520(d)
Include the results of on-site inspections of affordable rental housing assisted under the program to determine compliance with housing codes and other applicable regulations Please list those projects that should have been inspected on-site this program year based upon the schedule in 24 CFR §92.504(d). Indicate which of these were inspected and a summary of issues that were detected during the inspection. For those that were not inspected, please indicate the reason and how you will remedy the situation.

The Garden Grove Housing Authority (GGHA) conducts Housing Quality Standard (HQS) inspections of Tenant Based Rental Assistance units, HOME restricted units, Density Bonus units, and Housing Successor units to determine compliance with Federal, State, and local housing standards.

Provide an assessment of the jurisdiction's affirmative marketing actions for HOME units. 24 CFR 91.520(e) and 24 CFR 92.351(a)
All HOME funded affordable housing projects must adopt affirmative marketing procedures and submit the affirmative marketing plan to the City. During annual monitoring, overall performance related to fair housing and non-discrimination is monitored to ensure fair housing compliance.

Refer to IDIS reports to describe the amount and use of program income for projects, including the number of projects and owner and tenant characteristics During FY 2022-2023, the City expended $98,791 in Program Income on the HEART Program. The HEART Program provides rental assistance and supportive services for literally homeless individuals and individuals at-risk of homelessness.

Describe other actions taken to foster and maintain affordable housing. 24 CFR 91.220(k) (STATES ONLY: Including the coordination of LIHTC with the development of affordable housing). 24 CFR 91.320(j)
Section 8 funds: The Garden Grove Housing Authority administers the Section 8 Program for the City, and provides rent subsidies to 2,337 Garden Grove households.

Density Bonus: The City of Garden Grove works with housing developers to assist in the development of affordable housing projects through the execution of Density Bonus Affordable Housing Agreements. The City currently monitors three (3) density bonus affordable housing projects totaling 15 affordable units.

Redevelopment Agency: The City of Garden Grove currently monitors 11 affordable housing projects, totaling 640 affordable units previously assisted with former Low and Moderate Housing funds.

CAPER 32
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-58 – Section 3
Identify the number of individuals assisted and the types of assistance provided Total Labor Hours CDBG HOME ESG HOPWA HTF
Total Number of Activities 1 0 0 0 0
Total Labor Hours 0
Total Section 3 Worker Hours 4,379
Total Targeted Section 3 Worker Hours 617
Table 14 – Total Labor Hours

Qualitative Efforts - Number of Activities by Program CDBG HOME ESG HOPWA HTF Outreach efforts to generate job applicants who are Public Housing Targeted Workers
Outreach efforts to generate job applicants who are Other Funding Targeted Workers.

Direct, on-the job training (including apprenticeships).

Indirect training such as arranging for, contracting for, or paying tuition for, off-site training.

Technical assistance to help Section 3 workers compete for jobs (e.g., resume assistance, coaching).

Outreach efforts to identify and secure bids from Section 3 business concerns.

Technical assistance to help Section 3 business concerns understand and bid on contracts.

Division of contracts into smaller jobs to facilitate participation by Section 3 business concerns.

Provided or connected residents with assistance in seeking employment including: drafting resumes,preparing for interviews, finding job opportunities, connecting residents to job placement services.

Held one or more job fairs.

Provided or connected residents with supportive services that can provide direct services or referrals.

Provided or connected residents with supportive services that provide one or more of the following: work readiness health screenings, interview clothing, uniforms, test fees, transportation.

Assisted residents with finding child care.

Assisted residents to apply for, or attend community college or a four year educational institution.

Assisted residents to apply for, or attend vocational/technical training.

Assisted residents to obtain financial literacy training and/or coaching.

Bonding assistance, guaranties, or other efforts to support viable bids from Section 3 business concerns.

Provided or connected residents with training on computer use or online technologies.

Promoting the use of a business registry designed to create opportunities for disadvantaged and small businesses.

Outreach, engagement, or referrals with the state one-stop system, as designed in Section 121(e)(2) of the Workforce Innovation and Opportunity Act.

Other.

Table 15 – Qualitative Efforts - Number of Activities by Program

CAPER 33
OMB Control No: 2506-0117 (exp. 09/30/2021)
Narrative
The prime contractor and subcontractors for the Garden Grove Park Project met the requirements for the number of Section 3 Workers (45.6%) and Targeted Section 3 Workers (6.4%) working on the project.

CAPER 34
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-60 - ESG 91.520(g) (ESG Recipients only)
ESG Supplement to the CAPER in e-snaps
For Paperwork Reduction Act

1. Recipient Information—All Recipients Complete
Basic Grant Information
Recipient Name GARDEN GROVE
Organizational DUNS Number 009596495
UEI

EIN/TIN Number 956005848
Indentify the Field Office LOS ANGELES
Identify CoC(s) in which the recipient or
subrecipient(s) will provide ESG
assistance
Santa Ana/Anaheim/Orange County CoC

ESG Contact Name
Prefix Mr
First Name Tim
Middle Name
Last Name Throne
Suffix
Title Sr. Program Specialist

ESG Contact Address
Street Address 1 11222 Acacia Parkway
Street Address 2
City Garden Grove
State CA
ZIP Code 92840-
Phone Number 7147415144
Extension
Fax Number
Email Address [email protected]

ESG Secondary Contact
Prefix Ms
First Name Monica
Last Name Covarrubias
Suffix
Title Sr. Project Manager
Phone Number 7147415788
Extension
Email Address [email protected]

CAPER 35
OMB Control No: 2506-0117 (exp. 09/30/2021)

2. Reporting Period—All Recipients Complete
Program Year Start Date 07/01/2022
Program Year End Date 06/30/2023

3a. Subrecipient Form – Complete one form for each subrecipient Subrecipient or Contractor Name: INTERVAL HOUSE
City: Long Beach
State: CA
Zip Code: 90803, 4221
DUNS Number: 113510176
UEI:

Is subrecipient a victim services provider: Y
Subrecipient Organization Type: Other Non-Profit Organization ESG Subgrant or Contract Award Amount: 30000

Subrecipient or Contractor Name: MERCY HOUSE TRANSITIONAL LIVING CENTERS City: Santa Ana
State: CA
Zip Code: 92702, 1905
DUNS Number: 879797165
UEI:

Is subrecipient a victim services provider: N
Subrecipient Organization Type: Other Non-Profit Organization ESG Subgrant or Contract Award Amount: 20000

Subrecipient or Contractor Name: Illumination Foundation City: Orange
State: CA
Zip Code: 92867, 5548
DUNS Number: 829919047
UEI:

Is subrecipient a victim services provider: N
Subrecipient Organization Type: Other Non-Profit Organization ESG Subgrant or Contract Award Amount: 72775

CAPER 36
OMB Control No: 2506-0117 (exp. 09/30/2021)
Subrecipient or Contractor Name: 211 Orange County
City: Santa Ana
State: CA
Zip Code: 92705, 8520
DUNS Number: 884339003
UEI:

Is subrecipient a victim services provider: N
Subrecipient Organization Type: Other Non-Profit Organization ESG Subgrant or Contract Award Amount: 5121

Subrecipient or Contractor Name: Moving Forward Psychological Institute, INC.

City: Fountain Valley
State: CA
Zip Code: 92708, 4250
DUNS Number: 128013707
UEI:

Is subrecipient a victim services provider: N
Subrecipient Organization Type: Other Non-Profit Organization ESG Subgrant or Contract Award Amount: 34712.36

CAPER 37
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-65 - Persons Assisted
CR-65 is replaced by the FY 2022-2023 ESG Sage Report, which is located in Attachment #5.

CAPER 38
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-70 – ESG 91.520(g) - Assistance Provided and Outcomes

10. Shelter Utilization
Number of New Units - Rehabbed 0
Number of New Units - Conversion 0
Total Number of bed-nights available 29,200
Total Number of bed-nights provided 25,711
Capacity Utilization 88.05%
Table 24 – Shelter Capacity

11. Project Outcomes Data measured under the performance standards developed in consultation with the CoC(s)
All sub-recipients of ESG funds were required to use homeless/client certification forms during the intake process to ensure all clients serviced were qualified and are residents of the City of Garden Grove.

In addition, sub-recipients were also required to submit completed quarterly reports for monitoring purposes. During the aforementioned process, City staff addressed concerns and/or discrepancies within the reports and made sure corrections were made at the early stages of the FY. The capacity of utilization for shelter was approximately 88% (25,711 bed nights provided).

In addition, City staff consulted with the CoC and attended meetings with various County subcommittees to discuss issues, concerns, and best practices for meeting the needs of the homeless population. Staff also formed an OC Collaborative consisting of neighboring jurisdictions receiving ESG funds (Anaheim, Santa Ana, Irvine, and the County of Orange) and established a shared Request for Proposal (RFP) that was utilized to fund service providers for program year 2022. The OC Collaborative created uniform ESG guidelines that are utilized amongst all service providers within the County. These guidelines include a homeless at-risk assessment and a homeless certification form. Creating these guidelines helped promote a cohesive effort between the neighboring Cities in addressing homelessness and also assisted service providers to stay compliant with HUD’s regulations.

CAPER 39
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-75 – Expenditures
11a. ESG Expenditures for Homelessness Prevention
Dollar Amount of Expenditures in Program Year
2020 2021 2022
Expenditures for Rental Assistance $30,442 $13,475 $7,070 Expenditures for Housing Relocation and
Stabilization Services - Financial Assistance 0 0 0
Expenditures for Housing Relocation &
Stabilization Services - Services 0 $9,815 $12,925
Expenditures for Homeless Prevention under
Emergency Shelter Grants Program 0 0 0
Subtotal Homelessness Prevention $30,442 $23,290 $19,995 Table 25 – ESG Expenditures for Homelessness Prevention

11b. ESG Expenditures for Rapid Re-Housing
Dollar Amount of Expenditures in Program Year
2020 2021 2022
Expenditures for Rental Assistance $28,140 $24,000 $4,433 Expenditures for Housing Relocation and
Stabilization Services - Financial Assistance 0 0 $8,895 Expenditures for Housing Relocation &
Stabilization Services - Services $6,635 $6,000 $7,906
Expenditures for Homeless Assistance under
Emergency Shelter Grants Program 0 0 0
Subtotal Rapid Re-Housing $34,775 $30,000 $21,234
Table 26 – ESG Expenditures for Rapid Re-Housing

11c. ESG Expenditures for Emergency Shelter
Dollar Amount of Expenditures in Program Year
2020 2021 2022
Essential Services $46,600 $54,474 $51,523
Operations 0 $7,679 $9,824
Renovation 0 0 0
Major Rehab 0 0 0
Conversion 0 0 0
Subtotal $46,600 $62,153 $61,347
Table 27 – ESG Expenditures for Emergency Shelter

CAPER 40
OMB Control No: 2506-0117 (exp. 09/30/2021)
11d. Other Grant Expenditures
Dollar Amount of Expenditures in Program Year
2020 2021 2022
Street Outreach $50,000 $25,000 $34,673
HMIS $5,241 $25,000 $5,121
Administration $13,104 $12,985 $12,802
Table 28 - Other Grant Expenditures

11e. Total ESG Grant Funds
Total ESG Funds
Expended
2020 2021 2022
513,762 $180,162 $178,428 $155,172
Table 29 - Total ESG Funds Expended

11f. Match Source
2020 2021 2022
Other Non-ESG HUD Funds 0 $25,000 0
Other Federal Funds 0 0 0
State Government $81,375 $60,000 0
Local Government $55,241 $50,000 $5,121
Private Funds 0 $32,153 $41,485
Other $30,442 0 $101,630
Fees 0 0 0
Program Income 0 0 0
Total Match Amount $167,058 $167,153 $148,236
Table 30 - Other Funds Expended on Eligible ESG Activities

11g. Total
Total Amount of Funds
Expended on ESG
Activities
2020 2021 2022
996,209 $347,220 $345,581 $303,408
Table 31 - Total Amount of Funds Expended on ESG Activities

CAPER 41
OMB Control No: 2506-0117 (exp. 09/30/2021)

Attachment #1

FY 2022-2023 CAPER Public Participation

PUBLIC NOTICE

CITY OF GARDEN GROVE
2022-23 CONSOLIDATED ANNUAL PERFORMANCE

AND EVALUATION REPORT (CAPER)

The City of Garden Grove’s (City) Community and Economic Development Department, in accordance with U.S. Department of Housing and Urban Development (HUD) regulations, has prepared its Draft FY 2022-23 Consolidated Annual Performance and Evaluation Report (CAPER). The report describes and assesses the housing, economic, and community development activities undertaken by the City over the period from July 1, 2022, through June 30, 2023.

Opportunity for Public Review and Comment

Public hearings are to be held in the Garden Grove Community Meeting Center located at 11300 Stanford Avenue, Garden Grove, California, 92840, and are scheduled as follows:

Garden Grove Neighborhood Improvement and Conservation Commission – Monday, September 11, 2023, at 6:30 p.m.

Garden Grove City Council – Tuesday, September 26, 2023, at 6:30 p.m.

From August 25, 2023 through September 26, 2023, the City’s FY 2022-2023 CAPER will be available for public review at the following location:

Please visit the City’s website at
https://ggcity.org/neighborhood-
improvement/reports to review the draft FY 2022-23 CAPER, and please submit comments electronically to Timothy Throne at [email protected].

The Community and Economic Development Department will accept written and verba l comments until 3:00 p.m. on September 26, 2023 . Please direct any questions or comments to Timothy Throne, at (714) 741-5144 or by email at [email protected].

/s/ TERESA POMEROY, CMC
City Clerk

Date: August 14, 2023

Publish: August 25, 2023

AVISO PÚBLICO

CIUDAD DE GARDEN GROVE
DESEMPEÑO ANUAL CONSOLIDADO E INFORME DE EVALUACIÓN
(CAPER) 2022-23
El Departamento de Desarrollo Económico y Comunitario de la Ciudad de Garden Grove (Ciudad), de acuerdo con las regulaciones del Departamento de Vivienda y Desarrollo Urbano de los EE. UU (HUD, por sus siglas en inglés) ha preparado su Anteproyecto del Desempeño Anual Consolidado e Informe de Evaluación (CAPER, por sus siglas en inglés) del AF 2022-23. El informe describe y evalúa las actividades de vivienda, económicas, y de desarrollo comunitario realizadas por la Ciudad durante el periodo del 1 de julio de 2022 al 30 de junio de 2023.

Oportunidad de Revisión y Comentarios Públicos
Las audiencias públicas se llevarán a cabo en el Centro de Reuniones Comunitarias de Garden Grove ubicado en 11300 Stanford Avenue, Garden Grove, California, 92840, y están programadas de la siguiente manera:

Comisión de Conservación y Mejora del Vecindario de Garden Grove – Lunes 11 de septiembre de 2023, a las 6:30 p.m.

Ayuntamiento de Garden Grove – Martes 26 de septiembre de 2023, a las 6:30 p.m.

Desde el 25 de agosto de 2023 hasta el 26 de septiembre de 2023, el CAPER del AF 2022-2023 CAPER estará disponible para revisión pública en la siguiente ubicación:

Por favor, visite el sitio web de la Ciudad es https://ggcity.org/neighborhood- improvement/reports para revisar el borrador CAPER del AF 2022-23, y envíe sus comentarios electrónicamente a Timothy Throne a [email protected].

El Departamento de Desarrollo Económico y Comunitario aceptará comentarios escritos y orales hasta las 3:00 p.m. del 26 de septiembre de 2023. Por favor, dirija cualquier pregunta o comentario a Timothy Throne, al (714) 741-5144 o por correo electrónico a [email protected].
/s/ TERESA POMEROY , CMC
Secretaria de la Ciudad
Fecha: 14 de agosto de 2023
Publicar: 25 de agosto de 2023

THÔNG BÁO
THÀNH PHỐ GARDEN GROVE
BÁO CÁO ĐÁNH GIÁ VÀ THÀNH TÍCH HỢP NHẤT
HÀNG NĂM CAPER 2022-23 (CAPER)

Thành phố Garden Grove, Ban Phát triển Kinh t ế và C ộng đồng, theo quy định của Bộ Phát triển Đô thị và Nhà ở Hoa Kỳ (HUD), đã chuẩn bị Bản thảo Báo Cáo Đánh Giá và Thành Tích H ợp Nhất Hàng Năm CAPER 2022-23 (CAPER). Báo cáo mô tả và đánh giá các hoạt động phát triển nhà ở, kinh tế và cộng đồng do Thành phố thực hiện trong khoảng thời gian trong giai đoạn từ ngày 1 tháng Bảy, 2022 đến hết ngày 30 tháng Sáu, 2023.

Cơ Hội Để Công Chúng Xem Duyệt Và Nhận Xét

Phiên điều tr ần công khai sẽ được tổ chức tại Garden Grove Community Meeting Center, tọa lạc tại 11300 Stanford Avenue, Garden Grove, California, 92840 vào các ngày sau đây:

Ủy Ban Cải Thiện và Bảo Tồn Hàng Xóm (Neighborhood Improvement and Conservation Commission, NICC) vào Thứ Hai, ngày 11 tháng Chín, 2023 lúc 6:30 chiều.

Và buổi họp Hội Đồng Thành Phố Garden Grove vào ngày Thứ Ba, 26 tháng Chín, 2023 lúc 6:30 chiều.

Bản thảo CAPER niên khoá 2022-2023 sẽ có sẵn để công chúng nhận xét từ ngày 25 tháng Tám, 2023 đến ngày 2 6 tháng Chín, 2023 tại các địa điểm sau:

Bản thảo CAPER niên khoá 2022-2023 có online để công chúng nhận xét tại https://ggcity.org/neighborhood-improvement/reports. Vui lòng gởi những góp ý đến ông Timothy Throne tại email [email protected]

Các nhận xét bằng văn bản nên gởi đến sớm và không trễ hơn Thứ Ba, ngày 26 tháng Chín, 2023, lúc 3:00 giờ chiều đến Ban Phát triển Kinh tế và Cộng đồng. Vui lòng gửi câu hỏi hoặc góp ý về ông Timothy Throne, ở số (714) 741-5144 hoặc qua email [email protected].

/s/ TERRI POMEROY, CMC
Thư Ký Thành Phố

Ngày: 14 tháng Tám, 2023

Ngày công bố: 25 tháng Tám, 2023

CAPER 42
OMB Control No: 2506-0117 (exp. 09/30/2021)

Attachment #2

FY 2022-2023 Project Locations Map

ATTACHMENT 2: FY 2022-23 Project Locations

Citywide Programs
- Home Repair Program
- Meals on Wheels
- Fair Housing Foundation
- Tenant Based Rental Assistance
- Jobs 1st Program
- Special Resource Team (SRT)
- Homeless Services (ESG)
- Mobile Mental Health Program (CV)
- Workforce Activation and
Readiness Program (CV)
Specific Project Locations

1. H. Louis Lake Senior Center

2. Stuart Drive - PSH

3. Josephine/Acacia Storm Drain and
Street Rehabilitation Projects
LEGEND
= CDBG Eligible Area
@ 80% Area Median Income

CAPER 43
OMB Control No: 2506-0117 (exp. 09/30/2021)

Attachment #3

PR-26 – CDBG Financial Summary

PR26 - CDBG Financial Summary Report
U.S. Department of Housing and Urban Development
Office of Community Planning and Development
Integrated Disbursement and Information System
DATE:

TIME:

PAGE: 1
16:08
08-23-23
Program Year 2022

GARDEN GROVE , CA
Metrics
Grantee
Program Year
PART I: SUMMARY OF CDBG RESOURCES
01 UNEXPENDED CDBG FUNDS AT END OF PREVIOUS PROGRAM YEAR 02 ENTITLEMENT GRANT
03 SURPLUS URBAN RENEWAL
04 SECTION 108 GUARANTEED LOAN FUNDS
05 CURRENT YEAR PROGRAM INCOME
05a CURRENT YEAR SECTION 108 PROGRAM INCOME (FOR SI TYPE) 06 FUNDS RETURNED TO THE LINE-OF-CREDIT
06a FUNDS RETURNED TO THE LOCAL CDBG ACCOUNT
07 ADJUSTMENT TO COMPUTE TOTAL AVAILABLE
08 TOTAL AVAILABLE (SUM, LINES 01-07)
PART II: SUMMARY OF CDBG EXPENDITURES
09 DISBURSEMENTS OTHER THAN SECTION 108 REPAYMENTS AND PLANNING/ADMINISTRATION 10 ADJUSTMENT TO COMPUTE TOTAL AMOUNT SUBJECT TO LOW/MOD BENEFIT 11 AMOUNT SUBJECT TO LOW/MOD BENEFIT (LINE 09 + LINE 10) 12 DISBURSED IN IDIS FOR PLANNING/ADMINISTRATION
13 DISBURSED IN IDIS FOR SECTION 108 REPAYMENTS
14 ADJUSTMENT TO COMPUTE TOTAL EXPENDITURES
15 TOTAL EXPENDITURES (SUM, LINES 11-14)
16 UNEXPENDED BALANCE (LINE 08 - LINE 15)
PART III: LOWMOD BENEFIT THIS REPORTING PERIOD
17 EXPENDED FOR LOW/MOD HOUSING IN SPECIAL AREAS
18 EXPENDED FOR LOW/MOD MULTI-UNIT HOUSING
19 DISBURSED FOR OTHER LOW/MOD ACTIVITIES
20 ADJUSTMENT TO COMPUTE TOTAL LOW/MOD CREDIT
21 TOTAL LOW/MOD CREDIT (SUM, LINES 17-20)
22 PERCENT LOW/MOD CREDIT (LINE 21/LINE 11)

LOW/MOD BENEFIT FOR MULTI-YEAR CERTIFICATIONS
23 PROGRAM YEARS(PY) COVERED IN CERTIFICATION
24 CUMULATIVE NET EXPENDITURES SUBJECT TO LOW/MOD BENEFIT CALCULATION 25 CUMULATIVE EXPENDITURES BENEFITING LOW/MOD PERSONS
26 PERCENT BENEFIT TO LOW/MOD PERSONS (LINE 25/LINE 24) PART IV: PUBLIC SERVICE (PS) CAP CALCULATIONS
27 DISBURSED IN IDIS FOR PUBLIC SERVICES
28 PS UNLIQUIDATED OBLIGATIONS AT END OF CURRENT PROGRAM YEAR 29 PS UNLIQUIDATED OBLIGATIONS AT END OF PREVIOUS PROGRAM YEAR 30 ADJUSTMENT TO COMPUTE TOTAL PS OBLIGATIONS
31 TOTAL PS OBLIGATIONS (LINE 27 + LINE 28 - LINE 29 + LINE 30) 32 ENTITLEMENT GRANT
33 PRIOR YEAR PROGRAM INCOME
34 ADJUSTMENT TO COMPUTE TOTAL SUBJECT TO PS CAP
35 TOTAL SUBJECT TO PS CAP (SUM, LINES 32-34)
36 PERCENT FUNDS OBLIGATED FOR PS ACTIVITIES (LINE 31/LINE 35) PART V: PLANNING AND ADMINISTRATION (PA) CAP
37 DISBURSED IN IDIS FOR PLANNING/ADMINISTRATION
38 PA UNLIQUIDATED OBLIGATIONS AT END OF CURRENT PROGRAM YEAR 39 PA UNLIQUIDATED OBLIGATIONS AT END OF PREVIOUS PROGRAM YEAR 40 ADJUSTMENT TO COMPUTE TOTAL PA OBLIGATIONS
41 TOTAL PA OBLIGATIONS (LINE 37 + LINE 38 - LINE 39 +LINE 40) 42 ENTITLEMENT GRANT
43 CURRENT YEAR PROGRAM INCOME
44 ADJUSTMENT TO COMPUTE TOTAL SUBJECT TO PA CAP
45 TOTAL SUBJECT TO PA CAP (SUM, LINES 42-44)
46 PERCENT FUNDS OBLIGATED FOR PA ACTIVITIES (LINE 41/LINE 45)

GARDEN GROVE , CA
2,022.00

0.00 1,931,812.00

0.00 0.00

0.00 0.00

0.00 0.00

0.00 1,931,812.00

1,656,454.10

0.00 1,656,454.10
430,738.94

0.00 0.00
2,087,193.04
(155,381.04)

0.00 0.00
1,656,454.10

0.00 1,656,454.10
100.00%

PY: PY: PY:

0.00 0.00

0.00%

281,046.85

0.00 0.00

0.00 281,046.85
1,931,812.00

0.00 0.00
1,931,812.00

14.55%

430,738.94

0.00 0.00

0.00 430,738.94
1,931,812.00

0.00 0.00
1,931,812.00

22.30%

PR26 - CDBG Financial Summary Report
U.S. Department of Housing and Urban Development
Office of Community Planning and Development
Integrated Disbursement and Information System
DATE:

TIME:

PAGE: 2
16:08
08-23-23
Program Year 2022

GARDEN GROVE , CA
LINE 17 DETAIL: ACTIVITIES TO CONSIDER IN DETERMINING THE AMOUNT TO ENTER ON LINE 17 No data returned for this view. This might be because the applied filter excludes all data.

LINE 18 DETAIL: ACTIVITIES TO CONSIDER IN DETERMINING THE AMOUNT TO ENTER ON LINE 18 No data returned for this view. This might be because the applied filter excludes all data.

LINE 19 DETAIL: ACTIVITIES INCLUDED IN THE COMPUTATION OF LINE 19 Plan
Year
IDIS
Project
IDIS
Activity
Voucher
Number Activity Name Matrix
Code
National
Objective Drawn Amount
2021

2021
2021
2022
2022
2022
2022
2022

2022
2022
2022

2021
2022
2022
2022

2022
2022

Total
5 4
4 3
3 3
3 3
3 3
3 6
5 5
5 6
6 723
732
733
758
758
759
759
759
760
760
760
736
762
762
762
761
761
6671708
6671708
6671708
6742034
6774370
6712201
6742034
6774370
6712201
6742034
6774370
6671708
6712201
6742034
6774370
6712201
6742034
Josephine Acacia Storm Drain
CDBG - Meals on Wheels
CDBG - Senior Center
CDBG - Meals on Wheels
CDBG - Meals on Wheels
CDBG - Senior Center
CDBG - Senior Center
CDBG - Senior Center
CDBG - Special Resource Team
CDBG - Special Resource Team
CDBG - Special Resource Team
CDBG - Home Repair Program
CDBG - Home Repair Program
CDBG - Home Repair Program
CDBG - Home Repair Program
CDBG - Jobs 1st Program
CDBG - Jobs 1st Program
03I
03I
05A
05A
05A
05A
05A
05A
05A
05A
05Z
05Z
05Z
05Z
14A
14A
14A
14A
14A
18A
18A
18A
LMA
Matrix Code 03I
LMC
LMC
LMC
LMC
LMC
LMC
LMC
Matrix Code 05A
LMA
LMA
LMA
Matrix Code 05Z
LMH
LMH
LMH
LMH
Matrix Code 14A
LMJ
LMJ
Matrix Code 18A
$1,054,912.50
$1,054,912.50
$5,000.00
$31,939.30
$10,000.00
$5,000.00
$52,220.82
$40,867.40
$39,591.48
$184,619.00
$23,281.75
$17,148.68
$55,997.42
$96,427.85
$48,375.25
$37,093.01
$16,731.00
$46,574.67
$148,773.93
$79,579.73
$92,141.09
$171,720.82
$1,656,454.10
LINE 27 DETAIL: ACTIVITIES INCLUDED IN THE COMPUTATION OF LINE 27 Plan
Year
IDIS
Project
IDIS
Activity
Voucher
Number
Activity to
prevent,
prepare for,
and respond
to
Coronavirus
Activity Name Grant Number Fund
Type
Matrix
Code
National
Objective
Drawn Amount
2021
2021
2022
2022
2022
2022
2022

2022
2022
2022

Total
4 4
3 3
3 3
3 3
3 3
732
733
758
758
759
759
759
760
760
760
6671708
6671708
6742034
6774370
6712201
6742034
6774370
6712201
6742034
6774370
No
No
No
No
No
No
No
No
No
No
No
CDBG - Meals on Wheels
CDBG - Senior Center
CDBG - Meals on Wheels
CDBG - Meals on Wheels
CDBG - Senior Center
CDBG - Senior Center
CDBG - Senior Center
CDBG - Special Resource Team
CDBG - Special Resource Team
CDBG - Special Resource Team
Activity to prevent, prepare for, and respond to Coronavirus B21MC060505
B21MC060505
B22MC060505
B22MC060505
B22MC060505
B22MC060505
B22MC060505
B22MC060505
B22MC060505
B22MC060505
EN
EN
EN
EN
EN
EN
EN
EN
EN
EN
05A
05A
05A
05A
05A
05A
05A
05A
05Z
05Z
05Z
05Z
LMC
LMC
LMC
LMC
LMC
LMC
LMC
Matrix Code 05A
LMA
LMA
LMA
Matrix Code 05Z
$5,000.00
$31,939.30
$10,000.00
$5,000.00
$52,220.82
$40,867.40
$39,591.48
$184,619.00
$23,281.75
$17,148.68
$55,997.42
$96,427.85
$281,046.85
$281,046.85
LINE 37 DETAIL: ACTIVITIES INCLUDED IN THE COMPUTATION OF LINE 37

PR26 - CDBG Financial Summary Report
U.S. Department of Housing and Urban Development
Office of Community Planning and Development
Integrated Disbursement and Information System
DATE:

TIME:

PAGE: 3
16:08
08-23-23
Program Year 2022

GARDEN GROVE , CA
Plan
Year
IDIS
Project
IDIS
Activity
Voucher
Number Activity Name Matrix
Code
National
Objective Drawn Amount
2021
2022
2022

2021
2022
2022

2021
2022
2022
2022

Total
2 2
2 2
2 2
2 2
2 2
729
755
755
731
756
756
730
757
757
757
6671708
6712201
6774370
6671708
6712201
6774370
6671708
6712201
6742034
6774370
CDBG - Administration
CDBG - Administration
CDBG - Administration
CDBG - Indirect Costs
CDBG - Indirect Costs
CDBG - Indirect Costs
CDBG - Fair Housing Foundation
CDBG - Fair Housing Foundation
CDBG - Fair Housing Foundation
CDBG - Fair Housing Foundation
21A
21A
21A
21A
21B
21B
21B
21B
21D
21D
21D
21D
21D
Matrix Code 21A
Matrix Code 21B
Matrix Code 21D
$48,635.30
$159,419.51
$168,126.49
$376,181.30
$3,139.20
$8,758.32
$7,527.00
$19,424.52
$6,666.33
$8,355.14
$8,909.72
$11,201.93
$35,133.12
$430,738.94

CAPER 44
OMB Control No: 2506-0117 (exp. 09/30/2021)

Attachment #4

HOME Monitoring Protocols

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

ATTACHMENT 4: HOME Monitoring Protocols

This attachment to the City of Garden Grove’s (City) Monitoring Plan is prepared to establish protocols for monitoring HOME Investment Partnerships Act (HOME) assisted rental housing projects The City is responsible to the U.S. Department of Housing and Urban Development (HUD) for monitoring HOME-assisted rental projects throughout the period of affordability to ensure that HOME-assisted rental projects are monitored adequately for continued compliance with federal and state regulations.

Monitoring guidelines are intended to assist City monitoring staff in making informed judgments about asset management, HOME Investment Partnerships Act (HOME) Program compliance and management efficiency of HOME-assisted rental projects.

The primary document used to monitor projects is the Regulatory Agreement. An exhibit of the Affordable Housing Agreement (AHA) or the Disposition and Development Agreement (DDA), a Regulatory Agreement is executed by the owner and the City or the City’s Redevelopment Agency (Agency) and recorded as a lien on the project in the official records of Orange County.

The Monitoring Process

Monitoring of HOME-assisted housing developments will be scheduled following the annual publication of HOME Investment Partnerships Act (HOME) rents and income limits by the U.S. Department of Housing and Urban Development (HUD), which typically occurs between March and May.

Monitoring will occur at two levels:

 Annually, a desk audit will be performed wherein the owner/property manager will submit information certifying household sizes, household incomes and rents for all HOME-restricted units; and

 Periodically, an on-site visit will be conducted, which will include a property inspection and an in- depth review of all the HOME and federal cross-cutting requirements, e.g., affirmative marketing and tenant selection procedures,

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

On-site monitoring will occur whenever developments are inspected to ensure compliance with the City’s property standards. Wh ile the City has the prerogative to monitor on-site more frequently, especially if a project is at risk because of outstanding findings or insufficient capacity, inspections and site visits will typically occur in accordance with the HOME Final Rule at 24 CFR 92.504(d):

Total No. of Units Minimum Schedule
1 – 4 units every 3 years
5 – 25 units every 2 years
26+ units annually

The following steps are to be taken when conducting a desk audit:

1. A monitoring letter (Exhibit 1: Annual Monitoring Letter) will be sent to the Owner/Property Manager transmitting the project’s Annual Compliance Report and certification and recertification forms along with the new HOME rents, income limits, Garden Grove Housing Authority utility allowance schedule and a form for calculating HOME rents.

2. The Owner/Property Manager is to submit the new rent schedule and the completed Annual Compliance Report ( Exhibit 2: Project Compliance Report ) accompanied by income certification or recertification forms (Exhibit 3: Tenant Income
Certification/Recertification Form) for each household occupying a HOME-designated unit.

3. A Monitoring Summary letter will be provided to the Owner/Property Manager that serves as the formal notification of the results of the monitoring. All negative conclusions will be considered a finding or concern with a specific required corrective action. A copy is retained in the Project monitoring file.


A “finding” is a deficiency in project performance evidencing an unmet statutory or regulatory requirement.


A “concern” relates to project performance requiring improvement before becoming a finding.

4. The Owner/Property Manager is to provide a written response within 30 days of the date of the Monitoring Summary letter.

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

5. Upon completion of all corrective actions, a letter is sent to the Owner/Property Manager stating that the monitoring findings and concerns have been closed. A copy is retained in the Project monitoring file.

The following steps are to be taken when monitoring on-site:

1. A pre-monitoring letter ( Exhibit 1.1: Monitoring Letter-Site Visitation ) will be sent to the Owner and property manager at least two weeks in advance of the monitoring visit. The letter will detail the salient terms of the Project’s Regulatory Agreement that will be the source of monitoring and provide the Owner/Property Manager with the new HOME rents, income limits, Garden Grove Housing Authority utility allowance schedule and a form for calculating HOME rents.

2. Upon arrival, an entrance interview will be conducted to make sure that the owner and/or manager thoroughly understand the purpose, scope and schedule for the monitoring.

3. A detailed record will be prepared of information reviewed and conversations held with the Owner/Property Manager during the monitoring visit, using a checklist (Exhibit 4: File Checklist) and questionnaire (Exhibit 4.1: Monitoring Questionnaire) of HOME Program requirements. The information gathered will serve as a basis for conclusions to be included in the Monitoring Summary letter a nd follow-up.

4. After the monitoring visit, a Monitoring Summary letter will be forwarded to the Owner/ Property Manager that serves as the formal notification of the results of the monitoring. All negative conclusions will be considered a finding or concern with a specific required corrective action. If relevant, the letter may stipulate steps initiated by the Owner/Property Manager to correct areas of noncompliance or nonperformance. A copy will be retained in the Project monitoring file.


A “finding” is a deficiency in project performance evidencing an unmet statutory or regulatory requirement.

 A “concern” relates to project performance requiring improvement before becoming a finding.

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

5. The Owner/Property Manager is to provide a written response within 30 days of the date of the Monitoring Summary letter.

6. Upon completion of all corrective actions, a letter is sent to the Owner/Property Manager stating that the monitoring findings and concerns have been closed. A copy is retained in the Project monitoring file.

Monitoring files

The City’s monitoring files will contain the following documents per project per year:

1. Copies of monitoring checklists and forms;

2. Copy of the Regulatory Agreement and Promissory Note;

3. Copy of monitoring letters to the Owner/Property Manager (Summary letter and Clearance letter);

4. Copies of the project’s Management Plan;

5. Copy of rent roll information submitted by the Owner/Property Manager;

6. Copy of the project’s residential lease;

7. Utility Allowance schedules;

8. If applicable, rep orts to confirm the owner’s compliance with lead - based paint requirements;

9. Reports of property and unit inspections;

10. Project Compliance Reports submitted by the Owner/Property Manager;

11. Copy of tenant certification /recertification forms

12. Confirmation of insurance coverage submitted by the property owner or management agent;

13. Confirmation of affirmative marketing compliance for projects with 5 or more HOME-assisted units;

14. Current claim for property tax exemption*;

15. Independent Copy of Residual Receipts Report; and

16. Audit*.
* Required for a Community Housing Development Organization (CHDO) only.

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

On-Site Monitoring
The City will conduct periodic on-site reviews of each HOME-assisted rental project to verify the following:

1. Continued income eligibility

 The City will ascertain if the owner is correctly calculating income using the 24 CFR Part 5 definition, inclusive of asset calculations and use of appropriate verification forms, and if households are low-income or very low-income.

The City will also review tenant files to determine if the Owner/Property Manager annually re-certifies the income of each household occupying a HOME-assisted unit, and that the tenancy still meets the HOME income requirements. Though not a HOME requirement, the recertification should commence 120 days before the anniversary date and should be completed by the tenant’s recertification anniversary date.

2. Continued occupancy eligibility

 For projects with five or more HOME-assisted units, a minimum of 20% of HOME-assisted units must continue to be occupied by very low-income households paying low HOME rents for the term of affordability, in accordance with the income limits published annually by HUD.

3. HOME Rents

 Maximum monthly rents of HOME-assisted units may not exceed Low HOME and High HOME rent limits as published annually by HUD. HOME rents include a tenant utility allowance generally provided by the local housing authority.

 When tenants receive additional subsidy through tenant-based rental assistance programs such as Section 8, additional requirements apply. Under the HOME Program, the total gross rent (for tenants receiving Section 8 assistance) includes the tenant’s share of rent, the subsidy payment, and the utility allowance . The total of these three amounts can not exceed the allowable HOME rent. Any issues of non-compliance must be corrected by the Owner/ Property Manager by reducing the gross rent (tenant share, subsidy, and utility allowance) to the allowable HOME rent effective the next interim or annual recertification.

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

 Very low-income residents receiving project-based rental subsidies are subject to rents allowable under the federal or State project- based rental subsidy program, not the HOME rent limits.

4 Rents for over-income tenants

 Over-income tenants (those with incomes over 80% of the area median) in HOME-assisted fixed units must pay the lesser of the amount payable by the tenant under State or local law (rent control) or 30% of the household’s adjusted income for rent. There is no rent
cap for “fixed” units.

 Over-income tenants in HOME-assisted floating units must pay 30% of their adjusted income for rent. However, the rent may not exceed the market rent for comparable, unassisted units in the neighborhood.

5. Property Standards

 The Final Rule allows for inspection, using Housing Quality Standards at 24 CFR 982.201, of a sufficient sample of HOME- assisted units in a multi-family development, rather than inspection of each and every HOME-assisted unit in the development. The City will inspect 15 to 20 percent of the HOME-assisted units in a project including a minimum of one unit in every building. If consistent compliance problems are found, more units should be inspected.


Housing Quality Standards at 24 CFR 982.201 will be the code used to inspect rental units. A separate inspection checklist will be completed for each HOME-assisted unit (Exhibit 5: HQS Inspection form).

6. Affirmative Marketing


Owners/Property Managers of Developments with five or more HOME-Assisted Units are required to maintain an Affirmative Marketing Plan (Exhibit 6: Affirmative Marketing/Fair Housing Marketing Report and Exhibit 6.1: Race and Ethnic Data Reporting Form) and to implement the following affirmative marketing procedures in marketing the development:

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

 Advertisements placed in newspapers with the broadest possible circulation, including foreign language newspapers in areas with a high percentage of non-English speaking residents.
 Place the Fair Housing logo on all advertisements and marketin g materials.
 Prominently display Fair Housing posters at rental offices.

7. Tenant Protection Provisions
a. Project Lease
The HOME Final Rule 24 CFR 92.253 (a) states that the “Lease between a tenant and an owner of rental housing assisted with HOME funds must be for not less than one year, unless by mutual agreement between the tenant and owner.”
 The City will verify that the sample lease does not include any of the following lease provisions (Exhibit 7: Illegal Lease Provisions) are prohibited under the HOME Final Rule at 24 CFR 92.253(b):

i. Agreement by tenant to be sued, to admit guilt, or to a judgment in favor of the owner in a lawsuit in connection with the lease.
ii. Agreement by tenant that owner may take, hold or sell personal property of household members without notice to the tenant and a court decision on the rights of the parties.

This prohibition, however, does not apply to an agreement by the tenant concerning disposition of personal property remaining in the housing unit after the tenant has moved out of the unit. The owner must dispose of this personal
property in accordance with State law.
iii. Agreement by tenant not to hold the owner or the owner’s agents legally responsible for any action or failure to act, whether intentional or negligent
iv. Agreement of the tenant that the owner may institute a lawsuit without notice to tenant.
v. Agreement by tenant that the owner may evict tenant or household members without instituting a civil court
proceeding in which the tenant has the opportunity to
present a defense, or before a court decision on the rights of the parties.
vi. Agreement by tenant to waive any right to a trial by jury. vii. Agreement by tenant to waive tenant’s right to appeal, or to otherwise challenge in court, a court decision in connection with the lease.
viii. Agreement by tenant to pay attorney’s fees or other legal costs even if the tenant wins in a court proceeding by the

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

owner against the tenant. The tenant, however, may be
obligated to pay costs if the tenant loses.

b. Tenant Selection;
Under 24 CFR 92.253 (d), an owner of rental housing assisted with HOME funds must adopt written tenant selection policies and criteria that:

 Are consistent with the purpose of providing housing for very low-income and low-income families;
 Are reasonably related to program eligibility and the applicants’ ability to perform the obligations of the lease;  Provide for the selection of tenants from a written waiting list in the chronological order of their application, insofar as is practicable;
 Give prompt written notification to any rejected applicant of the grounds for any rejection.

The City will review the Owner’s tenant selection plan to ensure that tenants are selected for occupancy in accordance with HOME regulations and established management policies. The selection plan should include:

Citizenship/immigration status requirements. The owner should describe how citizenship/immigration requirements are implemented. Currently, there are no HOME restrictions on the use of assisted housing by non-citizens.

 Social Security number requirements. Requirements for providing SSNs, allowing extended time to provide proof of SSNs and procedures used when an individual has no SSN, must be described.
 Procedures for taking applications and selecting from the waiting list, such as the following:
.
o Selection of tenants must be based on order of
application.

o The plan must include policies for notification to tenant applicants of eligibility for residency, and based on
turnover history for units in the development, the
approximate date when a unit may be available.

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

o The plan description must include maintenance of a
waiting list of applicant households eligible to occupy assisted units and units designated for various income levels, and the methods of advertising used to announce opening and closing of the waiting list.

o The plan must define each preference adopted for use
in the property and any rating, ranking, or combining of the preferences the owner has established that will
affect the order in which applicants are selected from
the waiting list. The plan should also describe the
acceptable sources of information to verify the
qualification for preferences.

o
The plan must describe the procedures used by the
owner to meet the income targeting requirements.

o Policy for opening, closing and maintaining the waiting list.

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

APPENDIX

Exhibit 1: Sample Annual Monitoring Letter

Exhibit 1.1: Sample Annual Monitoring Letter – Site
Visitation

Exhibit 2: Project Compliance Certification

Exhibit 2.1: Project Compliance Report

Exhibit 3: Tenant Income Certification

Exhibit 3.1: Tenant Income Recertification

Exhibit 4: File Checklist

Exhibit 4.1: Monitoring Questionnaire

Exhibit 5: Housing Quality Standards (HQS) Form

Exhibit 6: Affirmative Marketing/Fair Housing
Marketing Report

Exhibit 6.1: Race and Ethnic Data Reporting Form

Exhibit 7: Illegal Lease Provisions

Exhibit 1: Sample Annual Monitoring Letter

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

-----, 200-

[Developer Name
Address]

SUBJECT: MONITORING OF [Project name]
Dear ----:

As you may know, development of the [Project name] included the use of federal HOME Investment Partnerships Act (HOME) funds from the City of Garden Grove (City). As a consequence, the City is required to annually monitor the project. This letter serves to transmit the following information you are to submit to the City within 30 days of this letter:

 Project Compliance Report;
 Certificate of Continuing Project Compliance; and
 Tenant Certification/Recertification Forms.

Within 30 days receipt of the aforementioned documents, the City will notify you in writing of the results of the monitoring and set forth any findings or concerns the a timeframe for a written response and corrective action.

This letter further serves to relay the following attachments for your use:

 Copy of the Regulatory Agreement;
 HOME Rent Limits
 Utility Allowance
 HOME Rent Calculation Form

Please direct your questions or comments to Michael Salazar at (714) 741-5144 or via e-mail at [email protected].

Sincerely,

Susan Emery, Director
Community Development Department

cc: [Property Manager]

Attachments:

Certificate of Continuing Project Compliance

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

Compliance Report
Certification/Recertification Forms
HOME Rent Limits
Utility Allowance
HOME Rent Calculation Form

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

Exhibit 1.1: Sample Monitoring Letter-Site Visitation

-----, 200-

[Developer Name
Address]

SUBJECT: MONITORING OF [Project name]
Dear ----:

As you may know, development of the [ Project name] included the use of federal HOME Investment Partnerships Act (HOME) funds from the City of Garden Grove.

As a consequence, the City is required to annually monitor the project and, as part of the City Monitoring Plan, to periodically conduct a site inspection and review project documents. This letter serves to notify you that the City has scheduled a monitoring visit of the [ Project name] on --, --- 200- at --- a.m. at the office of the on-site property manager and to memorialize the information you are to provide to City representatives. Michael Salazar will hold an entrance interview on ---- with you and any representative(s) designated by the owner.

Mr. Salazar will then review project documents and tenant files to ascertain whether the project remains in compliance with HOME requirements, e.g., rents, tenant income eligibility, occupancy eligibility, property standards, affirmative marketing and fair housing and lease terms. Accompanying Mr. Salazar will be Gil Jelkin, who will need access to inspect the --- HOME-designated units to determine that the units comply with federal Housing Quality Standards (HQS), local and state codes.

The following information should be available at the time of monitoring:

 Your key staff to assist during the monitoring and the unit inspections;  Copy of the Regulatory Agreement;
 Copy of monitoring letters (both initial summary letter and subsequent clearance letter);
 Tenant files of tenants occupying HOME units with documentation evidencing income/asset certification compliance by the property owner or management agent;
 Copies of the project’s Management Plan and Management Agreement, including tenant selection procedures and the project waiting list;  Copy of rent roll information submitted by the owner or management agent;
 Copy of the project’s residential lease;
 Utility Allowance schedules;

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

 Reports of past property and unit inspections conducted by the City;  Project Compliance Reports submitted by the property owner or management agent;
 Confirmation of insurance coverage submitted by the property owner or management agent; and
 Affirmative marketing plan and fair housing procedures.

Attached is the Project Compliance Report that Mr. Salazar will review with you, as well as a copy of the same Report that was submitted on -----.

Following this meeting, the City will then transmit the preliminary results of the monitoring visit, which provides you with an opportunity to correct any misunderstandings, provide additional information that may be needed and set forth the actions being undertaken to correct areas of noncompliance. Within 30 days of the --- monitoring visit, the City will notify you in writing of the results of the monitoring and set forth any findings or concerns and the timeframe for a written response and corrective action.

Please direct your questions or comments to Michael Salazar at (714) 741-5144 or via e-mail at [email protected].

Sincerely,

Susan Emery, Director
Community Development Department

cc: [Property Manager]

Attachments:

Certificate of Continuing Project Compliance
Compliance Report
Certification/Recertification Forms
Management Questionnaire
HOME Rent Limits
Utility Allowance
HOME Rent Calculation Form

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

Exhibit 2: Project Compliance Certification

CERTIFICATE OF CONTINUING PROJECT COMPLIANCE

Reporting Period: July 1, ____ to June 30, ____
Project:_______________________________________________________ Total Number of Units in Project:

Total Number of Units/Percent Restricted to Income Eligible Tenants:

The undersigned, having executed an Agreement with the City of Garden Grove (City) and having received certain funds from the City for the purpose of financing a multifamily housing project referenced herein, does hereby certify the following during the preceding fiscal year.

 The minimum number of restricted units in the Project were occupied or held available for families who were income eligible in accordance with the Agreement.
 The minimum number of restricted units in the Project were occupied or held available for income eligible families.  The contract rents (rent plus utility allowance) charged for restricted units occupied by the eligible tenants did not exceed the limits prescribed in the Agreement.
 The income of tenants in all qualifying units has been reviewed and verified, and falls within the applicable qualifying income limits.  The representations set forth herein are true and correct to the best of the undersigned’s knowledge and belief.
 No default exists under the Agreement; e.g., Project complies with the occupancy standards and property standards set forth in the Agreement.

Attached is an occupancy report listing the number of each unit occupied by eligible tenants, names of eligible tenants, number of occupants in the unit, annual income, move-in date and monthly contract rent. Also attached is a copy of a tenant statement and certification for each tenant continuously residing in a restricted unit during the reporting period.

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

All documents related to the Agreement funding the above Project are located at the following address: __________________________________

See separate file for formatted Project compliance Certification

Address City State Zip Code

__________________________
Printed Name

__________________________
Signature

__________________________
Title

__________________________
Date

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

Exhibit: 3: Income Certification

TENANT INCOME CERTIFICATION

__ Initial Certification __ Annual Recertification __Other

PROPERTY NAME: COUNTY:

PROPERTY ADDRESS: UNIT NUMBER:

1. HEAD-OF-HOUSE NAME 2. NUMBER OF BEDROOMS

ASSETS
FAMILY
MEMBER

ASSET DESCRIPTION

CURRENT CASH VALUE OF
ASSETS

ACTUAL INCOME FROM
ASSETS

3. NET CASH VALUE OF ASSETS…………………… 3.

4. TOTAL ACTUAL INCOME FROM
ASSETS........................................................

4. 5. IF LINE 3 IS GREATER THAN $5,000, MULTIPLY LINE BY _____ (PASSBOOK RATE) AND ENTER RESULTS HERE; OTHERWISE, LEAVE BLANK

5.

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

TENANT INCOME CERTIFICATION

__ Initial Certification __ Annual Recertification __Other

ANTICIPATED ANNUAL INCOME
FAMILY

MEMBERS
A. WAGES/

SALARIES
B. BENEFITS/

PENSIONS
C. PUBLIC

ASSISTANCE
D. OTHER INCOME E. ASSET INCOME

ENTER THE

GREATER OF
LINES 4 OR 5

FROM ABOVE
IN FIELD “E”

6. TOTALS A. B. C. D. E.

7. ENTER TOTAL OF ITEMS FROM 6A. THROUGH 6E.

THIS IS ANNUAL INCOME.

7. ________________________________________ ___ ______________________

SIGNATURE OF OWNER/ REPRESENTATIVE DATE

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

Exhibit: 3.1: Income Recertification

RECERTIFICATION OF ANNUAL INCOME BY TENANT FAMILY

Tenant Name: __________________________

Address & Unit #:__________________________

Telephone: __________________________

Household Information

Household Size (total number in household): ______

Household members (list): ____________________

____________________ ____________________ ____________________

____________________

____________________

____________________

____________________

____________________

____________________

Income Information

Salary: $____________

Social Security: $____________

Other (Please specify):

________________ $_____________

________________ $_____________

Annual (gross) income (total of all household members):
$_______________

I/we certify this information is complete and accurate. I/we agree to provide upon request, documentation on all income sources to (Name of PJ and/or Property Owner/Manager)

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

___________________________ _________________________
Tenant Signature Date

--------------------------Property Owner’s Signature Only----------------------- I hereby certify that the above information agrees with the rental applications and documents presented by the above applicants, and that I have reviewed and attached documentation and the above information is true and correct to the best of my knowledge and belief.

/ /
Owner’s Signature Position/Title Date

WARNING: Title 18, Section 1001 of the U.S. Code states that a person is guilty of a felony for knowingly and willingly making false or fraudulent statements to any department of the United States Government.

For Property Management Personnel Only

Did staff use at least one of the following methods to verify information? ___Yes ___No, if no why?

Circle the method used:

1. Two (2) paycheck stubs form the tenant’s two (2) most recent pay periods

2. A copy of an income tax return from the tenant for the most recent tax year in which a return was filed.

3. An income verification certification from the employer of the tenant.

4. An income verification certification from the Social Security Administration and/or California Department of Social Services if the tenant receives assistance from such agencies.

5. A credit report from a commercial credit report agency.

(P:Neigh-Im\HUD Admin\HOME\HOME Monitoring Protocol Exhibit II)

6. An alternate form of income certification reasonably requested by the Owner, if none of the above forms of verification is available to the Owner.

Documentation

Did staff make a copy of the documentation and file in each tenant file?

A copy of proof of income in file ______Yes ______No If no, why?

CAPER 45
OMB Control No: 2506-0117 (exp. 09/30/2021)

Attachment #5

FY 2022-2023 ESG Sage Report

Report Date Range
7/1/2022 to 6/30/2023
Contact Information
First Name
Middle Name
Last Name
Sux
Title
Street Address 1
Street Address 2
City
State
ZIP Code
E-mail Address
Phone Number
Extension
Fax Number
Project types carried out during the program year
Emergency Shelter
Day Shelter
Transitional Housing
Total Emergency Shelter Component
Total Street Outreach
Total PH - Rapid Re-Housing
Total Homelessness Prevention

HUD ESG CAPER
Report:

CAPER Period: 7/1/2022 - 6/30/2023 Your user level here: Data Entry and Account Admin Contains all user-entered forms and aggregate CAPER-CSV data.

Timothy
Throne
11222 Acacia Parkway
Garden Grove
California
92840
[email protected]
(714)741-5144
()-
Components Projects Total Persons Reported Total Households Reported 2 127 37
0 0 0
0 0 0
2 127 37
1 33 29
1 17 5
1 11 4

~age HMIS REPORTING :~ REPOSITORY
CAPER 7 /1 /21YJ2. • 6/30/2023 Data Entry and Account Admln Report Dm Range
Contact Information
Project typea canted out during the Pl'l98ffl year
Componlllllll Projllds Total Penson■ Rapar1ed Total Hounhold■ Rllpor1Bd Total Emergency Shelta' Component
Grant Information
Emergency Shelter Rehab/Conversion
Did you create additional shelter beds/units through an ESG-funded rehab project Did you create additional shelter beds/units through an ESG-funded conversion project No
No

Grant lnfonnation
Emergency Shelter Rehab/Conversion
Are there any funded projects, except HMIS or Admin, which are not listed on the Project, Links and Uploads form? This includes projects in the HMIS and from VSP Project Outcomes
Project outcomes are required for all CAPERS where the program year start date is 1-1-2021 or later. This form replaces the narrative in CR-70 of the eCon Planning Suite.

From the Action Plan that covered ESG for this reporting period copy and paste or retype the information in Question 5 on screen AP-90: “Describe performance standards for evaluating ESG.”
The performance standards for evaluating ESG are described in the Protocols for Administration of The Emergency Solutions Grant, included in Appendix C.

These ESG Protocols call out the responsibilities of the subrecipients, and how the City will be monitoring compliance with federal regulations.

Additionally, the protocols go over the following items:

Summary of Eligible Components, Activities and Expenses -ESG Subgrantee Report
-ESG Eligibility Evaluation
-Subrecipient Agreement and Contract Requirements
-Monitoring Notication Letter: On-Site Visit
-Annual Monitoring Notication Letter: Desk A udit
-Monitoring Checklist and Requirements
Based on the information from the Action Plan response previously provided to HUD:

1. Briey describe how you met the performance standards identied in A-90 this pr ogram year. If they are not measurable as written type in N/A as the answer.

The City of Garden Grove conducts desk monitoring every two years to ensure the City's subrecipient's are in compliance with HUD ESG regulations. During FY 2022-23, the City conducted desk monitoring of all ESG and ESG-CV subrecipients to ensure they are abiding by the "Protocols for Administration of The Emergency Solutions Grant" document.

Additionally, City Staff reviews each quarterly report thoroughly prior to processing the invoice for payment. The City has protocols in place to ensure expenses being reimbursed are eligible ESG expenses, and the ESG matching requirements are met. The City maintains hard les in addition to electronic les t o ensure backup documentation is accessible.

2. Briey describe what you did not meet and why. If they are not measurable as written type in N/A as the answer.

The City left $15,526.35 in FY 22-23 ESG entitlement funding unexpended. The unexpended entitlement funding was the result of service providers continuing to spend down their ESG-CARES Act funding before the September 30, 2023 expenditure deadline.

The $15,526.35 in unexpended entitlement funds will be carried over and programmed for future use.

OR

3. If your standards were not written as measurable, provide a sample of what you will change them to in the future? If they were measurable and you answered above type in N/A as the answer.

N/A
No

Project Outcomes
From the Action Plan that covered ESG for this reporting period copy and paste or retype the information in Question 5 on screen AP-90: "Describe performance standards for evaluating ESG."
The performance standards for evaluating ESG are described In the Protocols for Administration of The Emergency Solutions Grant, Included In AppendixC.

These ESG Protocols call out the responsibilities of the subrecipients, and how the City will be monitoring compliance with federal regulations.

Additionally, the protocols go over the following Items:

Summary of Eligible Components, Activities and Expenses -ESG Subgrantee Report
-ESG Ellglblllty Evaluation
-Subrecipient Agreement and Contract Requirements
-Monitoring Notification Letter: on-site Visit
-Annual Monitoring Notification Letter: Desk Audit
-Monitoring Checklist and Requirements

1. Briefly describe how you met the performance standards identified in A-90 this program year.

The City of Garden Grove conducts desk monitoring every two years to ensure the City's subrecipient's are in compliance with HUD ESG regulations. During FY 2022-23, the City conducted desk monitoring of all ESG and ESG-CV subreclplents to ensure they are abiding by the 'Protocols for Administration of The Emergency Solutions Grant" document.

Additionally, City Staff reviews each quarterly report thoroughly prior to processing the invoice for payment. The City has protocols in place to ensure expenses being reimbursed are eligible ESG expenses, and the ESG matching requirements are met. The City maintains hard files In addition to electronic files to ensure backup documentation is accessible.

2. Briefly describe what you did not meet and why.

OR
The City left $15,526.35 in FY 22-23 ESG entitlement funding unexpended. The unexpended entitlement funding was the result of service providers continuing to spend down their ESG-CARES Act funding before the September 30, 2023 expenditure deadline.

The $15,526.35 In unexpended entitlement funds will be carried over and programmed for future use.

3. If your standards were not written as measurable, provide a sample of what you will change them to in the future? N/A
ESG Information from IDIS
As of 8/4/2023
2022 E22MC060505 $170,698.00 $170,698.00 $95,384.79 $75,313.21 10/24/2022 10/24/2024 2021 E21MC060505 $173,143.00 $173,143.00 $173,143.00 $0 9/15/2021 9/15/2023 2020 E20MC060505 $174,721.00 $174,721.00 $174,721.00 $0 8/12/2020 8/12/2022 2019 E19MC060505 $177,733.00 $177,733.00 $177,733.00 $0 9/17/2019 9/17/2021 2018 E18MC060505 $168,709.00 $168,709.00 $168,709.00 $0 8/7/2018 8/7/2020 2017 E17MC060505 $173,899.00 $173,899.00 $173,899.00 $0 9/22/2017 9/22/2019 2016 E16MC060505 $174,447.60 $174,447.60 $174,447.60 $0 8/30/2016 8/30/2018 2015 E15MC060505 $175,880.00 $175,880.00 $175,880.00 $0 8/19/2015 8/19/2017 Total $1,690,226.23 $1,690,226.23 $1,614,913.02 $75,313.21 2022 2021 2020 2019 2018 2017
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Non-COVID Non-COVID
Non-COVID Non-COVID
Non-COVID Non-COVID
Non-COVID Non-COVID
Expenditures Yes Yes No No No No
Homelessness Prevention
Rental Assistance 7,070.00 0.00
Relocation and Stabilization Services -
Financial Assistance 0.00
Relocation and Stabilization Services -
Services
12,924.82 0.00
Hazard Pay (unique activity)
Landlord Incentives (unique activity)
Volunteer Incentives (unique activity)
Training (unique activity)
Homeless Prevention Expenses 19,994.82 0.00
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Rapid Re-Housing
Rental Assistance 4,433.00 0.00
Relocation and Stabilization Services -
Financial Assistance
8,895.06 0.00
Relocation and Stabilization Services -
Services 7,905.65 0.00
Hazard Pay (unique activity)
Landlord Incentives (unique activity)
Volunteer Incentives (unique activity)
Training (unique activity)
RRH Expenses 21,233.71 0.00
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Emergency Shelter
Essential Services 51,522.99 4,712.36
Operations 9,824.24
Renovation
Major Rehab
Conversion
Hazard Pay (unique activity)
Volunteer Incentives (unique activity)
Training (unique activity)
Emergency Shelter Expenses 61,347.23 4,712.36
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Temporary Emergency Shelter
FY Grant Number Current Authorized Amount Funds Committed By Recipient Funds Drawn Balance Remaining Obligation Date Expenditure

ESG Information from IDIS
FY Grant Number Current Authorized Amount Funds Committed By Recipient Funds Drawn Balance Remaining Obligation Date Expenditun Expenditures
Homelessness Prevention
Homeless Prevention Expenses
Rapid Re-Housing
RRH Expenses
Emergency Shelter
Emergency Shelter Expenses
Temporary Emergency Shelter
2022 2021 2020
Yes Yes No
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Non-COVID
7,070.00
12,924.82
19,994.82
Non-COVID

0.00 0.00

0.00 0.00
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Non-COVID
4,433.00
8,895.06
7,905.65
21,233.71
Non-COVID

0.00 0.00

0.00 0.00
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Non-COVID
51,522.99
9,824.24
61,347.23
Non-COVID
4,712.36
4,712.36
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Non-COVID Non-COVID
2019 2018 2017
No No No
Non-COVID Non-COVID
Non-COVID Non-COVID
Non-COVID Non-COVID
Essential Services
Operations
Leasing existing real property or
temporary structures
Acquisition
Renovation
Hazard Pay (unique activity)
Volunteer Incentives (unique activity)
Training (unique activity)
Other Shelter Costs
Temporary Emergency Shelter Expenses
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Street Outreach
Essential Services 34,672.89 0.00
Hazard Pay (unique activity) 0.00
Volunteer Incentives (unique activity) 0.00
Training (unique activity) 0.00
Handwashing Stations/Portable
Bathrooms (unique activity) 0.00
Street Outreach Expenses 34,672.89 0.00
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Other ESG Expenditures
Cell Phones - for persons in CoC/YHDP
funded projects (unique activity)
Coordinated Entry COVID Enhancements
(unique activity)
Training (unique activity)
Vaccine Incentives (unique activity)
HMIS 5,121.00 0.00
Administration 12,802.00 0.00
Other Expenses 17,923.00 0.00
FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Total Expenditures 155,171.65 4,712.36
Match 0.00
Total ESG expenditures plus match 155,171.65 4,712.36
Total expenditures plus match for all years

Temporary Emergency Shelter Expenses
Street Outreach
Street Outreach Expenses
Other ESG Expenditures
Other Expenses
Total Expenditures
Total ESG expenditures plus match
FY2022 Annual ESG Funds for
Non-COVID
34,672.89
34,672.89
FY2022 Annual ESG Funds for
Non-COVID
5,121.00
12,802.00
17,923.00
FY2021 Annual ESG Funds for
Non-COVID

0.00 0.00

0.00 0.00

0.00 0.00
FY2021 Annual ESG Funds for
Non-COVID

0.00 0.00

0.00 FY2022 Annual ESG Funds for FY2021 Annual ESG Funds for Non-COVID Non-COVID
155,171.65
155,171.65
4,712.36

0.00 4,712.36
Total expenditures plus match for all years
Total regular ESG plus COVID expenditures brought
forward $155,171.65 $4,712.36 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 Total ESG used for COVID brought forward $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 Total ESG used for regular expenses which requires a
match $155,171.65 $4,712.36 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 Match numbers from nancial form $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 Match Percentage 0.00% 0.00% 0% 0% 0% 0% 0% 0%
FY2022 FY2021 FY2020 FY2019 FY2018 FY2017 FY2016 FY2015Match Source Other Non-ESG HUD Funds
Other Federal Funds
State Government
Local Government
5,121.00
Private Funds 41,485.02
Other
Fees
Program Income
Total Cash Match 46,606.02 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Non Cash Match 96,918.12 4,712.36
Total Match 143,524.14 4,712.36 0.00 0.00 0.00 0.00 0.00 0.00 Sources of Match
FY2022 FY2021 FY2020 FY2019 FY2018 FY2017 FY2016 FY2015

Sources of Match
Match Source
Total Cash Match
Total Match
FY2022 FY2021 FY2020 FY2019 FY2018 FY2017 FY2016 FY2015 FY2022 FY2021 FY2020 FY2019 FY2018 FY2017 FY2016 FY2015 5,121.00
41,485.02
1 46,606.0211 0.001 ~ ~ ~ ~ ~ ~
96,918.12 4,712.36
1143,524.1411 4,712.361 ~ ~ ~ ~ ~ ~
CAPER Aggregator 2.0
Aggregates data from CAPERs submitted to HUD by selected criteria (project type and/or specific question) Filters for this report
Aggregate or detailed mode Aggregate
Year 2022
CAPER Project Type TIP: Hold down the CTRL key on the
keyboard and click with the mouse in order to select more than one choice. (all)
Programs ESG: Garden Grove ‐ CA
Report executed on 8/21/2023 3:15:41 PM
Grant List
Jurisdiction Type Start Date End Date Current Status
ESG: Garden Grove ‐ CA CAPER 07/01/2022 06/30/2023 Submitted Q04a: Project Identifiers in HMIS
Please select details mode in the filters above to see Q4 information.

CAPER‐CSV uploads containing multiple project rows in Q4 will display as separate rows here using the same value in Project Info Row ID.

Q05a: Report Validations Table
Category Count of Clients for DQ Count of Clients
Total Number of Persons Served 185 188
Number of Adults (Age 18 or Over) 90 90
Number of Children (Under Age 18) 95 98
Number of Persons with Unknown Age 0 0
Number of Leavers 119 122
Number of Adult Leavers 46 46
Number of Adult and Head of Household Leavers 46 46
Number of Stayers 66 66
Number of Adult Stayers 44 44
Number of Veterans 1 1
Number of Chronically Homeless Persons 24 24
Number of Youth Under Age 25 2 2
Number of Parenting Youth Under Age 25 with Children 2 2 Number of Adult Heads of Household 75 75
Number of Child and Unknown‐Age Heads of Household 0 0
Heads of Households and Adult Stayers in the Project 365 Da 0 0 Q06a: Data Quality: Personally Identifying Information (PII) Data Element Client Doesn't Know/Refused Information Missing Data Issues Total % ofError Rate Name 0 0 0 0 0%
Social Security Number 25 0 4 29 15.68%
Date of Birth 0 0 0 0 0%
Race 0 0 0 0 0%
Ethnicity 0 0 0 0 0%
Gender 0 0 0 0 0%
Overall Score 29 15.68%
Numbers in green italics have been recalculated or weighted based on available totals.

Q06b: Data Quality: Universal Data Elements
Data Element Error Count % ofError Rate
Veteran Status 0 0%
Project Start Date 0 0%
Relationship to Head of Household 0 0%
Client Location 0 0%
Disabling Condition 4 2.16%
Numbers in green italics have been recalculated or weighted based on available totals.

Q06c: Data Quality: Income and Housing Data Quality
Data Element Error Count % ofError Rate
Destination 2 1.68%
Income and Sources at Start 6 6.67%
Income and Sources at Annual Assessment 0 0
Income and Sources at Exit 1 2.17%
Numbers in green italics have been recalculated or weighted based on available totals.

Q06d: Data Quality: Chronic Homelessness
Entering into project type Count of Total Records Missing Timein Institution Missing Timein Housing  ApproximateDate Started DK/R/missing Number of Times DK/R/missing Number of Months DK/R/missing % of RecordsUnable to CalculatePage 301 of 331 I I
I I
ES, SH, Street Outreach 77 0 0 0 3 1 3.90%
TH 0 0 0 0 0 0 0
PH (All) 6 0 0 0 0 0 0
Total 83 0 0 0 0 0 3.61%
Numbers in green italics have been recalculated or weighted based on available totals.

Q06e: Data Quality: Timeliness
Time forRecordEntry Number of ProjectStart Records Number of ProjectExit Records 0 days 8 3
1‐3 Days 100 64
4‐6 Days 23 17
7‐10 Days 12 3
11+ Days 28 32
Q06f: Data Quality: Inactive Records: Street Outreach & Emergency Shelter Data Element # of Records # ofInactive Records % ofInactive Records Contact (Adults and Heads of Household in Street Outreach o11 11 100.00% Bed Night (All Clients in ES ‐ NBN) 0 0 0
Numbers in green italics have been recalculated or weighted based on available totals.

Q07a: Number of Persons Served
Total Without Children With Children and Adults With Only Children Unknown Household Type Adults 90 30 60 0 0
Children 98 0 98 0 0
Client Doesn't Know/ Client Refused 0 0 0 0 0
Data Not Collected 0 0 0 0 0
Total 188 30 158 0 0
For PSH & RRH – the total persons served who moved into ho50 5 0 0 Q07b: Point‐in‐Time Count of Persons on the Last Wednesday Total Without Children With Children and Adults With Only Children  Unknown Household Type January 33 0 33 0 0
April 51 14 37 0 0
July 26 0 26 0 0
October 18 0 18 0 0
Q08a: Households Served
Total Without Children With Children and Adults With Only Children Unknown Household Type Total Households 75 29 46 0 0
For PSH & RRH – the total households served who moved into20 2 0 0 Q08b: Point‐in‐Time Count of Households on the Last Wednesday Total Without Children With Children and Adults With Only Children Unknown Household Type January 9 0 9 0 0
April 24 14 10 0 0
July 8 0 8 0 0
October 7 0 7 0 0
Q09a: Number of Persons Contacted
Number of Persons Contacted All Persons Contacted First contact – NOT staying on the Streets, ES, or SH First contact – WAS staying on Streets, ES, or SH First contact – Worker unable to determine Once 25 0 1 24
2‐5 Times 0 0 0 0
6‐9 Times 0 0 0 0
10+ Times 0 0 0 0
Total Persons Contacted 25 0 1 24
Q09b: Number of Persons Engaged
Number of Persons Engaged All Persons Contacted First contact – NOT staying on the Streets, ES, or SH First contact – WAS staying on Streets, ES, or SH First contact – Worker unable to determine Once 25 0 1 24
2‐5 Contacts  0 0 0 0
6‐9 Contacts 0 0 0 0
10+ Contacts 0 0 0 0
Total Persons Engaged 25 0 1 24
Rate of Engagement 100.00% 0 100.00% 100.00%
Numbers in green italics have been recalculated or weighted based on available totals.

Q10a: Gender of Adults Page 302 of 331
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I I
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I
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Total Without Children With Children and Adults Unknown Household Type Male 32 18 14 0
Female 58 12 46 0
No Single Gender 0 0 0 0
Questioning 0 0 0 0
Transgender 0 0 0 0
Client Doesn't Know/Client Refused 0 0 0 0
Data Not Collected 0 0 0 0
Total 90 30 60 0
Trans Female (MTF or Male to Female)
Trans Male (FTM or Female to Male)
Effective 10/1/2021, this table contains a consolidated Transgender row which includes the sum of data from the previously separate Transgender rows, tagged with .

Q10b: Gender of Children
Total With Children and Adults With Only Children Unknown Household Type Male 44 44 0 0
Female 54 54 0 0
No Single Gender 0 0 0 0
Questioning 0 0 0 0
Transgender 0 0 0 0
Client Doesn't Know/Client Refused 0 0 0 0
Data Not Collected 0 0 0 0
Total 98 98 0 0
Trans Female (MTF or Male to Female)
Trans Male (FTM or Female to Male)
Effective 10/1/2021, this table contains a consolidated Transgender row which includes the sum of data from the previously separate Transgender rows, tagged with .

Q10c: Gender of Persons Missing Age Information
Total Without Children With Children and Adults With Only Children Unknown Household Type Male 0 0 0 0 0
Female 0 0 0 0 0
No Single Gender 0 0 0 0 0
Questioning 0 0 0 0 0
Transgender 0 0 0 0 0
Client Doesn't Know/Client Refused 0 0 0 0 0
Data Not Collected 0 0 0 0 0
Total 0 0 0 0 0
Trans Female (MTF or Male to Female)
Trans Male (FTM or Female to Male)
Effective 10/1/2021, this table contains a consolidated Transgender row which includes the sum of data from the previously separate Transgender rows, tagged with .

Q10d: Gender by Age Ranges
Total Under Age 18 Age 18‐24 Age 25‐61 Age 62 and over Client Doesn't Know/ Client Refused Data Not Collected Male 76 44 1 26 5 0 0
Female 112 54 8 44 6 0 0
No Single Gender 0 0 0 0 0 0 0
Questioning 0 0 00 0 0
Transgender 0 0 0 0 0 0 0
Client Doesn’t Know/Client Refused 0 0 0 0 0 0 0
Data Not Collected 0 0 0 0 0 0 0
Total 188 98 9 70 11 0 0
Trans Female (MTF or Male to Female)
Trans Male (FTM or Female to Male)
Effective 10/1/2021, this table contains a consolidated Transgender row which includes the sum of data from the previously separate Transgender rows, tagged with .

Q11: Age
Total Without Children With Children and Adults With Only Children Unknown Household Type Under 5 36 0 36 0 0
5 ‐ 12 35 0 35 0 0
13 ‐ 17 27 0 27 0 0
18 ‐ 24 9 0 9 0 0
25 ‐ 34 25 2 23 0 0
35 ‐ 44 15 4 11 0 0
45 ‐ 54 16 9 7 0 0
55 ‐ 61 14 9 5 0 0
62+ 11 6 5 0 0
Client Doesn't Know/Client Refused 0 0 0 0 0
Data Not Collected 0 0 0 0 0
Total 188 30 158 0 0

Q12a: Race
Total Without Children With Children and Adults With Only Children Unknown Household Type White 124 17 107 0 0
Black, African American, or African 29 6 23 0 0
Asian or Asian American 27 5 22 0 0
American Indian, Alaska Native, or Indigenous 0 0 0 0 0 Native Hawaiian or Pacific Islander 2 0 2 0 0
Multiple Races 6 2 4 0 0
Client Doesn't Know/Client Refused 0 0 0 0 0
Data Not Collected 0 0 0 0 0
Total 188 30 158 0 0
Q12b: Ethnicity
Total Without Children With Children and Adults With Only Children Unknown Household Type Non‐Hispanic/Non‐Latin(a)(o)(x) 82 26 56 0 0
Hispanic/Latin(a)(o)(x) 106 4 102 0 0
Client Doesn't Know/Client Refused 0 0 0 0 0
Data Not Collected 0 0 0 0 0
Total 188 30 158 0 0
Q13a1: Physical and Mental Health Conditions at Entry
Total Persons Without Children Adults in HH with Children & Adults Children in HH with Children & Adults With Children and Adults With Only Children Unknown Household Type Mental Health Disorder 22 11 10 1 00
Alcohol Use Disorder 2 2 0 0 00
Drug Use Disorder 11 0 0 00
Both Alcohol Use and Drug Use Disorders 6 6 0 0 00
Chronic Health Condition 25 14 7 4 00
HIV/AIDS 2 2 0 0 00
Developmental Disability 9 5 1 3 00
Physical Disability 22 13 6 3 00
The "With Children and Adults" column is retired as of 10/1/2019 and replaced with the columns "Adults in HH with Children & Adults" and "Children in HH with Children & Adults".

Q13b1: Physical and Mental Health Conditions at Exit
Total Persons Without Children Adults in HH with Children & Adults Children in HH with Children & Adults With Children and Adults With Only Children Unknown Household Type Mental Health Disorder 7 0 6 1 00
Alcohol Use Disorder 0 0 0 0 00
Drug Use Disorder 00 0 0 00
Both Alcohol Use and Drug Use Disorders 0 0 0 0 00
Chronic Health Condition 9 0 5 4 00
HIV/AIDS 0 0 0 0 00
Developmental Disability 3 0 0 3 00
Physical Disability 8 0 5 3 00
The "With Children and Adults" column is retired as of 10/1/2019 and replaced with the columns "Adults in HH with Children & Adults" and "Children in HH with Children & Adults".

Q13c1: Physical and Mental Health Conditions for Stayers Total Persons Without Children Adults in HH with Children & Adults Children in HH with Children & Adults With Children and Adults With Only Children Unknown Household Type Mental Health Disorder 15 11 4 0 00
Alcohol Use Disorder 2 2 0 0 00
Drug Use Disorder 11 0 0 00
Both Alcohol Use and Drug Use Disorders 6 6 0 0 00
Chronic Health Condition 16 14 2 0 00
HIV/AIDS 2 2 0 0 00
Developmental Disability 6 5 1 0 00
Physical Disability 14 13 1 0 00
The "With Children and Adults" column is retired as of 10/1/2019 and replaced with the columns "Adults in HH with Children & Adults" and "Children in HH with Children & Adults".

Q14a: Domestic Violence History
Total Without Children With Children and Adults With Only Children Unknown Household Type Yes 36 6 30 0 0
No 52 22 30 0 0
Client Doesn't Know/Client Refused 2 2 0 0 0
Data Not Collected 0 0 0 0 0
Total 90 30 60 0 0
Q14b: Persons Fleeing Domestic Violence
Total Without Children With Children and Adults With Only Children Unknown Household Type Yes 19 3 16 0 0
No 17 3 14 0 0
Client Doesn't Know/Client Refused 0 0 0 0 0
Data Not Collected 0 0 0 0 0Page 304 of 331
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Total 36 6 30 0 0
Q15: Living Situation
Total Without Children With Children and Adults With Only Children Unknown Household Type Homeless Situations
Emergency shelter, including hotel or motel paid for with emergency shelter voucher 16 1 15 0 0
Transitional housing for homeless persons (including homele 0 0 0 0 0 Place not meant for habitation 62 27 35 0 0
Safe Haven 2 0 2 0 0
Host Home (non‐crisis) 0 0 0 0 0
Interim Housing
Subtotal ‐ Homeless Situations  80 28 52 0 0
Institutional Settings
Psychiatric hospital or other psychiatric facility 0 0 0 0 0 Substance abuse treatment facility or detox center 0 0 0 0 0 Hospital or other residential non‐psychiatric medical facility 0 00 0 0 Jail, prison or juvenile detention facility 0 0 0 0 0
Foster care home or foster care group home 0 0 0 0 0
Long‐term care facility or nursing home 0 0 0 0 0
Residential project or halfway house with no homeless criter 0 0 0 00 Subtotal ‐ Institutional Settings 0 0 0 0 0
Other Locations
Permanent housing (other than RRH) for formerly homeless p00 0 0 0
Owned by client, no ongoing housing subsidy 0 0 0 0 0
Owned by client, with ongoing housing subsidy 0 0 0 0 0 Rental by client, with RRH or equivalent subsidy 0 0 0 0 0 Rental by client, with HCV voucher (tenant or project based) 1 0 1 00 Rental by client in a public housing unit 0 0 0 0 0
Rental by client, no ongoing housing subsidy 6 1 5 0 0
Rental by client, with VASH subsidy 0 0 0 0 0
Rental by client with GPD TIP subsidy 0 0 0 0 0
Rental by client, with other housing subsidy 1 0 1 0 0
Hotel or motel paid for without emergency shelter voucher 0 0 0 0 0 Staying or living in a friend’s room, apartment or house 1 0 1 0 0 Staying or living in a family member’s room, apartment or ho 11 0 0 0 Client Doesn’t Know/Client Refused 0 0 0 0 0
Data Not Collected 0 0 0 0 0
Subtotal ‐ Other Locations 10 2 8 0 0
Total 90 30 60 0 0
Interim housing is retired as of 10/1/2019.

Q16: Cash Income ‐ Ranges
Income at Start Income at Latest AnnualAssessment for Stayers Income at Exit for Leavers No income 38 0 5
$1 ‐ $150 0 0 0
$151 ‐ $250 1 0 0
$251 ‐ $500 3 0 0
$501 ‐ $1000 18 0 8
$1,001 ‐ $1,500 12 0 3
$1,501 ‐ $2,000 8 0 6
$2,001+ 5 0 23
Client Doesn't Know/Client Refused 5 0 1
Data Not Collected 0 0 0
Number of Adult Stayers Not Yet Required to Have an Annua 0 44 0 Number of Adult Stayers Without Required Annual Assessme00 0 Total Adults 90 44 46
Q17: Cash Income ‐ Sources
Income at Start Income at Latest AnnualAssessment for Stayers Income at Exit for Leavers Earned Income 17 0 29
Unemployment Insurance 0 0 0
SSI 13 0 3
SSDI 2 0 1
VA Service‐Connected Disability Compensation 0 0 0
VA Non‐Service Connected Disability Pension 0 0 0
Private Disability Insurance 0 0 0
Worker's Compensation 0 0 0
TANF or Equivalent 16 0 14
General Assistance 4 0 0 Page 305 of 331
Retirement (Social Security) 2 0 1
Pension from Former Job 0 0 0
Child Support 0 0 5
Alimony (Spousal Support) 0 0 0
Other Source 1 0 0
Adults with Income Information at Start and Annual Assessm 0 0 45 Q19b: Disabling Conditions and Income for Adults at Exit AO: Adult with Disabling Condition AO: Adult without Disabling Condition AO: Total Adults AO: % with Disabling Condition by Source AC: Adult with Disabling Condition AC: Adult without Disabling Condition AC: Total Adults Earned Income 0 0 0 0 3 26 29
Supplemental Security Income (SSI) 0 1 1 0% 1 1 2
Social Security Disability Insurance (SSDI) 0 0 0 0 1 0 1 VA Service‐Connected Disability Compensation 0 0 0 0 0 0 0 Private Disability Insurance 0 0 0 0 0 0 0
Worker's Compensation 0 0 0 0 0 0 0
Temporary Assistance for Needy Families (TANF) 0 0 0 0 4 10 14 Retirement Income from Social Security 0 1 1 0% 0 0 0
Pension or retirement income from a former job 0 0 0 0 0 0 0 Child Support 0 0 0 0 0 5 5
Other source 0 0 0 0 0 0 0
No Sources 0 0 0 0 0 5 5
Unduplicated Total Adults 0 1 1 83 6 4 4
Numbers in green italics have been recalculated or weighted based on available totals.

Q20a: Type of Non‐Cash Benefit Sources
Benefit at Start Benefit at Latest AnnualAssessment for Stayers Benefit at Exit for Leavers Supplemental Nutritional Assistance Program 51 0 32
WIC 12 0 8
TANF Child Care Services 1 0 2
TANF Transportation Services 0 0 0
Other TANF‐Funded Services 0 0 0
Other Source 0 0 1
Q21: Health Insurance
At Start At Annual Assessmentfor Stayers At Exit for Leavers Medicaid 155 0 108
Medicare 8 0 1
State Children's Health Insurance Program 5 0 7
VA Medical Services 0 0 0
Employer Provided Health Insurance 1 0 1
Health Insurance Through COBRA 0 0 0
Private Pay Health Insurance 0 0 0
State Health Insurance for Adults 7 0 6
Indian Health Services Program 0 0 0
Other 1 0 0
No Health Insurance 11 0 3
Client Doesn't Know/Client Refused 4 0 0
Data Not Collected 0 0 0
Number of Stayers Not Yet Required to Have an Annual Asses06 6 0 1 Source of Health Insurance 169 0 115
More than 1 Source of Health Insurance 4 0 4
Q22a2: Length of Participation – ESG Projects
Total Leavers Stayers
0 to 7 days 3 2 1
8 to 14 days 9 8 1
15 to 21 days 27 16 11
22 to 30 days 22 21 1
31 to 60 days 46 36 10
61 to 90 days 12 4 8
91 to 180 days 54 20 34
181 to 365 days 15 15 0
366 to 730 days (1‐2 Yrs) 0 0 0
731 to 1,095 days (2‐3 Yrs) 0 0 0
1,096 to 1,460 days (3‐4 Yrs) 0 0 0
1,461 to 1,825 days (4‐5 Yrs) 0 0 0
More than 1,825 days (> 5 Yrs) 0 0 0
Data Not Collected 0 0 0
Total 188 122 66 Page 306 of 331
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Q22c: Length of Time between Project Start Date and Housing Move‐in Date (post 10/1/2018) Total Without Children With Children and Adults With Only Children Unknown Household Type 7 days or less 0 0 0 0 0
8 to 14 days 0 0 0 0 0
15 to 21 days 0 0 0 0 0
22 to 30 days 0 0 0 0 0
31 to 60 days 0 0 0 0 0
61 to 180 days 5 0 5 0 0
181 to 365 days 0 0 0 0 0
366 to 730 days (1‐2 Yrs) 0 0 0 0 0
Total (persons moved into housing) 5 0 5 0 0
Average length of time to housing 63 0 63 0 0
Persons who were exited without move‐in 7 0 7 0 0
Total persons 12 0 12 0 0
Numbers in green italics have been recalculated or weighted based on available totals.

Q22c: RRH Length of Time between Project Start Date and Housing Move‐in Date (pre 10/1/2018) Total Without Children With Children and Adults With Only Children Unknown Household Type 7 days or less
8 to 14 days
15 to 21 days
22 to 30 days
31 to 60 days
61 to 180 days
181 to 365 days
366 to 730 days (1‐2 Yrs)
Total (persons moved into housing)
Average length of time to housing
Persons who were exited without move‐in
Total persons
Numbers in green italics have been recalculated or weighted based on available totals.

Q22d: Length of Participation by Household Type
Total Without Children With Children and Adults With Only Children Unknown Household Type 7 days or less 3 1 2 0 0
8 to 14 days 9 1 8 0 0
15 to 21 days 27 5 22 0 0
22 to 30 days 22 2 20 0 0
31 to 60 days 46 7 39 0 0
61 to 90 days 12 3 9 0 0
91 to 180 days 54 11 43 0 0
181 to 365 days 15 0 15 0 0
366 to 730 days (1‐2 Yrs) 0 0 0 0 0
731 to 1,095 days (2‐3 Yrs) 0 0 0 0 0
1,096 to 1,460 days (3‐4 Yrs) 0 0 0 0 0
1,461 to 1,825 days (4‐5 Yrs) 0 0 0 0 0
More than 1,825 days (> 5 Yrs) 0 0 0 0 0
Data Not Collected 0 0 0 0 0
Total 188 30 158 0 0
Q22e: Length of Time Prior to Housing ‐ based on 3.917 Date Homelessness Started Total Without Children With Children and Adults With Only Children Unknown Household Type 7 days or less 49 0 49 0 0
8 to 14 days 0 0 0 0 0
15 to 21 days 0 0 0 0 0
22 to 30 days 6 0 6 0 0
31 to 60 days 14 0 14 0 0
61 to 180 days 43 0 43 0 0
181 to 365 days 9 0 9 0 0
366 to 730 days (1‐2 Yrs) 6 0 6 0 0
731 days or more 3 0 3 0 0
Total (persons moved into housing) 130 0 130 0 0
Not yet moved into housing 12 0 12 0 0
Data not collected 2 0 2 0 0
Total persons 144 0 144 0 0
Q23a: Exit Destination – More Than 90 DaysThis question is retired as of 10/1/2019.

Total Without Children With Children and Adults With Only Children Unknown Household Type Permanent Destinations

Moved from one HOPWA funded project to HOPWA PH
Owned by client, no ongoing housing subsidy
Owned by client, with ongoing housing subsidy
Rental by client, no ongoing housing subsidy
Rental by client, with VASH housing subsidy
Rental by client, with GPD TIP housing subsidy
Rental by client, with other ongoing housing subsidy
Permanent housing (other than RRH) for formerly homeless p
Staying or living with family, permanent tenure
Staying or living with friends, permanent tenure
Rental by client, with RRH or equivalent subsidy
Subtotal ‐ Permanent Destinations
Temporary Destinations
Emergency shelter, including hotel or motel paid for with emergency shelter voucher
Moved from one HOPWA funded project to HOPWA TH
Transitional housing for homeless persons (including homele Staying or living with family, temporary tenure (e.g. room, apartment or house)
Staying or living with friends, temporary tenure (e.g. room, apartment or house)
Place not meant for habitation (e.g., a vehicle, an
abandoned building, bus/train/subway station/airport or anywhere outside)
Safe Haven
Hotel or motel paid for without emergency shelter voucher Subtotal ‐ Temporary Destinations
Institutional Settings
Foster care home or group foster care home
Psychiatric hospital or other psychiatric facility
Substance abuse treatment facility or detox center
Hospital or other residential non‐psychiatric medical facility Jail, prison, or juvenile detention facility
Long‐term care facility or nursing home
Subtotal ‐ Institutional Settings
Other Destinations
Residential project or halfway house with no homeless criter Deceased
Other
Client Doesn’t Know/Client Refused
Data Not Collected (no exit interview completed)
Subtotal ‐ Other Destinations
Total
Total persons exiting to positive housing destinations
Total persons whose destinations excluded them from the c a
Percentage Cannot calculate1 Cannot calculate1 Cannot calculate1 Cannot calculate1 Cannot calculate1 Numbers in green italics have been recalculated or weighted based on available totals.

Q23b: Exit Destination –  90 Days or LessThis question is retired as of 10/1/2019.

Total Without Children With Children and Adults With Only Children Unknown Household Type Permanent Destinations
Moved from one HOPWA funded project to HOPWA PH
Owned by client, no ongoing housing subsidy
Owned by client, with ongoing housing subsidy
Rental by client, no ongoing housing subsidy
Rental by client, with VASH housing subsidy
Rental by client, with GPD TIP housing subsidy
Rental by client, with other ongoing housing subsidy
Permanent housing (other than RRH) for formerly homeless p
Staying or living with family, permanent tenure
Staying or living with friends, permanent tenure
Rental by client, with RRH or equivalent subsidy
Subtotal ‐ Permanent Destinations
Temporary Destinations
Emergency shelter, including hotel or motel paid for with emergency shelter voucher
Moved from one HOPWA funded project to HOPWA TH
Transitional housing for homeless persons (including homele Staying or living with family, temporary tenure (e.g. room, apartment or house)

Staying or living with friends, temporary tenure (e.g. room, apartment or house)
Place not meant for habitation (e.g., a vehicle, an
abandoned building, bus/train/subway station/airport or anywhere outside)
Safe Haven
Hotel or motel paid for without emergency shelter voucher Subtotal ‐ Temporary Destinations
Institutional Settings
Foster care home or group foster care home
Psychiatric hospital or other psychiatric facility
Substance abuse treatment facility or detox center
Hospital or other residential non‐psychiatric medical facility Jail, prison, or juvenile detention facility
Long‐term care facility or nursing home
Subtotal ‐ Institutional Settings
Other Destinations
Residential project or halfway house with no homeless criter Deceased
Other
Client Doesn’t Know/Client Refused
Data Not Collected (no exit interview completed)
Subtotal ‐ Other Destinations
Total
Total persons exiting to positive housing destinations
Total persons whose destinations excluded them from the c a
Percentage Cannot calculate1 Cannot calculate1 Cannot calculate1 Cannot calculate1 Cannot calculate1 Numbers in green italics have been recalculated or weighted based on available totals.

Q23c: Exit Destination – All persons
Total Without Children With Children and Adults With Only Children Unknown Household Type Permanent Destinations
Moved from one HOPWA funded project to HOPWA PH 0 0 0 0 0 Owned by client, no ongoing housing subsidy 0 0 0 0 0
Owned by client, with ongoing housing subsidy 0 0 0 0 0 Rental by client, no ongoing housing subsidy 49 1 48 0 0 Rental by client, with VASH housing subsidy 0 0 0 0 0
Rental by client, with GPD TIP housing subsidy 0 0 0 0 0 Rental by client, with other ongoing housing subsidy 7 0 7 0 0 Permanent housing (other than RRH) for formerly homeless p00 0 0 0
Staying or living with family, permanent tenure 23 0 23 0 0 Staying or living with friends, permanent tenure 2 0 2 0 0 Rental by client, with RRH or equivalent subsidy 13 0 13 0 0 Rental by client, with HCV voucher (tenant or project based) 8 0 8 00 Rental by client in a public housing unit 0 0 0 0 0
Subtotal ‐ Permanent Destinations 102 1 101 0 0
Temporary Destinations
Emergency shelter, including hotel or motel paid for with emergency shelter voucher 60 6 0 0
Moved from one HOPWA funded project to HOPWA TH 0 0 0 0 0 Transitional housing for homeless persons (including homele 0 0 0 0 0 Staying or living with family, temporary tenure (e.g. room, apartment or house) 00 0 0 0
Staying or living with friends, temporary tenure (e.g. room, apartment or house) 00 0 0 0
Place not meant for habitation (e.g., a vehicle, an
abandoned building, bus/train/subway station/airport or anywhere outside) 60 6 0 0
Safe Haven 0 0 0 0 0
Hotel or motel paid for without emergency shelter voucher 4 0 4 0 0 Host Home (non‐crisis) 0 0 0 0 0
Subtotal ‐ Temporary Destinations 16 0 16 0 0
Institutional Settings
Foster care home or group foster care home 1 0 1 0 0
Psychiatric hospital or other psychiatric facility 0 0 0 0 0 Substance abuse treatment facility or detox center 1 0 1 0 0 Hospital or other residential non‐psychiatric medical facility 0 00 0 0 Jail, prison, or juvenile detention facility 0 0 0 0 0
Long‐term care facility or nursing home 0 0 0 0 0
Subtotal ‐ Institutional Settings 2 0 2 0 0

Other Destinations
Residential project or halfway house with no homeless criter 0 0 0 00 Deceased 0 0 0 0 0
Other 0 0 0 0 0
Client Doesn’t Know/Client Refused 0 0 0 0 0
Data Not Collected (no exit interview completed) 2 0 2 0 0 Subtotal ‐ Other Destinations 2 0 2 0 0
Total 122 1 121 0 0
Total persons exiting to positive housing destinations 95 0 95 0 0 Total persons whose destinations excluded them from the c a10 1 0 0
Percentage 78.51% 0% 79.17% 0 0
Numbers in green italics have been recalculated or weighted based on available totals.

Q24: Homelessness Prevention Housing Assessment at Exit Total Without Children With Children and Adults With Only Children Unknown Household Type Able to maintain the housing they had at project start‐‐ Without a subsidy 11 1 10 0 0
Able to maintain the housing they had at project start‐‐ With the subsidy they had at project start 00 0 0 0
Able to maintain the housing they had at project start‐‐ With an on‐going subsidy acquired since project start 00 0 0 0 Able to maintain the housing they had at project start‐‐Only with financial assistance other than a subsidy 00 0 0 0 Moved to new housing unit‐‐With on‐going subsidy 0 0 0 0 0 Moved to new housing unit‐‐Without an on‐going subsidy 0 0 0 0 0 Moved in with family/friends on a temporary basis 0 0 0 0 0 Moved in with family/friends on a permanent basis 0 0 0 0 0 Moved to a transitional or temporary housing facility or prog 0 0 00 0 Client became homeless – moving to a shelter or other
place unfit for human habitation 00 0 0 0
Client went to jail/prison 0 0 0 0 0
Client died 0 0 0 0 0
Client doesn’t know/Client refused 0 0 0 0 0
Data not collected (no exit interview completed) 0 0 0 0 0 Total 11 1 10 0 0
Q25a: Number of Veterans
Total Without Children With Children and Adults Unknown Household Type Chronically Homeless Veteran 0 0 0 0
Non‐Chronically Homeless Veteran 1 1 0 0
Not a Veteran 89 29 60 0
Client Doesn't Know/Client Refused 0 0 0 0
Data Not Collected 0 0 0 0
Total 90 30 60 0
Q26b: Number of Chronically Homeless Persons by Household Total Without Children With Children and Adults With Only Children Unknown Household Type Chronically Homeless 24 18 6 0 0
Not Chronically Homeless 160 9 151 0 0
Client Doesn't Know/Client Refused 4 3 1 0 0
Data Not Collected 0 0 0 0 0
Total 188 30 158 0 0

Agenda Item - 5.a.

City of Garden Grove

INTER-DEPARTMENT MEMORANDUM
To: Lisa L. Kim From: Amir El-Farra
Dept.: City Manager Dept.: Police Chief
Subject: Civic Center Revitalization
Project Update and Approval
of Design Development
Phase, Authorization of a
negotiation of final terms,
and execution an Exclusive
Negotiation Agreement
(ENA). (Cost: $3,000,000)
(Action Item)
Date: 9/26/2023

OBJECTIVE
To provide City Council with an update on the Civic Center Revitalization Project, including an overview of the Request for Qualifications submissions, recommendation to move forward with Developer selection and Design Development Phase, authorization of a negotiation of final terms, and execution an Exclusive Negotiation Agreement (ENA).

BACKGROUND
In July 2019, the City Council authorized the consulting firm Dewberry to conduct a comprehensive space and needs assessment of the City’s police facilities to address current and future needs. The report concluded the current campus of different buildings are undersized and poorly configured. It further identified challenges with deferred maintenance, site constraints, insufficient parking, lacking certain security features and inefficient operational adjacencies. The final Dewberry Report was presented to the Council January 28, 2020.

In July 2022, the City Council approved a contract with Project Finance Advisory, Limited (PFAL) to perform initial analysis on the financial feasibility associated with development of a future public safety building. During the initial phase of the project advisory service, two site alternatives were evaluated: (1) a 2-acre property located at 11277 Garden Grove Boulevard; and (2) the Civic Center Park and the adjacent City employee parking lot properties.

Concurrently, HOK Architects (working under the PFAL contract) prepared a validation review of the 2020 Dewberry Report to determine appropriate building

size, utilization of space and efficiencies. Through this process, it was determined that a new Public Safety Building would likely be multi-story and total approximately 90,000 square feet to meet current and potential future staffing needs.

With the program validation complete, HOK Architects prepared a conceptual massing layout showing a public safety building and a 450-space parking garage to accommodate secured police fleet vehicles, staff personal vehicles, and some public parking. Using these parameters, it was determined the Civic Center Park area combined with the adjacent parking lot would be the most efficient location to accommodate the proposed project.

While HOK worked on the site massing, PFAL explored different project delivery funding options to advance the project, considering risk assessment, project lifecycle and project timing requirements. It was concluded a Design Build Finance (DBF) approach would best meet the objectives for this project. Additionally, PFAL estimated the overall cost, including funding to upgrade Civic Center Park, would be in the range of $110 million to $150 million.

In January 2023, the City Council directed staff to continue advancing the Civic Center Project/Public Safety Building and identify opportunities to accelerate project delivery. This action included amending the PFAL contract to support the developer selection process. The action also added capacity to a contract with Placeworks to assist with expanded community engagement. In a different action, Council awarded a contract in March 2023 with Michael Baker International to prepare the environmental review documents in compliance with the California Environmental Quality Act (CEQA). Collectively, these contracts allowed staff to progress three pre- development elements of the project, (1) developer selection, (2), CEQA clearance, and (3) community engagement.

With respect to developer selection, staff worked to advance technical specifications for inclusion in a Request for Qualifications (RFQ) document. The completed technical specifications provide details on different required elements, including:

Design Criteria - describes the site and building design objectives and project vision, as well as specific design requirements for various aspects of the project.

This document describes the preliminary conceptual direction for the facilities and park from the larger planning context to the design aspects of specific individual components and elements, as deemed appropriate. It also includes basic design parameters for architectural, structural, mechanical, electrical, and other systems as they relate to the functional areas within the facilities and park.

Program of Requirements - includes a description of the operational and physical requirements focusing on the operational context and specific planning requirements for different functions within the public safety building and the parking structure. The Program of Requirements consists of the Adjacency Diagrams and the Room Data Sheets (RDS).

Minimum Standards - provides information on the minimum quality and performance of materials listed in the RFSs. These are the minimum acceptable

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standards upon which a system is based. Upgrades in materials and performance are encouraged where consistent with a particular design concept.

These descriptions are not intended to limit design innovation, but to provide a baseline expectation of material quality for the City. Similarly, where a specific dimension is indicated on the RDS, such as ceiling height, that requirement is a minimum and may be exceeded consistent with the overall design concept.

Facility Management - provides information and guidance for upkeep and management of the built properties. This includes design decisions on how the building will be maintained, what type of mechanical systems should be installed, and efficiencies that can be deployed to reduce lifecycle costs.

Over the past seven plus months, staff, working with Placeworks, has created a community information portal on the City’s website at https://ggcity.org/civic-center, providing updated project data. Staff has also been directly engaging with the public at numerous City events, sharing information and eliciting comments. Outreach was targeted toward showing the conceptual project site with details on scope and scale.

Feedback on the types of amenities and activities residents would like to see, especially in the revamped Civic Center Park, was also solicited. Event attendees were asked to complete comment cards describing their favorite memories about the park, favorite things to do in the park, and what ideas they have for the new park.

Comment cards were then prominently displayed at the event.

During the spring and summer months, about 2,000 residents engaged with staff at different events and over 300 comment cards were received. Events included: Art in the Park, Eggscavation, Movies in the Park, Concerts in the Park, and Garden Grove Police Department (GGPD) National Night Out. Public outreach will continue throughout the project. Residents will have additional opportunities throughout the design phase of the project to help shape the future of the Civic Center Park.

The CEQA process continues. As the initial study is being finalized, the public draft document is anticipated to be circulated for public comment in October. The final adoption/certification is scheduled for Q1 2024.

In July 2023, the City released the Civic Center Revitalization Project RFQ, which included the 100+ page technical specifications document. The RFQ detailed the project objectives, site location and conceptual massing, response criteria and upcoming milestones. Six development teams submitted responses, representing some of the top firms in the construction industry:

Balfour-Betty/DLR Group
CFP3/OmniWest/McCarthy/Cannon Group
Edgemoor/Clark/AC Martin
EllisDon/Webcor/PerkinsWill
Hunt/Hensel Phelps/SOM
Griffin/Swinerton/LPA
The proposals will be available at https://ggcity.org/civic-center

DISCUSSION

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A multi-departmental City team has been working on this project from the beginning to ensure different perspectives and priorities are discussed and included.

Representatives from Police, Community Services, Finance, Public Works, Community Development, Economic Development, Information Technology, and City Manager’s Office participated in the review and evaluation of the six different Developer responses to the RFQ. As specified in the RFQ, the review focused on:

Development Management Experience and Approach : Demonstrated ability, qualifications, and approach of the Project Manager and Key Personnel to successfully deliver the Scope of Services. Demonstrated understanding of the Project requirements. Experience with open-book pricing processes. Organization plan showing a sufficient number of qualified personnel (internal or contracted) to accomplish required tasks. Architecture and Design Experience and Approach.

Architecture and Design Experience and Approach : experience with progressive design-build; successful track record of incorporating operations and maintenance considerations in designs to optimize lifecycle costs; coordinating with clients for progressive delivery of projects; experience providing innovation, value and cost efficiency to clients; stakeholder engagement track record.

Construction Experience : track record of delivering similar projects on time and on budget under a DBF, PLA, and guaranteed maximum price; successful track record of incorporating operations and maintenance considerations into design and construction program to optimize lifecycle costs; track record of providing innovation, value and cost efficiency to clients; history of superior safety records; plan for inclusion of union labor, and track record delivering buildings free of latent defects; plan for open-book pricing and subcontractor engagement with a focus on retaining local and disadvantaged business.

Financing Experience and Approach : track record in successfully financing vertical projects with a capital cost of over $100 million using innovative and traditional methodologies and proposed strategy for financing the Project to provide best value to the City.

Lowest contractor profit , developer fee, logic of ENA budget, and (if applicable) expected costs associated with arranging the financing.

After completing a comprehensive review, four firms were selected to provide a presentation on their approach to delivering the planned project. After hearing the presentations and asking questions of the key individuals from the different development teams that would be involved in this project, staff discussed which team provides the best overall value for the City. Specifically, staff opined on which team best demonstrated the ability to interact with Garden Grove to successfully finalize a design, finance, and build the planned project.

All six development teams provided strong responses to the RFQ. The knowledge and experience listed on the different responses is extensive. While it was challenging to make a final decision, staff is recommending the Development Team

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o f Edgemoor/Clark/AC Martin . They provide the best value for the City, demonstrating an understanding of the City’s objectives, the key team members have experience working in a DBF structure, their overall approach aligns with the delivery timeline, they have demonstrated success financing projects with a budget more than $100 million, and their developer profit is cost effective. The final ranking of the six development teams is below:

Ranking Development Team Presentation
1 Edgemoor/Clark/AC Martin Yes
2 EllisDon/Webcor/PerkinsWill Yes
3 Griffin/Swinerton/LPA Yes
4 Balfour-Betty/DLR Group Yes
5 Hunt/Hensel Phelps/SOM No
6 CFP3/OmniWest/McCarthy/Cannon
Group
No

NEXT STEPS
With City Council approval, the project will transition to the design development phase. This will involve executing an Exclusive Negotiating Agreement (ENA), preparing design drawings, updating pricing, developing a legal framework, and structuring the financial package. The draft ENA (Attachment-A) details certain milestones throughout the design development phase that deliver updates to the City Council. These include:

November 2023: Presentation of design concepts
January 2024: Presentation of 50 percent design drawings and initial project pricing April 2024: Final design, pricing and development timeline

It is during the design development phase where staff will work with the selected development team to evolve the design and operational elements of the project. This process will progress with the City Council’s input, and staff oversight to ensure design specifications are met and that long-term operational and maintenance savings are considered. If for some reason the parties are not aligned during the ENA period, the City reserves the right to terminate the agreement for any reason.

FINANCIAL IMPACT
City Council action approving the recommendations will authorize the execution of the ENA and start the design development process. The ENA will include a predetermined budget, agreed to by both parties. Should the City decide to terminate the ENA, the Developer will be owed costs incurred to that point. In this scenario the City is essentially purchasing the design drawings for the project, plus ancillary consulting costs. The selected Development Team was asked to provide a "Best and Final" ENA budget, which they responded at $2.994 million.

It is anticipated the ENA process will be fully concluded in 6-8 months, with City Council receiving regular updates. At the conclusion of the ENA period, City Council will be provided a final design, cost and timeline to construction the proposed project. If the City Council elects to move-forward and build the project, the ENA

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pre-development costs will be included in the project financing.

The City has set-aside $17.5 million for advancing this project. These funds are paying for project pre-development work, including PFAL, Michael Baker (CEQA), geotechnical, ALTA, and city staff costs associatedwith project management oversight. These funds would also be used to pay for the Developer costs if the ENA is cancelled. Any remaining funds will be allocated to pay financing costs for the project.

RECOMMENDATION
It is recommended the City Council:

Authorize the City Manager to negotiate final terms and execute an Exclusive Negotiation Agreement (ENA) that includes the major provisions provided in Attachment-A, with the recommended Development Team of Edgemoor/Clark/AC Martin;

Initiate the pre-development phase of the Civic Center Revitalization Project, starting the design development of a new Public Safety Building (est. 90,000 sqft), a Parking Structure supporting public safety operations and public parking (est. 450 spaces); re-envisioned and reconfigured Civic Center Park;

Authorize appropriation of amount not-to-exceed $3 million for preparation of materials defined in the ENA; and

Direct staff to return to City Council within 60 days, providing an update on conceptual designs for the project.

ATTACHMENTS:

Description Upload Date Type File Name
Attachment A:

DRAFT Exclusive
Negotiation
Agreement (ENA)
9/19/2023 Agreement Attachment_A_-
_DRAFT_Exclusive_Negotiating_Agreement._9.26.23.pdfPage 316 of 331 •
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EXCLUSIVE NEGOTIATION AGREEMENT
THIS EXCLUSIVE NEGOTIATION AGREEMENT (the “Agreement”) is made and entered into as of __________ __, 2023 (the “Date of Agreement”), by and between the CITY OF GARDEN GROVE, a municipal corporation (“City”) and ______________________________, a __________ (the “Developer”) (the Developer and the City are collectively referred to herein as the “Parties”).

R E C I T A L S
The following recitals are a substantive part of this Agreement.

A. City is a municipal corporation seeking an experienced developer to design, construct, and finance the Civic Center Revitalization Project (the “Project”) described in more detail in the Request for Qualifications (“RFQ”) to which the Developer responded (the “Developer Response to RFQ”) on property owned by the City as shown in the Site Map attached hereto as Exhibit A and incorporated herein by reference (the “Site”).

B. Developer is an experienced Developer of public facilities as generally described in the Developer’s Response to RFQ.

C. The Developer and the City have entered into this Agreement to (i) facilitate the ability of the Parties to develop a design and guaranteed maximum price for the Project; (ii) agree on a methodology for the sequence of events for the design, construction, and financing of the Project; (iii) prepare and refine a proposal to finance the Project (“Project Financing”); and (iv) negotiate a contract pursuant to which Developer will design and construct the Project at a guaranteed maximum price (the “Design Build Contract”).

D. The foregoing Recitals constitute a substantive part of this Agreement.

E. This Agreement is in the vital and best interests of the City and the health, safety and welfare of its residents, and in accordance with public purposes of applicable state and local laws and requirements.

F. The Parties intend that during and for the period of negotiations set forth herein (the “Negotiation Period”) each will perform certain actions and responsibilities under this Agreement.

NOW, THEREFORE, the Parties mutually agree as follows:

1. Principals Governing the Implementation of this Agreement.

The following principals will govern the conduct of the Parties in connection with the Implementation of this Agreement:
a. Project Budget Formatting.
(1) The Parties will agree upon a format for the Project Budget to be provided to the City by the Developer at each Milestone (as defined herein) and periodically during the during the term of this DRAFT

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Agreement (the “Project Budget”). A cost model template that will be used to develop the Project Budget will be mutually developed and used throughout the design and development process. The final version of the Project Budget will become an attachment to the Design Build Contract. (2) The cost estimate format will initially utilize a Uniformat approach in the early design phases (Budget, Concept and Schematic Design). This can then transition to both a Uniformat and CSI Structure at the later design stages (Design Development and Construction Documentation). For purposes of this Agreement, “Uniformat” and “CSI Structure” shall have the meaning given to each by the Construction Specifications Institute.
(3) The Parties will mutually agree upon all components of the Project Budget including, but not limited to, all direct labor, material and equipment costs, all General Requirements and Conditions, all design and construction contingencies, insurance, overhead, profits, and fees. (4) The contractor profit percentage will be [ ]% of Total Capital Cost and the total Developer Fee will be [ ]% of Total Capital Cost as proposed in the Developer’s response to the Request for Qualifications. Without double counting profit and developer fee , “Total Capital Cost” shall include all components of the Project Budget.
(5) All of the Project Budget components, as far as reasonably possible given a particular design level of detail, will be supported by detailed quantity take-offs, vendor and material pricing quotations, local market studies and key project cost driver information and assumptions, which will be made available to the City as and when requested.
b. Target Value Design.
(1) It is the intent of the Parties to establish and support a rigorous Target Value Design process at every step in the Project evolution. For the purposes of this Agreement, “Target Value Design” means a management practice by the Developer that drives the design, schedule, and financing strategy to deliver the Project for a Total Capital Cost that is expected to fall within a range of $100 million to $130 million and average annual financing costs of $8 million to $9 million (“the Affordability Range”).
(2) If any Project Budget is outside of the Affordability Range, the Developer will work diligently to make corrective recommendations to bring the Project back within the Affordability Range. This design, price, validate cycle is to be continuous and highly proactive. The intent is to ensure that design time is not lost due to the need for Value Engineering (cost reduction) at milestone estimating points.

For purposes of this Agreement, “Value Engineering” means an organized effort directed at analyzing designed building fixtures, systems, equipment, material selections, and financing strategy for the purpose of achieving essential functions at the lowest life cycle costs consistent with required performance, quality, reliability and safety.
c. Regular cost meetings and cost reports.
(1) The Developer shall prepare and deliver to the City, at a minimum, monthly reports that demonstrate the expected delivery costs and the variances, if any, from the Affordability Range. These reports are to be reviewed at a monthly cost-specific review meeting to be organized by the Developer.

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(2) As a minimum, the monthly cost report should address:
(i) The Project Budget, including forecast capital construction costs versus the Affordability Range with all divergence and variation being identified and explained. (ii) Current status of Project mark-ups including General Conditions, General Requirements, overhead and profit, insurance, and bonding.
(iii) Actual rate of spend against the ENA Period Budget. (iv) Market conditions with respect to Project Financing and cost of materials. (v) Project construction logistics and long lead item procurement. (vi) A Master Project Schedule that aligns with the Project Budget. (vii) Risk Register (as defined herein).
(viii) Sustainability Goals Tracking (as defined herein). (ix) Lifecycle Cost analysis (as defined herein).
(x) Updates on the Project Financing implementation as described in Section 1.h). d. Deviation from Project Budget.
(1) Upon preparation of a design phase estimate, if the Project Budget is outside the Affordability Range, it is the Developer’s responsibility to re -design the Project, to bring the Total Project Cost within the Affordability Range. Cost reduction measures are to be fully documented and re-estimated to demonstrate budget compliance.
e. Risk Management.
(1) At the commencement of the Project, and no later than 15 days after execution of this Agreement, the Developer shall prepare an initial risk register (the “Risk Register”). This Risk Register will list all of the Projects’ known and perceived risks and opportunities, including financing risks. (2) The Risk Register shall be scored in terms of potential cost and schedule impact and shall list risk mitigation strategies and the team individuals responsible for managing and delivering the various mitigations.
(3) The Risk Register shall be a formal, managed and live document and should form part of the Developer’s monthly cost reporting to the City.

Items (1), (2), and (3), above, are referred to herein collectively as “Risk Management Strategies.”

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f. Construction Scheduling and Logistics.
(1) The Developer will create a resource loaded master project schedule which will include all design phases, construction phases, commissioning, and handover activities necessary for the comprehensive development of the Project (the “Master Project Schedule”). The initial draft will be delivered no later than 15 days after execution of this Agreement and must not result in a rate of spend during the period covered by this Agreement that exceeds the ENA Period Budget submitted with the Developer’s Statement of Qualifications.
(2) The Master Project Schedule will be a live document that is continuously monitored and measured against an agreed baseline by Developer. The Master Project Schedule status should form part of the Developer’s monthly reporting to the City.
(3) The Developer shall ensure that if divergence from the Master Project Schedule appears to be occurring, that this position is immediately reported to the City along with recommendations for appropriate corrective actions and measures.
g. Sustainability and Life Cycle Cost Analysis.
(1) The Developer shall, at a minimum, target a LEED Silver rating for the new Public Safety Facility. The Developer shall exercise opportunities to deliver energy efficiency and sustainability strategies into the operation of the Project. These elements will be ascertained at the start of the Project and will be designed into all required elements of the Project. (2) The Develop er will create a tool for sustainability goals tracking (“Sustainability Goals Tracking”) which shall form part of the monthly reporting to the City. (3) The Developer shall prepare appropriate “Life Cycle Cost Analysis” in order to evidence the initial capital cost of a project element versus its overall operation, maintenance and final disposal costs. The initial cost versus benefit equation should be shown to allow the City to make informed decisions in terms of critical element selections, particularly related to energy consuming components such as HVAC and Electrical systems.
h. Project Financing Implementation.
(1) No later than 15 days from the date of this Agreement, the Developer shall provide an explanation of the strategy to develop and execute an efficient financing structure. (2) The Developer will provide a monthly financing status update, to include a financial model that contains the elements of the Developer’s cost, schedule, and financing strategy and illustrates the supporting financial projections. The financial model must have appropriate functionality to show the costs and benefits of different financing strategies being considered by the Developer for review and approval by the City.
(3) The City reserves the right to advance the Project financing through its own debt issuance.

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i. ENA Period Budget.
(1) The ENA Period Budget is the budget submitted by the Developer as part of Developer’s Response to RFQ which describes the proposed amount and rate of expenditures by the Developer during the term of the ENA. The ENA Period Budget is attached hereto as Exhibit B. (2) The ENA Period Budget shall form a basis against which actual costs are tracked and reported by the Developer. This cash flow shall form part of the monthly report to the City. (3) The Developer’s actual costs may not exceed the total ENA Period Budget in any single month without prior written approval by the City.

2. Exclusive Agreement to Negotiate.
a. Required Actions.
(1) Within three (3) days of the date of execution of this Agreement (the “Date of Agreement”), the Developer will submit a complete description of the Project team including hierarchy, responsibilities and contact information.
(2) No later than 36 days from the Date of Agreement, the Developer shall present at least two (2) design concepts to be reviewed by the City. The City shall provide feedback to the Developer within ten (10) days of council review of the design concepts. (3) No later than one hundred (100) days from the Date of Agreement (“Milestone No. 1”), Developer shall submit to the City the following:
(a) 50% Design Drawings, including site plan and elevations; (b) the Master Project Schedule;
(c) a proposed Project Financing plan describing the proposed method of financing, including construction and permanent financing and, if applicable, proposed credit enhancement; (d) the Project Budget; and
(e) a plan for review, rectification, and feedback.

After receipt of the complete Milestone No. 1 Package, City will review and provide input to Developer. If City determines that the Milestone No. 1 Package, as originally submitted is not adequate, in the sole and complete discretion of the City, City shall so inform Developer within seven (7) days. Upon receipt of such information, Developer shall, within fourteen (14) days of receipt of such notice, submit a revised Milestone No. 1 Package or inform City in writing that it agrees that this Agreement shall be terminated.

If City determines that a Milestone No. 1 Package is acceptable, Developer shall proceed with preparation of a “Milestone 2 Package,” as described below.

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(4) No later than one hundred sixty eight (168) days from the approval by City of the Milestone No. 1 Package, Developer shall submit to the City a “Milestone 2 Package,” consisting of the following:
(a) 100% Design Development drawings and 50% Structural/Foundation drawings; (b) proposed final Project Financing, with a description of the terms and conditions of such financing;
(c) a revised Master Project Schedule;
(d) Project Budget; and
(e) a plan for review, rectification, and feedback
After receipt of the complete Milestone No. 2 Package, City shall review the Milestone No. 2 Package. Within seven (7) days of a complete submittal under this Section 2.a.(4), City will provide input to Developer concerning the Milestone No. 2 Package. If City determines that the Milestone No. 2 Package, as originally submitted, is not adequate, in the sole and absolute discretion of the City, City shall so inform Developer. Upon receipt of such information, Developer shall, within fourteen (14) days of receipt of such notice, either (i) submit a revised Milestone No. 2 Package or (ii) inform City in writing that it agrees that this Agreement shall be terminated.

If City determines that a Milestone No. 2 Package is acceptable, it shall be referred to as the “Final Milestone No. 2 Package”, and the parties will proceed with the negotiation of an agreement pursuant which Developer will design and construct the Project (the “Design/Build Agreement”). (5) Exclusive Negotiation. During the term of this Agreement, the City will negotiate exclusively with Developer concerning the development of the Project. b. Term. The term of the Negotiation Period commence as of the Date of Agreement and shall continue until the earlier to occur of (i) the execution by the parties of the Design Build Agreement, or (ii) two hundred twenty five (225) days of the Date of Agreement (the “Term of the Negotiation Period”) at which time this Agreement shall automatically terminate unless sooner terminated pursuant to Section 10 or extended by the parties, each acting at its sole and absolute discretion. c. Agreement to Negotiate. The City (by and through its staff and consultants) and Developer agree that for the term of the Negotiation Period (whether said period expires or is earlier terminated by the provisions herein) each party shall negotiate diligently and in good faith to carry out its obligations under this Agreement with the goal of coming to agreement on a Developer Agreement.

The Developer expressly agrees and acknowledges that its rights pursuant to this Agreement are subject to and based upon compliance by the Developer with this Agreement (including without limitation the making of all submittals required pursuant to this Agreement, in conformity with this Agreement). d. Supplemental Progress Reports. In addition to the requirements of Section 1 above, for so long as this Agreement remains in effect Developer agrees to organize weekly online meetings with City staff, to organize an in-person meeting at least monthly, and to provide monthly written reports (to include the Project Budget, Risk Management Strategies, Master Project Schedule, ENA Period Budget, and Sustainability and Life Cycle Cost Analysis) to City Staff advising the City on all matters and all studies being made in furtherance of full transparency and collaboration.

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3. No Predetermination of City Discretion; No Assurances as to Actions of Other Entities .

The Parties agree and acknowledge that nothing in this Agreement in any respect does or shall be construed to affect or prejudge the exercise of the City’s discretion. Further, nothing in this Agreement in any respect does or shall be construed to affect or prejudge the City’s discretion to consider, negotiate, or undertake the acquisition and/or development of any portion of the Property, or shall affect the City’s compliance with the laws, rules, and regulations governing land uses, environmental review, or disposition of the Property.

4. Environmental, Permits, and Other Requirements . The City shall be responsible for compliance with the California Environmental Quality Act and the condition of the Site. Completion of the CEQA process is anticipated for January 9, 2024. The City will be responsible for securing a conditional use permit for the Project, if applicable.
(a) The Developer will be responsible for securing required entitlements and permits. The only permit identified by the City is an AQMD permit for air particulates during construction. (b) The City will directly pay the Developer for costs related to removal and disposal of hazardous substances from soil and existing buildings.
(c) The City will provide assistance with coordinating with utility owners for utility relocation as required.
(d) The City will provide the recently completed geotechnical assessment of the Site to the Developer.

5. Right of Entry. Ownership of the property will remain with the City during the period covered by this Agreement. The Developer will have right of access pursuant to a right of entry agreement for specified purposes, with notice to the City.

6. Stakeholder Engagement . Developer agrees to participate, as needed, in meetings with stakeholders and community regarding proposed projects. This will include producing presentation materials including renderings, schedules, budgets, etc. in a format suitable for viewing at a public meeting.

7. Costs and Expenses . Except as otherwise provided in this Agreement, each party shall be responsible for its own costs and expenses in connection with any activities and negotiations undertaken in connection with the performance of its obligations under this Agreement. The City may include its internal costs and its actual and direct third-party costs in the Total Project Cost to be reimbursed through the Project Financing, but in such event, the Affordability Range may be adjusted.

8. No Change in Developer or its Constituent Members. The Developer shall within three (3) days of this Agreement make full disclosure to the City of all pertinent information concerning the Developer team as referenced in Section 2(a)i, including any joint venture partners. The qualifications of the Developer team and its key personnel are of particular interest to the City. Consequently, no person or entity, whether a voluntary or involuntary successor of Developer, shall acquire any rights or powers under this Agreement nor shall the Developer assign all or any part of this Agreement without the prior written approval of the City, which approval the City may grant, withhold, condition, or deny at its sole and absolute discretion. Any other purported transfer, voluntarily or by operation

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of law, shall be absolutely null and void and shall confer no rights whatsoever upon any purported assignee or transferee.

9. Lead Negotiators . ____________, _____________ and _________ shall be the lead negotiators for the City with respect to the subject matter of this Agreement. ___________ and __________ shall be lead negotiators for Developer with respect to the subject matter of this Agreement. Lead negotiators for the Developer shall have authority to contractually bind the Developer.

10. Insurance and Indemnification.
a. Insurance Requirements.
(1) Commencement of Work. Developer shall not commence work under this Agreement until all certificates and endorsements have been received and approved by the City. All insurance required by this Agreement shall contain a Statement of Obligation on the part of the carrier to notify the City of any material change, cancellation, or termination at least thirty (30) days in advance. (2) Workers Compensation Insurance. For the duration of this Agreement, Developer and all subcontractors shall maintain Workers Compensation Insurance in the amount and type required by law, if applicable. The insurer shall waive its rights of subrogation against the City, its officers, officials, agents, employees, and volunteers.
(3) Insurance Amounts. Developer shall maintain the following insurance for the duration of this Agreement:
(a) Commercial general liability in an amount not less than $2,000,000 per occurrence; (claims made and modified occurrence policies are not acceptable); Insurance companies must be approved by the City, admitted and licensed in California, and have a Best’s Guide Rating of A-, Class VII or better, as approved by the City;
(b) Automobile liability in an amount not less than of $1,000,000 per occurrence; (claims made and modified occurrence policies are not acceptable) Insurance companies must be approved by the City, admitted and licensed in California, and have a Best’s Guide Rating of A-, Class VII or better, as approved by the City.
(c) Professional liability in an amount not less than $2,000,000 per occurrence; Insurance companies must be acceptable to City and have an AM Best’s Guide Rating of A-, Class VII or better, as approved by the City. If the policy is written on a “claims made” basis, the policy shall be continued in full force and effect at all times during the term of the Agreement, and for a period of three (3) years from the date of the completion of services provided. In the event of termination, cancellation, or material change in the policy, Developer shall obtain continuing insurance coverage for the prior acts or omissions of Developer during the course of performing services under the term of the agreement.

The coverage shall be evidenced by either a new policy evidencing no gap in coverage, or by obtaining separate extended “tail” coverage with the present or new carrier. (4) (a) An Additional Insured Endorsement, ongoing and completed operations, for the policy under section 3(a) shall designate City, its officers, officials, employees, agents, and volunteers as additional insureds for liability arising out of work or operations performed by or on behalf of the

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Developer. Developer shall provide to City proof of insurance and endorsement forms that conform to City’s requirements, as approved by the City.
(a) An Additional Insured Endorsement for the policy under section 3(b) shall designate City, its officers, officials, employees, agents, and volunteers as additional insureds for automobiles owned, lease, hired, or borrowed by Developer. Developer shall provide to City proof of insurance and endorsement forms that conform to City’s requirements, as approved by the City. (b) For any claims related to this Agreement, Developer’s insurance coverage shall be primary insurance as respects to City, its officers, officials, employees, agents, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, agents, or volunteers shall be excess of the Developer’s insurance and shall not contribute with it. (c) If Developer maintains higher insurance limits than the minimums shown above, Developer shall provide coverage for the higher insurance limits otherwise maintained by the Developer. b. Indemnification. To the fullest extent permitted by law, Developer agrees to protect, defend, and hold harmless City and its elective or appointive boards, officers, agents, and employees from any and all claims, liabilities, expenses, or damages of any nature, including attorneys’ fees, for injury or death of any person, or damages of any nature, including interference with use of property, arising out of, or in any way connected with the negligence, recklessness and/or intentional wrongful conduct of Developer, Developer’s agents, officers, employees, subcontractors, or independent contractors hired by Developer in the performance of the Agreement. The only exception to Developer’s responsibility to protect, defend and hold harmless City, is due to the sole negligence, recklessness and/or wrongful conduct of City, or any of its elective or appointive boards, officers, agents, or employees. This hold harmless agreement shall apply to all liability regardless of whether any insurance policies are applicable and shall survive termination of this Agreement. The policy limits do not act as a limitation upon the amount of indemnification to be provided by Developer.

11. Address for Notices. Any notices pursuant to this Agreement shall be in writing and sent (i) by Federal Express (or other established express delivery service which maintains delivery records), (ii) by hand delivery, or (iii) by certified or registered mail, postage prepaid, return receipt requested, to the following addresses:

To City: City of Garden Grove
Attention: Lisa Kim, City Manager
11222 Acacia Parkway
Garden Grove, California 92842
With a copy to: Stradling Yocca Carlson & Rauth
660 Newport Center Drive, Suite 1600
Newport Beach, California 92660
Attention: Thomas P. Clark, Jr.

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City Attorney
Attention: Omar Sandoval, Director & Shareholder
Woodruff & Smart
555 Anton Boulevard, Suite 1200
Costa Mesa, California 92626
To Developer:

Attn:

12. Default. Failure by either party to perform one or more of its duties as provided in this Agreement shall constitute an event of default under this Agreement. The non-defaulting party shall give written notice of a default to the defaulting party, specifying the nature of the default, the action required to cure the default, and the time period of ten (10) days within which to cure or commence to cure the default.

13. Remedies for Breach of Agreement. In the event of an uncured default under this Agreement, the sole remedy of the non-defaulting party shall be to terminate this Agreement. Following such termination, except as provided in Section 11 below, neither party shall have any further rights, remedies or obligations under this Agreement. Neither party shall have any liability to the other for monetary damages or specific performance for the breach of this Agreement, or failure to reach agreement on a Developer Agreement as to the Property, and each party hereby waives and releases any such rights or claims it may otherwise have at law or at equity. Furthermore, the Developer knowingly agrees that it shall have no right to specific performance nor to claim any right of title or interest in the Property or any portion thereof.

14. Termination. This Agreement shall: (i) automatically terminate upon the expiration of the Term of the Negotiation Period, or (ii) terminate by written notice in the event of an uncured default by either party, or (iii) either party may terminate the Agreement upon fourteen (14 ) days’ written notice, without cause (“Termination”). In the event of Termination, as the sole and exclusive remedy of the Parties, the City shall reimburse the Developer for all documented external professional services costs and construction costs (such costs not to exceed the amounts set forth in the ENA Period Budget for the commensurate period), incurred by the Developer in connection with its implementation of Section 2 of this Agreement. In exchange for such payment, the City shall be given sole and exclusive ownership of all work product of the Developer in connection with the implementation of Section 2 of this Agreement. If the City terminates this Agreement without cause, the Developer’s documented internal costs will also be reimbursed by the City in an amount not to exceed the commensurate period in the ENA Period Budget. The provisions of this Paragraph 14 do not apply in the event that this Agreement has been superseded by a Design Build Contract.

15. Tim
e of Essence. Time is of the essence of every portion of this Agreement in which time is a material part. During the Negotiation Period the time periods set forth in this Agreement for the performance obligations hereunder shall apply and commence upon a complete submittal of the applicable information or occurrence of an applicable event. In no event shall an incomplete submittal by the Developer trigger any of the City’s obligations of review, approval and/or performance hereunder; provided, however that the City shall notify the Developer of an incomplete submittal as soon as is practicable and in no event later than the applicable time set forth for the City’s action on the particular item in question. Further, the time periods set forth herein are outside dates of DRAFT

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performance. In the event a party completes a performance item earlier than the time required hereunder, the time for the next performance obligation of a party shall commence. Thus, the parties agree that the requirements hereunder may occur and be completed in a shorter time frame than set forth herein.

16. Real Estate Commissions . The City shall not be liable for any real estate commission, brokerage fees, or finders fees which may arise with respect to this Agreement.

17. Developer Not an Agent. The Developer is not an agent of the City.

18. Press Releases. The Developer agrees to discuss any press releases with the City Manager or his designee prior to disclosure or publication in order to assure accuracy and consistency of the information. The City, in its sole discretion, may decline the issuance of any press release.

19. Entire Agreement. This Agreement constitutes the entire understanding and agreement of the parties, integrates all of the terms and conditions mentioned herein or incidental hereto, and supersedes all negotiations or previous agreements between the parties or their predecessors in interest with respect to all or any part of the subject matter hereof.

20. Agreement Does Not Constitute Development Approval. The City reserves final discretion and approval as to any sublease or development and all proceedings and decisions in connection therewith. This Agreement shall not be construed as a grant of development rights or land use entitlements to construct the Project. All design, architectural, and building plans for the Project shall be subject to the review and approval of the City and such governmental entities properly exercising authority with respect thereto. By its execution of this Agreement, the City is not committing itself to or agreeing to undertake the disposition of the Property to the Developer, or any other acts or activities requiring the subsequent independent exercise of discretion by the City or any agency or department thereof.

21. Governing Law. This Agreement shall be construed in accordance with the laws of the State of California.

22. Implementation of Agreement . The City shall maintain authority to implement this Agreement through the City Manager (or his or her duly authorized representative). The City Manager shall have the authority to issue interpretations, waive provisions, and/or enter into certain amendments of this Agreement on behalf of the City so long as such actions do not materially or substantially change the uses or concept of the Project, or add to the costs or risks incurred or to be incurred by the City as specified herein, and such interpretations, waivers and/or amendments may include extensions of time to perform. All other materials and/or substantive interpretations, waivers, or amendments shall require the collective consideration, action and written consent of the governing board of the City.

23. No Third Party Beneficiaries. There are no third-party beneficiaries of this Agreement.

24. Waiver of Damages. Each party hereby waives any claim for monetary damages for breach or default hereunder.

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NOW THEREFORE, the Parties have executed this Negotiation Agreement as of the date and year first set forth above.

CITY:

CITY OF GARDEN GROVE, a municipal
corporation
By:

City Manager
APPROVED AS TO FORM:

Stradling Yocca Carlson & Rauth PC
Special Counsel to City

Woodruff & Smart
City Attorney
By Omar Sandoval
DEVELOPER:
____________________, a __________
By:
__________
Its: __________

A-1
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EXHIBIT “A”

MAP OF THE SITE
[to come]

B-1
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EXHIBIT “B”

ENA PERIOD BUDGET
[to come]

C-1
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EXHIBIT “C”
Monthly reporting requirements:

Project Budget for the construction period
Risk Register for the development and construction period Master Project Schedule for the construction period
Financing Approach updates
Costs actually incurred by the Developer during the term of the ENA Sustainability Goals tracker
Life Cycle Cost analysis