HomeMy WebLinkAboutILLUMINATION FOUNDATION (11)-- A-20-20=1-37.=03_-
WORK MAY NOT PROCEED
CLERK OF COUNCIL
DATE: AGREEMENT BETWEEN THE CITY OF SANTA ANA AND
ILLUMINATION FOUNDATION FOR USE OF
EMERGENCY SOLUTIONS GRANT
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THIS GRANT AGREEMENT, is hereby made and entered into this November 2, 2020, by and
between the City of Santa Ana, a charter city and municipal corporation of the State of California, herein
called the "CITY", and Illumination Foundation, a California nonprofit organization, herein called the
"SUBRECIPIENT".
RECITALS:
A. On March 27, 2020, a special allocation of Emergency Solutions Grant ("ESG") funds was
authorized by the Coronavirus Aid, Relief, and Economic Security Act ("CARES Act"), Public
Law 116-136, to prevent, prepare for, and respond to the coronavirus ("COVID-19") pandemic.
The CARES Act made available an additional $4 billion in Emergency Solutions Grant
Coronavirus ("ESG-CV") funds. Of this amount, the United States Department of Housing and
Urban Development ("HUD") immediately allocated $1 billion based on the fiscal year 2020
ESG formula.
B. On April 2, 2020, the CITY received notice of an award of $1,727,403 in ESG-CV funds from
HUD in response to the COVID-19 pandemic.
C. On June 9, 2020, the CITY received notice of a second award of $11,598,442 in ESG-CV2 funds
from HUD in response to the COVID-19 pandemic.
D. ESG-CV 1 and ESG-CV2 funds shall collectively be referred to as ESG-CV funds throughout this
Agreement.
E. The CITY is the recipient of Emergency Solutions Grant ("ESG") funds from the United States
Department of Housing and Urban Development ("HUD"), pursuant to subtitle B of title IV of the
McKinney-Vento Homeless Assistance Act [42 U.S.C. 11371-11378], for the rehabilitation or
conversion of buildings for use as emergency shelter for the homeless, for the payment of certain
expenses related to operating emergency shelters, for essential services related to emergency
shelters and street outreach for the homeless, and for homelessness prevention and rapid re-
housing assistance. Catalogue of Federal Domestic Assistance ("CFDA') 14.231 and Federal
Award Identification Number (FAIN) E-20-MW-06-0508.
F. The CITY has approved the provision of ESG-CV funds to be used in the operation of an
emergency solutions program ("program") for the homeless or at -risk of homelessness of the City
of Santa Ana as further described by Exhibit A, Scope of Work, attached hereto and by this
reference incorporated herein.
G. The SUBRECIPIENT represents that it has the requisite qualifications, expertise, and experience
in the provision of emergency solutions programs for the homeless or at -risk of homelessness and
is willing to use said federal funds to operate said program.
H. In response to the COVID-19 pandemic, SUBRECIPIENT meets the national objective for the
use of ESG and ESG-CV funds.
The SUBRECIPIENT agrees to assist individuals and families that are homeless or at risk of
homelessness in obtaining appropriate supportive services including, but not limited to:
temporary and permanent housing, relocation and stabilization services, rapid re -housing
assistance, medical and mental health treatment, counseling supervision, and other services
essential for achieving independent living.
J. SUBRECIPIENT has agreed to be reimbursed for the above services in an amount not to exceed
$3,249,361.00 in ESG-CV2 grant funding for Shelter, Outreach Services, Rapid Re -Housing or
Homeless Prevention.
K. The CITY previously entered into an Agreement with SUBRECIPIENT to Operate a Year -Round
Homeless Navigation Center and Recuperative Care Facility, Agreement No. A-2020-130, dated
July 14, 2020, by which the City committed a set amount of funds to SUBRECIPIENT for the
operation of the Homeless Navigation Center. As part of this ESG-CV AGREEMENT, the CITY
is committing up to $3,249,361,00 to SUBRECIPIENT for Emergency Shelter Operations at the
Homeless Navigation Center. This $3,249,361.00 shall count toward the amount of funds due
from the CITY to SUBRECIPIENT under Agreement No. 2020-130.
L. This AGREEMENT is contingent upon the award of ESG-CV funds from the United States
Department of Housing and Urban Development.
M. The CITY and the SUBRECIPIENT have duly executed this AGREEMENT for the expenditure
and utilization of said funds.
NOW THEREFORE, it is agreed by and between the parties that the foregoing Recitals are a
substantive part of this AGREEMENT and the following terms and conditions are approved and together
with all exhibits and attachments hereto, shall constitute the entire AGREEMENT between the CITY and
the SUBRECIPIENT:
I. SCOPE OF PROGRAM
A. General Administration
The SUBRECIPIENT agrees to implement this activity as set forth in detail in Exhibit A, Scope
of Work, which shall provide a description of each activity, including the services to be
performed, the person or entity providing the service, the estimated number of recipients of the
service, and the manner and means of the services.
B. Levels of Accomplishment — Goals and Performance Measures
The SUBRECIPIENT shall be responsible to accomplish the levels of performance as set forth in
Exhibit A and report such measures quarterly to the CITY. If the SUBRECIPIENT estimates
such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CITY
will determine if any adjustments to the grant award is appropriate.
C. Staffine
The SUBRECIPIENT shall ensure adequate and appropriate staffing is allocated to each ESG-CV
activity. Nothing contained in this AGREEMENT is intended to, or shall be construed in any
manner, as creating or establishing the relationship of employer/employee between the parties.
H. TERM OF AGREEMENT
This AGREEMENT shall take effect on November 2, 2020, and shall terminate on June 30, 2022,
unless otherwise cancelled or modified according to the terms of this AGREEMENT. This
AGREEMENT shall also cover any and all services provided by the SUBRECIPIENT to the
CITY since the date the ESG-CV Funds were awarded to the CITY.
III. DISBURSEMENT AND FUNDS
The City was allocated $1,727,403 in ESG-CVl funds and $11,598,442 in ESG-CV2 funds
under the CARES Act from HUD in response to the COVID-19 pandemic. CITY agrees to pay
to SUBRECIPIENT when, if and to the extent federal funds are received under provisions of the
Act a sum not to exceed $3,249,361.00 in ESG-CV2 funds for SUBRECIPIENT'S
performance in accordance with the Budget attached hereto as "Exhibit B" during the period of
this Agreement. Said sum shall be paid after CITY receives invoices submitted by
SUBRECIPIENT as provided hereinabove. The $3,249,361.00 shall count toward the amount
of funds due from the City to SUBRECIPIENT under Agreement No. 2020-130.
A. Amount and Expenditure End Date
The CITY agrees to reimburse the SUBRECIPIENT a maximum amount not to exceed
$3,249,361.00 from ESG-CV2 funds, as outlined in Exhibit B, Final Budget, and such funds
shall be expended by the SUBRECIPIENT on or before June 30, 2022. SUBRECIPIENT has the
ability to adjust line item amounts in the Budget with the written approval of the CITY's Executive
Director of the Community Development Agency, so long as the total Budget amount does not
increase.
B. Invoicing Procedures
The SUBRECIPIENT shall submit quarterly invoices (on or before the 1511i day of October,
January, April, and July) in a form prescribed by the CITY, detailing such expenses. Such
schedule may be modified with the approval of the CITY.
C. Payment
Payment is subject to the receipt and approval of such invoices and quarterly activity reports, as
hereinafter more fully set forth below under Reporting, with the final payment subject to the
satisfaction of the condition precedent of submittal of complete invoicing and reporting
information due on or before July 15 of the applicable funding year. The CITY shall pay such
invoices within thirty (30) days after receipt thereof, provided the CITY is satisfied that such
expenses have been incurred within the scope of this AGREEMENT and that the
SUBRECIPIENT is in compliance with the terms and conditions of this AGREEMENT. The
thirty (30) day period will discontinue if the reimbursement request is determined to be
incomplete and will restart the thirty -day timeline once the remaining required elements have
been submitted.
Failure to provide any of the required documentation and reporting will cause the CITY to
withhold all or a portion of a request for reimbursement until such documentation and reporting
has been received and approved by the CITY.
D. Use of Funds
The SUBRECIPIENT agrees to use said funds pursuant to this AGREEMENT to pay for
necessary and reasonable costs allowable under federal law and regulations to operate said
program only. Said amounts shall include and will be limited to, street outreach, emergency
shelter, homelessness prevention, rapid re -housing assistance, housing relocation and stabilization
services, short-term and medium -term rental assistance, and Homeless Management Information
Systems ("IMIS") data contribution as set forth in 24 CFR § 576.101 — § 576.107. Allowable
program costs are detailed in the Budget, as set forth in Exhibit B, attached hereto and by this
reference incorporated herein. The SUBRECIPIENT'S failure to perform as required may, in
addition to other remedies set forth in this AGREEMENT, result in readjustment of the amount of
funds the CITY is otherwise obligated to pay to the SUBRECIPIENT pursuant to the terms hereof.
The SUBRECIPIENT agrees that the homeless shelter/services under said program shall be
available for the entire period during which said funds are provided.
E. Condition of Fundine
(1) The CITY advises the SUBRECIPIENT that a significant change in entitlement funding
may result in a change in the current process utilized by the CITY to determine funding
allocations. The SUBRECIPIENT acknowledges that the obligation of the CITY is contingent
upon the availability of Federal, State or Local government funds, which are appropriated or
allocated for the payment of such an obligation. If funding levels are significantly affected by
Federal budgeting or if funds are not allocated and available for the continuance of the function
performed by the SUBRECIPIENT, this AGREEMENT may be terminated by the CITY at the
end of the period for which funds are available. At the earliest opportunity, the CITY shall notify
the SUBRECIPIENT of any service which may be affected by a shortage of funds. No penalty
shall accrue to the CITY in the event this provision is exercised and the CITY shall not be liable
for any damages as a result of termination under this provision of this AGREEMENT. Nothing
herein shall be construed as obligating the CITY to expend funds in excess of appropriations
authorized by law.
(2) The SUBRECIPIENT shall allow representatives of the CITY or HUD to inspect
facilities which are used in connection with the AGREEMENT or which implement programs
funded under this AGREEMENT.
F. Matchin
The ESG-CV funds are exempt from the ESG match requirements, including 24 CFR § 576.201.
G. Program Income
(1) Definition. Program income means, as provided by 2 CFR 200.80, gross income
received by the SUBRECIPIENT directly generated by a grant supported activity, or earned only
as a result of the grant agreement during the grant period. For purposes of ESG-CV, program
income will also include any amount of a security or utility deposit returned to the
SUBRECIPIENT.
(2) Use. The SUBRECIPIENT shall use all income received from said funds only for the same
purposes for which said funds may be expended pursuant to the terms and conditions of this
AGREEMENT.
H. Separation of Accounts
All funds received by the SUBRECIPIENT from the CITY pursuant to this AGREEMENT shall be
maintained separate and apart from any other funds of the SUBRECIPIENT, or of any principal or
member of the SUBRECIPIENT, in an account (the "Account') at a federally insured banking or
savings and loan institution with record keeping of such Accounts maintained pursuant to applicable
legal requirements. The SUBRECIPIENT shall keep all records of the Account in a manner that is
consistent with generally accepted accounting principles. No monies shall be withdrawn from the
Account except for expenditures relating to essential services, homeless prevention, and/or
operations costs, as authorized hereunder. All disbursements from the Account shall be for
obligations incurred in the performance of this AGREEMENT and shall be supported by
contracts, invoices, vouchers, and other data, as appropriate, evidencing the necessity of such
expenditure. The CITY may withhold payment allocation requests if the SUBRECIPIENT fails to
comply with the above requirements until such compliance is demonstrated.
Expenditure of Funds
Much like how HUD requires the CITY, pursuant to 24 CFR 576.203, to expend all of the grant
funds for eligible activity costs within 24 months after the date that HUD signs the grant
agreement with the CITY, it is a requirement for the SUBRECIPIENT to expend all of the grant
funds for eligible activity costs within the aforementioned period. For the purposes of this
paragraph, expenditure means either an actual cash disbursement for a direct charge for a
good/service or an indirect cost, or the accrual of a direct charge for a goodiservice or an indirect
cost. Failure to expend said funds within said timeframe can result in a reallocation of funds.
J. Prohibited Use
(1) Generally. The SUBRECIPIENT hereby certifies and agrees that it will not use funds
provided through this AGREEMENT to pay for meals for persons other than those identified as
homeless or at risk of homelessness. Said funds shall not be used for entertainment purposes or for
gifts. The SU13RECIPIENT certifies that it will not use said funds for illegal or dishonest conduct,
rather, fund use will remain in compliance with all applicable federal, state, and local laws, including
applicable laws not outlined in this AGREEMENT.
(2) Lobbying. The SUBRECIPIENT certifies and agrees that it will comply with federal law (31
U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds
may be expended by the recipient of a federal contract, grant, loan, or cooperative agreement to pay
any person for influencing or attempting to influence an officer or employee of any agency, Member
of Congress, or an officer or employee of a Member of Congress in correction with awarding of any
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federal contract, the making of any federal grant or loan, entering into any cooperative agreement
and the extension, renewal, amendment, or modification of any federal contract, grant, loan, or
cooperative agreement. The SUBRECIPIENT shall sign a certification to that effect in a form as set
forth in Exhibit C, attached hereto and by this reference incorporated herein. The SUBRECIPIENT
shall submit said signed certification to the CITY prior to performing any of its obligations under this
AGREEMENT and prior to any obligation arising on the part of the CITY to pay any sums to the
SUBRECIPIENT under the terms and conditions of this AGREEMENT. If any funds other than
Federal appropriated funds have been paid or will be paid to any person for influencing or attempting
to influence an officer or employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and submit a "Disclosure Form to
Report Lobbying," in accordance with its instructions (see Exhibit D).
NOTICES
The SUBRECIPIENT and the CITY agree that all notices required by this AGREEMENT shall be
made in writing and delivered via mail (postage prepaid); commercial courier; personal delivery;
or sent by facsimile or other electronic means (provided that receipt is confirmed). Any notice
delivered or sent as aforesaid shall be effective on the date of delivery or sending. All notices and
other written communications under this AGREEMENT shall be addressed to the individuals in
the capacities indicated below, unless modified by subsequent written notice.
Communication and details concerning the AGREEMENT shall be delivered to the office of, and
directed to, the following representatives:
C TY:
Terri Eggers
Homeless Services Manager
City of Santa Ana
Community Development Agency (M-25)
20 Civic Center Plaza
P.O. Box 1988
Santa Ana, CA 92702-1988
(714)667-2256
(714) 647-6549 FAX
teggers@bsanta-a na. org
GENERAL CONDITIONS
A. Coordination with Continuum of Care
Illumination Foundation
1091 N. Batavia Street
Orange, CA 92867
Attn: Paul Leon, CEO
The SUBRECIPIENT must work with the Continuum of Care ("CoC") to ensure the screening,
assessment, and referral of program participants are consistent with the CITY's written standards
for providing ESG-CV assistance as described in its consolidated plan. The SUBRECIPIENT
must keep documentation evidencing the use of, and written intake procedures for, the centralized
or coordinated assessment system(s) developed by the CoC in accordance with the requirements
established by HUD. See 24 CFR 576.400.
B. Evaluation of Program Participants Eligibility and Needs
The SUBRECIPIENT must conduct evaluations and re-evaluations to determine the eligibility of
each individual or family's eligibility for ESG-CV assistance in accordance with 24 CFR
576.401.
C. Terminating Assistance
If a program participant violates program requirements, the SUBRECIPIENT may terminate the
assistance in accordance with a formal process established by the SUBRECIPIENT that
recognizes the rights of individuals affected. See 24 CFR 576.402
D. Shelter and Housing Standards
The SUBRECIPIENT certifies that shelters and housing supported by ESG-CV funds and used
by ESG-CV beneficiaries will conform to 24 CFR 576.403.
E. Homeless Involvement
The SUBRECIPIENT certifies that it will involve, to the maximum extent practicable, homeless
individuals and families in constructing, renovating, maintaining, and operating facilities assisted
under the ESG-CV program, and in providing services for occupants of these facilities. See 24
CFR 576.405(c) and 42 USC 11375(d).
F. Independent Contractor
Nothing contained in this AGREEMENT is intended to, or shall be construed in any manner, as
creating or establishing the relationship of employer/employee between the parties. The
SUBRECIPIENT and its subcontractors shall at all times remain independent contractors with
respect to the services to be performed under this AGREEMENT. The CITY shall be exempt
from payment of any Unemployment Compensation, FICA, retirement, life and/or medical
insurance and Workers' Compensation Insurance as the SUBRECIPIENT is an independent
contractor.
G. Subcontracts
(1) Content Requirements. The SUBRECIPIENT will include all relevant provisions of this
AGREEMENT in all subcontracts entered into as part of the activities undertaken in
furtherance of this AGREEMENT and will take appropriate action pursuant to any
subcontract upon a finding that the subcontractor is in violation of regulations issued by
any federal agency. The SUBRECIPIENT will not subcontract with any entity where it
has notice or knowledge that the latter has been found in violation of regulations under 24
CFR Part 135 (Economic Opportunities for Low- and Very Low -Income Persons) and
will not allow any subcontract unless the entity has first provided it with a preliminary
statement of ability to comply with the requirements of these regulations.
(2) Submission to the CITY. The SUBRECIPIENT must submit all subcontracts and other
agreements that relate to this AGREEMENT to the CITY.
A. Licensing
The SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation,
and inspections from all agencies governing its operations. The SUBRECIPIENT shall ensure that its
staff and subcontractors shall also obtain and maintain all required licenses, registrations,
accreditation and inspections from all agencies governing the SUBRECIPIENT's operations
hereunder. Such licensing requirements include obtaining a City business license, as applicable.
I. Responsibilities Toward Employees
The SUBRECIPIENT accepts full responsibility for payment of any and all unemployment
compensation, insurance premiums, workers' compensation premiums, income tax withholdings,
social security withholdings, and any and all other taxes or payroll withholdings required for all
employees engaged in the performance of the work and activities authorized by the
AGREEMENT. The SUBRECIPIENT accepts full responsibility for providing workers with
proper safety equipment and taking any and all necessary precautions to guarantee the safety of
workers or persons otherwise affected.
I Insurance and Bonding
(1)Generally. The SUBRECIPIENT shall maintain liability and property insurance to cover
actionable legal claims for liability or loss which are the result of injury to or death of any person,
or damage to property (including property of Grantee) caused by the negligent acts or omissions,
or negligent conduct of the SUBRECIPIENT, its employees, agents or subcontractors, to the
extent permitted by law, in connection with the activities pursuant to this AGREEMENT.
The SUBRECIPIENT shall comply with the bonding and insurance requirements of 2 CFR
200.427, and 2 CFR 200.447.
The SUBRECIPIENT shall undertake self-insurance, or shall obtain, at its sole cost, a policy or
policies of commercial general liability insurance, or equivalent forth.
Such insurance shall: (1) name the City of Santa Ana, its officers, agents, employees and
volunteers as additional insureds; (2) be primary with respect to insurance or self-insurance
programs maintained by the CITY; (3) contain standard separation of insureds provisions; and (4)
give to the CITY prompt and timely notice of claim made or suit instituted arising out of the
SUBRECIPIENT's operations hereunder.
(2) Limits. The SUBRECIPIENT shall maintain, at all times, the following minimum levels of
Insurance, and shall, without in any way altering its liability, obtain, pay for, and maintain insurance
for the coverages and amounts of coverage not less than those set forth below:
a. Workers' Compensation. Amount must comply with State and Federal Laws
b. Comprehensive General Liability. $1,000,000 combined single limit of liability for
bodily injuries, death, and property damage resulting from any one occurrence,
including the following coverages:
Premises and Operations; and
H. Broad Form Commercial General Liability Endorsement to include blanket
contractual liability (specifically covering, but not limited to, the contractual
obligations assumed by the SUBRECIPIENT); Personal Injury (with
employment and contractual exclusions deleted); and Broad Form Property
Damage coverage.
C. The SUBRECIPIENT's self -insured retention or deductible per line of coverage
shall not exceed $25,000 without the permission of the CITY.
(3) Proof of Insurance. The SUBRECIPIENT shall furnish the CITY's Clerk of the Council
with an insurance certificate from insurance carrier certifying that it carries such insurance and
that the policy shall not be canceled nor the coverage reduced except upon thirty (30) days prior
notice to the CITY.
The SUBRECIPIENT shall, prior to exercising any right under this AGREEMENT:
a. furnish properly executed certificates of insurance and additional insured
endorsement to the CITY which shall clearly evidence all coverage required above;
b. provide that such insurance shall not be materially changed or terminated except on
thirty (30) days prior written notice to the CITY;
c. maintain such insurance for the period covered by this AGREEMENT; and
d. replace such certificates for policies expiring prior to the expiration of this
AGREEMENT.
(4) Company Rating. All insurance coverage shall be written with a company having an A.M.
Best Rating of "A" or better and financial size of VIII or larger.
(5) Failure to Comply. In the event of any failure by the SUBRECIPIENT to comply with
these provisions, the CITY may, after notice to the SUBRECIPIENT, suspend the program for
cause until there is full compliance.
K. Zoning.
The SUBRECIPIENT agrees that any facility/property used in furtherance of said program shall be
specifically zoned and permitted for such use(s) and activity(ies). Should the SUBRECIPIENT fail to
have the required land entitlement and/or pen -nits, thus violating any local, state, or federal rules and
regulations relating thereto, the SUBRECIPIENT shall immediately make good -faith efforts to gain
compliance with local, state, or federal rules and regulations following written notification of said
violation(s) from the CITY or other authorized citing agency. The SUBRECIPIENT shall notify the
CITY immediately of any pending violations. Failure to notify the CITY of pending violations, or to
remedy such known violation(s), shall result in termination of grant funding hereunder. The
SUBRECIPIENT must make all corrections required to bring the facility/property into compliance
with the law within sixty (60) days of notification of the violation(s); failure to gain compliance
within such time shall result in termination of grant funding hereunder.
L. Displacement and Relocation.
The SUBRECIPIENT must assure that it has taken all reasonable steps to minimize displacement
of persons. Relocation must be consistent with requirements as set forth in 24 CFR § 576.408.
M. Provisions Required by Law Deemed Inserted.
Each and every provision of law and clause required by law to be inserted in this contract shall be
deemed to be inserted herein and the AGREEMENT shall be read and enforced as though it were
included herein, and if through mistake or otherwise any such provision is not inserted or
correctly inserted, then upon the application of either party the contract shall forthwith be
physically amended to make such insertion or correction.
VI. ASSURANCES AND CERTIFICATIONS
A. Non -Profit Status
The SUBRECIPIENT certifies that:
(1) The SUBRECIPIENT is a duly organized and existing non-profit corporation in good
standing and authorized to do business under the laws of the State of California and in possession
of required non-profit status under the United States Internal Revenue Code [for example, 26
USC § 501(c)(3)]. The SUBRECIPIENT has full right, power, and lawful authority to accept the
funding hereunder and to undertake all obligations as provided herein and the execution,
performance, and delivery of this AGREEMENT by the SUBRECIPIENT has been fully
authorized by all requisite actions on the part of the SUBRECIPIENT.
(2) If the SUBRECIPIENT's non-profit status changes at anytime during this
AGREEMENT, it will advise the CITY within 15 days.
(3) If the SUBRECIPIENT is a private non-profit, it hereby agrees that the members of its
Board of Directors will receive no compensation, directly or indirectly, other than reimbursement
for expenses, from any funds generated from or because of the ESG-CV program, for their
services.
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(4) As a non-profit, the SUBRECIPIENT acknowledges that administration of its operation
and services are subject to the requirements as established in 2 CFR 200.
B. Adherence to Federal. State and Local Laws and Re lations
(1) General. The SUBRECIPIENT agrees to comply with all requirements of the ESG-CV
program and applicable cross -cutting Federal, State, and Local requirements.
(2) Economic Opportunities for Low- and Very Low-income Persons. The SUBRECIPIENT
shall ensure that employment and other economic opportunities generated by the Program shall,
to the greatest extent feasible, be directed to low- and very low-income persons, particularly those
who are recipients of govenmtent assistance for housing. Section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u, and regulations at 24 CFR part 135 apply, except
that homeless individuals have priority over other Section 3 residents in accordance with §
576.405(c).
(3) Civil Rights. The SUBRECIPIENT agrees to comply with Title VI of the Civil Rights
Act of 1964, as amended, Title VIH of the Civil Rights Act of 1968, as amended, Section 109 of
the Title I of the Housing and Community Development Act of 1974, Section 504 of the
Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, the Age Discrimination
Act of 1975, and 41 CFR Chapter 60.
(4) Nondiscrimination and Equal Employment Opportunity. During the performance under
this AGREEMENT, the SUBRECIPIENT shall not discriminate against any employee or
applicant for employment based on race, color, creed, religion, sex, age, handicap, disability,
ancestry, national origin, marital status, familial status, sexual orientation, or any other basis
prohibited by applicable law.
The SUBRECIPIENT shall take affirmative action to ensure that all applicants and employees are
treated without regard to race, color, creed, religion, sex, age, handicap, disability, ancestry,
national origin, marital status, familial status, and sexual orientation.
The SUBRECIPIENT shall comply with all provisions of Executive Order 11246, Equal
Employment Opportunity, as amended by Executive Orders 11375 and 12086.
(5) Nondiscrimination and Equal Opportunity in Participation. The requirements in 24 CFR
part 5, subpart A are applicable, including the nondiscrimination and equal opportunity
requirements at 24 CFR 5.105(a). The SUBRECIPIENT shall not discriminate against any
participant on the ground of race, color, creed, religion, sex, age, handicap, disability, ancestry,
national origin, marital status, familiar status, sexual orientation, or any other basis prohibited by
applicable law. The SUBRECIPIENT shall, through affirmative outreach, make known that use
of the facilities, assistance, and services are available to all on a nondiscriminatory basis. The
SUBRECIPIENT must take appropriate steps to ensure effective communication with persons
with disabilities.
(6) Americans with Disabilities Act. The SUBRECIPIENT agrees to comply with any
federal regulations issued pursuant to compliance with the Americans with Disabilities Act which
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prohibits discrimination and ensures equal opportunity for persons with disabilities in
employment, State and Local government services, and public accommodations.
(7) Fair Housing. Under section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty
to affirmatively further fair housing. HUD requires the same of its funded sub -recipients. The
SUBRECIPIENT has a duty to affirmatively further fair housing opportunities for classes
protected under the Fair Housing Act.
C. Falsification of Information
The SUBRECIPIENT represents and warrants that it has made no false statements to the CITY in
the process of obtaining this award of the ESG-CV Funds.
D. Drug Free Workplace
The SUBRECIPIENT represents and warrants that it has established the following drug -free
workplace policy:
(1) The unlawful manufacture, distribution, dispensing, possession, or use of a controlled
substance is prohibited in the workplace for any employee involved in a federally funded
program.
(2) As an employee working in conjunction with a federally funded program, the employees
of the SUBRECIPIENT will be required to:
a. Abide by the terms above in statement (1), and
b. Notify the appropriate SUBRECIPIENT authorities and CITY officials of any
criminal drug statute conviction for a violation occurring in the workplace. Such
notification shall be made no later than five (5) days after conviction.
(3) The CITY and the United States Department of Housing and Urban Development will be
notified within ten days after receiving notice of any such violation.
(4) Within thirty (30) days of receiving such notice, appropriate personnel action will be
taken against such employee, up to and including termination.
(5) Each such employee shall be required to participate satisfactorily in a drug abuse
assistance or rehabilitation program approved for such purposes by a Federal, State or
Local health, law enforcement, or other appropriate agency.
E. Religious Organization
The SUBRECIPIENT may not engage in inherently religious activities, such as worship, religious
instruction, or proselytization as part of said program or services. If the SUBRECIPIENT
conducts such activities, the activities must be offered separately, in time or location, from said
programs or services, and participation must be voluntary for the program participants.
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The SUBRECIPIENT shall not, in providing program assistance, discriminate against a program
participant or prospective program participant on the basis of religion or religious belief.
If the SUBRECIPIENT is a religious organization, it retains its independence from Federal, State,
and Local governments, and may continue to carry out its mission, including the definition,
practice, and expression of its religious beliefs, provided that the religious organization does not
use direct ESG funds to support any inherently religious activities.
The SUBRECIPIENT agrees that rehabilitation of structures by the religious organization in
connection with said program must be in sound accord with the provisions under 24 CFR §
576.406.
F. Additional Terms between the CITY and HUD
The SUBRECIPIENT agrees further that it shall be bound by the standard terms and conditions
used in the Grant Agreement between HUD and the CITY and such other rules, regulations, or
requirements as HUD may reasonably impose in addition to the aforementioned assurances at or
subsequent to the execution of this AGREEMENT by the parties hereto.
G. O I�
Where employees are engaged in activities not covered under the Occupational Safety and Health
Act of 1970, they shall not be required or permitted to work, be trained, or receive services in
buildings or surroundings or under working conditions which are unsanitary, hazardous, or
dangerous to the participants' health or safety.
H. Hatch Act
The SUBRECIPIENT agrees that no funds provided, nor personnel employed under this
AGREEMENT, shall be in any way or to any extent engaged in the conduct of political activities
in violation of the Hatch Act, 5 U.S.C. Section 1501 et seq.
I. Davis -Bacon Act
All laborers and mechanics employed by contractors or subcontractors in the performance of
construction work, Including alterations and repairs, in excess of $2,000.00, financed in whole or
in part with federal funds shall be paid wages at rates not less than those prevailing on similar
construction in the locality as determined in accordance with the Davis -Bacon Act, as amended,
40 U.S.C. sections 276a - 276a-5. Any such construction contract shall include and comply with
the required contract provisions and rules set forth in 29 C.F.R. §5.5. Further, the payroll reports
(along with the "Statement of Compliance") and basic records are required to be maintained and
submitted, or made available, pursuant to 29 C.F.R. §5.5(a)(3). No payment, advance, grant, loan
or guarantee of funds shall be approved by the federal agency unless there is on file with the
agency a certification by the contractor that the contractor and its subcontractors have complied
with the provisions of 29 C.F.R. §5.5. A breach of the contract clauses in 29 C.F.R. §5.5 may be
grounds for termination of the contract, and for debarment as a contractor/subcontractor, as
13
provided in 29 C.F.R. §5.12. Labor standards interviews/investigations shall be made as
necessary to assure compliance. See 29 C.F.R. §5.6(a)(3).
VIL ADMINISTRATIVE REQUIREMENTS
A. Generally
The following requirements and standards must be complied with: 2 CFR Part 200, et al.
SUBRECIPIENT shall procure all materials, property, or services in accordance with the
requirements of 2 CFR 200.318-326.
B. Procurement
(1) Compliance. The SUBRECIPIENT shall comply with current HUD and CITY policies
concerning the procurement of equipment, goods, and services, and shall maintain inventory
records of all non -expendable personal property as defined by such policy as may be procured
with funds provided herein. The SUBRECIPIENT shall report to the CITY all program assets
(unexpended program income, property, equipment, etc.), and upon the CITY'S request, such
assets shall revert to the CITY upon termination of this AGREEMENT.
(2) Pursuant to 2 CFR 200.331 (a) (4), the Indirect Cost Rate for the SUBRECIPIENT's
award shall be an approved federally recognized cost rate negotiated between the
SUBRECIPIENT and the Federal government, or, if no cost rate exists, the de minims indirect
cost rate as defined in 2 CFR 200.414(b) Indirect (F & A) costs shall be used. For this agreement,
the de minims indirect cost of 10% will apply.
(3) Use and Reversion of Assets. The use and disposition of equipment under this
AGREEMENT shall be in compliance with the requirements of 2 CFR Part 200.
(4) Pursuant to the CARES Act, SUBRECIPIENT may deviate from applicable procurement
standards when using these funds to procure goods and services to prevent, prepare for, and
respond to coronavirus, notwithstanding 24 CFR 576.407(f) and 2 CFR 200.317-200.326.
C. Reportine
Reporting requirements must conform to the policies and procedures as established by the CITY
and 24 CFR § 576.500. The SUBRECIPIENT shall submit to the CITY, on or before the 15" day
of October, January, April, and July, as part of the Quarterly Report:
(1) Payment Request. An original request for reimbursement and true copies of invoices,
receipts, agreements, or other documentation supporting and evidencing how the
ESG Funds have been expended during the applicable quarter.
(2) Quarterly Activities and written cumulative (year-to-date) reports of activities,
program accomplishments, new program information, and up-to-date program
statistics on expenditures, caseload and activities. Failure to provide any of the
required documentation and reporting will cause the CITY to withhold all or a
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portion of a request for reimbursement until such documentation and reporting has
been received and approved by the CITY.
(3) Any other such reports as the CITY (or HUD) shall reasonably require and/or
request, including but not limited to the following information: monthly records of all
ethnic and racial statistics of persons and families benefited by the SUBRECIPIENT
in the performance of its obligations under this AGREEMENT.
D. Record Keeoine
Sufficient records must be established and maintained to enable the CITY and HUD to determine
whether the ESG-CV requirements are being met. Record keeping requirements must conform to
the policies and procedures as established by the CITY. All accounting records, reports, all
evidence pertaining to costs, expenses, and ESG-CV Funds of the SUBRECIPIENT, and all
documents related to this AGREEMENT shall be maintained and kept available at the
SUBRECIPIENT'S office or place of business for the duration of the AGREEMENT and
thereafter for five (5) years post -completion of an audit in conformity with the ESG-CV
requirements, except as hereinafter provided relating to retention of any records or documentation
existing, created, or maintained in compliance with Lead -based Paint regulations, which likely
require longer retention as outlined below. Records which relate to (a) complaints, claims,
administrative proceedings or litigation arising out of the performance of this AGREEMENT, or
(b) costs and expenses of this AGREEMENT to which the CITY or any other governmental
agency takes exception, shall be retained beyond the five (5) years until complete resolution or
disposition of such appeals, litigation claims, or exceptions. All said records must be retained for
the greater of the aforementioned duration or the periods specified in 24 CFR 576.500(y). All
records relating to, or created or maintained in compliance with, the Lead -Based Paint regulations
shall be retained and maintained by the SUBRECIPIENT indefinitely, including without
limitation, all inspection report(s), disclosure statement(s), and clearance report(s). Copies made
by microfilming, photocopying, or similar methods may be substituted for the original records.
The CITY, HUD and auditors shall have the right to access all the SUBRECIPIENT records for
as long as the records are retained by the SUBRECIPIENT. In the event the SUBRECIPIENT does
not make the above -referenced documents available within the City of Santa Ana, California, the
SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by the CITY in
conducting any audit at the location where said records and books of account are maintained.
The SUBRECIPIENT agrees to meet the requirements set forth in 24 CFR § 576.500.
E. Homeless Management Information Systems (HMIS)
(1) Generally. The SUBRECIPIENT must ensure that data on all persons served and all
activities assisted under ESG-CV are entered into the applicable community -wide HMIS in the
area in which those persons and activities are located, or with the express knowledge and written
consent of the CITY, a comparable database, in accordance with HUD's standards on
participation, data collection, and reporting under a local HMIS.
(2) HMIS Agency Agreement. The SUBRECIPIENT shall have an agreement in place with
the IB 41S lead agency to participate in the regionally HMIS system. A copy of the
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SUBRECIPIENTS agreement with the HMIS lead agency shall be attached to this agreement as
Exhibit F. In the case of Domestic Violence service providers or other agencies prohibited from
entering data into HMIS, documentation from the HMIS lead agency certifying that the
SUBRECIPIENT is using a comparable database shall be attached to this agreement as Exhibit
E.
(3) HMIS Interagency Data Sharing Agreement. The SUBRECIPIENT shall enter into an
Interagency Data Sharing Agreement with the 11MIS Lead Agency where the SUBRECIPIENT
agrees to share HMIS data with other ESG-CV funded agencies regarding clients that are served
in ESG-CV funded programs, unless prohibited by law. A copy of such agreement shall be
attached as Exhibit F-1.
(A.) The SUBRECIPIENT agrees to provide 211OC with all required data
needed to complete data analysis regarding project performance, data
timeliness, or data quality.
F. Audit Report Requirements
The SUBRECIPIENT agrees that if the SUBRECIPIENT expends Seven Hundred Fifty Thousand
Dollars ($750,000.00) or more in federal funds, the SUBRECIPIENT shall have an annual audit
conducted by a certified public accountant in accordance with the standards as set forth and
published by the United States Office of Management and Budget (2 CFR 200.501a). The
SUBRECIPIENT shall provide the CITY with a copy of said audit by April 1 of the year following
the program year in which this AGREEMENT is executed. Further, the SUBRECIPIENT shall
comply and/or cause compliance with audit report(s) required by applicable provisions of the Lead -
Based Paint Regulations as further detailed below.
VIIL EVALUATION AND MONITORING
A. Generally
The CITY will monitor the performance of the SUBRECIPIENT against goals and performance
standards as required herein. The SUBRECIPIENT shall provide the CITY all necessary
reporting information as required by the CITY in the administration and review of the Program.
Substandard performance as determined by the CITY will constitute noncompliance with this
AGREEMENT. If action to correct such substandard performance is not taken by the
SUBRECIPIENT within a reasonable period of time after being notified by the CITY, contract
suspension or termination procedures will be initiated.
B. Access to Records
The SUBRECIPIENT gives the CITY and HUD, including their authorized representative, access
to and the right to examine all records, books, papers, items, emails, and documents, both
physical and electronic, relating to the program.
C. Audit
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The CITY shall have the right to audit and monitor any program income as a result of an ESG-
CV activity. Upon request by the CITY and for audit purposes, the SUBRECIPIENT further
agrees to provide all files, records, and documents pertaining to related activities and clientele
demographic data.
IX. LIABILITY
X.
A. Generallv
Each party to this AGREEMENT acknowledges that it will be liable for its own negligent acts or
negligent omissions by or through itself, its employees, agents, and subcontractors. Each party
further agrees to defend itself and themselves, and to pay any judgments and costs arising out of
such negligent acts or omissions, and nothing in this AGREEMENT shall impute or transfer any
such liability from one to the other. In other words, the SUBRECIPIENT agrees to be fully
responsible for its negligent acts or omissions, or any intentional tortuous acts which result in
claims or suits against the CITY, and agrees to be liable for any damages proximately caused by
said acts or omissions. Nothing herein shall be construed as consent by a State or CITY agency or
subdivision to be sued by third parties in any matter arising out of any contract, and nothing
herein is intended to serve as a waiver of sovereign immunity where sovereign immunity applies.
B. CITY not Liable for Funds
The SUBRECIPIENT further acknowledges that the source of the ESG-CV Funds is a federal
pass -through grant to the SUBRECIPIENT. The CITY shall have no obligation to advance or pay
the SUBRECIPIENT with any funds other than the ESG-CV Funds the CITY receives from
HUD.
C. Hold Harmless
The SUBRECIPIENT shall defend, indemnify and save harmless the CITY, its officers, agents,
employees, representatives, volunteers, and student externs from and against any and all damages
to property or injuries to or death of any person or persons, including property and employees or
agents of the CITY, and shall defend, indemnify and save harmless the CITY, its officers, agents,
employees, representatives, volunteers, and student externs from and against any and all claims,
demands, suits, actions or proceedings of any kind or nature, including, but not by way of
limitation, workers compensation claims and attorney fees/expenses for litigation or settlement,
resulting from or arising out of the negligent or wrongful acts, errors or omissions of the
SUBRECIPIENT, its officers, directors, employees, agents, subcontractors, and suppliers arising
out of the SUBRECIPIENT's performance of this AGREEMENT.
A. Generallv
ESG-CV activities are subject to environmental review by HUD under the environmental
regulations in 24 CFR 50. The SUBRECIPIENT, or any contractor of the SUBRECIPIENT, may
not acquire, rehabilitate, convert, lease, repair, dispose of, demolish, or construct property for a
17
project under this part, or commit or expend HUD or local funds for eligible activities under this
part, until HUD has perfonned an environmental review under 24 CFR part 50 and the recipient
has received HUD approval of the property.
The SUBRECIPIENT agrees to comply with all applicable environmental requirements insofar as
they apply to the performance of this AGREEMENT, including but not limited to the Clean Air
Act, the Federal Water Pollution Control Act and the Flood Disaster Protection Act. If applicable,
the SUBRECIPIENT also shall comply with the Historic Preservation requirements of National
Historic Preservation Act of 1966.
B. Lead -based paint remediation and disclosure
The Lead -Based Paint Poisoning Prevention Act (42 U.S.C. 4821-1846), the Residential Lead -
Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851-4856), and implementing
regulations in 24 CFR part 35, subparts A, B, H, J, K, M, and R apply to all shelters assisted
under ESG program and all housing occupied by program participants that were built before
1978.
C. Assignment of Responsibilities
By this AGREEMENT, the SUBRECIPIENT will accept assignment from the CITY of all
responsibilities set forth in Subpart K of 24 CFR 35.
D. Compliance with Subpart K
The purpose of Subpart K is to establish procedures to eliminate as far as practicable lead -based
paint ("LBP") hazards in a residential property that receives Federal assistance under certain
HUD programs for acquisition, leasing, support services, or operation. In connection with the
grant funds under this AGREEMENT, the CITY requires that the SUBRECIPIENT comply and
show evidence of compliance with all applicable subparts of 24 CFR 35, and especially, Subpart
K ("LBP Regs").
The SUBRECIPIENT shall conduct the following activities for the dwelling unit, common areas
servicing the dwelling unit, and the exterior surfaces of the building in which the dwelling unit is
located:
(1) A visual assessment of all painted surfaces in order to identify deteriorated paint;
(2) Paint stabilization of each deteriorated paint surface, and clearance, in accordance with
§§ 35.1330(a) and (b), before occupancy of a vacant dwelling unit or, where a unit is
occupied, immediately after receipt of Federal assistance; and
(3) Ongoing lead -based paint maintenance activities into regular building operations, in
accordance with § 35.1355(a), if the dwelling unit has a continuing, active financial
relationship with a Federal housing assistance program, except that mortgage
insurance or loan guarantees are not considered to constitute an active programmatic
relationship for the purposes of this part.
is
(4) And, notice to occupants in accordance with §§ 35.125(b)(1) and (c), describing the
results of the clearance examination.
E. Notification of LBP Hazard
The SUBRECIPIENT shall provide to all occupants of housing:
(1) In accordance with Section 35.130 of the LBP Regs - the LBP hazard information
pamphlet. The pamphlet shall be the EPA/HUD/Consumer Product Safety Commission
lead hazard information pamphlet or an EPA -approved equivalent.
The current form and version of the pamphlet can be found at:
http://www. hud.gov/offices/lead/I ibra ry/enforcement/fs-d iscl.pdf
(2) In accordance with 24 CFR 35, Subpart A, all available information and knowledge
regarding the presence of LBP and LBP hazards prior to leasing a housing unit.
(3) In accordance with 24 CFR 35, Subpart A, notification in writing of the results of the
presumption of LBP and/or LBP hazards, results of any lead hazard evaluation, and any
lead hazard reduction work.
F. LBP Information Sunmiary
For purposes of information only and in no respect intended to be a representation or warranty of
the provisions of the LBP Regulations, the CITY has caused to be prepared an information
summary relating to the LBP Regulations and Application to dwelling units that may be occupied
by recipients of services and/or funding from the SUBRECIPIENT under this AGREEMENT.
CITY staff will cooperate with and be available to the SUBRECIPIENT to assist in
implementation of compliance with the LBP Regs as to residential dwelling units to be assisted
by the SUBRECIPIENT. The parties acknowledge and agree the CITY shall not be liable or
responsible for the accuracy of such summary, and the SUBRECIPENT is directed to the LBP
Regulations and implementing guidance published and provided by HUD relating to compliance
with such LBP Regulations.
G. Exemptions
Section 35.115(a) provides exemptions from Subparts B through R. For example, lead -based
paint requirements do not apply to housing assistance if the assistance lasts less than one hundred
(100) days.
XI. CONFLICTS OF INTEREST
The SUBRECIPIENT shall comply with 2 CFR 200.112 with respect to the use of program funds
to procure services, equipment, supplies, or other property. With respect to all other decisions
involving the use of program funds, the following restriction shall apply: No person who is an
employee, agent, consultant, officer, or elected or appointed official of the SUBRECIPIENT and
19
who exercises or has exercised any functions or responsibilities with respect to assisted activities,
or who is in a position to participate in a decision making process or gain inside information with
regard to such activities, may obtain a personal or financial interest or benefit from the activity, or
have an interest in any contract, subcontract, or agreement with respect thereto, or the proceeds
there under, either for himself or herself, or for those with who he or she has family or business
ties, during his or her tenure or for one (1) year thereafter.
The SUBRECIPIENT agrees to abide by the ESG-CV Program's Conflict of Interest provisions
as expressly detailed in 24 CFR § 576.404 regarding Organizational Conflicts of Interest and
Personal Conflicts of Interest. All contractors of the SUBRECIPIENT must comply with the
same requirements that apply to the SUBRECIPIENT under this section.
XIL ASSIGNABILITY
None of the duties of, or work to be performed by, the SUBRECIPIENT under this
AGREEMENT shall be subcontracted or assigned to any agency, consultant, or person without
the prior written consent of the CITY. The SUBRECIPIENT must submit all subcontracts and
other agreements that relate to this AGREEMENT to the CITY. No subcontract or assignment
shall terminate or alter the legal obligations of the SUBRECIPIENT pursuant to this
AGREEMENT.
XIH. EXCLUSIVITY OF AGREEMENT
This AGREEMENT supersedes any and all other agreements, either oral or in writing, between
the parties hereto with respect to the use of the CITY's ESG-CV Funds by the SUBRECIPIENT
and contains all the covenants and agreements between the parties with respect to such ESG-CV
Funds in any manner whatsoever. Each party to this AGREEMENT acknowledges that no
representations, inducements, promises or agreements, orally or otherwise, have been made by
any party, or anyone acting on behalf of any parry, which are not embodied herein, and that no
other agreement or amendment hereto shall be effective unless executed in writing and signed by
both the CITY and the SUBRECIPIENT.
XIV. AMENDMENTS OR MODIFICATIONS
The SUBRECIPIENT shall not obligate, encumber, spend, or otherwise utilize program funds for
any activity or purpose not included or not in conformance with the budget as apportioned and as
submitted to the CITY unless:
(1) The SUBRECIPIENT has received explicit written approval from the CITY to undertake
such actions, or
(2) Budget changes may be made among approved program activities and among approved
budget categories so long as the specific project activity has been approved, there is no
change to the total grant amount, and the changes to the budget are documented.
20
Any program modification request by the SUBRECIPIENT must be requested at least forty-five
(45) days prior to the end of the term of this AGREEMENT. No modification to this
AGREEMENT shall be binding by either party unless in writing and signed by both parties.
hi the event that the CITY approves any amendment to the funding allocation, the
SUBRECIPIENT shall be notified in writing and such notification shall constitute an official
amendment.
The CITY may, at its discretion and upon provision of proper notice to the SUBRECIPIENT,
amend this AGREEMENT to conform with changes in Federal, State, and/or the CITY laws,
regulations, guidelines, directives, and objectives. Such amendments shall be incorporated by
written amendment as a part of this AGREEMENT.
XV. VIOLATION OF TERMS AND CONDITIONS
A. Termination
If, due to any cause, the SUBRECIPIENT fails to comply with the terms, conditions or
requirements of this AGREEMENT, or any prior AGREEMENT whereby ESG-CV funds were
received by the SUBRECIPIENT, whether stated in a Federal statute or regulation, an assurance, a
State plan or application, a notice of award, or elsewhere, the CITY may terminate or suspend
this AGREEMENT in accordance with 2 CFR 200.339 and in accordance with 2 CFR 200.340 by
giving written notice, and the CITY may request in writing that all or some of the grant funds be
returned even if the SUBRECIPIENT has expended the funds.
If the SUBRECIPIENT reports inaccurately, or if on audit there is a disallowance of certain
expenditures, the SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance
and repay the CITY all amounts spent in violation thereof If the SUBRECIPIENT engaged in
fraudulent activity to obtain and/orjustify expenditure of the ESG-CV funds granted hereunder, the
SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained
and/or spent under fraudulent circumstances, and the CITY reserves the right to take other remedies
that may be legally available.
The SUBRECIPIENT agrees to return all funds as requested by the CITY under this section
within thirty (30) days of receipt of the written request.
Any objections regarding terminations or suspensions shall be made by the SUBRECIPIENT in
writing and mailed to the CITY pursuant to the above NOTICES section.
XVI. CLOSE-OUT
The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR 200.343,
including the following:
1. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end
date of the period of performance, all financial, performance, and other reports as
required by the terms and conditions of the Federal award;
21
2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all
obligations incurred under the Federal award not later than ninety (90) calendar days
after the end date of the period of performance as specified in the terms and
conditions of the Federal award;
3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the
CITY paid in advance or paid and that is not authorized to be retained by
SUBRECIPIENT for use in other projects (See OMG Circular A-129 and 2 CFR
200.345);
4. SUBRECIPIENT must account for any real and personal property acquired with
Federal funds or received from the Federal government in accordance with 2 CFR
200.310-200.316 and 200.329; and,
5. The CITY should complete all closeout actions for the Federal award no later than
one year after receipt and acceptance of all required final reports.
XVII. VALIDTTY AND SEVERABILITY
The invalidity in whole or in part of any provision of this ARGREEMENT shall not void or affect
the validity of any other provision of this AGREEMENT. Whenever possible, each provision of
this AGREEMENT shall be interpreted in such manner as to be effective and valid under
applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid
under applicable law, such provision shall be ineffective only to the extent of such prohibition or
invalidity, without invalidating the remainder of such provisions of this AGREEMENT.
XVHI. LAWS GOVERNING THIS AGREEMENT
KII
This AGREEMENT shall be governed by and construed in accordance with the laws of the State
of California, and all applicable federal laws and regulations.
No delay or omission by the CITY hereto to exercise any right or power accruing upon any
noncompliance or default by the SUBRECIPIENT with respect to any of the terms of this
AGREEMENT shall impair any such right or power or be construed to be a waiver thereof. A
waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be
performed by the other shall not be construed to be a waiver of any succeeding breach thereof or
of any other covenant, condition, or agreement herein contained.
XX. AGREEMENT DOCUMENT EXHIBITS AND ATTACHMENTS
All of the attachments and exhibits attached to this AGREEMENT are deemed incorporated by
reference. This document may be executed in three (3) counterparts, each of which shall be
deemed to be an original.
22
Each undersigned represents and warrants that its signahue herenibelow has the power, authority and right to
bind their respective parties to each of the terms of this AGREEMENT, and shall indemnify the CITY fully,
including reasonable costs and attorney's fees, for any injuries or damages to the CITY in the event that such
authority or power is not, in fact, held by the signatory or is withdrawn.
IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT on the date and
year first above written.
ATTEST:
i-
DAISY GOMEZ
Clerk of the Council
APPROVED AS TO FORM:
SONIA CARVALHO
CityAtto II e
Y�
By: R 4, DGE
Assistant Ci Attorney
RECOMMENDED FOR APPROVAL:
STEVEN A. MENDOZA
Executive Director
Community Development Agency
23
CITY OF SANTA ANA
a municipal corporation
KIUSTM RIDGE
City Manager
6103;4x l ► ii
Tax ID: 71— /DY %b ?6
DUNS #: �491�tat��
CASE MANAGEMENT
A Case Manager's primary function is to connect clients to an an•ay of social services,
entitlements, Food Stamps, Medi-Cal, and assist clients with completing any applications for
SSI, SSDI, Unemployment or retirement benefits, In addition, a Case Manager will work closely
with die client to secure vital documents needed to obtain permanent housing such as:Birth
Certificate, Driver's License or ID card, Social Security card, Passport, etc. Case Managers will
also be the primary point of contact when assisting clients through legal issues, homeless court,
and traffic tickets. Case Managers meet weekly, and at times much more frequently with clients
to develop goals, to obtain and maintain housing, and to become stable and active in the
community at large. Most ,importantly, Case Managers assist Housing Navigators when
preparing a client for permanent housing.
Housing Navigators support Case Managers as they work with clients to gain housing. A
Housing Navigator's job is to cultivate and maintain housing inventory suitable to meet the
needs of our clients. Housing Navigators assist clients when navigating the Housing Authority
and the housing voucher system, landlord/tenant relations, rights and responsibilities of tenants.
In addition, Housing Navigators can assist clients with a"hands on" approach when doing
walkthroughs of potential units and introductions of the landlord and client, Housing Navigators
assist clients from the housing application process through to the move in. HousingNavlgators
continue to support clients in housing as retention and stabilization specialists as well.
The Site Manager is responsible for the day-to-day supervision of the facility and all staff
assigned to the facility. Site Managers will maintain the facility up to city building codes and
contractual obligations at all times. Site Managers serve as arbiter in client issues, and set
standards of pertontiauce for all direct reports. Additionally, Site Managers will track and report
on all contractual data and outcome reporting.
Yrti
Site Assistants' primary function is to assist clients with their day-to-day needs including but not
limited to: bedding, hygiene supplies, storage of personal items, transportation to and from
appointments, laundry or food service where a client is physically incapable of completing these
tasks without assistance. Site Assistants will also be responsible for die daily upkeep and
cleanliness of the facility. In addition, a Site Assistant's role is to engage each client on a daily
basis, build trust and rapport and ultimately a relationship that will allow for mutual
communication and respect. This foundation is instrumental in addressing emergent issues with
clients, and assisting in crisis de-escalation.
SUB. LANCE USE COUNSEL
The role of the Substance Use Counselor is to address clients who by their own admission suffer
from the negative Impact of substance use in their lives. Counselors will use a "Harm Reduction"
approach when making contact with clients. The Harm Reduction model recognizes that each
individual has the right to self-determination. We have had success with this approach, seeing
numerous clients modify or discontinue use of substances. Counselors will be able to reflect back
some of the negative and lasting effects that substance use may be having in a client's life, and
offer them the therapeutic tools and support to build their own customized Recovery Plan.
BEHAUMA .1S1EALTHTHERAPY
The role of the Behavioral Health Therapist Is to build trust and rapport with the client in an
attempt to address possible past traumatic episodes. Using evidence -based practices, a
Behavioral HealthTliempist who is able to gain the bust of their client can, in many cases,
deliver services that assists the client with processing their past life experiences that have kept
them from being able to move forward into stability. This plays a key role in preparing long-term
or chronically homeless individuals for the possibility of being housed and remaining stably
housed.
The Navigation Center will include:
• Sleeping Area
• Pet Accommodations
• Dining/Commons Area
• Food Storage, Refrigeration, and Prep Area
• Security Offices/Station
• Site -Administration and Operations Offices
• Intake and Private Meeting Areas
• Restroom and Shower Areas
• Laundry Facilities
• Client Storage Area
• Recreational Opportunities
• Access to Computers
In addition, the site will also feature:
• Outdoor Facilides/Areas
• Bike Rack Area
• Outdoor Commons
• Pet Area
ADMISSION CRITERIA
All clients must be literally homeless in the City of Santa Ana. Clients will be admitted through
the reservation system. A prospective client must be willing to participate in creating and
working a Housing plan, follow facility expectations, and maintain appropriate behavior with
consideration for other clients. All clients must review and sign a copy of the "Client
Expectation" document prior to entry. Intake staff will assist any clients who may have
difficulty understanding or reviewing these expectations.
A form of official identification is required to verify identity; however, a client will not be
denied access to services without one Case Managers and/or Housing Navigators will assist
clients In obtaining a California ID, providing each client with a no -cost ID voucher.
EXIT PROCEDURE
When a client must be exited for serious or continued rule violations, the following procedure
will be used:
• The client will have the procedure explained in a polite and concise manner.
• The client will be given 2-3 alternatives for shelter (based on availability), and will be
assisted with gathering all belongings.
• Client will be asked to sign a Discharge document (client's. refusal to sign will be noted
and a second staff signature will suffice).
• Client will be transported to either the shelter they have chosen or to one of the
preapproved drop off/pick up destinations.
When a client Is exiting Into housing or reuniting with family, they will sign the coinciding
documents, gather their belongings, receive a certificate of successful completion, and be
transported to their new living arrangement.
Illumination Foundation is committed to communication with neighbors on an ongoing basis. As
part of this commitment, a public inquiry phone number and contact information will be posted.
Community stakeholders may call this nrmiber for information about the site or to have any
questions answered. Any community complaints and/or inquiries about the program will be
recorded and forwarded to the appropriate staff for prompt investigation, Illumination
Foundation will be fully committed to an appropriate customer service response and will
consider the resolution of community complaints a high priority.
Illumination Foundation will also create and maintain a program website that will include
important information for community stakeholders and clients alike. The website will include a
"Frequently Asked Questions" section which will help to provide instant answers to community
concerns. Illumination Foundation will highlight volunteer, in -kind, and donation opportunities
encouraging community support for the program.
Illumination Foundation is committed to communicating and working collaboratively with tie
City, law enforcement, and fire departments through all stages of program implementation- from
facility design to program execution. The Intention of Illumination Foundation is to be as
self-sufficient as possible and minimize the facility's impact on the local police and fire
departments. This includes ensuring that staff and security are trained to properly manage and
respond to an array of difficult situations that may occur• at the facility.
Illumination Foundation will provide an array of services and support that will be beneficial to
local police and fire departments, These services include, but will not be litnited, to:
• Security Officers stationed both on -site and at shuttle locations
• Designated beds reserved each night for law enforcement referrals
• Staff Neighborhood Patrol will monitor surrounding area to control issues of loitering,
abandoned property, and other blight
• Training opportunities on mental illness, homeless sensitivity, or other topics of interest
to supplement existing department trainings
• Direct referral access to the Coordinated Entry System to connect homeless individuals
with housing opportunities
• Statistical reports on number of clients served, length of stay and/or demographic
information
Illumination Foundation will be committed to active participation in city and county -wide
community events. To the extent that is reasonable and feasible, representatives of Illumination
Foundation will attend meetings of the local Neighborhood Association(s) and local Chamber of
Commerce(s) when invited, and communicate with neighborhood and business participants.
Additionally, Illumination Foundation may sponsor special events, such as community resource
fairs, which will include the community and the neighborhood on various occasions.
Illumination Foundation will exercise their best efforts to prioritize Santa Ana residents while
hiring for this facility, but may hire from any geographic area if necessary.
All Program staff will be trained when hired in; emergency evacuation, first aid procedures,
mandated reporting policies, crisis intervention, and CPR procedures. This training will be
repeated and updated annually and as needed. Staff may receive additional training on different
topics as opportunities arise and are needed.
Each stab member also receives on -going in-service training in crisis management,
strength -based approaches, nauma-Informed care, motivational interviewing, mediation, and
positive communication skills.
Security staff will be provided sensitivity training to better equip them to work with homeless
clients, and those in crisis.
ACCESS TO WE SHELTER
The Navigation Center will be accessible 24 hours a day, seven clays/week, 365 days a year, In
order to decrease the impact to the surrounding neighborhood, access to bed availability will be
handled through a reservation system. No walk-ins for the Navigation Center Program or
services will be permitted. Illumination Foundation shall prioritize all beds at the facility for use
by persons who reside in Santa Ana, based on reasonable criteria established to determine
residency. Approved referral agencies are City of Santa Ana authorities, including but not
limited to members of the Santa Ann Police Department, Santa Ana staff, and/or third -parties
under contract with the City for outreach and engagement services with homeless individuals.
This includes CityNet, Illumination Foundation, and the Orange County Health Care Agency.
LENGTff OFSTAY
Illumination Foundation proposes a 120- to 180-day length of stay; however based on a client's
vulnerability, chronicity, and available housing inventory, more time may be required. It is
Illumination Foundation's goal to match all eligible individuals to appropriate permanent
housing at the earliest opportunity. Each client will have a Case Manager and Housing
Navigator supporting their progress toward housing stabilization. The program is designed to
provide this support until a housing option becomes available. However, at any time a client
may be exited ftnm the shelter for safety or continual shelter violations.
SLEEPING AREAS
Due to the nature of this facility, beds provided will be single beds, in a dorm setting. Each client
will be assigned a pillow and bedding for the length of their stay. Bedding will be washed and
changed at regular intervals to promote health and cleanliness.
Space will be divided to allow for separate sleeping areas for men and women, couples slid
families.
Flexible sleeping space will also be provided for the transgender population, those dealing with
illness or for other special needs populations.
PET FRIENDLY
Illumination Foundation believes in providing support for the most vulnerable individuals and
their companion animals. The Navigation Center Program will provide space for a total of 30
companion/service/support animals. Clients may bring (1) pet with them up to the shelter
maximum of 30. Animals must be maintained by the clients, however Illumination Foundation
can help with linkage to aninnal resources, including veterinary and hygiene services in most
cases.
Breakfast, lunch, dinner, and healthy snacks will be provided for all clients in a central dining
area. Hot meals will be purchased and delivered to the site daily from an Illumination
Foundation service partner. These meals will be served to clients of the facility by both paid
staff and volunteers.
xMIRVIRMTRUM
Hygiene facilities will be provided on -site including toilets and showers. Clients will be
encouraged to utilize these facilities daily. Toiletries will be provided by Illumination
Foundation to clients as needed. Laundry will be done by paid staff and volunteers at intake.
Clients will be assisted with their laundry on a weekly basis to ensure a healthy shelter
environment. As a preventative measure, upon entry all client's clothes and belongings will be
sanitized and washed to prevent the spread of pests and allergens.
TRANSPOR�'ATION
Illumination Foundation will provide transportation in vans and shuttles to predetermined drop
off/pick up locations throughout the city of Santa Ann. In addition, Illumination Foundation will
provide clients with transportation to and from doctors appointments, social services
appointments, housing appointments and any other destination that is in alignment with the
client's established housing plan. Some transportation may be completed by Uber, Lyit, and
OCTA depending on the availability of transportation, the volume of clients requiring
transportation on a given day, and the client's vulnerability and capabilities.
SECURITY
Illumination Foundation will contract with a state -licensed security vendor that will be stationed
Inside and outside of the facility property 24 hours a day 7 days a weep. Illumination Foundation
will follow policies and procedures that promote utmost safety for clients, staff, volunteers, and
the community. Illumination Foundation will strive to provide an atmosphere that promotes
community, stays alert for signs of conflict, and confronts behaviors before they escalate. The
security plan will Include a multifaceted approach involving secured entrances, security searches
upon entrance, confiscation of harmful contraband, trained security personnel providing
around -the -clock indoor and outdoor coverage, security cameras, and lighting. Other program
elements that will support security efforts include no walk ups and no loitering policies.
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Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion
Lower Tier Covered Transactions
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 29 CFR Part 98, Section 98.510, Participants' responsibilities. The regulations were published
as Part VII of the May 26,1988 Federal Register (pages 19160-19211).
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION -
Attached)
(1) The prospective recipient of federal assistance funds certifies, by submission of this proposal, that
neither it nor its principals are presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this transaction by any federal department or
agency.
(2) Where the prospective recipient of federal assistance funds is unable to certify to any of the
statements in this certification, such prospective participant shall attach an explanation to this
proposal.
vdtiN ��1/�'� Cl::-U
Name and Title of Authorized Representative
Date
EXHIBIT C
Page 1 of 2
INSTRUCTIONS FOR CERTIFICATION
By signing and submitting this proposal, the prospective recipient of federal assistance funds is
providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective recipient of
federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government, the Department of Labor (DOL) may pursue available
remedies, including suspension and/or debarment.
The prospective recipient of federal assistance funds shall provide immediate written notice to the
person to which this proposal is submitted if at any time the prospective recipient of federal
assistance funds learns that its certification was erroneous when submitted or has become erroneous
by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," 'lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and
"voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order 12549. You may contact the person to
which this proposal is submitted for assistance in obtaining a copy of those regulations.
5. The prospective recipient of federal assistance funds agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the DOL.
6. The prospective recipienfof federal assistance funds further agrees by submitting this proposal that
it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
voluntary exclusion - Lower Tier Covered Transactions," without modification, in all lower tier
covered transactions and in all solicitations for lower tier covered transactions.
A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A participant may
decide the method and frequency by which it determines the eligibility of its principals. Each
participant may, but is not required to check the List of Parties Excluded from Procurement or Non -
Procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of
records in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in
addition to other remedies available to the Federal Government, the DOL may pursue available
remedies, including suspension and/or debarment.
EXHIBIT C
Page 2 of 2
Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contact, 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 any
agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure
Form to Report Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontract, subgrants, and
contracts under grants, loans, and cooperative agreements) and that all subrecipients shall
certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352, Title
31, U. S. Code. Any person who fails to file the required certification shall be subject to
a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
,Wjn /Lc L X v lw09T0\�V
Grantee/Contactor Organization Program Title
Name of Certifying
EXHIBIT D
Page 1 of 2
SUBRECIPIENT warrants the following:
1. SUBRECIPIENT will comply with Public Law 88-352, Title VI of the Civil Rights
Act of 1964 (42 U. S. C. section 2000 et seq.) and implementing regulation in 24 CFR
Part 1.
2. No person in the United States shall on the ground of race, color, religion, national
origin, or sex, be excluded from participation in, or be denied the benefits of, or be
subjected to discrimination under any program or activity funded in whole or in part with
community development funds made available pursuant to the ACT.
3. All laborers and mechanics, employed by contractors or subcontractors in the
performance of construction work financed in whole or in part with community
development funds shall be paid wages at rates not less than those prevailing on similar
construction in the locality as determined in accordance with the Davis -Bacon Act, as
amended, 40 U. S. C. Sections 276 a 1-5, except for individuals who perform services for
which they volunteered; do not receive compensation for such services; or are paid
expenses, reasonable benefits, or a nominal fee for such services; and are not otherwise
employed at any time in construction work.
4. SUBRECIPIENT will comply with all Federal statutes applicable to projects funded
with community development funds, except that (a) SUBRECIPIENT does not assume
CITY'S environmental responsibilities described at 24 CFR 570.604; and (b)
SUBRECIPIENT does not assume CITY'S responsibility for initiating the review process
under Executive Order 12372.
EXHIBIT D
Page 2 of 2
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG -FREE
�7 WORKPLACE REQUIREMENTS
Name: /� Jivr�6�/ 0_,J
Date:
The Contractor shall Insert in the space provided below the site($) expected to be used
for the performance of work under the contract covered by the certification:
Place of Performance (include street address, city, county, state, zip code for each site):
ClWtjeGJC .
_ Ont�G� Gain�ly� Sqi�� A�v�, �9 iZ7 �5
Certification Regarding Drug -Free Workplace Requirements
The certification set out below is a material representation upon which reliance is placed
by the U.S. Department of Housing and Urban Development in awarding the grant. If it
is later determined that the contractor knowingly rendered a false certification, or
otherwise violates the requirements of the Drug -Free Workplace Act, the U.S.
Department of Housing and Urban Development, In addition to any other remedies
available to the Federal Government, may take action authorized under the Drug -Free
Workplace Act.
A. The contractor certifies that it will provide a drug -free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession or use of a controlled substance is
prohibited in the contractor's workplace and specifying the actions that will
be taken against employees for violation of such prohibition;
(b) Establishing a drug -free awareness program to inform employees about—
(1) The dangers of drug abuse in the workplace;
(2) The contractor's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance program; and
(4) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;
(c) Making it a requirement that each employee who will be engaged in the
performance of the grant be given a copy of the statement required by
paragraph (a);
(d) Notifying the employee in the statement required by paragraph -(a) that,
as a condition of employment under the contract, the employee will -
(1) Abide by the terms of the statement; and
(2) Notify the employer of any criminal drug statute conviction for a
violation occurring In the workplace no later than five days after
such conviction.
(a) Notifying the U.S. Department of Housing and Urban Development within
ten days after receiving notice under subparagraph (d)(2) from an
employee or otherwise receiving actual notice of such conviction;
(f) Taking one of the following actions, within 30 days of receiving notice
under subparagraph (d)(2), with respect to any employee who is so
convicted -
( 1) Taking appropriate personnel action against such an employee, up
to and including termination; or
(2) Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free workplace
through Implementation of paragraphs (a), (b), (c), (d), (a) and (f).
B. The contractor shall insert in the space provided on the attached "Place of
Performance" form the site(s) for the performance of work to be carried out with
the grant funds (including street address, city, county, state, and zip code) .the
contractor further certifies that, if It Is subsequently determined that additional
sites will be used for the performance of work under the contract, it shall notify
the U.S. Department of Housing and Urban Development immediately upon the
decision to use such additional sites by submitting a revised 'Place of
Performance" form.
21� /Li—^ ev97-\o-j Fey"Pog7t arJ
�nzed Signature
/% G
Date
Orange County CoC
Inter -Agency Data Sharing Memorandum ofAgreemeut
The Illumination Foundation agency agrees to share client data among participating
agencies via the LAJOC HMIS (Homeless Management Information System) for the purposes outlined below. Each
participating agency must complete and comply with the Agency Agreement. Each individual HMIS user must Complete
and comply with the HMIS User Agreement. This document is available on the OCHMIS website
htlo Pwmm.ochmi s.orc.
Uses of HMIS Data:
• Coordinate housing services for families and individuals experiencing homelessness or facing a housing crisis in
Orange County
• Understand the extent and the nature of homelessness in Orange County
• Evaluate performance and progress toward community benchmarks
• Improve the programs and services available to Orange County residents experiencing homelessness or a
housing crisis
• Improve access to services for all Orange County homeless and at -risk populations
• Reduce inefficiencies and duplication of services within our community
• Ensure that services are targeted to those most in need, including "hard to serve" populations
• Ensure that Clients receive the amount and type of services that "best fits" their needs and preferences
• Pursue additional resources for ending homelessness
• Advocate for policies and legislation that will support efforts to end homelessness in Orange County
Client Protection:
• Informed consent must be given by clients in order for their identifying information to be entered into HMIS and
shared among agencies in the LAIOC HMIS (see Orange County HMIS participating agencies on OCHMIS.org).
Non -Identifying client information may be entered in the system for all clients regardless of whether they give
their informed consent and regardless of their domestic violence status.
• Only non -Identifying information will be entered for clients currently fleeing or in danger from a domestic
violence, dating violence, sexual assault or stalking situation.
• Identifying client information will only be shared among agencies that have signed this agreement. At the time of
Informed consent, and at any point after, the client has the right to see a current list of the OC HMIS
participating agencies.
• Additional agencies may join the LAIOC HMIS and will be added to the list of HMIS participating agencies. As
part of the Informed consent process, clients must be informed that additional agencies may join the
collaborative at any time and will have access to their Information.
• HMIS Users will maintain HMIS data In such a way as to protect against revealing the identity of clients to
unauthorized agencies, Individuals, or entities (see the "OC HMIS Client Consent Form," and the "Client Rights
Brochure 00" available on the OCHMIS.org website).
• Clients may not be denied services based on their choice to withhold their consent.
Each party to this memorandum of agreement shall defend, indemnify, and hold all other parties harmless from any and
all claims arising out of that party's negligent performance of this agreement. Any loss or liability to third parties resulting
from negligent acts, errors, or omissions of a LA/OC HMIS user while acting within the scope of their authority under this
Agreement shall be bome by that user exclusively.
Agreed to and signed by the following agency representative:
John H. Ing Illumination Foundation
Printed Name Agency Name
Signature Date
GREATER Los ANGELES & ORANGE COUNTY
HOMELESS MANAGEMENT INFORMATION SYSTEM (LA/OC HMIS)
PARTICIPATING ORGANIZATION AGREEMENT
1. Purpose
The HMIS is a HUD -mandated information technology system that Is designed to capture cllent-level information
over time, on the characteristics and service needs of homeless persons. Client data Is maintained on a central
server, which will contain all client Information In an encrypted state. HMIS integrates data from all homeless
service providers andorganlzations in the community and captures basic descriptive Information on every person
served. Participation In LA/OC HMIS allows organizations to share Information with Other participating
organizations to create a morecoordinated and effectivedelivery system.
The LA/OC HMIS Is the secured electronic database for the Greater Los Angeles and Orange Counties and Is a
valuable resource for local communities. The LA/OC HMIS Collaborative consists of four separate Continuums of
Care (CoQ. The continuums are: Los Angeles City and County; Santa Ana/Anaheim/Orange County; Glendale; and
Pasadena.
The LA/OC HMIS Collaborative's goal is to provide a comprehensive case management system to advance the
provision of quality services for homeless persons, Improve data collection, and promote more responsive policies
to end homelessness in the Greater Los Angeles and Orange Counties.
11. Agreement and Understanding
This Agreement authorizes this Participating Organization (Organization) to designate HMIS Users (User). A User Is
a staff person entrusted to enter Protected Personal information (PPI) Into the LA/OC HMIS, on behalf of this
Organization. In order to allow a User to access the LA/OC HMIS, a User Agreement must be signed by the User,
the HMIS Administrator, and this Organization's Authorized Representative.
III. Confidentiality and Informed Consent
Confidentiality: This Organization must require all Users to abide by Its organization's policies and procedures;
uphold all privacy protection standards established by the LA/OC HMIS Collaborative Policies and Procedures; and
comply with all relevant federal and State of California confldentiality laws and regulations that protect client
records. Except where otherwise provided for by law, this Organization shall ensure that confidential client records
are released with the client's written consent.
Written Consent: To obtain written consent, prior to each client's assessment, each client must be Informed
that the client's Information will be entered Into an electronic database called HMIS. The terms of the Consent to
Share Protected Personal Information form must also be explained to each client. Clients who agree to have
their PPI entered Into the LA/OC HMIS must sign the Consent to Share Protected Personal Information form.
Verbal Consent: Verbal consent to enter PPI Into the LA/OC HMIS may be obtained during circumstances such
as phone screenings, street outreach, or community access center sign -ins. Each client must be Informed that his
or her Information will be entered Into the HMIS database. The terms of the Consent to Share Protected
Personal information form must also be explained to each client. The client's written consent must be obtained
once the client appears for his or her initial assessment.
Version 1.5 Page 1 of 3 Modified 10/21/2015
IV. Client's Rights
The client has a right to receive a copy of this notice at the time of request.
Each client has the right to receive the following, no later than five (5) business days of a written request:
• A correction of Inaccurate or Incomplete PPI
• A copy of his or her consent form
• A copy of his or her HM IS records
• A current list of participating organizations that have access to HMIS data
V. Data Use
This Organization must protect HMIS data by ensuring that:
• A link to the Privacy Notice is accessed from the Organizatlon's webaite.
• LA/OC HMIS b not accessible to unauthorized users
• LA/OC HMIS Is only accessed by computers approved by the Organization
• HMIS Users are trained regarding user responsibilities and conduct
• fIMIS Users sign and comply with the LA10C HMIS User Agreement
• HMIS Users forward a copy of a client's Revocation of Consent to the HMIS Administrator within 24 hours of
receipt.
Vl. Responsibilities
This Organization Is responsible to ensure that:
• The Noflce Regarding Collection of Personal information Is posted at each Intake desk or comparable
location,
• HMIS Users do not misuse the system
• Clients are notified if a breach of their PPI Is discovered
• Any HMIS User who finds a possible security lapse on the system is obligated to Immediately report it to the
HMIS Administrator.
• A signed copy of the Consent to Share Protected Personal Information is retained for a period of seven
(7) years after the PPI was created or last changed.
VII. System Use
Computer equipment and services provided by a Car are intended only for LA/OC HMIS-related activities.
Prohibited uses include, but are not limited to: malicious or Illegal activities; unauthorized access; the creation,
sending and/or storing of fraudulent, threatening, harassing, or obscene messages; Inappropriate mess mailing
(spamming, flooding, bombing); dental of service attacks; and the creation or Intentional distribution of computer
viruses, worms, and/or Trojan horses,
Equipment, If applicable: All CoC-provided computer equipment including, but not limited to,
printers, scanners, laptops and monitors, were provided through grant funds from HUD. The maintenance
and upgrades of these devices are subject to the requirements and funding limitations of the HUD grant.
Maintenance and/or upgrade costs to equipment, Incurred after the HUD grant funds have been
exhausted, become the sole responsibility of this Organization.
Software, Ucenses, andlor Services, If applicable: CoC•provlded services to each organization
may Include, but are not limited to, purchasing and Installing Antl-Virus Software and licenses, Firewall
software and licenses, Windows software updates and High -Speed Internet Connections. The software
and/or services are provided for HMIS purposes through HUD grant funds. The maintenance, upgrades
and license purchases are subject to the requirements and funding limitations of the HUD grant,
Additional maintenance, upgrades and license purchases, Incurred after the grant funds have been
exhausted, become the sole responsibility of this Organization.
Verslan 1.5 Page 2 of 3 Modli led 1a12112a15
Vill. Rights and Privileges
LA/OC HMIS data is stored in one central database and is owned by the LA/OC HMIS Collaborative. The LA/OC
HMIS Collaborative reserves all rights to the HMIS data, Use of the LA/OC HMIS equipment, software, licenses,
and/or services is a privilege and is assigned and managed by each HMIS Administrator.
IX. Copyright
The LA/OC HMIS and other CoC-provided software are protected by copyright and are not to be copied, except as
permitted by law or by contract with the owner of the copyright. The number and distribution of copies of any CoC
provided software are at the sole discretion of the HMIS Administrator.
X. Violations
Any violations or suspected violations of any of the terms and conditions of this agreement, the HMIS User
Agreement, and/or the HMIS Policies and Procedures, must be immediately and confidentially reported to the
HMIS Administrator and the Executive Director or other authorized representative of this Organization.
XI. Term
This Participating Organization Agreement becomes effective on the date of final execution and shall remain in
effect unless terminated pursuant to paragraph XI. Termination, below.
XII. Amendment and Termination
• The LA/OC CoC reserves the right to amend this agreement by providing a 3-day notice to this Organization.
• Either party has the right to terminate this agreement, with or without cause, by providing a 3-day written
notice to the other party.
• if this agreement is terminated, this Organization shall no longer have access to HMIS or any Information
therein. The remaining LA/OC HMIS participating organizations shall retain the right to use all client data
previously entered by this Organization, subject to any restrictions requested by the client.
All organizations that sign this agreement and are granted access to the LA/OC HMIS agree to abide by LA/OC's
HMIS Collaborative Policies and Procedures. The signature of the Executive Director or other authorized
representative of this Organization Indicates acceptance of all terms and conditions set forth in this agreement.
This Agreement is executed between the CoC and the Participating Organization. Upon final execution, this
Organization will be given access to the LA/OC HMIS,
Illumination Foundation
Organization Name
John H. Ing
Organization Administrator/Authorized Representative
(PrIM Name)
Slgnatur�/�
r
Date of Signature
CoC Name
HMIS Administrator Name (Print Name)
Signature
Date of Signature
Version Ls Page 3 of 3 Modified I012112015
Rom® ----CERTIFICATE OF -LIABILITY IN$URANGE
DATE(MMIDzo
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS
CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES
BELOW, THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED
REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER.
IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(les) must have ADDITIONAL INSURED provisions or be endorsed.
If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on
this certificate does not confer rights to the certificate holder In lieu of such endorsement(s).
PRODUCER
BOWeRllaster&Associates
10805 Holder St
Ste 350
CONTACT
NAME: Ll2ette OFOZCO
PHONE .714-733-6248 Fax
ac No
DMDness: Iorozco bowermasteccom
Cypress CA 90630
INSURER 8 AFFORDING COVERAGE
NAIC#
INSURERA: Philadelphia Indemnity Insurance
18058
INSURED ILLUFOU-01
Illumination Foundation
1091 N. Batavia Street
INSURERe: Redwood FireiaSURI' IOSUfanCe
11673
INSURERC: Nonprofits' Insurance Alliance of California
INSURERD:
Orange CA 92867
INSURER E:
INSURER F:
COVERAGES CERTIFICATE NUMBER: 145192980 REVISION NUMBER:
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
INSR
LTR
TYPEOFINSURANCE
AODL
SUER
POLICYNUMBER
M LICYEFF
OYYYI
MM/DD/YEXP
LIMITS
C
X
COMMERCIAL GENERAL LIABILITY
CLAIMB-MADE Al OCCUR
Prof Liability
2020.24712
9/15/2020
9/15/2021
EACH OCCURRENCE
$1,000,ODO
DAMAGE RENTED
PREMISES Ea occuner:ce
$500,000
X
MED EXP (Any one person)
$ 20,000
PERSONAL& ADV INJURY
$1,000,D00
GENT.
X
AGGREGATE LIMIT APPLIES PER
POLICY jECT LOC
OTHER:
GENERALAGGREGATE
$3,000,D00
PRODUCTS -COMPIOPAGG
$3,000,000
$
C
AUTOMOBILE
LIABILITY
ANY AUTO
OWNED SCHEDULED
AUTOSHIRED ONLY AUTOSHIRED X NON-OWNEDSLY
AUTOS ONLY AUTOS ONLY
2020-24712
9/15/2020
9/15/2021
COMBINED SINGLE L IT
Ea accident
$1,000,000
BODILY INJURY(Per person)
$
Ix
BODILY INJURY(Per accident)$
PROPERTY DAMAGE
Per accident)
$
C
X
UMBRELLAUAB
EXCESS LIAR
X
OCCUR
CLAIMS -MADE
2020-24712-UMB
9/15/2020
9/15/2021
EACH OCCURRENCE
$7,000,000
AGGREGATE
$7,000,000
DED I I RETENTION
$
B
WORKERS COMPENSATION
ANDEMPLOYERS' LIABILITY YIN
OF I ERIMEMBEREXCLUOEDI ARTNEREXECUTIVE ❑
(Mandatory In NH)
If yes, describe under
DESCRIPTION OF OPERATIONS below
NIA
ILWC107887
1/1/21320
1/1,202,
X PER I I OTH-
STATUTE ER
E.L. EACH ACCIDENT
$1,000,000
E.L. DISEASE - EA EMPLOYEE
$1,000,000
E.L. DISEASE -POLICY LIMIT
$1000.000
A
C
Commercial Cyber Liability
Improper Sexual Conduct
7
PHSD1576498
2020-24712
9/15/2020
9/15/202D
9/15/2021
9/15/2021
Agg:$3,000,000/Each
Agg:$1,000,000/Each
$1,000,000
$1,000,000
DESCRIPTION OF OPERATIONS/LOCATIONS/VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached S more apace is required)
CERTIFICATE HOLDER CANCELLATION
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN
ACCORDANCE WITH THE POLICY PROVISIONS.
The Link Emergency Shelter
2320 Redill Ave
AUTHORIZED REPRESENTATIVE
Santa Ana CA 92705
01988-2016 ACORD CORPORATION. All rights reserved.
ACORD 25 (2016/03) The ACORD name and logo are registered marks of ACORD