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A-93-913
1 URBAN COUNTY
2 COMMUNITY DEVELOPMENT BLOCK GRANT AND
HOME INVESTMENT PARTNERSHIP ACT
3 COOPERATION AGREEMENT
5 THIS AGREEMENT is entered into this L _ day of Jvly, 1993, by and between the City of 6 RIPON! , hereinafter referred to as Recipient, and the County of San Joaquin, hereinafter referred 7 8 to as County.
WHEREAS, the Recipient is a duly constituted corporation under the laws of the State of 10 California, and is empowered thereby to undertake essential community development and housing 11 assistance activities, specifically urban renewal and publicly assisted housing; and 12 WHEREAS, the County is duly constituted subdivision of the State of California, and is aiso 13 empowered by State law to undertake essential community development and housing assistance 14 activities, specifically urban renewal and publicly assisted housing; and 15 WHEREAS, Government Code Sections 6500, et seq., authorize two or more public agencies to 16 jointly exercise any power common to both; and
17 WHEREAS, the County shall be responsible for the application for grants available to the Urban 18 County; and
19 WHEREAS, it is mutually desired by the parties hereto to enter into a Cooperation Agreement, in 20 accord with the Housing and Community Development Act of 1974, as amended, and applicable Federal rules and regulations adopted pursuant thereto, whereby the parties shall jointly undertake community 22 development and housing assistance activities financed in whole or in part by Community Development 23 Block Grant (CDBG) funds; and
24 WHEREAS, the Department of Housing and Urban Development requires the County, as grant 25 applicant, to enter into written agreement with recipients of Home Investment Partnership Act (HOME) 26 funds, pursuant to 24 CFR 92.504.
27 NOW, THEREFORE, BE IT RESOLVED as follows:
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I. The parties hereto agree to cooperate to undertake, or assist in undertaking, community 2 renewal and lower income housing assistance activities, specifically urban renewal and publicly assisted housing, pursuant to the Housing and Community Development Act of 4 1974, as amended, and HOME Program guidelines, 24 CFR Part 92. 5 I1. The parties agree that:
6 A. COBG Allocation
7 Annual CDBG allocations will be distributed to the Recipient based on the criteria 8 contained in the Urban County Allocation Agreement adopted by both the Recipient and the County.
10 CDBG Eligible Activities
11 Each activity undertaken shall meet one of the mandated national objectives, set 12 forth in 24 CFR 570,208. Final determination's of eligibility shall be made by the 13 County, and provided to the Recipient. Eligible activities may include the 14 following:
Activities which benefit low and moderate income persons. The 15 16 Recipient shall document income limits applied, and the point in time 17 when the benefit was determined.
18 2. Activities which benefit low and moderate income persons based on the 19 area served by the activity. The Recipient shall document:
20 a. The boundaries of the service area; and
21 b. The income characteristics of families and unrelated individuais 22 in the service area.
23 3. Activities which benefit low and moderate income persons because the 24 activity involves a facility or service designed for use by a limited clientele 25 consisting exclusively or predominantly of low and moderate income 26 persons. The Recipient shall document:
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:
1 a. The facility or service is designed for, and used by, senior 2 citizens, handicapped persons, battered spouses, abused 3 children, the homeless, illiterate persons, or migrant farm workers 4 (presumptive low/mod benefit); or
5 The nature and, if applicable, the location of the facility or service and that it is used predominantly by low and moderate income 7 persons; or
8 C. The size and annual income of the family of each person receiving the benefit.
10 4. Activities which benefit low and moderate income persons based on the 11 creation of jobs. The Recipient shall provide:
12 a. A copy of a written agreement from each assisted business 13 containing:
14 (1) a commitment by the business that it will make at least 15 51% of the jobs available to low and moderate income 16 persons, and will provide training for any of these jobs 17 requiring special skills or education; and
18 (2) a listing by job title of the permanent jobs to be created, 19 which jobs require special skills or education, and which 20 jobs are part-time, if any; and
(3) a description of actions to be taken by the Recipient and 21 22 business to ensure that low/mod income persons receive 23 first consideration for these jobs.
24 b. A listing by job title of the permanent jobs filled, and which jobs of those were available to low/mod income persons, and a listing 25 3.
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:
of low/mod income persons interviewed for a particular job; and which low and moderate income persons were hired.
2 Activities which benefit low and moderate income persons based on the 3 retention of jobs. The Recipient shall provide:
4 Evidence that, in the absence of CDBG assistance, jobs would 5 a.
be lost; and
For each business assisted, a listing by job title of permanent b.
jobs retained; and
8 For each retained job claimed to be held by a low/mod income c.
person, information of the size and annual income of the 10 = person's family.
Activities which aid in the prevention or elimination of slums or blight 12 6.
based on addressing one or more of the conditions which qualified an 13 area as a slum or blighted area. The Recipient shall provide:
14 a. The boundaries of the area; and
15 A description of the conditions which qualified the area at the 16 b.
time of its designation in sufficient detail to demonstrate how the 17 area met the slum and/or blight criteria.
18 Activities which meet a community development need having a particular 19 7.
urgency. The Recipient shall document:
20 The nature and degree of seriousness of the condition, requiring 21 a.
assistance; and
22 That the CDBG activity was designed to address the urgent 23 need; and
24 The timing of the development of the serious condition; and 25 C.
4. 1 d. Evidence that confirm that other financial resources to alleviate 2 the need were not available.
3 COG Eligibility Determination
The Recipient shall demonstrate that an eligibility determination was made as 4 5 prescribed in 24 CFR 570.201. Final determination's of eligibility shall be made 6 by the County, and provided to the Recipient.
COBG Property Acquisition or Improvement
8 The Recipient shall document any real property acquisition or improvement in 9 whole or in part using CDBG funds that exceeds $25,000. A subrecipient may 10 not change the use, or planned use, of any such property, (including the 11 beneficiaries of such use), from that for which the acquisition or improvement was 12 made, for five years after the closeout of the grant, unless the Recipient provides 13 affected citizens with reasonable notice of, and opportunity to comment on, any 14 such proposed change, and either:
15 The new use of such property qualifies as meeting one of the national 16 objectives, and is not a building for the general conduct of government; 17 or
18 2. The property is disposed of in a manner which results in the amount of 19 the current fair market value of the COBG funded acquisition or im- 20 provement, and the Recipient's CDBG Program is reimbursed in this 21 amount.
22 COBG Citizen Participation
23 The Recipient shall comply with the citizen participation requirements as follows:
24 Provide citizens with information concerning the amount of CDBG funds 25 expected to be available; and
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Provide citizens with the range of activities that may be undertaken with 1 CDBG funds; and
2 3. Hold at least one public hearing to obtain citizen views on community 3 needs; and
4 4. Publish community-wide, its proposed statement of community devel- 5 opment objectives and projected use of CDBG funds so as to afford 6 affected citizens the opportunity to comment.
F. CDBG Subrecipient Agreements
8 The Recipient shall enter into agreements with all subrecipients that, at a minimum, includes the requirements of this agreement, and the following:
10 Suspension or termination may occur if the subrecipient materially fails 11 to comply with any term of the award in accordance with 24 CFR 85.43, 12 and that the award may be terminated for convenience in accordance 13 14 with 24 CFR 85.44; and
2. Where applicable the subreceipient will comply with conditions pre- 15 scribed in 24 CFR 570.200(j) for the use of funds by religious organiza- 16 17 tions.
18 G. CDBG Recordkeeping
The Recipient shall establish and maintain sufficient records to enable The 19 Department of Housing and Urban Development (HUD), to determine whether the 20 Recipient has met the requirements of 24 CFR 570, Community Development 21 Block Grant Program. At a minimum, the foilowing records are needed:
22 Records providing a full description of each activity assisted (or being 23 assisted) with CDBG funds including its location the amount of CDBG 24 funds budgeted, obligated and expended for the activity and the eligibility 25 26 provision.
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1 H. CDBG Reports
2 The Recipient shall submit the following performance and/or evaluation reports 3 to the County to facilitate mandated reporting to HUD:
1. A quarterly calendar report of progress and accomplishments for all 4 5 funded activities, to include a quantitative list of activity beneficiary 6 type(s); and
7 2. An annual equal employment opportunity report (HUD/EEO-4) on Recipient employment, containing data as of June 30th; and 8 9 3. A semi-annual Minority Business Enterprise Report by March 30th, 10 indicating contract and subcontract activity during the first half of the 11 fiscal year and, by September 30th, a report on such activity during the 12 second half of the year; and
13 4. The Recipient's may be required to submit such other reports and infor- 14 mation as HUD determines are necessary to carry out its responsibilities. 15 1. COBG Program Income
16 The Recipient shall inform the County of any program income generated by 17 expenditure of CDBG funds. Program income earned by the Recipient is to be 18 returned to the County or retained by the Recipient. Where program income is 19 to be retained by the Recipient, program income may be used only for eligible 20 activities, subject to all applicable requirements governing the use of CDBG 21 funds. When the subrecipient retains program income, program income shall be 22 substantially disbursed before additional drawdowns of grant funds are made for 23 the same activity. Upon close-out or change in status, the Recipient shall return 24 to the County all program income on-hand and received subsequent to close-out 25 or change in status.
26 COBG Administration
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1 As the primary general-purpose local government unit under the Housing and 2 Community Development Act of 1974, as amended, it shall be the responsibility 3 of the County to apply for grants, to administer all funds received, and to undertake or assist in undertaking essential community development and housing 4 5 assistance activities.
The County shall maintain records in accordance with applicable statutes 7 and regulations and with approved accounting procedures, and said 8 records shall be available for public inspection at all times; and
2. The County and the Recipient shall take all required actions necessary 9 10 to comply with:
11 a. Section 104 (b) of Title I of the Housing and Community Devel- 12 opment Act of 1974, as amended, including Title VI of the Civil 13 Rights Act of. 1964, Title VIll of the Civil Rights Act of 1968, 14 Section 109 of Title I of the Housing and Community Develop- 15 ment Act of 1974, and other applicable laws, and
16 b. Provision of the National Environmental Policy Act of 1969. 17 K. CDBG Uniform Administrative Requirements
18 The Recipient shall comply with applicable uniform administrative requirements, 19 as described in 24 CFR 570.502 and the Urban County's certification required by 20 Section 104 (b) of Title I the Housing and Community Development Act of 1974, 21 as amended including Title VI of the Civil Rights Act of 1964, Title VIll of the Civil 22 Rights Act of 1968, Section 109 of Title I of the Housing and Community 23 Development Act of 1975, and other applicabie laws.
24 L. Reversion of CDBG Assets
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The Recipient and any of its subrecipients shall, at the expiration of the CDBG 1 grant, transfer to the County any CDBG funds on hand at the time of expiration, 2 and any accounts receivable attributable to the use of CDBG funds. 3 M. COBG Audit
4 Annually, the Recipient shall undertake an audit of its entire operation, by an 5 independent auditor, in accordance with generally acceptable government Results of this audit shall be
auditing standards covering financial audits.
7 forwarded to the County within 30 days of completion of the audit. Additionally, 8 the Recipient and any subrecipients of CDBG funds shall make available for review all documentation related to the utilization of CDBG funds upon notification 10 by HUD, the County or their designated agents.
12 N. CDSG Property and Acquisition
Property records are to be maintained for all equipment acquired with CDBG 13 funds having an initial acquisition cost of $5,000 or more. A copy of the property 14 record should be forwarded to the County upon receipt of the equipment. 15 CDBG Subrecipient Agreement
16 Pursuant to 24 CFR 570.501 (b), the Recipient is subject to the same require- 17 ments applicable to subrecipients, including the requirement of a written agreement set forth in 24 CFR 570.503.
19 20 III. The parties further agree that:
21 A. HOME Allocation:
Annual HOME allocations will be distributed to the Recipient based upon the 22 formula established within the Urban County Allocation Agreement. The HOME 23 allocation will be reduced by 15% to meet HUD's Community Housing Develop- 24 ment Organization (CHDO) set-aside mandate and up to 10% to cover costs 25 related to compliance with HOME administrative requirements. An additional 5% 26 -9-
of the HOME allocation may be set-aside for CHDO administrative related 1 expenses. The net HOME allocation will be used as the basis for the Urban 2 County allocation of funds. Once the Recipient is informed of its HOME allocation, the Recipient will submit a detailed listing of activities to be performed, 4 a schedule for completing the activities, and a budget. 5 6 B. HOME Eligible Activities:
HOME funds may only be used for eligible activities as reflected in 24 CFR 7 92.205. Eligible activities include:
8 Moderate Rehabilitation - construction to an existing structure where the 9 average total development cost is less than or equal to $25,000. 10 Substantial Rehabilitation - Rehabilitation where the average total 11 development cost of the project is greater than $25,000. 12 Conversion - Conversion of an existing structure from an alternative use 13 14 to affordable residential housing.
4. Reconstruction - Building a new structure on an existing foundation. 15 16 New Construction - Newly build residential project.
6. Tenant Based Assistance - Rental assistance to eligible tenants. 17 18 Acquisition of Property
19 8. Relocation Costs
Administrative Costs - Limited to 10% of annual allocation. (Reserved for 20 9.
actual HOME program administration by the participating jurisdiction.) 21 22 10. Project Soft Costs:
23 a. Finance related costs
b. Pre-construction related costs
24 C. Project audit costs
25 d. Affirmative marketing and fair housing
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C. HOME Income Targeting
1 HOME funds may only be used in pursuit of providing affordable housing for low 2 income and very low income families and individuals; 100% of HOME funds must 3 be used to benefit families and individuals whose annual income falls at or below 4 80% of the County median income.
5 Rental Housing -
6 At least 90% of HOME funds must be invested in units that are a.
7 occupied by families whose incomes do not exceed 60% of the 8 median family income for the area; and
9 The remaining funds (up to 10%) must be invested in units b.
10 occupied by families below 80% of median income, and if a 11 rental housing project has 3 or more units, 20% of HOME monies 12 must be spent on units occupied by families whose incomes are 13 less than or equal to 50% of the median family income for the
14. area.
15 Homeownership -
16 HOME funds must benefit first-time homebuyers, existing low- a.
17 income homeowners whose family incomes are at or below 80% 18 of the area median income.
19 D. Home Affordability
20 1. Rental Housing
21 HOME assisted unit rents must be at or below the lesser of a.
22 either:
23 The existing Section 8 Fair Market Rent, or
(1)
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30% of the adjusted income of a family whose income is
(2)
1 less than or equal to 80% of the median income for the 2 area (High Home Rent);
3 Remain affordable for the following terms based on the average b.
4 HOME subsidy per unit:
5 Rehabilitation of up to $15,000 5 years
6 Rehabilitation off $15,000 - $40,000 10 years
7 Rehabilitation of $40,000 + 15 years
8 New Construction (any amount) 20 years
9 Have at least 20% of a project's units occupied by very low- 10 c.
income families paying not more than 30% of monthly adjusted 11 12 gross income for rent.
2. Homeownership-
13 Benefit first time homebuyer whose family income is at or below 80% of 14 the area median income, and the purchase price of the property must be 15 less than 90% of the median area purchase price.
16 To insure compliance with the aforementioned affordability criteria, a 17 3.
Deed of Trust shall be recorded on the benefiting property securing the 18 HOME investment. The County of San Joaquin shall be named as 19 beneficiary on the Deed of Trust. In the event of default or prepayment, 20 and subsequent liquidation of debt, the County will credit the Recipients 21 HOME account equal to the liquidated amount.
22 E. Maximum Per Unit HOME Subsidy
23 The maximum per unit subsidy for San Joaquin County is:
24 0 Bedrooms $54,870
25 1 Bedroom $62,898
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2 Bedrooms $76,483
1 3 Bedrooms $98,943
2 4 Bedrooms $108,609
3 F. HOME Repayments
4 Repayment, interest, and other return on the investment of HOME funds are to 5 be remitted to the County to be used later by the Recipient for subsequent 6 HOME eligible activities.
7 Uniform Administrative Requirements for HOME
8 The Recipient shall comply with applicable uniform administrative requirements, 9 as described in 24 CFR Part 92.505(a).
10 H. HOME Housing Quality Standards
11 Owners of rental housing assisted with HOME funds must maintain the housing 12 •
in compliance with applicable Housing Quality Standards and local code 13 requirements for the duration of the agreement (for a period of 5-20 years, or 14 longer if FHA insurance is used).
15 16 I. Other Federal Requirements
The Recipient shall compiy with the following federal requirements when making 17 HOME funds available.
18 Equal Opportunity - No person in the United States shall, on the grounds 19 of race, color, national origin, religion or sex, be excluded from participa- 20 tion in, be denied the benefits of, or be subjected to discrimination under 21 any program or activity funded in whole or in part with HOME funds. 22 Fair Housing Act and implementing regulations at 24 CFR part a.
23 100; E.O. 11063, as amended by E.O. 12259 (Equal Opportunity 24 in Housing) and implementing regulations at 24 CFR 107; and 25 - 13-
Title VI of the Civil Rights Act of 1964 (Nondiscrimination in 1 Federally Assisted Programs).
2 Age Discrimination Act of 1975 and implementing regulations and b.
the prohibition i against discrimination against handicapped 4 individuals under Sec. 504 of the Rehabilitation Act of 1973 and 5 implementing regulations.
6 The requirements of E.O. 11246 (Equal Opportunity Employment) C.
7 and implementing regulations.
8 d. The requirements of E.O. 11625 and 12432 (concerning Minority Business Enterprise), and 12138 (concerning Women's Business 10 Enterprise).
2. Fair Housing - The Recipient will affirmatively further fair housing. 12 13 J. Affirmative Marketing
The Recipient shall establish affirmative marketing procedures and requirements 14 for HOME assisted housing containing five or more housing units. 15 16 K. HOME Flood Insurance
HOME funds may not be used with respect to acquisition, new construction or 17 rehabilitation of a project located in an area identified by FEMA as having special 18 flood hazards, unless the Recipient's community is participating in the National 19 Flood Insurance Program, and flood insurance is obtained as a condition of 20 approval of the commitment.
22 L. HOME Disbursements
Disbursement requests must be made through the County. Disbursements will 23 not be made until needed for payment.
24 M. HOME Subrecipient Agreement
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The Recipient must enter into an agreement with all subrecipients of HOME funds ensuring compliance with HOME Program requirements. The agreement 2 should include each of the parts stated in 24 CFR Part 92.504. 3 N. Community Housing Development Organization (CHDO)
4 This set-aside will be placed in an established fund, and will be distributed 5 annually, in a lump sum, to a qualified CHDO performing a HOME eligible activity. 6 The selection of a qualified CHDO will be conducted by a committee, consisting 7 of a representative from each Urban County jurisdiction. 8 HOME Matching Funds
9 The Recipient shall contribute any matching funds for rental assistance; 10 rehabilitation and substantial rehabilitation; and new construction for HOME assisted projects, as required by HUD. Any matching requirement for HOME 12 funds allocated in FY 1992 is waived.
13 14 HOME Recordkeeping
The Recipient shall maintain the following records, subject to audit:
15 1. Source of funds for each project;
16 2. Efforts to maximize participation by the private sector in HOME funded 17 18 projects;
Description of each activity assisted with HOME funds, to include census 19 3.
tract location, the amount of HOME funds budgeted, committed and 20 expended for the activity;
21 Documentation demonstrating compliance with match requirements; 22 4.
For each family assisted, records that demonstrate income targeting, and 23 unit affordability;
24 Documentation of equal opportunity and fair housing compliance; 25 -15-
Documentation and data on the steps taken to implement the Recipient 1 outreach program to minority and female owned businesses; and 2 8. Records to demonstrate compliance with environmental review require- 4 ments.
Q. HOME Record Retention
Records must be retained for three years after closeout of funds, and/or three 6 7 years after period of affordability expires.
8 HOME Reports
Annually, by September 15th, a report prepared by the Recipient shall be 9 10 submitted to the County and shall include at a minimum:
Analysis of the Recipient's efforts to maximize participation by the private 11 12 sector;
An analysis of the extent to which HOME funds were distributed among 13 14 different housing categories;
3. An assessment of the Recipient's minority outreach program, including 15 analysis of participation by minorities and women and entities owned by 16 17 minorities and women; and
4. A listing of housing related activities benefiting low income persons 18 undertaken in the Recipient's jurisdiction, assisted with federal, non- 19 20 federal or private funds.
21 Reversion of HOME Assets
The Recipient and any of its subrecipients shall, at the expiration of this 22 23 agreement, transfer to the County any HOME funds on hand at the time of expiration, and any accounts receivable attributable to the use of HOME funds. 24 25 HOME Certifications
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The Recipient certifies to the County it is in compliance with the Certifications 1 included within Attachment 2.
2 U. Use of HOME Funds
3 HOME funds must be obligated by the Recipient to a specific project 4 within 15 months of award. CHDO set-aside must be obligated within 18 5 months of award.
2. If the Recipient determines that it cannot obligate its allocation within 15 7 months of award, a bank will be established where unobligated HOME 8 allocations will be placed for use by jurisdictions who have identified a 9 HOME eligible projects). Any jurisdiction using a Recipient's banked 10 HOME allocation, will owe the Recipient an equal amount of subsequent 12 HOME allocations.
13 IV. Environmental Standards
Prior to the commencement of each HOME and CDBG funded activity, the Recipient will 14 complete all mandated environmental reviews in compliance with 24 CFR Part 58, 15 Environmental Review Procedures for Community Development Block Grants. The 16 County will determine the required environmental review procedure to be completed for 17 each activity, and provide technical assistance to facilitate compliance. 18 19 Certifications & Disclosures
Attachment 1 includes Grantee Certifications which are mandated by HUD. The 20 Recipient shall certify that it has adopted and will enforce policies as foilows:
22 A. Drug free work place.
Prohibition of excessive use of force within Recipient's jurisdiction. 23 B.
C. Enforce state laws against physically barring entrance to or exit from facilities 24 25 subject to non-violent civil rights demonstrations The Recipient shall certify and disclose to the County accordingly. 26 -17-
1 VI. Term Of Agreement
The terms of this Agreement shall apply to activities which will be funded from Fiscal 2 Years 1994-1996 CDBG allocations and HOME allocations from Federal Fiscal Years 1992- 3 4 1996.
A. Any notice of intent to terminate or withdraw from this Agreement by either of the 5 parties hereto shall have no effect until September 30, 1996, the end of the three 6 year Urban County qualification period and such additional time that may be 7 required for the expenditure of funds, granted to the County for such period. 8 This Agreement shall remain in effect during any period that Recipient or any 9 subrecipients of CDBG funds have control over CDBG or HOME funds, including 10 11 program income.
C. This agreement will automatically renew at the end of the three year Urban 12 County qualification period, if no changes to the agreement are required by HUD 13 that would require the execution of a new agreement. The renewal period will 14 15 coincide with the period of subsequent Urban County qualification. 16 VII. Fair Housing
CDBG or HOME funding for activities in or in support of any cooperating unit of general 17 18 local government that does not affirmatively further fair housing within its own jurisdiction 19 or that impedes the county's actions to comply with its fair housing certication lo 20 prohibited.
21 VIII. Amendments
As CDBG or HOME requirements change, the terms of this Agreement will change. 22 CDBG and HOME program changes affecting this Agreement shall be attached 23 24 unilaterally by the County as amendments to this Agreement. A copy of all amendments 25 shall be forwarded to the Recipient.
26 IX. Other Programs
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1 That by executing this agreement the Recipient:
May not apply for grants under the Small Cities or State CDBG Programs for 2 A.
fiscal years in which it is a participant in the Urban County CDBG program; and 3 B. May not participate in HOME consortium except through the Urban County. 4 5
IN WITNESS WHEREOF, the parties have executed the above instrument on the day and year first 6 7 above written.
8 RECIPIENT
9 COUNTY
10 loves sy: him Das
11 By:_ VIM DALE , Mayor
WILLIA N. SOUSA, Chairman City of Ripon
12 13 Board of Supervisors
14 15
16 ATTEST:
17 ATTEST: JORETTA J. HAYDE
18 Clerk of the Board of Supervisors TARRHIN ERNEST THURST, Deputy City Clerk 19 of the County San Joaquin, City of_Ripon
20 State of California
21 sury unite oll:
22 FORNIA
23 Deputy Clerk
24 25
26 APPROVED AS TO FORM:
27 28 JOHN F. CHEADLE
29 County, COUNSE I
30 31 By: Cauca N. zu, 12
32 EDWARD R. BURROUGHS
33 Deputy County Counsel
34 35
36 37
38 39
40 41
42 43 CO-OP.AGR
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6513.01
ATTACHMENT 1 Exhibit 4-2
COMMUNITY DEVELOPMENT BLOCK GRANT
GRANTEE CERTIFICATIONS
In accordance with the Housing and Community Development Act of Development Block Grant regulations, the grantee certifies that: as amended, and with 24 CFR 570.303 of the Community It possesses legal authority to make a grant submission and (a) to execute a community development and housing program; (b) Its governing body has duly adopted or passed as an official act a resolution, motion or gimilar action authorizing the person identified as the official representative of the grantee to submit the final statement and amendments thereto and all understandings and assurances contained therein, and directing and authorizing the person identified as the
official representative of the grantee to act in connection with the submission of the final statement and to provide such additional information as may be required;
Prior to submission of its final statement to BUD, the
(c)
grantee has:
1. Met the citizen participation requirements of
$570.301 (b) ;
2. Prepared its final statement of conmunity development objectives and projected use of funds in accordance
with $570.301(c) and made the final statement available to the public;
(d) It is following a detailed citizen participation plan which:
1. parties tenanases on participazen articipat of oth
and moderate income who are residents of slum and
blighted areas and of areas in which funds are proposed to be used, and provides for participation of residents in low and moderate income neighborhoods as defined by
the local jurisdiction;
2. Provides citizens with reasonable and timely access to local meetings, information, and records relating to.
the grantee's proposed use of funds, as required by the 9/92
1 6513.01
Exhibit 4-2
regulations of the Secretary, and relating to the
actual use of funds under the Act;
3. Provides for technical assistance to groups
representative oi persons of low and moderate income
that request such assistance in developing proposals.
with the level and type of assistance to be determined
by the grantee;
4. Provides for public hearings to obtain citizen views and to respond to proposals and questions at all stages of the community development program, including at
Least the development of needs, the review of proposed
activities, and review of program performance, which
hearings shall be held after adequate notice, at times
and locations convenient to potential or actual
beneficiaries, and with acconmodation for the
handicapped;
5. Provides for a timely written answer to written
complaints and grievances, within 15 working days where practicable; and
6. Identifies how the needs of non-English speaking
residents will be met in the case of public hearings
where a significant number of non-English speaking
residents can be ieasonably expected to participate;
(e) The grant will be conducted and administered in compliance with:
1. Title VI of the Civil Rights Act of 1964 (Public Law 58-35277 88-352, 42 U.S.C. $2000d et seg.); and
2. The Fair Housing Act (42 U.S.C. 3601-20) ;
(f) It will affirmatively further fair housing;
(g) It has developed its final statement of projected use of funds so as to give maximum feasible priority to activities which benefit low and moderate income families or aid in the prevention or elimination of slums or blight; (the final statement of projected use of funds may also include
activities which the grantee certifies are designed to meet other community development needs having a particular
urgency because existing conditions pose a serious and
immediate threat to the health or welfare of the community, 9/92 2
6513.01
Exhibit 4-2
and other financial resources are not available); except that the aggregate use of CDBG funds received under section 106 of the Act, and if applicable, under section 108 of the _(a period
specified by the grantee consisting of one, two, or three benefit persons of low and moderate income in a manner that speclIlc consecutive program years), shall principally for activities that benefit such persons during such period; ensures that not less than 70 percent of such funds are used It has developed a community development plan, for the
(1) identifies
period specified in paragraph (g) above, that and specifies both community development and housing needs short and long-tern community development objectives that have been developed in accordance with the primary objective and requirements of the Act;
(i) It is following a current comprehensive housing
affordability strategy (CHAS) which has been approved by BUD pursuant to $570.306 and Part 91, and that any housing
activities to be assistad with CDBG funds will be consistent with the CHAS;
(j) improvements assisted in whole of in part with funds It will not attempt to recover any capital costs of public provided under section 106 of the Act or with amounts
resulting from a guarantee under section 108 of the Act by assessing any amount against properties owned and occupied by persons of low and moderate income, including any fee charged or assessment made as a condition of obtaining
access to such public improvements, unless:
1. Funds received under section 106 of the Act are used to pay the proportion of such fee or assessment that
relates to the capital costs of
improvements that are financed from revenue sources
other than under Title I of the Act; or
2. For purposes of assessing any amount against properties owned and occupied by persons of moderate income,
grantee certifies to the Secretary that it lacks
sufficient funds received under section 106 of the Act
to comply with the requirements of subparagraph (1)
above;
9/92
3 6513.01
Exnibit 4-2
(K) Its notification, inspection, testing and abatement procedures concerning lead-based paint will comply with 5570-608;
(1) It will comply with the acquisition and relocation
requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act Of 1970, as amended, as equired under $570.606 (b) and Federal implementing
regulations; and the raguirements in 5570.606 (c) governing the residential, antidisplacament and Ielocation assistanca plan under section 104(d) of the Act (including a
certification that the grantee is following such a plan); and the relocation requirements of $570.606 (d) governing optional relocation assistance under secțion 105 (a) (11) Of the Act;
(III) It has adopted and is enforcing:
1. A policy prohibiting the use of excessive force by law any individuals engaged in non-violent civil rights enforcement agencies within its jurisdiction against demonstrations; and
2. A policy of enforcing applicable State and local laws jurisdiction;
(n) To the best of its knowledge and belief:
1. No Federal appropriated funds have been paid or will be influencing or attempting to influence an officer oi paid, by or on behalf of it, to any person for employee of any agency, a Member of Congress, an
officer or employee oí Congregs, or an employee of a
Member of Congress in connection with the awarding of
any Federal contract, the making of any Federal grant,
the making of any Federal loan, the entering into of
any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of
any Federal contract, grant, loan, or cooperative
agreement;:
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of
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Exhibit 4-2
grant, loan, oI cooperative agreement, it will complete Congress in connection with this Federal contract, and submit Standard Form-LL, "Disclosure Form to
Report Lobbying, " in accordance with its instructions; and
It will require that the language of paragraph (n) of
3. For all subacatdo at ain tudes inchedang a dontracts, for all subawards at
cooperative agreements) and that all subrecipients subgrants, and contracts under grants, loans, and shall certify and disclose accordingly;
(0) It will oI will continue to provide a drug-free workplace
1. Publishing a statement notifying employees that the
inlawul manutacture, distribution, dispensing, or use of a controlled substance is possession, in the grantee's workplace and specifying
prohibited
the actions that will be taken against employees for
violation of such prohibition;
Establishing an ongoing drug-free awareness program to
2. inform employees about -
(a) The dangers of drug abuse in the workplace;
(b) The grantee's policy of maintaining a drug-free
workplace;
(c) Any available drug counseling, rehabilitation, and
employee assistance programs; and
The penalties that may be imposed upon employees
(d)
for drug abuse violations occurring in the
workplace;
3. Making it a requirement that each employee to be
engaged in the performance of the grant be given a copy of the statement required by paragraph 1;
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Exhibit 4-2
4. Notifying the employee in the statement required by
paragraph 1 that, as a condition of employment under
the grant, the employee will
(a) Abide by the terms of the statement; and
(b) Notify the employer in writing of his or her
conviction for a violation of a criminal drug
statute occurring in the workplace no later than
five calendar days after such conviction;
5. Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph 4(b)
from an employee or otherwise receiving actual notice
of such conviction. Employers of convicted employees
must provide notice, including position title, to every grant officer or other designee • on whose grant activity Ehe convicted employee was working, unless the rederal
agency has designated a central point for the receipt
of such notices. Notice shall include the
identification number (s) of each affected grant;
6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph 4(b), with
respect to any employee who is so convicted -
(a) Taking appropriate personnel action against such
an employee, up to and including termination,
consistent with the requirements of the
Rehabilitation Act of 1973, as amended; or
(b) Requiring such employee to participate
satisfactorily in a drug abuse assistance of
rehabilitation program approved for such purposes
y a Federal, State, or local health, law
enforcement, or other appropriate agency;
7. Making a good faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs 1, 2, 3, 4, 5 and 6.
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Exhibit 4-2
8. The grantee may insert in the space provided below the site(s) for the performance of work done in connection
with the specific grant:
Place of Performance (Street address, city, county,
state, zip code)
Check if there are workplaces on file that are
not identified here; and
(p) It will comply with the other provisions of the Act and with other applicable laws.
Signature Date
JIM DALE, Mayor
Title
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Exhibit 4-2
APPENDIX TO CDBG CERTIFICATIONS
INSTRUCTIONS CONCERNING LOBBYING AND DRUG-FREE HORKPLACE REQUIREMENTS:
A. Lobbying Certification - Paragraph n
This certification is a material representation of fact pon which eliance was placed when this transactior
was made or entered into. Submission of thia
into this transaction imposed by section 1352, etering certification is a prerequisite for making or 31, U.S. Code. Any person who fails to file the
required certification shall be subject to a civil
penalty of not less than $10,000 and not more than
$100,000 for each such failure.
B. Prug-Free Workplace Certification - Paraaraph e
1. By signing and/or submitting this application
OI grant agreement, the grantee is providing
the certification set out in paragraph (o).
The certification set out in paragraph (0) is a
2. material representation of fact upon which
reliance 18 placed when the agency awards the
giant. If it is later determined that the grantee
knowingly rendered a false certification, oI
otherwise violates the requirements of the Drug-
Free Workplace Act, HUD, in addition to any other
remedies available to the Federal Government, may
take action authorized under the Drug-Free
Workplace Act.
3. to at on gene grantes colgoration
4• FoI grantees who are individuals, Alternate
II applies. (Not applicable to CDBC
antitiement granteas.'
5. Workplaces under grants, for grantees other
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Exhibit 4-2
grantee does not identify the workplaces at
the time of application, or upon award, if
there is no application, the grantee must application
keep the identity of the workplace(s) on file
in its office
available for Federal inspection. Failure to
identify all known workplaces constitutes a
workplace requirements.
6. Workplace identifications must include the
buildings) or other sites where work under actual address of buildings (or parts of the grant takes place. Categorical
descriptions may be used íe.g., all vehicles
sparent in each local resployment often
employees
performers in concert halls or radio
stations).
7. If the workplace identified to the agency
changes during the performance of the grant,
the grantee shall inform the agency of the
change (s), if it previously identified the
workplaces in question (see paragraph five) •
8. Definitions of terms in the Nonprocurement
Suspension and Debarment common rule and
brug-Free Workplace cemmon rula apply to thia Grantees' attention certification.
called, in particular, to the following
definitions from these Iules:
"Controlled substance" means a controlled
Controlled Substances Act (21 U.S.C.812) and
1308.11 through 1308.15);
"Conviction" means a finding of guilt
(Including a plea oi nolo contendere) or
mposition of sentance, or both, by any
judicial body charged with the esponsibility
to determine violations of the Federal or
State criminal drug statutes;
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Exhibit 4-2
"Criminal drug statuts" means a Federal or
non-Federal criminal statute involving the
manufacture, distribution, dispensing, use,
or possession of any controlled substance;
"Employee" means the employee of a grantee
directly engaged in the performance of work
under a grant, including: (i) All "direct -"indirect charge" charge" employees; (ii) all employees unless their impact or involvement is insignificant to the performance of the
granti and (i1i) temporary personnel and
consultants who are directly engaged in the
performance of work under the grant and whe
are not on the grantee's payroll. This
definition does not include workers not on
the payroll of the grantee (e.g., volunteers,
even if used to meet a matching requirement;
consultants •I independent contractors not on
the grantee's payroll; or employees of in covered
subrecipients of subcontractors
workplaces) •
10 9/92
AMENDMENT #1
URBAN COUNTY COOPERATION AGREEMENT FOR
COMMUNITY DEVELOPMENT BLOCK GRANT AND HOME INVESTMENT PARTNERSHIP ACT FISCAL YEARS 2012-2014
Section lI, Subsection J, in the Cooperation Agreement between San Joaquin County and the cities of Escalon, Lathrop, Manteca, Ripon, and Tracy for Community Development Block Grant (CDBG) Funding for Fiscal Years 2012-2014, is hereby amended to include the following provision:
3. The grantee or unit of general local government that directly or indirectly receives CDBG funds may not sell, trade, or otherwise transfer all or any such portion of such funds to another metropolitan city, urban county, unit of general local government, or Indian tribe, or insular area that directly or indirectly receives CDBG funds in exchange for any other funds, credits or non-Federal considerations, but must use such funds for activities eligible under Title I of the Housing and Community Development Act of 1974, as amended.