HomeMy WebLinkAboutORANGE COUNTY PARTNERSHIP - HPRP - 2009.DURANCE NOT REQUIRED
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ADDENDUM TO
ORANGE COUNTY PARTNERSHIP
HPRP AGREEMENT WITH
THE CITY OF SANTA ANA
A-2009-140
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~~ For purposes of this Grant and throughout the term of this Agreement with the City
~' of Santa Ana, the parties agree that due to the nature of the services being provided by
~~ ORANGE COUNTY PARTNERSHIP ("Subrecipient") to the CITY OF SANTA ANA,
~~-~ certain terms of the HPRP AGREEMENT must be revised as follows:
~'
.~ • Exhibit A will be the Proposal that was submitted by Orange County Partnership
. -- ~~ to the City.
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• Any language related to "reimbursement" will now be "fee for services" rendered.
• There is no "Budget" associated with the Agreement. The only requirement is
that Orange County Partnership does not exceed the grant amount of the
Agreement and the fee will be associated only with Data Collection.
• An estimated invoice schedule will be attached to the Agreement as Exhibit B
instead of the referenced "Budget".
• The only insurance requirements for Subrecipient will be to provide the City with
proof of Worker's Compensation insurance per California state law.
• There will be no accomplishment requirements other than providing Quarterly
Reports, Annual Reports and any other report(s) requested by the City or HUD.
• All other terms and conditions of the HPRP Agreement apply to Subrecipient as
set forth in said Agreement.
By its signature below, the Subrecipient agrees to the terms of this Addendum which is
attached to and incorporated into the HPRP Agreement.
Date: ~ 011 'Q°t
SUBRECIPIENT:
ORANGE COUNTY~,PARTNERSHIP
By: ~~
Name: ~ ~~ Q
Title: ~ C~tlu-c ~1f~eC~cr
AGREEMENT BETWEEN THE CITY OF SANTA ANA
AND ORANGE COUNTY PARTNERSHIP FOR THE USE OF
HOMELESSNESS PREVENTION AND RAPID REHOUSING
GRANT FUNDS (Program Year 2009-10)
THIS AGREEMENT, is hereby made and effective this 30t" day of
September 2009, by and between the City of Santa Ana, a charter city and
municipal corporation of the State of California ("CITY") and Orange County
Partnership, a California nonprofit organization ("SUBRECIPIENT").
WITNESSETH
RECITALS:
This AGREEMENT is made with reference to the following facts, among others:
1. The CITY has applied for and anticipates receiving funds from the United States
Department of Housing and Urban Development ("HUD") from the Homelessness
Prevention Fund, hereafter referred to as the Homelessness Prevention and Rapid Re-
Housing Program ("HPRP")," under Title XII of the American Recovery and Reinvestment
Act of 2009 ("Recovery Act"), to provide financial assistance and services to either
prevent individuals and families from becoming homeless or help those who are
experiencing homelessness to be quickly re-housed and stabilized.
2. SUBRECIPIENT has submitted to CITY an application for funding of a housing
and community development activity.
3. CITY adopted its FY 2008-09 Annual Action Plan, (hereinafter referred to as
"ANNUAL ACTION PLAN"), including any substantial amendments, which sets forth the
PROJECT described herein.
4. HUD will annually review the performance of CITY to determine whether CITY
has carried out its Homelessness Prevention and Rapid Re-Housing Program ("HPRP")
assisted activities in a timely manner and has significantly disbursed HPRP funds.
5. HUD has accepted and certified the aforementioned ANNUAL ACTION PLAN.
6. CITY approved an allocation of $50,000 in PROJECT funding to
SUBRECIPIENT for the Fiscal Years 2009-2012.
7. The CITY and SUBRECIPIENT have duly executed this AGREEMENT for the
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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 SUBRECEPIENT:
1. AGREEMENT FORM
This AGREEMENT consists of:
The following provisions;
A. All applicable Federal Regulations and any future regulations and/or
amendments that may be promulgated by HUD; including 24 CFR 576; and
B. Appropriate State and CITY laws and regulations; and
C. The SUBRECIPIENT SCOPE OF SERVICES is incorporated by reference
and attached as Exhibit A, and further referenced in Section IX.D of this AGREEMENT;
and
D. The approved SUBRECIPIENT BUDGET is incorporated by reference and
attached as Exhibit B, and further referenced in Section VI.E. of this AGREEMENT; and
E. The SUBRECIPIENT Request for Proposal ("RFP") application, is
incorporated by reference, and further referenced in Section IX.E of this AGREEMENT;
and
F. The United States Department of Housing and Urban Development [Docket
No. FR-5307-N-01] Notice of Allocations, Application Procedures, and Requirements for
Homelessness Prevention and Rapid Re-Housing Program Grantees under the American
Recovery and Reinvestment Act of 2009 is incorporated by reference and attached as
Exhibit C.
G. Grant Agreement No.S09-MY-06-0508 between the United States
Department of Housing and Urban Development and the CITY.
II. DEFINITIONS
For the purposes of this AGREEMENT the following definitions shall apply:
A. HUD: United States Department of Housing and Urban Development.
B. CITY MANAGER: Representative on behalf of the City -City Manager or
his/her designee.
C. EQUIPMENT: Tangible, non-expendable, personal property having a useful
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life of more than one year.
D. MONTHLY, QUARTERLY and ANNUAL PERFORMANCE REPORTS
("MPR"), ("QPR") AND ("APR"), respectively: A PROJECT activity data document
provided by CITY to SUBRECIPIENT used to monitor and track the performance of
SUBRECIPIENT.
E. PROJECT: Any site or sites, including buildings, and/or activities assisted
with federal program funds.
F. OMB: Federal Office of Management and Budget.
G. CAPER: Consolidated Annual Performance and Evaluation Report; an
annual report to HUD on all CITY housing and community development activities.
H. SUBSTANTIAL AMENDMENT: The CITY will consider a change in project
scope as a "substantial amendment" under the following circumstances:
1. CITY or SUBRECIPIENT decides not to carry out an activity previously
described in the Annual Action Plan;
2. CITY or SUBRECIPIENT carries out an activity not previously described
in the Annual Action Plan;
3. CITY or SUBRECIPIENT changes the purpose, scope, location or
beneficiaries of an activity;
4. CITY or SUBRECIPIENT changes the use of HPRP funds from one
eligible activity to another; and
5. CITY or SUBRECIPIENT changes of 30% or more in one program
activity.
I. Integrated Disbursement and Information System (IDIS) is utilized to draw
down HPRP funding and report on grant expenditures.
J. DUNS Number: SUBRECIPIENT is required to register with Dun and
Bradstreet to obtain a DUNS number www.dnd.com. A DUNS number is a unique 9 (nine)
digit number provided to SUBRECIPIENTS who are receiving Federal AGREEMENTS
and/or grants.
K. Homeless Management Information System/Client Management Information
System ("HMIs/CMIS") is a system for tracking the use of homeless programs and
producing an unduplicated count of the people using those services.
L. Homelessness Prevention and Rapid Re-Housing Program ("HPRP"): The
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purpose of the HPRP is to provide homelessness prevention assistance to households
who would otherwise become homeless-many due to the economic crisis-and to
provide assistance to rapidly re-house persons who are homeless as defined by section
103 of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11302).
M. Administrative Costs: Eligible costs include accounting, reporting, auditing
and staff training.
III. CONDITIONS OF FUNDING
A. CITY advises SUBRECIPIENT that a significant change in entitlement
funding may result in a change in the current process utilized by CITY to determine
funding allocations. 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 SUBRECIPIENT, this AGREEMENT may be
terminated by the CITY at the end of the period for which funds are available. The CITY
shall notify SUBRECIPIENT at the earliest possible time 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.
B. SUBRECIPIENT shall allow representatives of the CITY of SANTA ANA or
HUD to inspect facilities which are used in connection with the AGREEMENT or which
implement. programs funded under this AGREEMENT.
C. SUBRECIPIENT shall maintain any applicable licenses or permits, and
meet any facility code regulations required for the program(s) funded under the
AGREEMENT.
D. No costs incurred prior to the execution of this AGREEMENT shall be
eligible for reimbursement with Grant Funds.
IV. TERM
A. Eligible costs related to services provided by SUBRECIPIENT must be
incurred during the period beginning September 30, 2009. The PROJECT shall be
completed and all funds provided through this AGREEMENT shall be expended on
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eligible project activities prior to June 30, 2012. CITY will reclaim any unused balance of
funds for reallocation to other CITY approved projects.
B. Grant funds must be used for eligible activities as described in the HPRP
Notice. SUBRECIPIENT shall limit its use of HPRP program funds as defined in the
attached and incorporated SUBRECIPIENT SCOPE OF SERVICES to one or more of the
following:
1. Financial assistance: Eligible activities include short and medium-
term rental assistance payments, security deposits, utility deposits, utility payments,
moving cost assistance and motel/hotel vouchers.
2. Housing Relocation and Stabilization Services: Eligible activities
include case management services, outreach to and engagement of eligible program
participants, housing search and placements, legal services to help people stay in their
homes and credit repair.
3. Data Collection: the costs of operating data collection and reporting
thought the use of HMIS or a comparable client-level database. Evaluation is also an
eligible cost if the CITY or SUBRECIPIENT is asked by HUD to participate in HUD-
sponsored research and evaluation.
4. Administration: Eligible costs include accounting, reporting, auditing
and staff training.
No other use of these funds will be permissible.
V. AMENDMENTS/ BUDGET REVISIONS
A. CITY, through the City Manager, without further action by the City Council
(hereinafter referred to as "Council") and SUBRECIPIENT may by mutual agreement
amend this AGREEMENT and/or incorporated SUBRECIPIENT SCOPE OF SERVICES,
at any time, up to 45 (forty-five) days prior to AGREEMENT expiration, provided that the
proposed action is (1) not a Substantial Amendment as defined by Section II.H of this
AGREEMENT (2) makes specific reference to this AGREEMENT, (3) is executed in
writing and signed by a duly authorized representative of the SUBRECIPIENT's
organization. SUBRECIPIENT's written request to amend must include a revised budget
for funds being extended, if that scope of work is different in scope from the originally
agreed upon SUBRECIPIENT SCOPE OF SERVICES. SUBRECIPIENT must also
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comply with the original thresholds and milestones outlined in Section VIII.C. herein. Any
proposed amendment to this AGREEMENT shall be submitted to the City Manager, and
approved by the City Manager prior to commencement of any activity covered by said
amendment.
B. SUBRECIPIENT agrees that CITY may, at its sole discretion, amend this
AGREEMENT to conform with federal, state or local governmental guidelines (as
amended from time to time), policies and available funding amounts.
C. If any amendment results in a change in the funding amount,
SUBRECIPIENT SCOPE OF SERVICES, threshold and milestone dates or schedule of
activities to be undertaken as part of this AGREEMENT, such modifications will be
incorporated only by written amendment executed by City Manager and SUBRECIPIENT.
D. SUBRECIPIENT shall not obligate, encumber, spend or otherwise utilize HPRP
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 among approved project 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.
VI. PAYMENTS
A. AGREEMENT Amount
It is expressly agreed and understood that the total amount to be paid by
CITY under this AGREEMENT shall not exceed $50,000 as specified in
SUBRECIPIENT's BUDGET (Exhibit B). Reimbursement for the payment of eligible
project expenses shall be made in accordance with the line items specified in Exhibit B of
SUBRECIPIENT's BUDGET.
B. Funds from CITY to SUBRECIPIENT shall be disbursed subsequent to
availability of funds from HUD to CITY. SUBRECIPIENT acknowledges that HUD funds
are not meant to replace or supplant other sources of funding.
C. Funds shall not be disbursed for any costs incurred prior to the certification
by CITY and/or HUD of Certificate(s) of Insurance, as further defined in Section VII and
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Section XII of this AGREEMENT.
D. Payment of Project Activities
1. CITY will reimburse SUBRECIPIENT for eligible project-related costs
only. SUBRECIPIENT shall submit requests for reimbursement to CITY on a monthly
basis beginning on October 20, 2009, and must provide adequate documentation as
required by CITY. In addition, SUBRECIPIENT will provide a progress performance
report (i.e., Monthly Performance Report, hereinafter referred to as "MPR" Information
Form, Quarterly Performance Report, hereinafter referred to as "QPR" Information Form,
and Annual Performance Report, hereinafter referred to as "APR" Information Form) for
the time period covered, as prescribed by CITY. Failure to provide any of the required
documentation and reporting will cause CITY to withhold all or a portion of a request for
reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until
such documentation and reporting has been received and approved by CITY.
2. If SUBRECIPIENT has no request for reimbursement during any
month during the term of this AGREEMENT, a MPR or QPR, including an explanation as
to why no invoices were being processed, shall be required in lieu of a request for
reimbursement.
3. The following "Required Expenditure Threshold" criteria have been
established to guide the SUBRECIPIENT in structuring and scheduling their expenditure
of funds received through this AGREEMENT. The criteria thresholds below are
consistent with the criteria used by CITY to determine performance including, but not
limited to, determinations of future award of funds, additional funding requests and/or
determinations for the recapture of funding.
4. The breakdown below represents AGREEMENT end date of June
30, 2012.
Milestone Dates
September 20, 2010
June 20, 2011
September 20, 2011
February 20, 2012
June 20, 2012
Minimum Required
Expenditure Threshold
30-35% of contracted Amount Expended
50-55% of contracted Amount Expended
60% of contracted Amount Expended
85-90% of contracted Amount Expended
100% of contracted Amount Expended
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5. SUBRECIPIENT will have thirty (30) days following the expiration of
the AGREEMENT to submit outstanding invoices for reimbursement of eligible costs
incurred during the AGREEMENT period or on an annual basis as determined by CITY.
After the thirty (30) day period for submitting invoices has expired, CITY shall reallocate
the remaining balance under this AGREEMENT for other program purposes and HPRP
activities to another program and SUBRECIPIENT shall be ineligible for any further
reimbursement.
6. SUBRECIPIENT shall further be responsible for SUBRECIPIENT's
BUDGET which is incorporated by reference, and attached as Exhibit B.
7. CITY may, in its absolute discretion, withhold payment of a request
submitted by SUBRECIPIENT if the costs requested are disproportionate to the number
of persons served.
8. Requests for administrative costs shall not exceed .025% of the total
payment request.
E. Reallocation of funds, Termination, Suspension, Conditions. If, due to any
cause, the SUBRECIPIENT fails to comply with the terms, conditions or requirements of
this AGREEMENT, the CITY may terminate or suspend this AGREEMENT by giving
written notice of the same and specifying the effective date of termination or suspension
at least thirty (30) days prior to such action. In the case of AGREEMENT violations by the
SUBRECIPIENT, the CITY may request that all or some of the grant funds be returned
even if the SUBRECIPIENT has expended the funds. The request will be made in writing.
The SUBRECIPIENT agrees to return such funds as requested by the CITY 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 following:
Community Development Agency
P.O. Box 1988
20 Civic Center Plaza (M-25)
Santa Ana, CA 92702
Attn: Deputy City Manager for Development Services
VII. GENERAL ADMINISTRATION
A. SUBRECIPIENT shall provide the oversight, administration and project
management necessary to accomplish all contracted activities in a timely manner.
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SUBRECIPIENT also agrees to comply with all applicable federal, state and local laws
and regulations governing the funds provided under this AGREEMENT.
B. 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. SUBRECIPIENT and its subcontractors shall at all times remain independent
contractors with respect to the services to be performed under this AGREEMENT. CITY
shall be exempt from payment of any Unemployment Compensation, FICA, retirement,
life and/or medical insurance and Workers' Compensation Insurance as SUBRECIPIENT
is an independent contractor.
C. Hold Harmless
SUBRECIPIENT shall hold harmless, defend with counsel approved in
writing by CITY and indemnify CITY, its officials, officers, employees, and agents from
any and all claims, actions, suits, charges and judgments whatsoever including but not
limited to personal injury or property damage that arise out of SUBRECIPIENT's and/or its
subcontractor's use of funds, performance or nonperformance of the project and/or scope
of work called for in this AGREEMENT.
D. Assignability
SUBRECIPIENT shall not assign or transfer any interest in this
AGREEMENT without the prior written consent of CITY.
E. Subcontracts
1. SUBRECIPIENT shall submit all subcontract agreements to CITY for
review and consent prior to entering into such subcontracts.
2. SUBRECIPIENT shall assume responsibility for all subcontracted
services to assure AGREEMENT compliance.
3. SUBRECIPIENT shall cause this AGREEMENT, in its entirety, to be
included in and made a part of any subcontract executed in the performance of this
AGREEMENT.
4. SUBRECIPIENT shall monitor all subcontracted services on a
monthly basis to assure AGREEMENT compliance. Results of said monitoring efforts
shall be summarized in written form, and supported with documented evidence of follow-
up action(s) to correct any area(s) of AGREEMENT non-compliance. Documentation
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shall be made available for periodic monitoring by representatives of CITY and/or HUD.
F. Fair Housing
SUBRECIPIENT shall affirmatively further fair housing opportunities in
accordance with 24 CFR 5.105(a).
G. Insurance
No costs shall be incurred and no funds shall be disbursed prior to written
approval by CITY of insurance fulfillment.
1. SUBRECIPIENT, at its own expense, agrees to deposit with CITY
prior to the execution and provision of services under this AGREEMENT, Certificates of
Insurance, including all endorsements required herein, necessary to satisfy CITY that the
insurance provisions of this AGREEMENT have been complied with, and to keep such
insurance and the certificates therefore on deposit with CITY during the entire term of this
AGREEMENT. In addition, all contractors and subcontractors performing work on behalf
of SUBRECIPIENT pursuant to this AGREEMENT shall be covered under
SUBRECIPIENT's insurance or shall obtain insurance subject to the same terms and
conditions as set forth herein for SUBRECIPIENT. SUBRECIPIENT shall require that any
contractor or subcontractor working for SUBRECIPIENT have the insurance required by
this section and not allow contractors or subcontractors to work if the contractors or
subcontractors have less than the level of coverage required by the CITY under this
AGREEMENT. SUBRECIPIENT shall provide notice of the insurance requirements to
every contractor or subcontractor, and to receive proof of insurance prior to allowing any
contractor or subcontractor to begin work. Such proof of insurance must be maintained
by SUBRECIPIENT through the entirety of this AGREEMENT for inspection by CITY
representative at any reasonable time. SUBRECIPIENT shall be responsible for
reimbursement of any deductible to the insurer. Any self-insured retentions (SIRs) or
deductibles shall be clearly stated on the Certificate of Insurance.
2. SUBRECIPIENT shall maintain insurance acceptable to CITY in full
force and effect throughout the term of this AGREEMENT. If SUBRECIPIENT fails to
maintain insurance acceptable to CITY for the full term of this AGREEMENT, CITY may
terminate this AGREEMENT.
3. The policy or policies of insurance must be issued by an insurer
licensed to do business in the State of California (California Admitted Carrier).
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4. SUBRECIPIENT will file with CITY, prior to the commencement of
performance of services under this AGREEMENT, an original Certificate of Insurance and
all required endorsements evidencing that coverage required by this AGREEMENT is in
effect.
5. If the carrier is anon-admitted carrier in the State of California, the
CITY Attorney retains the right to approve or reject carrier after a review of the company's
performance and financial ratings.
6. The policy or policies of insurance maintained by SUBRECIPIENT
shall provide the minimum limits and coverage as set forth herein below:
Coverage
Commercial General Liability to
include a Broad Form Property
Minimum Limits
$1,000,000 combined single limit
per occurrence
Damage Endorsement
and Contractual Liability
Automobile Liability including coverage for
all owned, non-owned and hired vehicles
Workers' Compensation
Employer's Liability
$2,000,000 Aggregate
$1,000,000 combined single limit
per occurrence
Statutory
$1,000,000 per occurrence
Sexual Misconduct Liability $1,000,000 per occurrence
7. Each insurance policy required by this AGREEMENT shall be
endorsed to contain the following provisions:
a. This insurance shall not be changed, cancelled, limited in
scope of coverage or non-renewed until after 30 days written notice has been given to
CITY (Endorsement must be attached to Certificate of Insurance). If a 30-day notice of
cancellation endorsement is not received, the cancellation clause must include language
as follows which edits the pre-printed ACORD certificate:
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED
BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING COMPANY WILL
~~~~^\/nQ Tn MAIL 30 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER
NAMED TO THE LEFT. '~"T ~^" 1D~ Tn nn^n cl I~u nlnTl~~ Su~~L~nnrP9S.l=-PI-O
o~' Ir_^Tlnnl no L~A~' I~~~ I,~Inln I lonnl TuG rnnno^nlv IT~~~nI~T
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b. All rights of subrogation are hereby waived against CITY, its
officials, officers, agents and employees when acting within the scope of their
employment or appointment. (Endorsement must be attached to Certificate of Insurance).
c. With respect to the operations of the named insured,
operations performed on behalf of CITY, CITY shall be added as an additional insured
on all insurance policies required by this AGREEMENT except for Workers'
Compensation/Employers' Liability. (Endorsement must be attached to Certificate of
Insurance).
d. SUBRECIPIENT is aware of the provisions of Section 3700 of
the California Labor Code which requires every employer to be insured against liability for
Worker's Compensation or be self-insured in accordance with the provisions of that code.
The SUBRECIPIENT will comply with such provisions and shall furnish the CITY
satisfactory evidence of such compliance for the period of this AGREEMENT, statutory
Worker's Compensation Insurance and Employer's Liability Insurance with minimum limits
of $1,000,000 per occurrences.
e. It is agreed that any insurance maintained by CITY will apply
in excess of, and not contribute with, insurance provided by these policies. (Endorsement
must be attached to Certificate of Insurance for the General Liability policy and Sexual
Misconduct Liability policy).
f. Commercial General Liability policy shall contain a severability
of interests clause.
8. Insurance information shall be submitted to:
City of Santa Ana
Community Development Agency
P.O. Box 1988
20 Civic Center Plaza (M-25)
Santa Ana, California 92702
9. CITY expressly retains the right to require SUBRECIPIENT to
increase or decrease insurance of any of the above insurance types throughout the term
of this AGREEMENT. Any increase or decrease in insurance will be deemed by CITY
Attorney as appropriate to adequately protect the CITY. In addition, the City Attorney
retains the right to require additional insurance coverage as may be deemed appropriate
to adequately protect CITY. CITY's requirements shall be reasonable and shall be
designed to assure protection from and against the kind and extent of risks which exist at
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the time a change in insurance is required.
10. CITY shall notify SUBRECIPIENT in writing of changes in the
insurance requirements. If SUBRECIPIENT does not deposit copies of acceptable
certificates of insurance and endorsements with CITY incorporating such changes within
thirty (30) days of receipt of such notice, this AGREEMENT may be in default without
further notice to SUBRECIPIENT, and CITY shall be entitled to all legal remedies.
The procuring of such required policy or policies of insurance shall
not be construed to limit SUBRECIPIENT's liability hereunder nor to fulfill the
indemnification provisions and requirements of this AGREEMENT.
11. INDEMNIFICATION PROVISIONS
SUBRECIPIENT agrees to indemnify, defend with counsel approved in writing by CITY,
and hold CITY, its officials, officers, employees, and agents harmless from any claims,
demands or liability of any kind or nature, including but not limited to personal injury or
property damage, arising from or related to the services, products or other performance
provided by SUBRECIPIENT pursuant to this AGREEMENT. If judgment is entered
against SUBRECIPIENT and CITY by a court of competent jurisdiction because of the
concurrent active negligence of CITY or CITY INDEMNITEES, SUBRECIPIENT and CITY
agree that liability will be apportioned as determined by the court.
12. If an applicant knowingly and willfully submits false perFormance or
other data, the CITY reserves the right to reject that proposal. If it is determined that an
AGREEMENT was awarded as a result of false performance or other data submitted in
response to this application, the CITY reserves the right to terminate that AGREEMENT.
13. SUBRECIPIENT shall be required to submit to the CITY, or its
designee, periodic status reports, including program expenditures and recipient
information. Failure to do so may result in termination of the AGREEMENT.
14. SUBRECIPIENT acknowledges that, as recipients of Federal Funds
they will be required to comply with Federal regulations pertaining to the use of such
funds. All regulations will be enumerated in the AGREEMENT and will be incorporated by
reference. It will be the SUBRECIPIENT's responsibility to assure compliance with
applicable regulations.
15. The Grant Agreement between HUD and the CITY shall be
incorporated by reference into all agreements between the CITY and the
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SUBRECIPIENT.
16. SUBRECIPIENT will ensure an annual financial audit is performed in
compliance with the Federal Single Audit Act and will submit a copy of the audit report to
the CITY within six months of the end of the SUBRECIPIENT's fiscal year.
17. LICENSING. SUBRECIPIENT shall obtain and maintain all required
licenses, registrations, accreditation or permits, and meet all code regulations required for
the program(s) funded under the AGREEMENT. Such licensing requirements include
obtaining a City business license, as applicable.
18. SUBRECIPIENT shall use reporting software as specified by the
CITY.
19. SUBRECIPIENT shall participate in information networking, training,
and coordination meetings as may be provided by the CITY.
20. SUBRECIPIENT shall cooperate with related research and
evaluation activities as may be required by the CITY.
21. SUBRECIPIENT shall comply with all AGREEMENT conditions and
with any future regulations that may be promulgated by HUD. Failure to comply with any
and all of HUD regulations may result in termination of this AGREEMENT.
22. ZONING. SUBRECIPIENT agrees that any facility/property used in
furtherance of said program/project shall be specifically zoned and permitted for such
use(s) and activity(ies). Should SUBRECIPIENT fail to have the required land entitlement
and/or permits, thus violating any local or state or federal rules and regulations relating
thereto, 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. SUBRECIPIENT shall notify
CITY immediately of any pending violations. Failure to notify CITY of pending violations,
or to remedy such known violation(s) shall result in termination of grant funding
hereunder. 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.
H. Grantor Recognition
SUBRECIPIENT shall insure recognition of the role of the CITY in providing
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services through this AGREEMENT. All activities, facilities and items utilized pursuant to
this AGREEMENT shall be prominently labeled as to funding source. In addition,
SUBRECIPIENT will include a reference to the support provided herein in all publications
made possible with funds made available under this AGREEMENT. SUBRECIPIENT will
retain documentation of such recognition, which shall be available for periodic monitoring
by representatives of CITY or HUD.
I. Records to be Maintained
SUBRECIPIENT shall maintain all records that are pertinent to the activities
to be funded under this AGREEMENT. CITY shall have access for purposes of
monitoring, auditing, and examining SUBRECIPIENT's activities and performance, to
books, documents and papers, and the right to examine records of SUBRECIPIENT's
subcontractors, bookkeepers and accountants, employees and participants with regard to
said program. In the event SUBRECIPIENT does not make such records available within
the City of Santa Ana, SUBRECIPIENT agrees to pay all necessary and reasonable
expenses incurred by CITY in conducting any audit at the location where such records
are maintained. Such records shall include, but not be limited to:
1. Records providing a full description of each activity undertaken;
2. Financial records illustrating appropriate accounting principles
applied;
3. Records providing income and ethnicity of each beneficiary of the
activity being undertaken;
4. Records and reports (including those pertaining to race, ethnicity,
gender, and disability status data) that HUD may require within the timeframe required.
5. Records accounting for staff time and activities relating to HPRP
expenditures and draw requests; and
6. Any other records necessary to demonstrate compliance with HPRP
Notice and ARRA.
J. Retention
SUBRECIPIENT shall retain all records pertinent to expenditures incurred
under this AGREEMENT for a period of five (5) years after the termination of all activities
funded under this AGREEMENT, or after the resolution of all Federal audit findings, which
ever occurs later. Records for non-expendable property acquired with funds under this
Page 15 of 28
AGREEMENT shall be retained for five (5) years after final disposition of such property.
Records for any displaced person must be kept for five (5) years after s/he has received
final payment. Notwithstanding the above, if there are litigations, claims, audits,
negotiations, or other actions that involve any of the records, the records must be retained
until completion of the actions and resolution of all issues, or the expiration of the five
year period, whichever occurs later.
K. Client Data
1. SUBRECIPIENT shall maintain client data demonstrating client
eligibility for services provided for a period of five (5) years after the termination of all
activities funded under this AGREEMENT, or after the resolution of all Federal audit
findings, whichever occurs later. Such data shall include, but not be limited to, client
name, address, verifiable income level (as documented by income tax returns, employee
payroll records, retirement statements, etc., or other third party documentation acceptable
to CITY, for determining eligibility), and description of service provided. Such information
shall be made available to HUD representatives, CITY monitors, or their designees, for
review upon request.
2. SUBRECIPIENT shall develop and implement procedures to ensure
the confidentiality of records pertaining to any individual provided family violence
prevention or treatment services under any PROJECT assisted under the subject
program, including protection against the release of the address or location of any family
violence shelter project, except with the written authorization of the person responsible for
the operation of the shelter.
3. SUBRECIPIENT is required to actively participate and enter into the
CITY's local Homeless Management Information System/Client Management Information
System (HMIs/CMIS) all required client data on a monthly basis. The HMIs/CMIS is a
system for tracking the use of homeless programs and related activities producing an
unduplicated count of the people using those services.
L. Property Records
SUBRECIPIENT shall maintain real property inventory records which clearly
identify properties improved. Properties retained shall continue to meet eligibility criteria,
rental limitations, health, safety and building codes according to federal, state and local
requirements, as amended from time to time.
Page 16 of 28
M. Close-Out
SUBRECIPIENT's obligation to CITY shall not end until all close-out
requirements are completed. Activities during this close-out period shall include, but are
not limited to: making final payments; submitting final invoice(s), report(s), in accordance
with the requirements of paragraph VI.D.S above, and documentation; disposing of
program assets (including the return to CITY of all unused materials and equipment);
remitting any receivable accounts to CITY, and determining the custodianship of records.
N. Equipment
1. SUBRECIPIENT shall use, manage and dispose of equipment in
accordance with 24 CFR 85.32. All program assets (unexpended program income,
property, equipment, etc.) shall revert to the CITY upon termination of this Agreement.
O. Assistance Provided.
1. Property. The parties agree that the HPRP assistance cannot be
provided to a Subrecipient if funding is already being provided through another
federal, state, or local housing subsidy program. Properties owned by
Subrecipients with recorded covenants at the time of execution of this Agreement
cannot be used or counted for the purposes of this HPRP Agreement.
Subrecipients shall provide the CITY with a detailed list of properties that it owns
within the City of Santa Ana and County of Orange that have received federal
and/or state funding and are encumbered by recorded covenants.
2. Rental Subsidy. Rental assistance payments cannot be made on
behalf of eligible individuals or families for the same period of time and for the
same cost types that are being provided through another federal, state or local
housing subsidy program. If a participant is receiving rental assistance under
another program (either a full or partial subsidy) HPRP funds may not be used for
rental assistance during that same time period.
P. When the SUBRECIPIENT provides assistance to a participant under
a particular HPRP program or category, that establishes the participant's status
throughout the HPRP assistance term.
VIII. PERFORMANCE
A. SUBRECIPIENT shall comply with all applicable HUD regulations, as
Page 17 of 28
described in Section VII of this AGREEMENT, concerning administrative requirements
and maintain records as to services provided and total number of persons served through
the PROJECT, including but not limited to, population-served analysis (i.e. extremely-low
income persons, very-low income persons, and low-income persons as defined by HUD).
Such information shall be available for periodic monitoring by representatives of CITY or
HUD and shall be submitted by SUBRECIPIENT in report form to CITY by dates specified
by CITY and specified in section VI.C.1 &2 of the attached Exhibit C.
B. SUBRECIPIENT shall submit quarterly reports to CITY within ten (10) days
prior to the end of quarter. Failure to receive reports in a timely manner will result in non-
compliance of the AGREEMENT.
C. The following "Performance Threshold" criteria shall be used to assess the
level of performance of the SUBRECIPIENT. Furthermore, the criteria will be considered
by the CITY when determining continued and future funding. In order to be considered in
compliance with the following performance criteria, the SUBRECIPIENT must, on or
before the required milestone date, submit to CITY a request for reimbursement which
demonstrates that SUBRECIPIENT has expended funds and met their proposed
accomplishment goals at the required levels, unless exempted in at the CITY'S discretion.
SUBRECIPIENT is required to submit to CITY the Quarterly Performance Report
(QPR), within ten (10) days prior to the end of quarter. In addition SUBRECIPIENT is
required to accomplish the minimum expenditure and accomplishment thresholds.
Milestone Dates Minimum Required Threshold
September 20, 2010 30-35% of contracted Amount Expended
30-35% of Proposed Accomplishments Met
June 20, 2011 50-55% of contracted Amount Expended
50-55% of Proposed Accomplishments Met
September 20, 2011 60% of contracted Amount Expended
60% of Proposed Accomplishments Met
February 20, 2012 85-90% of contracted Amount Expended
85-90% of Proposed Accomplishments Met
June 30, 2012 100% of contracted Amount Expended
100% of Proposed Accomplishments Met
Page 18 of 28
Failure to achieve any of the aforementioned drawdown goals, without written
exception approved by the CITY, may cause any remaining balance in this AGREEMENT
to be reclaimed by CITY, and will negatively affect future funding to SUBRECIPIENT.
Failure to achieve any of the aforementioned accomplishment goals, without written
exception of the CITY, may cause any remaining balance in this AGREEMENT to be
reclaimed and re-allocated by CITY, and will negatively affect continued and future
funding to SUBRECIPIENT.
D. Should the activity being funded through this AGREEMENT be completed,
canceled or terminated prior to the termination date set forth herein in Section IV. A.,
SUBRECIPIENT shall complete and submit Monthly Performance Reports (MPR),
Quarterly Performance Report (QPR) and/or an Annual Performance Report (APR) at the
time of the completion, cancellation or termination. Said MPR, QPR and APR Information
Form shall consist of a cumulative reporting of project-related expenditure and
accomplishments relative to the attached. If activity funded through this AGREEMENT is
completed, or if funds allocated through this AGREEMENT are fully expended, prior to
end of AGREEMENT term, SUBRECIPIENT shall continue to serve its clients for the
entire term of this AGREEMENT.
E. SUBRECIPIENT shall complete and submit a MPR or QPR in support of all
requests for reimbursement. Said QPR shall consist of a cumulative report of project-
related accomplishments relative to attached SUBRECIPIENT SCOPE OF SERVICES for
the subject quarter. SUBRECIPIENT shall prepare and submit to CITY a monthly MPR,
regardless of actual activity.
F. SUBRECIPIENT acknowledges that the MPR and/or QPR Forms are
monitoring tools that will be reviewed and evaluated to determine SUBRECIPIENT's level
of performance relative to this AGREEMENT.
G. SUBRECIPIENT shall complete and submit an Annual Performance Report
(APR) Information Form by September 20, following each fiscal year in which this
AGREEMENT is in force, or as designated by CITY.
H. SUBRECIPIENT shall submit all requested data necessary to complete the
Consolidated Annual Performance and Evaluation Report (CAPER), and monitor program
accountability and progress in accordance with HUD requirements, in the format and at
the time designated by CITY.
Page 19 of 28
I. SUBRECIPIENT shall submit all requested data necessary to complete 1).
The Integrated Disbursement and Information System (IDIS) to draw down HPRP funding
and report on grant expenditures, as specified by CITY; 2). Report client-level data, such
as the number of persons served and their demographic information, in the Homeless
Management Information System/Client Management Information System (HMIs/CMIS).
The HMIs/CMIS is an electronic data collection system that facilitates the collection of
information on persons who are homeless or at risk of becoming homeless, that is
managed and operated locally; and 3). Monthly, Quarterly and Annual Performance
Reports submittals, as specified by CITY. The data collection submittals ensure timely
client information and monitor program accountability and progress in accordance with
HUD requirements, in the format and at the time designated by CITY.
IX. PERFORMANCE MONITORING
A. Performance monitoring of SUBRECIPIENT by CITY and/or HUD shall
consist of requested and/or required written reporting, as well as onsite monitoring by
CITY or HUD representatives.
B. CITY shall periodically evaluate SUBRECIPIENT's progress in complying
with the terms of this AGREEMENT. SUBRECIPIENT shall cooperate fully during such
monitoring. CITY shall report the findings of each monitoring to SUBRECIPIENT.
C. CITY shall monitor the performance of SUBRECIPIENT against the goals,
outcomes, milestones and performance standards required herein. Substandard
performance, as determined by CITY, will constitute non-compliance with this
AGREEMENT for which CITY may immediately terminate the AGREEMENT. If action to
correct such substandard performance is not taken by SUBRECIPIENT within the time
period specified by CITY, payment(s) will be denied in accordance with the provisions
contained in Section VI of this AGREEMENT.
D. SUBRECIPIENT performance shall be monitored as specified in
SUBRECIPIENT's Request for Proposal (RFP) application, which is incorporated by
reference.
E. SUBRECIPIENT shall perform its services in accordance with
SUBRECIPIENT SCOPE OF SERVICES, attached hereto as Exhibit A. CITY
shall monitor the performance of the SUBRECIPIENT against goals and
performance standards required herein. Substandard performance as
Page 20 of 28
determined by the CITY will constitute non-compliance 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.
X. AUDITS
If SUBRECIPIENT expends Federal funds in a fiscal year which equal or exceed
Five Hundred Thousand Dollars ($500,000) as specified in OMB Circular A-133- Revised,
SUBRECIPIENT shall cause an annual agency audit to be prepared at SUBRECIPIENT's
expense by a Certified Public Accountant (CPA) who is a member in good standing with
the American Institute of Certified Public Accountants (AICPA) of the California Society of
CPA's. The audit must be performed in accordance with Generally Accepted Auditing
Standards (GAAS) authorized by the AICPA and Federal laws and regulations governing
the programs in which it participates. Furthermore, CITY retains the authority to require
SUBRECIPIENT to submit a similarly prepared audit at SUBRECIPIENT's expense even
in instances when SUBRECIPIENT's expenditure is less than $500,000.
SUBRECIPIENT will be required to identify corrective action taken in response to any
findings identified by CPA related to their funded activity or program.
SUBRECIPIENT shall submit two (2) copies of such audit report, including a copy
of the management letter, to CITY within six (6) months of the end of each AGREEMENT
year in which SUBRECIPIENT has received federal funding (i.e. July 1 -June 30).
Failure to meet this requirement may result in CITY denying reimbursement of funds to
SUBRECIPIENT, as well as future funding qualification. SUBRECIPIENTS which are
exempt from statutory audit requirements shall maintain records which are available for
review by CITY or Federal officials. SUBRECIPIENT acknowledges that any and all
"Financial Statements" submitted to CITY pursuant to this AGREEMENT become Public
Records and are subject to public inspection pursuant to Sec.6250 et seq. of the
California Government Code.
XI. FEDERAL ADMINISTRATIVE REQUIREMENTS
A. Financial Management
1. Accounting Standards
SUBRECIPIENT agrees to comply with Office of Management and
Budget (hereinafter referred to as "OMB") Circular A-110 and agrees to adhere to the
Page 21 of 28
accounting principles and procedures required therein, utilize adequate internal controls,
and maintain necessary source documentation for all costs incurred.
2. Cost Principles
SUBRECIPIENT shall administer its program in conformance with
OMB Circular A-122, "Cost Principles for Non-Profit Organizations". These principles
shall be applied for all costs incurred whether charged on a direct or indirect basis.
B. Civil Rights
1. Compliance
SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act
of 1964, as amended, Title VIII 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, 41 CFR Chapter 60, Executive Order 11063, and with
Executive Order 11246, as amended by Executive Orders 11375 and 12086.
2. Nondiscrimination
SUBRECIPIENT shall not discriminate against any employee or
applicant for employment because of race, color, creed, religion, ancestry, national origin,
sex, disability or other handicap, age, marital status, or status with regard to public
assistance. SUBRECIPIENT will take affirmative action to insure that all employment
practices are free from hiring, upgrading, demotion, transfer, recruitment or recruitment
advertising, layoff, and termination discrimination. Such employment practices include,
but are not limited to, the following: rates of pay or other forms of compensation, and
selection for training, including apprenticeship. SUBRECIPIENT agrees to post in
conspicuous places, available to employees and applicants for employment, notices to be
provided by the CITY setting forth the provisions of this nondiscrimination clause.
a. SUBRECIPIENTS must comply with all applicable fair housing
and civil rights requirements in 24 CFR 5.105(a). In addition, SUBRECIPIENT must
make known that HPRP rental assistance and services are available to all on a
nondiscriminatory basis and ensure that all citizens have equal access to information
about HPRP and equal access to the financial assistance and services provided under
this program.
C. Drug-Free Workplace
Page 22 of 28
The Drug-Free Workplace Act of 1988 (41 U.S.C. 701, et seq.) and HUD's
implementing regulations at 24 CFR part 21 apply to HPRP.
D. Affirmative Action
SUBRECIPIENT agrees that it shall be committed to carry out an Affirmative
Action Program that encompasses the principles provided in President's Executive Order
11246, as revised on January 4, 2002.
E. Americans with Disabilities Act
SUBRECIPIENT agrees to comply with any federal regulations issued
pursuant to compliance with the Americans with Disabilities Act which prohibits
discrimination and ensures equal opportunity for persons with disabilities in employment,
State and local government services and public accommodations.
F. Employment Restrictions
1. Prohibited Activity
SUBRECIPIENT is prohibited from using funds provided herein, or
personnel employed in the administration of the program, for: political, activities, sectarian
or religious activities, lobbying, political patronage, and nepotism activities.
2. OSHA
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.
3. Hatch Act
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.
4. Conflict of Interest
SUBRECIPIENT agrees to abide with 24 CFR 85.36(b)(3), and non-
profit SUBRECIPIENT shall comply with 24 CFR 84.42, and OMB Circular 110 with
respect to conflicts of interest, and agrees that it presently has no financial interest and
shall not acquire any financial interest, direct or indirect, which would conflict in any
manner or degree with the performance of services required under this AGREEMENT.
Page 23 of 28
SUBRECIPIENT further agrees that in the performance of this AGREEMENT no person
having such a financial interest shall be employed or retained by SUBRECIPIENT
hereunder. These conflict of interest provisions apply to any person who is an employee,
agent, consultant, officer, or elected official or appointed official of SUBRECIPIENT or any
designated public agencies which are receiving funds under the HPRP Entitlement
Program.
G. Copyright
If this AGREEMENT results in any copyrightable material, CITY and/or
grantor agency reserves the right to royalty-free, non-exclusive, and irrevocable license to
reproduce, public or otherwise use and to authorize others to use, the work (i.e.,
photographs and the like) for government purposes.
H. Religious Organization
Equal participation of religious organizations: Organizations that are
religious or faith-based are eligible, on the same basis as any other organization, to
participate in HPRP. Neither the federal government nor a grantee shall discriminate
against an organization on the basis of the organization's religious character or affiliation.
Organizations that are directly funded under HPRP may not engage in inherently religious
activities, such as worship, religious instruction or proselytization as part of the programs
or services funded under HPRP. If an organization conducts such activities, the activities
must be offered separately, in time or location, from the programs or services funded
under HPRP, and participation must be voluntary for the program participants. An
organization that participates in the HPRP program shall not, in providing program
assistance, discriminate against a program participant or prospective program participant
on the basis of religion or religious belief.
I. Anti-Lobbying
The disclosure requirements and prohibitions of section 319 of the
Department of the Interior and Related Agencies Appropriations Act for Fiscal Year 1990
(31 U.S.C. 1352) (the Byrd Amendment), and implementing regulations at 24 CFR part
87, apply to HPRP. Applicants must disclose, using Standard Form LLL (SF-LLL),
"Disclosure of Lobbying Activities," any funds, other than federally appropriated funds,
that will be or have been used to influence federal employees, members of Congress, or
congressional staff regarding specific grants or contracts.
Page 24 of 28
XII. ENVIRONMENTAL CONDITIONS
A. This AGREEMENT does not direct, provide for assistance or loan and
mortgage insurance for, or otherwise govern or regulate, real property acquisition,
disposition, leasing (other than tenant-based rental assistance), rehabilitation, alteration,
demolition, or new construction, or establish, revise or provide for standards for
construction or construction materials, manufacturing housing, or occupancy.
Accordingly, under 24 CFR 50.19(c)(1), this AGREEMENT is categorically excluded from
environmental review under the National Environmental Policy Act of 1969 (42 U.S.C.
4321). Moreover, consistent with the provisions for administrative and management
expenses, tenant-based rental assistance, and supportive services in 24 CFR
50.19(b)(3),(11), and (12), the eligible activities to be assisted under this AGREEMENT
are categorically excluded from the requirements of the National Environmental Policy Act
of 1969 (42 U.S.C. 4321) and are not subject to environmental review under the related
laws and authorities.
B. SUBRECIPIENT shall incur no costs for any project-related activity defined
in SUBRECIPIENT SCOPE OF SERVICES and CITY shall not disburse funds prior to
certification by CITY and/or HUD for environmental compliance.
C. SUBRECIPIENT shall provide requested materials to CITY for the
Environmental Review process required by applicable regulations.
D. Habitability Standards: SUBRECIPIENT providing rental assistance with
HPRP funds will be required to conduct initial and any appropriate follow-up inspections
of housing units into which a program participant will be moving. Units should be
inspected on an annual basis and upon a change of tenancy. Habitability standards are
listed in Appendix C of the Notice. SUBRECIPIENT may require more stringent
standards.
E. Lead-Based Paint
The Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4801 et seq.),
as amended by the Residential Lead-Based Paint Hazard Reduction Act of 1992 (42
U.S.C. 4851 et seq.) and implementing regulations at 24 CFR part 35, subparts A, B, M,
and R shall apply to housing occupied by families receiving assistance through HPRP.
F. Historic Preservation
SUBRECIPIENT agrees to comply with the Historic Preservation
Page 25 of 28
requirements set forth in the National Historic Preservation Act of 1966, as amended (16
U.S.C. 470) and the procedures set forth in 36 CFR 800, Protection of Historic Properties,
insofar as they apply to the performance of this AGREEMENT.
In general, this requires concurrence from the State Historic Preservation
Officer for all rehabilitation and demolition of historic properties that are fifty years old or
older or that are included on a Federal, State, or local historic property list.
G. Energy Efficiency Standards
SUBRECIPIENT agrees to comply with the California Energy Commission
Assembly Bill 970, Title 24, Part I of the California Code of Regulations (AB970: Building
Efficiency Energy Standards), in regard to construction and property development, when
applicable.
H. Non-Profit Status
SUBRECIPIENT certifies that:
1. SUBRECIPIENT hereby attests that as of the date of the execution of
this AGREEMENT and throughout the AGREEMENT term, the SUBRECIPIENT is a non-
profit organization in good standing and in possession of required non-profit status under
the United States Internal Revenue Code (for example, 26 U.S.C. Section 501 (c)(3)).
2. SUBRECIPIENT hereby agrees to advise the CITY within 15 days of
any change to SUBRECIPIENT's non-profit status if such occurs at anytime during this
AGREEMENT.
3. If SUBRECIPIENT is a private nonprofit, SUBRECIPIENT hereby
agrees that members of its Board of Directors will serve in a voluntary capacity and
receive no compensation, other than reimbursement for expenses, for their services.
XIII. NOTICES
Any communication with CITY and SUBRECIPIENT concerning this AGREEMENT
shall be directed as follows:
CITY:
City of Santa Ana
Community Development Agency
Deputy City Manager for Development Services
P.O. Box 1988
20 Civic Center Plaza (M-25)
Santa Ana, California 92702
Page 26 of 28
SUBRECIPIENT:
Orange County Partnership
1 Hope Drive
Tustin, CA 92782-0221
Attention:Dawn Lee
XIV. VALIDITY
The invalidity in whole or in part of any provision of this AGREEMENT shall not
void or affect the validity of any other provision in this AGREEMENT.
XV. LAWS GOVERNING THIS AGREEMENT
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.
XVI. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature below has the
power, authority and right to bind their respective parties to each of the terms of this
AGREEMENT, and shall indemnify CITY fully, including reasonable costs and attorney's
fees, for any injuries or damages to CITY in the event that such authority or power is not,
in fact, held by the signatory or is withdrawn.
b. All exhibits and attachments referenced herein and attached hereto shall be
incorporated as if fully set forth in the body of the Agreement.
Page 27 of 28
IN WITNESS WHEREOF, the parties hereto have executed this Agreement
effective on the date and year first above written.
ATTEST:
CITY OF SANTA ANA
a municipal corporation
MARIA D. H U IZAR -~
Clerk of the Council
APPROVED AS TO FORM:
JOSEPH W. FLETCHER
City Attorney
J
,;s_cJ =
By: LISA E. STORCK
Assistant City Attorney
DAVI N. EAM
City Manager
SUBRECIPIENT
~~ ~~~
Name: ~,~, ~~ p
Title: C-~c~Cu~i~c ®Ire~~c~
Tax I D#33-0831497
Page 28 of 28
CITY OF SANTA ANA
HPRP PROGRAM CHECKLIST & APPLICATION
NAME OF APPLICANT: OC Partnership
NAME OF PROGRAM: Orange County Client Management Information System (CMIS)
PLACE THIS CHECKLIST ON TOP OF YOUR APPLICATION
DO NOT EXCEED WORD COUNT LIMIT- NARRATIVES THAT EXCEED WORD COUNT LIMIT WILL NOT BE CONSIDERED
HPRP Application Checklist
® Checklist - Pg 1
® Agency/Program Information/Certification Cover- Pg 2
® Organizational Experience and Capacity - Pg 3
® Statement of Need - Pg 8
® Program Design - Pg 10
®Financial & Grant Management Capacity - Pg 15
®Budget/Proposed Use of Funds - Pg 17
ATTACHMENTS
® Articles of Incorporation, By-Laws & Organization Chart
® Proof of 501 (C) (3) Nonprofit Status
® List of Board of Directors
® Most Recent Independent Audit &Financial Statement
® Most Recent 990 Forms filed with the IRS
® Consistency with the Consolidated Plan Certification (Required if you will be physically serving Santa
Ana clients in anotherjurisdiction.)
® Certification of Use of Regional HMIS
^ If application is submitted in collaboration with other service providers, provide copies of Letters of
Collaborative Partnerships, Memorandum of Understanding, etc.
® Example of staff timecards and accounting report demonstrating the ability to cost allocate HPRP
funds.
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
1
CITY OF SANTA ANA HPRP FUNDING APPLICATION
Name of Organization: OC Partnership
Address: Mailing Address: 139 South Olive Street, Orange, CA 92866
Phone: 714-288-4007 Fax: 714-288-1553
Contact Person/Title: Dawn Lee
E-Mail Address: dawn.lee(a~ocpartnership.net
Tax Identification Number: 330831497 DUNS #: 14692973 (Required)
Year Organization Was Incorporated: 1998
Proposed Program Title: Orange County Client Management Information System (CMIS)
Submit separate application if applying for more than one HPRP-eligible program
^ Homelessness Prevention ®Data Collection
This request is for:
(Check 1 only) ^ Rapid Rehousing
Amount of funding Requested: $50,000
CERTIFYING REPRESENTATIVE (Person authorized to sign contract, if approved): The undersigned applicant certifies
that the information in this proposal is true and correct and the governing body of the applicant has duly
authorized the document. The applicant certifies that to the best of its knowledge and belief, neither it, nor any
person of which has an interest in the applicant's organization, nor any of the applicant's subcontractors, is
ineligible to: 1) be awarded contracts by any agency of the United States government or HUD; or, 2) participate in
HUD programs pursuant to 24 CFR Part 24. This certification is a material representation of fact upon which
reliance is placed when making award. If it is later determined that the applicant knowingly rendered an erroneous
certification, the contract may be terminated for default, and the applicant may be debarred or suspended from
participation in HUD and other federal programs administered by the City of Santa Ana. Additionally, the applicant
certifies that it has read, understands, and agrees to comply with all federal regulations, including but not limited
to 24 CFR Part 576 and Docket No. FR-5307-N-01) "Notice of Allocations, Application Procedures, and
Requirements for Homelessness Prevention and Rapid Re-Housing Program Grantees under the American
Recovery and Reinvestment Act of 2009."
Name: Dawn Lee ~_Y~""`~w
(Please Print or Type)
Title: Executive Director
Signature•
(Signature - in blue ink please)
Date Signed: ~~~ V I
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
2
ORGANIZATIONAL EXPERIENCE & CAPACITY 20 POIntS
Describe the qualifications of your agency, its mission, history, and experience in relation to
carrying out the proposed HPRP-funded activity. Include the following:
^ Agency's mission statement
^ Years of experience providing homeless services
^ Years of experience providing specific HPRP program
^ Qualifications of the program manager & program staff
^ If program is to be carried out in collaboration with other agencies, provide information (listed
above) for each collaborating agency
^ Experience using HMIS (response on next page)
Limit Response to 1.250 Words
The mission of OC Partnership (OCP) is to strengthen Orange County's "Continuum of Care" so
that service providers can most efficiently and effectively assist homeless and at-risk
populations in achieving stable living conditions.
OC Partnership works directly with over 300 agencies that comprise the County's Continuum of
Care -social service providers who address/provide affordable housing, food, childcare, rent
assistance, healthcare, and shelter to homeless and at-risk residents. Our goal is to increase
the capacity of providers and to coordinate service delivery and resources so that no homeless
person "falls through the cracks." We accomplish our mission through the provision of the
following services:
• Orange County's Continuum of Care Collaborative - OCP provides leadership and
coordination for this collaborative planning process in partnership with OC Resources -
Homeless Prevention. OCP has helped acquire more than $111 million in funding for
housing programs for Orange County providers since 2000.
• Client Management Information System (CMIS) - OCP manages a region-wide
database collecting data on homeless services since 2006 from shelters, service
providers, and public agencies that serve homeless and at-risk clients. As the lead
agency for the county, OCP provides all training, outreach, and technical support for
agencies using the system. As of March 2009, 63% of county's shelter beds were
participating in CMIS (an increase of 222°/D since 2008).
• Point-in-Time Count and Survey - OCP participates in the biannual countywide census
and survey of homeless persons, supporting planning, execution and volunteer
management of the 2005, 2007, and 2009 counts and surveys.
• Targeted technical assistance -provided to over 40 agencies in 2008, assisting them
with grant identification, statistical research, proposal review, communications with HUD
and County funding entities, and creating linkages to other community partners for
collaboration.
• Forum facilitation - OCP facilitates monthly Homeless Provider Forums & quarterly
Continuum of Care meetings that routinely bring together over 100 people each month to
share best practices, network, and undertake regional strategic planning.
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
3
• Computer literacy, technical training and leadership development seminars - OCP
provides training to 220 homeless and at risk service provider volunteers and staff
annually.
10 Year Plan to End Homelessness - OCP serves as the regional project manager for
the development of Orange County's Plan to implement regional, collaborative solutions
to ending homelessness.
• Specia! Projects - OCP facilitates/participates in numerous special projects including
serving on homeless workgroups, including HUD's national HMIS Privacy and Data
Standards Task Force, developing a recommendation for a multi-service resource center
in Orange County, the Laguna Beach Homeless Task Force, Anaheim Mayor's Task
Force on Motel Families, and a Strategic Plan for Motel Families.
OC Partnership was started in 1998 by a group of local homeless shelter executives because
they saw a need for a nongovernmental facilitative body that would bring the numerous social
service providers within the county together to share information and resources. We have also
built apublic/private partnership with the County to assist in bringing annual HUD Super NOFA
funding to service providers within the county. OC Partnership has grown to employ six staff
members and has an annual budget of $776,631. OC Partnership currently has four Board of
Director members and a CMIS Technical Advisory Board. At its essence, OC Partnership is
an organization dedicated to facilitating collaborative relationships among basic needs providers
in the county, and between providers, governmental agencies, and funders.
Our six dedicated staff members work to make OC Partnership successful:
Dawn Lee, Executive Director, works with service providers, public and government
stakeholders, funders, and the business community in coordinating resources and access to
services. Ms. Lee also takes a lead role in countywide strategic planning, advocacy, education
and in the development and implementation of public policy. She holds an MBA and brings over
20 years of information technology and business management experience to OC Partnership.
With a focus on planning, multi-group collaboration, efficiency and effectiveness, and the
implementation of best practices, Ms. Lee has built a successful track record in assisting partner
organizations in implementing sustainable service models.
Carmen Brooks, Project Manager, has more than 20 years of Information Technology
experience. She has extensive experience in building software support departments and
managing help desks. As the Project Manager for OC Partnership, she is responsible for
countywide integration of CMIS to homeless and at risk service providers. Ms. Brooks has a
Bachelors of Science in Information Systems Management and an MBA from the University of
Phoenix.
Shawn Kelly, Finance Director, has thirteen years of Project Management experience, which
includes coordination of project team efforts and project status reporting within a number of
project management systems. In addition, as an accountant, Ms. Kelly is responsible for the
financial recording and reporting of all OC Partnership grants..
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
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Donna Kleha, CMIS Support & Training Specialist, comes to OC Partnership from the
corporate arena and brings 20 years of business experience. Her previous work experience
includes implementation of training and development structures, project management, design of
business process models and management and leadership studies. Currently, Ms. Kleha is the
CMIS Training and Support Specialist responsible for training and IT support to homeless and at
risk shelter providers and their staff.
Patricia Gutierrez, CMIS Support & Training Specialist, holds a Bachelors of Science in
Child and Adolescent Development and a Masters Degree from Chapman University. As a
former CMIS user at 2-1-1 and Help Me Grow Orange County, she brings hands on knowledge
to the team through her experience in working directly with clients served by CMIS. As a CMIS
Training and Support Specialist, she has been able to assist and add value to agencies by
helping them create reports that reflect their client results.
Sharon McKeag, Agency Support Coordinator, came to OC Partnership from Boys & Girls
Club of the Harbor Area where, since 2002, she had coordinated various projects including
upgrading the organization with web capabilities, coordinating various fundraising events, and
assisting in day to day operations. At OC Partnership, Ms. McKeag has been the driving force
of creating a network of communication between agencies and service providers throughout
Orange County. For over 16 years Ms. McKeag has been affiliated with Big Brothers/Big
Sisters and has had the opportunity to Sister three Littles in her tenure as a volunteer. From
1999 to 2008 she held the Volunteer Chairperson position for the Big Brothers/Big Sisters
Annual Mardi Gras event. Ms. McKeag holds a Bachelors of Arts in Library Science and has
been a Literacy Volunteer through the Literacy Volunteers of Orange County for over 10 years.
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
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Describe agency's capability and experience with utilization of the local Homeless Management
Information System (HMIs). If you are not presently on HMIS, describe steps that will be taken to
comply with this requirement. Include overview of process, cost and timing to access HMIS. Also include
information from OC Partnership confirming date agency will be on HMIS. Note: all HPRP recipients will
be required to utilize Orange County's HMIs system (CMIS). Priority may be given to applicants that are
already users or will be user prior to Council approval of grant agreement.
Limit Response to 750 Words
The Client Management Information System (CMIS) is Orange County's local branding of a
Homeless Management Information System (HMIS) and is a requirement for receiving HUD
funding, which is approximately $13.7 million annually for Orange County. OC Partnership is
designated by the County of Orange and recognized by HUD as the region's lead agency
responsible for the collection of unduplicated, aggregate data on homeless and at-risk clients.
OC Partnership collaborates with, as formalized in a service contract, the County of Orange, OC
Community Services to serve as the CMIS lead agency. Annual data from HMISs nationwide is
collected and compiled into an Annual Homeless Assessment Report that guides national policy
decisions and provides year-to-year comparisons of the number and characteristics of homeless
persons and their service use. HUD research has shown that HMIS is a better, more accurate
tool than Point-in-Time counts or aggregate service provider reports for gathering community-
wide information.'
As a county-wide, web-based database and client management system, CMIS allows for the
collection of unduplicated information on clients served by each participating agency. The
system benefits clients by enabling providers to view client demographic information to
streamline the intake process. The system benefits service providers by allowing them to track
and measure client and program progress over time from the point of entry, to the system of
care, through stability. It benefits the community by providing region-wide data that can be used
to identify gaps and trends, measure success, guide strategic planning and policy, measure
resource distribution, and meet HUD funding requirements. For 2010, OC Partnership is
seeking funding of the CMIS to support the required system enhancements for HPRP, and
support expansion of program to include a greater number of providers in order to better capture
data on the demand, needs and service gaps of the county's at-risk populations.
Currently there are 34 agencies participating in CMIS, representing 63% of county shelter beds.
OC Partnership provides all training, outreach, and technical support for agencies using the
system. The majority (~80%) of CMIS funding is provided by the U.S. Department of Housing
and Urban Development (HUD). The remainder must be raised through grants and donations.
CMIS focuses on shelters as is required to receive HUD funding. OC Partnership and the
Orange County Continuum of Care strongly believe in the need to expand CMIS to include non-
shelter homeless and at-risk service providers, as they represent the larger portion of our
community's residents in need, but who don't seek shelter services for whatever reason. With
1 Abt Associates. Introduction to Homeless Management Information Systems. Prepared by Abt Associates for the US Department of Housing
and Urban Development. http://hmis.info/Resources/741/Introduction-to-HMIS aspx
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
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this request, OC Partnership intends to expand the current CMIS program to engage a greater
number of non-shelter service providers and meet the HPRP requirements.
CMIS allows agencies to streamline referrals and services, reduce duplicate intake
assessments, manage client outcomes, coordinate services with other providers, and prepare
financial and programmatic reports. CMIS tracks client information such as: demographics,
education, family type, city of last permanent residency, reason for leaving program, destination
upon exit, services utilized/received, and milestones achieved, among others. When clients are
entered into the system their records can be recalled and updated, so that each time an
individual or family seeks services from a participating provider it is tracked. This enables
providers to view clients' service history to inform decisions on what options are available for a
client, and what has or has not worked in the past.
OCP's evaluation plan for CMIS includes regular assessment of CMIS data gathering progress
and the system's effectiveness for users. We conduct routine audits of the data collected to
ensure adherence to data quality and completeness standards. CMIS data is accessible to
participating agencies in real time and to the general public in biannual CMIS progress reports.
The system will be expanded to allow for the exfraction of information needs for a
grantee%ity fo complete the quarterly progress report mandated by the HPRP and
facilitate the generation of the annual progress reports by sub grantees for submission
to the responsible city. As a recipient of federal funding, OC Partnership goes to considerable
lengths to conform to all federal evaluation and reporting requirements. In addition to
measuring participation rates, services provided and demographics of clients, we also regularly
evaluate the quality of data collection, by tracking and reporting the percentage of completeness
and accuracy of key fields in the database to make sure that agencies are entering required
fields to ensure that good data is collected.
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
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STATEMENT OF NEED 20 POIntS
HPRP funds are available for a limited type of homeless person. Based on your agency's
experience, identify the following:
^ Identify and describe existing and projected needs for proposed program in Santa Ana.
^ Describe methods and data sources used to identify and verify the need for this program in Santa
Ana.
Limit Response to 1,250 Words
Homelessness in Orange County is not always obvious. Many of the 3,600 individuals estimated
to be homeless each night in the county are able to maintain jobs, but are unable to buy or rent
a home due to rising prices. Despite the housing slowdown, the median home price in Orange
County remains high, at $434,000 (February 2009). The average rental price throughout the
County is currently about $1,550 a month (4th Quarter 2008). In order for this rent to be
affordable (defined by the State of CA as no more than 30% of net pay) an individual would
need to make over $29.80 an hour or approximately $62,000 a year. Since 10.2% of County
residents fall below the federal poverty line ($21,027 for a family of four) and approximately 37%
of households earn less than $35,000 per year, many Orange County families cannot afford the
average rental price, much less save money to purchase a home.
Consequently, many individuals, as well as families with children, are forced live in cars, parks,
motels, and in homeless shelters. As required by the US Department of Housing and Urban
Development (HUD), the County estimates the number of homeless individuals via a biannual
Point-In-Time Count and Annual Homeless Needs Assessment survey. These surveys provide
a snapshot of the County's homeless; however, they do not provide ongoing comprehensive
data such as: an unduplicated count of the homeless, the demographics of homeless and at risk
individuals and families, how many shelter beds are available, how many persons are seeking
shelter or are receiving supportive services like rent assistance, meals, or job training on a
regional basis. To fill this need, OC Partnership is working to expand the Client Management
Information System, or CMIS, to include regularly updated data from all homeless service
providers in Orange County. Further, OC Partnership seeks to engage non-shelter providers as
many homeless do not use the shelter system but otherwise still need homeless service
intervention to move toward stability. Participation in this database will allow for the collection
and analysis of region-wide data that can be used to identify gaps and trends, measure
success, guide strategic planning, policy and resource distribution, and meet HUD guidelines.
In addition to homeless shelter providers, Orange County's Continuum of Care includes
hundreds of individual agencies, nonprofits, religious organizations and service groups that
provide assistance and safety net services. Orange County is lucky to have these
organizations, but there is very little information sharing and collaboration between them. This
system of silos leaves gaps, which result in inefficient use of funds and resources, missed
opportunities for client intervention, duplication, and increased homelessness. OC Partnership
works to break down these silos by providing Continuum of Care providers with a variety of
other support and technical assistance.
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
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At present, Mercy House, Veterans Firsf, Wise Place for Women, Orange County Health Care
Agency and Salvation Army are currently the only Santa Ana service providers using CMIS.
According to 2-1-1 Orange County, not less than 152 agencies are located within Santa Ana's
city limits to serve homeless and at-risk residents. Many other agencies residing beyond Santa
Ana's borders serve Santa Ana residents as the need exists to do so. Specific to the City of
Santa Ana, in 2008 there were 216 families and 1,265 individuals who were homeless or at-risk
of homelessness according to our CMIS data. We know that this number is an underestimate as
the vast majority of these agencies do not yet participate in CMIS. It is imperative that we are
able to collect complete data on the extent of need in each community so that we are in the best
position to assess need and develop regional solutions. This is specifically the goal of HPRP
funding for data collection. The number of homeless and at-risk individuals will be revealed to
be higher once the additional agencies begin to use CMIS.
RFP HOMELESSNESS PREVENTION &RAPID RE-HOUSING SERVICES 6/11/09
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PROGRAM DESIGN 20 Points
HPRP specifically limits the use of program funds and the populations these funds can assist.
Describe the following aspects of the proposed program:
^ Identify the specific HPRP eligible activity proposed
^ Describe the readiness of the proposed program
^ Describe how at risk or homeless status of potential program beneficiaries will be determined and
documented
^ Describe planned community outreach efforts and how clients will be referred to the program
^ Describe how homeless persons or persons at risk of homelessness will be assisted to sustain self-
sufficiency incompliance with HPRP program regulations
^ Describe both current and proposed roles and responsibilities shared in collaborative partnerships
with other agencies that serve homeless persons
^ Describe how HPRP "Habitability Standards" and Lead-based Paint requirements will be met
^ Describe how Santa Ana residency be verified
Limit Response to 1,250 Words
OC Partnership seeks $50,000 funding for data collection services through CMIS from the City
of Santa Ana. As the lead agency for the county, OC Partnership provides all training, outreach,
and technical support for agencies using the system.
The City of Santa Ana, as the HPRP grantee, will be responsible for tracking and gathering data
from each city grantee to report the use of funds back to HUD. Sub-grantees must use CMIS to
report client progress as required by HPRP guidelines. In addition to the collection of the
universal and program data elements currently required by HUD, several new HPRP specific
fields must be captured, including:
• Grant identifier
• Homeless status
• Financial assistance provided
• Housing relocation/stabilization services provided
This data will allow Santa Ana the ability to more closely measure and report sub grantee
outcomes and effective use of funds. Quarterly and Annual Progress Reports to HUD will need
to be generated accurately. There are currently 34 service providers on CMIS. With this new
infusion of program funding more nonprofits will be required to contribute client data to CMIS,
moving our community closer to HUD's goal of a widely used regional homeless client database
that accurately paints a picture of homeless clients and services received in Orange County.
CMIS allows for an accurate regional and agency level view of our service delivery system, and
identification of service gaps required to inform local programmatic and funding decisions. Your
investment in CMIS will allow OCP to:
• Expand the CMIS system to meet the new HPRP data collection requirements
• Provide CMIS system setup, training and technical support to your sub grantee recipients
• Provide the data needed to complete the Annual Progress Report (APR) for sub grantees
to be submitted to the City of Santa Ana
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
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• Provide the data needed to complete Quarterly Progress Report (QPR) that Santa Ana
must submit to HUD.
OC Partnership will be responsible for meeting the following requirements of HPRP:
^ Ensure that all required HPRP data elements are incorporated in the vendor's back end
database working with the vendor to modify the system's graphical user interface
^ Accommodate the new data collection requirements
^ Conduct system testing and validation of the enhancements
^ Create scripting to facilitate new data reporting requirements
• Set up new agencies coming on to the CMIS system
^ Create new unduplicated Annual Progress Report for sub grantees
^ Develop new aggregate Quarterly Progress report for grantees
^ Train new agency staff on the overall functionality of the system
^ Retrain existing users to utilize the new HPRP required fields
• Modify paper client intake forms to reflect new data requirements
^ Update user manuals and other documentation to reflect enhancements
^ Establish alternate method of data collection for agencies starting programs prior to system
changes being completed
^ Set up/modify data migration protocol for agencies using another system to collect client
information
^ Conduct marketing/communications/outreach to inform participating agencies of the
changes to the system
^ Create auxiliary reports as needed to accurately measure progress and ensure effective use
of HPRP funds
As OC Partnership does not place individuals in housing, it is not applicable for us to meet
Habitability Standards and Lead-based Paint requirements.
Currently, we are able to document the status of at-risk or homeless program beneficiaries
through our four page CMIS intake form. This intake process also allows us to determine their
last place of residency so we can ensure that they are Santa Ana residents. The form includes
the following broad categories with subcategories under each:
• Name
• Date of birth
• Social security number
• Gender
• Ethnicity
• Head of household
• Level of education
• Disabled
• Insurance
• Housing status
• Family Composition
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
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• Last known permanent address
• Income source(s)
• Prior living situation
• Length of homeless period
• Number of episodes of homelessness in past three years
• Drug/alcohol, mental health, and domestic violence issues
• Services provided during program
• Exit questions upon leaving the program
Sub grantees utilizing CMIS have the responsibility of validating the homeless/at-risk status of
clients. CMIS currently allows for the categorization of clients as either homeless or at-risk but
will be expanded as a result of HPRP to further refine client status as precariously
housed, stable, immediafe/y at-risk of home/essness. This refinement will go a long way in
providing insight into the characteristics and risk factors that lead to homelessness so that our
community can develop programs to address them. As mentioned above, several new fields
will be required by the HPRP Program and we are prepared to update our system. The system
will also allow grantees to confirm many program compliance factors such as eligibility and
service provision to ensure that federal funds are being used appropriately.
OC Partnership has been seeking creative and innovative solutions to increasing the accuracy
and usability of vital data on our homelessness and at-risk populations for years. OC
Partnership has faced many hurdles in establishing afully-functioning and user-friendly CMIS
for Orange County. Faced with the potential loss of HUD funding if participation in the system
did not increase, OC Partnership has spent the past three years improving CMIS and enrolling
agencies. Some innovative methods OC Partnership has utilized include: creating aswipe-card
system to allow easier data collection for high-volume agencies like food banks and the Armory
shelter; offering scantron data entry forms for organizations without access to multiple
computers or time for data entry; and offering data migration to allow agencies with their own
database system to upload data into CMIS automatically.
With continued funding, OC Partnership will continue outreach efforts to expand the database to
include a broad number of service providers.
^ Use the table below to identify output measures the proposed program will address. Activities and
outcomes must be consistent with allowed uses of HPRP. Provide information for both estimated
number of families and individuals anticipated to be served.
As OC Partnership does not serve families directly and are requesting HPRP funds for data
collection, it is not applicable for us to provide outputs related to families and individuals in the
following table. Instead we have listed our outputs in the following section.
Performance Outputs
Activities to be 3 Year Total
completed Outputs Year 1 Outputs Year 2 Outputs Year 3
Outputs
Example:
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
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Rental Subsidies 25 Families
1001ndividuals 25 Families
1001ndividuals 25 Families
1001ndividuals 75 Families
3001ndividuals
N/A N/A N/A N/A N/A
^ Provide information regarding how the success of HPRP-clients will be measured (Outcome
Measurements). Include timelines and benchmarks that will be used to track client success. Items
to address include the following:
^ State the intended outcome of proposed program
^ List milestones and timeline benchmarks that will be used to measure that clients are moving
toward stated program outcome
^ List the standard that will be used to measure program success (e.g., 75% of all program
participants will be living in permanent housing within six months of initial intake)
^ How will outcome measurements be taken and reported
^ What means will be used to take corrective action
Limit Response to 1,250 Words
CMIS benefits the community by providing region-wide data that can be used to identify gaps
and trends, measure success, guide strategic planning, policy, and resource distribution, and
meet HUD funding requirements. Homeless and at risk clients benefit because they receive
more comprehensive, coordinated service to help them get back on their feet. Through broad
based use of the system, we are able to facilitate fact based discussion of the need for basic
services such as shelter and food so as to inform public policy and funding decisions. Without a
clear strategy for obtaining accurate counts and a widely supported and adopted method for
capturing the information, we will continue to rely on approximations, anecdotal, incomplete and
often duplicated information as we make strategic decisions on funding and policy that
determine how we serve those most in need.
Expanding and supporting CMIS will allow the wide variety of basic needs agencies throughout
the county to track and measure a vast amount of data on their clients. Additionally, CMIS
supports all of the data, from each of the participating agencies, in a single centralized database
so that the data can be analyzed and evaluated whenever it is needed. This will allow for more
accurate and comprehensive measurement of countywide trends and needs.
The goals of OC Partnership for CMIS include:
^ Increase collection of factual data on homeless clients and services.
^ Increase number of agencies sharing data into CMIS system
^ Meeting requirements of HUD inputting and funding (75% of county shelters participating
in system)
We expect that the following activities will have begun within 30 days of the start of the grant
cycle:
^ Successfully bring on all required agencies
RFP HOMELESSN ESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
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^ Develop other reports as necessary (ongoing)
^ Support agencies (ongoing)
We expect that the following activities will have taken place by December 31, 2009:
^ Expand database to include new HPRP data standards
^ Modify graphical user interface (GUI) to allow for the collection of new HPRP fields
^ Develop required progress report for sub-grantees
^ Develop required progress report for grantees
The outputs of our CMIS data collection system are to:
1) Enroll all applicable agencies, as required by HPRP guidelines (to include shelters,
medical providers, food pantries, and other social service agencies) in CMIS.
2) Survey non-shelter social service providers to identify data needs, potential barriers, and
opportunities to increase access to and usability of CMIS.
3) Improve the percentage of Orange County shelter beds tracked in CMIS to 90%.
4) Improve the perception of CMIS as a valuable and usable community tool.
5) Reduce the collective data entry time of participating agencies.
6) Improve the percentage of non-sheltering service providers to 25%. We will target the
largest agencies first (i.e. access centers).
RFP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/09
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FINANCIAL & GRANT MANAGEMENT CAPACITY 20 PTS
Unlike other HUD funding for homeless programs (e.g., CDBG, ESG and SHP), HPRP funds are
limited in the way they can be used. Additionally, the Obama Administration and HUD have indicated
the use HPRP funds will be closely scrutinized adding an additional layer of fiscal responsibility and
monitoring to both the City and grant recipients. To this end, discuss the following points related to
your agency's experience utilizing HUD/public funds. (Include similar information for all collaborative
partners.)
Provide a complete HPRP Proposed Budget and HPRP Proposed Staff Budget -ensure you
provide all information regarding the source and use of other funds.
^ List the names, approximate amounts and awarding agencies of public funds your agency has
utilized to assist HPRP-eligible populations (do not list all grants -provide a reasonable
representation of the past 5 years.)
^ Has your agency ever been subject to audit/monitoring finding or concern from a federal, state, or
local government due to your agency's management of public funds (include information regarding
any withheld or returned grant funds)
^ Has your agency ever received a finding from a federal, state, or local government due to your
agency's documenting reporting program beneficiaries
^ Provide a summary of your agency's data collection and reporting capacity and experience
^ Describe your cost allocation plan/accounting practices that wilt ensure the receipt and use of HPRP
funds are used to benefit Santa Ana residents.
^ Provide detail regarding time management and program cost allocation for staffing, operating, and
administrative costs
'Limit ResQOnse to 1.500 Words
Funding Agencies (7/1/2004 - 6/30/2009)
• 10 Year Plan - $24,999 -Orange County 9/1/2008 - 4/30/2009
• EHAP - $21,029 -State of California 12/1/2004 - 10/31/2008
• CoC - $272,402 -Orange County 7/1/2004 - 3/31/2009
• HMIS - $2,127,455 -HUD 7/1/2004 - 6/30/2009
• Motel Family Plan - $25,686 -Children and Families Commission 8/1/2004 -1/31/2005
• Aging Project - $5,000 -Office on Aging 11/2004
• Point in Time - $107,591 -County of Orange (2-1-1) 12/1/2004 - 5/31/2009
Our agency has never been subject to audit/monitoring finding or concern from a federal, state,
or local government due to our agency's management of public funds.
Our agency has never received a finding from a federal, state, or local government due to your
agency's documenting/reporting program beneficiaries.
RfP HOMELESSNESS PREVENTION & RAPID RE-HOUSING SERVICES 6/11/D9
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This region-wide database has been functioning successfully since 2006. OC Partnership is the
designated lead agency within Orange County charged with overseeing the implementation and
management of the region's Homeless Management Information System (HMIs). As of May 31,
2009 demographic and service usage data on 24,030 homeless and at risk clients served by 34
participating agencies has been captured within CMIS since its inception. The system and our
agency are fully prepared to add additional agencies and provide the necessary reports to meet
the data collection requirements of HPRP.
Allocation of Santa Ana funds will be tracked as a separate HPRP Santa Ana program. As each
expense is entered into our accounting system, it is allocated using a separate QuickBooks
class, based on what program it is used for. As income is received it is classified the same way.
Profit & Loss Reports are printed by class to ensure that the funded is received and expended
correctly. All expenses are reviewed and approved by the Executive Director each month.
All employees prepare monthly time sheets detailing which programs they spend their time on.
As above, expenses are allocated to programs based on use. Expenses are booked into our
financial system using classed for each program.
RFP HOMELESSNESS PREVEN710N & RAPID RE-HOUSING SERVICES 6/11/09
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Orange County Partnership Billing Schedule
Year 1-50% of contract amount ($8,333 in the first month)
Year 2-25% of the contract amount
Year 3-25% of the contract amount
Exhibit B
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.
Q C..
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Grantee/Contactor Organiza
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Program Title
Officer Signature
EXHIBIT C
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 C
Page 2 of 2
GENERAL CERTIFICATIONS FOR
THE HOMELESSNESS PREVENTION AND RAPID RE-HOUSING PROGRAM (HPRP)
In accordance with the applicable statutes and the regulations governing the consolidated plan regulations the
undersigned certifies that:
Conflicts of Interest
1. General. With respect to the use of HPRP funds to procure services, equipment, supplies or other property,
states, territories and units of general local government that receive HPRP funds shall comply with 24 CFR
85.36(b)(3), and non-profit sub-grantees shall comply with 24 CFR 84.42. With respect to all other decisions
involving the use of HPRP funds, the following restriction shall apply: No person who is an employee, agent,
consultant, officer, or elected or appointed official of the grantee and 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 thereunder, either for himself or herself or for those with whom he or she
has family or business ties, during his or her tenure or for one year thereafter.
2. Exceptions. Upon the written request of the grantee, HUD may grant an exception to the restrictions in
paragraph 1 above on a case-by-case basis when it determines that the exception will serve to further the
purposes of the HPRP program and promote the efficient use of HPRP funds. In requesting an exception, the
grantee must provide the following:
a. For states and other governmental entities, a disclosure of the nature of the conflict, accompanied by an
assurance that there has been public disclosure of the conflict and a description of how the public disclosure
was made; and
b. For all grantees, an opinion of the grantee's attorney that the interest for which the exception is sought
would not violate state or local law.
Environmental Requirements
This Notice does not direct, provide for assistance or loan and mortgage insurance for, or otherwise govern or
regulate, real property acquisition, disposition, leasing (other than tenant-based rental assistance),
rehabilitation, alteration, demolition, or new construction, or establish, revise or provide for standards for
construction or construction materials, manufactured housing, or occupancy. Accordingly, under 24 CFR
50.19(c)(1), this Notice is categorically excluded from environmental review under the National
Environmental Policy Act of 1969 (42 U.S.C. 4321). Moreover, consistent with the provisions for
administrative and management expenses, tenant-based rental assistance, and supportive services in 24 CFR
50.19(b)(3), (11), and (12), the eligible activities to be assisted under this Notice are categorically excluded
from the requirements of the National Environmental Policy Act of 1969 (42 U.S.C. 4321) and are not subject
to environmental review under the related laws and authorities.
C. Habitability Standards
Organizations providing rental assistance with HPRP funds will be required to conduct initial and any
appropriate follow-up inspections of housing units into which a program participant will be moving. Units
should be inspected on an annual basis and upon a change of tenancy. The minimum habitability standards are
listed in Appendix C of the Notice of Allocations, Applications Procedures, and Requirements for
Homelessness Prevention and Rapid Re-Housing Program Grantees under the American Recovery and
Reinvestment Act of 2009. Grantees may require more stringent standards.
D. Nondiscrimination and Equal Opportunity Requirements
Grantees and sub-grantees must comply with all applicable fair housing and civil rights requirements in 24
CFR 5.105(a). In addition, grantees must make known that HPRP rental assistance and services are available
to all on a nondiscriminatory basis and ensure that all citizens have equal access to information about HPRP
and equal access to the financial assistance and services provided under this program. Among other things,
this means that each grantee must take reasonable steps to ensure meaningful access to programs to persons
Exhibit D
Page 1 of 4
with limited English proficiency (LEP), pursuant to Title VI of the Civil Rights Act of 1964. This may mean
providing language assistance or ensuring that program information is available in the appropriate languages
for the geographic area served by the jurisdiction and that limited English proficient persons have meaningful
access to HPRP assistance. This will be a particular issue for state grantees that may not be aware of LEP
speaking populations in jurisdictions that are not normally served with ESG funds. To assist grantees, the
Department published the "Final Guidance to Federal Financial Assistance Recipients Regarding Title VI
Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons" (72
Federal Register 2732; January 22, 2007). In addition, all notices and communications shall be provided in a
manner that is effective for persons with hearing, visual, and other communication-related disabilities
consistent with section 504 of the Rehabilitation Act of 1973 and implementing regulations at 24 CFR 8.6.
If the procedures that the grantee intends to use to make known the availability of the rental assistance and
services are unlikely to reach persons of any particular race, color, religion, sex, age, national origin, familial
status, or disability who may qualify for such rental assistance and services, the grantee must establish
additional procedures that will ensure that such persons are made aware of the rental assistance and services.
E. Affirmatively Furthering 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 funding recipients. Grantees and sub-grantees will have a duty to
affirmatively further fair housing opportunities for classes protected under the Fair Housing Act. Protected
classes include race, color, national origin, religion, sex, disability, and familial status. Examples of
affirmatively furthering fair housing include: (1) marketing the program to all eligible persons, including
persons with disabilities and persons with limited English proficiency; (2) making buildings and
communications that facilitate applications and service delivery accessible to persons with disabilities (see,
for example, HUD's rule on effective communications at 24 CFR 8.6); (3) providing fair housing counseling
services or referrals to fair housing agencies; (4) informing participants of how to file a housing
discrimination complaint, including providing the toll-free number for the Housing Discrimination Hotline: 1-
800-669-9777; and (5) recruiting landlords and service providers in areas that expand housing choice to
program participants.
F. Lead-Based Paint Requirements
The Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4801 et seq.), as amended by the Residential
Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851 et seq.) and implementing regulations at 24
CFR part 35, subparts A, B, M, and R shall apply to housing occupied by families receiving assistance
through HPRP.
G. Uniform Administrative Requirements
All States, Territories, Urban Counties, and Metropolitan cities receiving funds under HPRP shall be subject
to the requirements of 24 CFR part 85. Non-profit sub-grantees shall be subject to the requirements of 24
CFR part 84.
H. Equal Participation of Religious Organizations
1. Organizations that are religious or faith-based are eligible, on the same basis as any other organization, to
participate in HPRP. Neither the federal government nor a grantee shall discriminate against an organization
on the basis of the organization's religious character or affiliation.
2. Organizations that are directly funded under HPRP may not engage in inherently religious activities, such
as worship, religious instruction, or proselytization as part of the programs or services funded under HPRP. If
an organization conducts such activities, the activities must be offered separately, in time or location, from the
programs or services funded under HPRP, and participation must be voluntary for the program participants.
Exhibit D
Page 2 of 4
3. A religious organization that participates in HPRP will retain 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 it does not use direct HPRP funds to support any inherently religious
activities, such as worship, religious instruction, or proselytization. Among other things, faith-based
organizations may use space in their facilities to provide HPRP-funded services, without removing religious
art, icons, scriptures, or other religious symbols. In addition, a HPRP-funded religious organization retains its
authority over its internal governance, and it may retain religious terms in its organization's name, select its
board members on a religious basis, and include religious references in its organization's mission statements
and other governing documents.
4. An organization that participates in the HPRP program shall not, in providing program assistance,
discriminate against a program participant or prospective program participant on the basis of religion or
religious belief.
5. If a state or local government voluntarily contributes its own funds to supplement federally funded
activities, the state or local government has the option to segregate the federal funds or commingle them.
However, if the funds are commingled, the requirements listed above apply to all of the commingled funds.
I. Lobbying and Disclosure Requirements
The disclosure requirements and prohibitions of section 319 of the Department of the Interior and Related
Agencies Appropriations Act for Fiscal Year 1990 (31 U.S.C. 1352) (the Byrd Amendment), and
implementing regulations at 24 CFR part 87, apply to HPRP. Applicants must disclose, using Standard Form
LLL (SF-LLL), "Disclosure of Lobbying Activities," any funds, other than federally appropriated funds, that
will be or have been used to influence federal employees, members of Congress, or congressional staff
regarding specific grants or contracts.
J. Drug-Free Workplace Requirements
The Drug-Free Workplace Act of 1988 (41 U.S.C. 701, et seq.) and HUD's implementing regulations at 24
CFR part 21 apply to HPRP.
K. Procurement of Recovered Materials
State agencies and agencies of a political subdivision of a state that are using assistance under a HUD
program for procurement, and any person contracting with such an agency with respect to work performed
under an assisted contract, must comply with the requirements of section 6002 of the Solid Waste Disposal
Act, as amended by the Resource Conservation and Recovery Act. In accordance with section 6002, these
agencies and persons must procure items designated in guidelines of the Environmental Protection Agency
(EPA) at 40 CFR part 247 that contain the highest percentage of recovered materials practicable, consistent
with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or
the value of the quantity acquired in the preceding fiscal year exceeded $10,000; must procure solid waste
management services in a manner that maximizes energy and resource recovery; and must have established an
affirmative procurement program for procurement of recovered materials identified in the EPA guidelines.
L. Data Collection and Reporting Requirements
SUBRECIPIENT will comply with all data collection and reporting requirements as outlined by the OMB
approved Homelessness Prevention & Rapid Re-Housing Program (HPRP) Program Quarterly Performance
Report: Elements, Response Categories and Justification, approved on June 16, 2009.
M. Rent Subsidy
Rental assistance payments cannot be made on behalf of eligible individuals or families for the same period of
time and for the same cost types that are being provided through another federal, state or local housing
subsidy program. If a participant is receiving rental assistance under another program (either a full or partial
subsidy,) HPRP funds may not be used for rental assistance during that same time period.
Exhibit D
Page 3 of 4
N. Rent Reasonableness
The rental assistance paid cannot exceed the actual rental cost, which must be in compliance with HUD's
standard of "rent reasonableness." "Rent reasonableness" means that the total rent charged for a unit must be
reasonable in relation to the rents being charged during the same time period for comparable units in the
private unassisted market and must not be in excess of rents being charged by the owner during the same time
period for comparable non-luxury unassisted units.
Organization
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Exhibit D
Page 4 of 4
Los Angeles/Orange County
Homeless Management/Client Management Information System
(HMIs/CMIS) Collaborative
HMIS/CMIS Agency Agreement
With the City of Santa Ana
I. Purpose
The Los Angeles/Orange County (LA/OC) Homeless Management/Client Management Information
System (HMIS/CMIS) is aweb-enabled database used by homeless and human service providers within the
Los Angeles and Orange County region, to capture information about the persons they serve. The LA/OC
HMIS/CMIS Collaborative consist of four separate Continuum of Cares. The continuums aze: Los Angeles
Homeless Service Authority (LAHSA), Orange County Continuum of Care, the City of Glendale and the
City of Pasadena. OC Partnership is the member of the LA/OC HMIS/CMIS Collaborative responsible for
managing this system and enforcing this agreement in Orange County.
The LA/OC HMIS/CMIS Collaborative goal is to go beyond the HUD mandate of producing unduplicated
counts of homeless and low-income households. Our mission is to provide a comprehensive case
management system to advance the provision of quality services for homeless, at-risk, and low-income
households; improve data collection, and promote more responsive policies to end homelessness in Los
Angeles and Orange Counties.
II. Audience and Agreement
This Participating Agency Agreement permits the City of Santa Ana Community Development Agency and
its participants to use the LA/OC HMIS/CMIS and security services on their computers systems through an
Internet connection. The LA/OC HMIS/CMIS Collaborative and their assigned HMIS/CM1S System
Administrators aze the primary coordinating Continuum of Cares (CoC) for the LA/OC HMIS/CMIS. The
City of Santa Ana is the "Agency" named in this agreement as participants of the LA/OC HMIS'CMIS.
The HMIS/CMIS "User" is the guardians entrusted with personal data to be entered and used in the LA/OC
HMIS/CMIS and the "Client" is the consumer of services.
LA/OC HMIS/CMIS and all agencies which have been granted access to the LA/OC HMIS/CMIS have
agreed to abide by all laws, and the LA/OC HMIS/CMIS Collaborative Policies and Procedures pertaining
to client confidentiality, user conduct, security, and the ongoing functionality and stability of services and
equipment used to support the LA/OC HMIS/CMIS.
The signature of the City Manager indicates agreement with the terms set forth for an LA/OC HMIS/CMIS
account for the Agency. The City Manager of Santa Ana, or his/her designee is authorized to sign
additional documentation as may be required by LA/OC HMIS/CMIS consistent with and to carry out the
purpose of this Agreement.
III. Confidentiality and Informed Consent
The Agency agrees to abide by and uphold all privacy protection standazds established by the LA/OC
HMIS/CMIS Collaborative as well as their respective agency's privacy procedures. The Agency will also
uphold relevant Federal and California State confidentiality regulations and laws that protect client records,
and the Agency will only release confidential client records with written consent by the client, or the
client's guardian, unless otherwise provided for in the regulations or laws. Access to the LA/OC
HMIS/CMIS is granted to City of Santa Ana Community Development Agency based on the following
premises:
Oral Explanation: All clients will be provided an oral explanation stating their information will be
entered into a computerized record keeping system. The Agency will provide an oral explanation of the
H.1lIS/C.LIISAgencyAgreement Pagelof5 Revised02/01/D8
LA/OC HMISiCMIS and the terms of consent. The agency is responsible for ensuring that this
procedure takes place prior to every client interview.
Written Explanation: Each client whose information is being shazed with another participating
agency must agree via the written Client consenfInformation Release form. A client must be informed
as to what information is being shared and with whom it is being shared.
Information Release: The Agency ogees not to release client identifiable information to any other
organization pursuant to federal and California State law without proper client consent. See attached
Client Consent/Information Release Form and Regulations below.
Regulations: The Agency will uphold all relevant Federal and California State confidentiality
regulations to protect client records and privacy. In addition, the Agency will only release client
records with written consent by the client, unless otherwise provided for in the regulations.
Specifically, but not limited to, the following:
A. The Agency will abide specifically by the federal confidentiality rules as contained in the Code
of Federal Regulations (CFR) 42 Part 2 Confidentiality of Alcohol and Drug Abuse Patient
Records, regarding disclosure of alcohol and/or drug abuse records. [n general terms, the
Federal regulation prohibits the disclosure of alcohol and/or drug abuse records unless
disclosure is expressly permitted by written consent of the person to whom it pertains or as
otherwise permitted by CFR 42 Part 2. A general authorization for the release of medical or
other information is not sufficient for this purpose. The Agency understands that the Federal
rules restrict any use of the information to criminally investigate or prosecute any alcohol or
drug abuse patients.
B. The Agency will abide specifically with the Health Insurance Portability and Accountability Act
of 1996 and corresponding regulations passed by the U.S. Deparnnent of Health and Human
Services. In general, the regulations provide consumers with new rights to control the release of
medical information, including advance consent for most disclosures of health information, the
right to see a copy of health records, the right to request a correction to health records, the right
to obtain documentation of disclosures of information may be used or disclosed. The current
regulation provides protection for paper, oral, and electronic information.
C. The Agency will abide specifically with the California Government Code 11015.5 regazding
Personal Information Collected on the Internet. In general, the Government Code ensures that
any electronically collected personal information about clients cannot be shared with any third
party without the client's written consent.
Postings: Privacy and Mandatory Collection notices must be posted at the agency.
A. The Agency must post Privacy and Mandatory Collection notices at each intake desk or
comparable location.
B. Privacy and Mandatory Collection notices must be made available in writing at the client's
request.
IV. Data Use
Data contained in the LA.!OC HMIS/CMIS will only be used to support the delivery of homeless, at-risk,
and low income household's services in the Los Angeles and Orange County region. Each User will affirm
the principles of ethical data use and client confidentiality as noted below and contained in the LA/OC
HMIS/CMIS User Agreement.
1. The Agency will not solicit or input information from clients unless it is essential to provide services,
or conduct evaluation or reseazch.
2. The Agency understands that all client data will be maintained on a central server, which will contain
all client information in an encrypted state. All client identifiable data is inaccessible to unauthorized
users.
HMIS/CMISAgency.4greement Page 2 of5 Revised 02/01/08
3. The Agency shall not be denied access to client data entered by the Agency. Agencies are bound by all
restrictions placed upon the data by the client of any Participating Agency. The Agency shall
diligently record in the LA/OC HMIS/CMIS all restrictions requested.
4. The Agency shall not knowingly enter false or misleading data under any circumstances.
5. The Agency shall maintain appropriate documentation of client consent to participate in the LA/OC
HMIS/CMIS.
6. If a client withdraws consent for release of information, the Agency remains responsible to ensure that
the client's information is unavailable to all other Agencies.
7. The Agency shall keep signed copies of the Client ConsenUInformation Release form for LA'OC
HMIS/CMIS for a period of seven years.
8. The Agency shall keep Interagency data shazing agreements and Client ConsenUlnformation Release
forms for all individual client data that is shazed to non-custodial agencies where the internal policies
of the Agency allows data sharing.
V. Responsibilities
The Agency is responsible for ensuring that its staff does not intentionally or unintentionally misuse the
system. Such uses are bu[ not limited to damage computing resources, obtain extra resources, take
resources from another user, gain unauthorized access to resources, or otherwise make use of computing
resources for which proper authorization has not been given.
L The Agency will have an environment free of illegal or malicious acts and the Agency's users agree to
never use the system to perform an illegal or malicious act. Any attempt to increase the level of access
to which (s)he is authorized or any attempt to deprive other authorized users of resources or access to
LA/OC HMIS/CMIS shall be regarded as malicious and may be treated as an illegal act.
2. Any user who finds a possible security lapse on the system is obligated to report it to the HMIS/CMIS
System Administrator immediately.
3. The LA,'OC HMIS/CMIS Application, which have been granted, to each participating agency were
purchased by the LA/OC HMIS/CMIS Collaborative for each of its own continuums. The LA,'OC
HMIS/CMIS application was paid for through the HUD grant. The maintenance, upgrades and license
purchases aze limited by the sanctions of the HUD grant. Any additional maintenance, upgrades and
license purchases incurred after the grant fund limit, which is designated for HMIS'CMIS services,
becomes the sole responsibility of [he Agency that has accepted possession and use of the softwaze and
services rendered for HMIS/CMIS purposes and functionality. Cost of the LA/OC HMIS/CMIS
software will be $250.00 annually for a two (2) year, (24 month) period. Total cost shall not exceed
$2,000 for the term of this Agreement. OC Partnership reserves the right to renegotiate the annual tee
at the end of the two yeaz period.
4. LA/OC HMIS/CMIS will provide training to Agency Personnel relating to use of the system and
compliance with the requirements of this Agreement.
VI. System Usage
Computer Equipment and Services are intended for LA/OC HMIS/CMIS-related activities. Acceptable
computer system use includes data intake, reports, research of client, client development and public service
purposes. Prohibited Usage includes, but is not limited to, the following activities: fraudulent, threatening,
hazassing, or obscene messages and/or materials are to be avoided and not [o be received, sent nor stored.
Inappropriate mass mailing (spamming, flooding, bombing) are prohibited. Creation or intentional
distribution of computer viruses, worms, or Trojan horses is prohibited. Unauthorized access to or denial of
service attacks on any computer system shall not be attempted. Abusers are subject to sanctions as outlined
ht Section XI. -Violations.
HMIS/CMIS Agency Agreement Page 3 of S Revised 02/OL/OS
VII. Rights
LA/OC HMIS/CMIS data from agencies within each continuum resides in one central database. The
Agency's data is separated by security for each continuum. Data sharing is currently limited to the data
within the Agency's continuum. The LA/OC HMIS/CMIS Collaborative reserves the right, at a later date,
to expand data sharing to include collaborative wide data. Prior [o any such actions, the City of Santa Ana
Community Development Agency will be duly notified.
The LA/OC HMIS/CMIS Collaborative also reserves all rights, including termination of agreements, of the
LA/OC HMIS/CMIS application and the service resources that it owns and operates. These procedures
shall not be construed as a waiver of any rights of the LA/OC HMIS/CMIS Collaborative, nor shall they
conflict with applicable acts of law.
VIII. Privileges
The LA~OC HMIS/CMIS services and or equipment are a privilege and are assigned and managed by the
HMIS/CMIS System Administrator(s) or designee(s) of specific systems. The City of Santa Ana
Community Development Agency is responsible for proper use of the system as outlined in Section VI.
IX. Confidentiality
Although technological and procedural securities have been reasonably exhausted by the LA,iOC
HMIS/CMIS Collaborative to ensure client data confidentiality, this system is being used by a multitude of
end users and is therefore subject [o the diligence to which the Participating Agencies' staff protects client
records.
The protections that the LA/OC HMIS/CMIS Collaborative put in place to protect client confidentiality
include compliance with HUD Data and Technical Standards Final Notice, institution of a mandated
HMIS/CMIS training program for all HMIS/CMIS users, consistent application of Policies and Procedures,
and signed Agency End-User Agreements.
X. Copyright
The LA.-OC HMIS/CMIS is protected by copyright and is not to be copied, except as permitted by law or
by contract with owner of the copyright. The number of copies and distribution of copies are to be managed
by the HMIS/CMIS Systems Administrator(s) of each CoC. Interference with measures used by copyright
holders to protect copyrighted works is prohibited.
Agency user's storing materials copyrighted by others on the systems or displaying the materials through
web pages must comply with copyright laws and guidelines.
Equipment if applicable: Computer softwaze and data aze protected by copyright and is not to be copied,
except as permitted by law or by contract with the owner of the copyright. The number of copies and
distribution of copies are to be managed by the HMIS/CMIS Systems Administrator(s) of each CoC. Users
of the computer systems agree to follow guidelines for use of copyrighted materials.
XI. Violations
An individual violating any of the guidelines outlined in this agreement will be reported immediately upon
discovery. Such suspected violations will be confidentially reported to the HMIS/CMIS System
Administrator(s) of the CoC and or the designee of that agency.
HMIS/CMIS Agency Agreement Page4of5 Revised 02/01/08
XIL Agreement
Agency acknowledges and agrees that this technology is for LA/OC HMIS/CMIS purposes only.
Each person signing below represents that he/she holds the position set forth below their signatures and that
each person is authorized to sign this Agreement on behalf of the parties to this Agreement and to bind the
parties to its provisions. The effective date of this Agreement shall be the latest date of execution.
The term of this Agreement shall be for a period of three (3) years from the effective date of this
Agreement. The City agrees to pay, and Orange County Continuum of Care agrees to accept,
compensation in the amount of $50,000.00 for services provided over the three (3) year term.
This Agreement is executed between the Agency and the Orange County Continuum of Care and upon
execution the Agency will be given access to the HMIS/CMIS.
CITY OF SANTA ANA, a charter city
and municipal corporation
City Mana~er/ riot) ~~
City Manager's Signature
Citv of Santa Ana
Agency
Date of Signature
ATTEST:
~~
-Maria Q. Hutza ,Clerk of the Council
APPROVED AS TO FORM:
Joseph W. Fletcher, City Attorney
y: Lisa E. Storck, Asst. City Attorney
HMIS/CMIS Agency Agreement Page 5 of 5
~CY~ ~ 1..~
Continuum RepresentatiName (Print)
4-
Continuum Representative's Signature
C~,rtv~p I~he~t..~~,~-~
Continuum Narrie 11
1Q ~~.310~
Date of Siena e
Revised 02/0!/08
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