Amendment No. 3 to the Home Program Agreement CSV
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AMENDMENT NO. 3 TO HOME PROGRAM AGREEMENT `3 )(- t I-7, 2c13 11
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This AMENDMENT NO. 3 TO HOME PROGRAM AGREEMENT (this "Amendment") is made
as of f" chq. I , 2016, by and between the CITY OF MIAMI BEACH, a Florida municipal
corporation (the "City") and CARRFOUR SUPPORTIVE HOUSING, INC., a Florida non-for-
profit corporation) and HARDING VILLAGE, LTD., a Florida limited partnership (hereinafter
after referred to collectively as "CARRFOUR").
RECITALS:
A. The City and CARRFOUR entered into that certain Home Program Agreement
(the " Agreement") dated September 18, 2014, evidencing the allocation of
HOME Program funding in the total amount of $228,667.00 (the "Funds") from
the City to CARRFOUR for the purpose of rehabilitating the property known as
Harding Village, located at 8500 Harding Avenue, Miami Beach, Florida, 8520
Harding Avenue, Miami Beach, Florida 33141, and 8540 Harding Avenue, Miami
Beach, Florida 33141 (collectively, the "Project").
B. In connection with the Agreement, CARRFOUR executed a Promissory Note
("Note") and Mortgage. The Agreement, Note and Mortgage shall be collectively
referred to as Loan Documents.
C. The City and CARRFOUR entered into Amendment No. 1 to the Agreement
dated July 2, 2015.
D. The City and CARRFOUR entered into Amendment No. 2 to the Agreement,
dated November 9, 2015.
AGREEMENT:
NOW, THEREFORE, in consideration of the premises, and the mutual covenants and
agreements set forth below, the City and CARRFOUR agree as follows:
1. Exhibit "A" "Scope of Services", to the Agreement is hereby deleted in its entirety
and replaced with the attached Amended Exhibit "A", incorporated herein by reference.
2. Exhibit "C" "Budget", to the Agreement is hereby deleted in its entirety and
replaced with the attached Amended Exhibit "C", incorporated herein by reference.
3. Exhibit "E" "HOME Units", to the Agreement is hereby added, incorporated
herein by reference.
4. Full Force and Effect. Except as modified by this Amendment, the Agreement,
and any other Loan Documents executed in connection with this transaction shall remain in full
force and effect.
Page 1 of 2
5. Definitions. Initially capitalized terms used herein without definition shall have
the respective meanings set forth in the Home Agreement dated as of September 18, 2014.
6. Multiple Counterparts. This Amendment may be simultaneously executed in one
or more counterparts, all of which shall constitute the same instrument and each of which shall
be deemed an original.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be
executed by their duly authorized officials on the day and date first above indicated.
CARRFOUR SUPPORTIVE HOUSING, INC.,
a Florida not-for-profit corporation
ATTEST:
Secretary S gna' re
jjA_fl..O L..- 7I i•JO tephanie Berman, President/CEO
Print Name Name and Title
HARDING VILLAGE, LTD.,
a Florida limited partnership
By: Harding Village, Inc., a Florida not-for-profit
corporation, Its General Partner
ATTEST:
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Secretary 'ig a re
5021) 7 i.i4 Stephanie Berman, President/CEO
Print Name Name and Title
CITY OF MIAMI BEACH,
a Florida municipal corporation
ATTEST:
Alb"
Si.natu N
Rafael E. Granado Cit 1ferk Ji 'm .1% Morales Cit Manaser APPROVED AS TO
Print Name % INCORP ORA ; WO
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AMENDED EXHIBIT "A"
"SCOPE OF SERVICES"
The Sub-Recipient agrees to provide the following:
Service Units of Documentation of Service
Service
Rehab of Harding Delivery of 70 Provision of all documentation as required in the
Village Apartments HOME Program Agreement and completion of rehabilitation as
Eligible Units outlined in budget, and receipt of the Certificate
As described in of Completion (CC). Proof of occupancy by
the attached HOME-eligible tenants.
Exhibit E
Related Definitions:
Davis-Bacon Act Compliance — The Davis-Bacon Act applies to contractors and
subcontractors performing on federally funded or assisted contracts in excess of
$2,000 for the construction, alteration, or repair (including painting and decorating) of
public buildings or public works. Davis-Bacon Act and Related Act contractors and
subcontractors must pay their laborers and mechanics employed under the contract
no less than the locally prevailing wages and fringe benefits for corresponding work
on similar projects in the area. The Davis-Bacon Act directs the Department of Labor
to determine such locally prevailing wage rates. Affordable housing rehabilitation
projects of eight (8) or more units using CDBG funds must ensure Davis-Bacon Act
compliance. Affordable housing rehabilitation projects of 12 or more units using
HOME funds must ensure Davis-Bacon Act compliance.
Environmental Review — Projects must have an Environmental Review unless they
meet criteria specified in HUD regulations that would exempt or exclude them from
Request for Release of Funds (RROF) and environmental certification requirements
(24 CFR sections 58.1, 58.22, 58.34, 58.35 and 570.604).
Evidence of Procurement— All expenses incurred with grant funds require evidence
of procurement according to this Agreement. Please carefully read the Agreement
and related HUD rules to ensure compliance.
HUD Income Limits — The Sub-Recipient must ensure that HUD Income Limits
(household income) are utilized when determining client eligibility for HUD-funded
services. Income limits are posted further below.
Monthly Progress Report — The Sub-Recipient is required to submit a monthly
project progress report by thelOth of the following month. The report must be signed
by the person who prepared the report as well as the agency's authorizing party. The
report summarizes the progress made, expenses incurred and deliverables
completed. This report must be completed regardless of whether or not funds are
requested.
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Monthly Financial Report — The Sub-Recipient is required to submit a monthly
financial report by the 10th of the following month regardless of whether or not funds
are requested. The report delineates project expenses incurred including non-City
funds and must include the corresponding evidence of expense incurred for any
expense which is being submitted for reimbursement.
Monthly Proformas — All Capital projects with multiple (more than one) funding
sources require the submission of monthly proformas to the City.
Professional Services Contracts — Professional services funded through this
Agreement must adhere to procurement guidelines as appropriate and have
executed written agreements between the Sub-Recipient and the respective Vendor.
Contracts must, at a minimum, specify the cost, timeline and scope of service. A copy
of all professional service contracts must be submitted to the City prior to
reimbursement request.
Proof of Insurance — Evidence of appropriate and required insurance must be
submitted prior to contract execution. No City funds will be disbursed prior to
submission of required insurance coverage.
Retainage — All capital projects are subject to the withholding of 10 percent of
appropriate expenses in the form of a retainage. All retained funds will be released
when the project fulfills its National Objective.
Section 3 Compliance — Any Agreement greater than $200,000 that involves
rehabilitation, housing construction, or other public construction, requires the Sub-
Recipient complete and submit to the City Form HUD 60002, Section 3 Summary
Report, Economic Opportunities for Low-. and Very-Low Income Persons (OMB No.
2529-0043).
Service Deliverables
Services must be delivered as follows:
Service Unit of Service i Service Location Timeframe
Rehab of Harding Delivery of 70 HOME 8520 Harding Completion by April
Village Apartments Eligible Units. Avenue 30, 2017
Service Benchmarks
Service Benchmark(s)
Completion of Rehab of Final Building Inspection and Receipt of Certificate of
Harding Village Apartments Completion (CC)
Project.
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Service Documentation
Services will be deemed as provided when the following documentation is provided
within the noted timeframes:
Service Documentation Submission Deadline
Rehab of Harding Provision of all documentation as April 30, 2017
Village Apartments. required in the Agreement and
completion of rehabilitation as outlined in
budget, and receipt of the Certificate of
Completion (CC).
Applicable Federal Regulations
The Sub-Recipient must apply to all applicable federal regulations including:
I. Non-Discrimination and Equal Access
No person in the United States shall on the grounds of race, color, national origin,
religion or sex be excluded, denied benefits or subjected to discrimination under any
program funded in whole or in part by CDBG/HOME funds. The Provider must take
measures to ensure non-discriminatory treatment, outreach and access to program
resources. This applies to employment and contracting, as well as to marketing and
selection of program participants.
Fair Housing and Equal Opportunity
The Provider must comply with all the following Federal laws, executive orders and
regulations pertaining to fair housing and equal opportunity. They are summarized
below:
Title VI of the Civil Rights Act of 1964, As Amended (42 USC 2000d et seq.):
States that no person may be excluded from participation in, denied the benefits
of, or subjected to discrimination under any program or activity receiving Federal
financial assistance on the basis of race, color or national origin. The regulations
implementing the Title VI Civil Rights Act provisions for HUD programs may be
found in 24 CFR Part 1.
The Fair Housing Act (42 USC 3601-3620): Prohibits discrimination in the sale or
rental of housing, the financing of housing or the provision of brokerage services
against any person on the basis of race, color, religion, sex, national origin,
handicap of familial status. Fair Housing Act implementing regulations may be
found in 24 CFR Part 100-115.
Equal Opportunity in Housing (Executive Order 11063, as amended by Executive
Order 12259): Prohibits discrimination against individuals on the basis of race,
color, religion, sex or national origin in the sale, rental, leasing or other
disposition of residential property, or in the use or occupancy of housing assisted
with Federal funds. Equal Opportunity in Housing regulations may be found in 24
CFR Part 107.
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Age Discrimination Act of 1975, As Amended (42 USC 6101): Prohibits age
discrimination in programs receiving Federal financial assistance. Age
Discrimination Act regulations may be found in 24 CFR Part 146.
Section 109 of Title I of the Housing and Community Development Act of 1974:
Requires that no person shall be excluded from participation in, denied the
benefits of, or be subjected to discrimination under any program or activity
funded with CDBG/HOME funds on the basis of race, color, religion, national
origin or sex.
Affirmative Marketing
The Provider must adopt affirmative marketing procedures and requirements for all
CDBG/HOME-assisted housing with five or more units. Requirements and
procedures must include:
1. Methods for informing the public, owners and potential tenants about fair
housing laws and the Provider's policies (for example: use of the Fair
Housing logo or equal opportunity language);
2. A description of what owners and/or the Provider will do to affirmatively
market housing assisted with CDBG/HOME funds;
3. A description of what owners and/or the Provider will do to inform persons
not likely to apply for housing without special outreach;
4. Maintenance of records to document actions taken to affirmatively market
CDBG/HOME-assisted units and to assess marketing effectiveness; and
5. A description of how efforts will be assessed and what corrective actions
will be taken where requirements are not met.
Handicapped Accessibility
The CDBG/HOME regulations also require adherence to the three following
regulations governing the accessibility of Federally-assisted buildings, facilities and
programs.
Americans with Disabilities Act (42 USC 12131; 47 USC 155, 201, 218 and 225):
Provides comprehensive civil rights to individuals with disabilities in the areas of
employment, public accommodations, state and local government services and
telecommunications. The Act, also referred to as the ADA, also states that
discrimination includes the failure to design and construct facilities (built for first
occupancy after January 26, 1993) that are accessible to and usable by persons
with disabilities. The ADA also requires the removal of architectural and
communication barriers that are structural in nature in existing facilities. Removal
must be readily achievable, easily accomplishable and able to be carried out
without much difficulty or expense.
Fair Housing Act: Multi-family dwellings must also meet the design and
construction requirements at 24 CFR 100.205, which implement the Fair Housing
Act (42 USC 3601-19)
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Section 504: Section 504 of the Rehabilitation Act of 1973 prohibits
discrimination in federally assisted programs on the basis of handicap. Section
504 imposes requirements to ensure that "qualified individuals with handicaps"
have access to programs and activities that receive Federal funds. Under
Section 504, recipients and Sub-Recipients are not required to take actions that
create unique financial and administrative burdens or after the fundamental
nature of the program. For any Provider principally involved in housing or social
services, all of the activities of the agency -- not only those directly receiving
Federal assistance -- are covered under Section 504. Contractors or vendors are
subject to Section 504 requirements only in the work they do on behalf of the
Provider or the City. The ultimate beneficiary of the Federal assistance is not
subject to Section 504 requirements.
The Architectural Barriers Act of 1968 (42 USC 4151-4157): Requires certain
Federal and Federally-funded buildings and other facilities to be designed,
constructed or altered in accordance with standards that ensure accessibility to,
and use by, physically handicapped people.
II. Employment and Contracting
The Provider must comply with the regulations below governing employment and
contracting opportunities. These concern equal opportunity, labor requirements and
contracting/procurement procedures.
Equal Opportunity
The Provider must comply with the following regulations that ensure equal
opportunity for employment and contracting:
Equal Employment Opportunity, Executive Order 11246, as amended: Prohibits
discrimination against any employee or applicant for employment because of
race, color, religion, sex or national origin. Provisions to effectuate this
prohibition must be included in all construction contracts exceeding $10,000.
Implementing regulations may be found at 41 CFR Part 60.
Section 3 of the Housing and Urban Development Act of 1968: Requires that, to
the greatest extent feasible, opportunities for training and employment arising
from CDBG/HOME funds will be provided to low-income persons residing in the
program service area. Also, to the greatest extent feasible, contracts for work (all
types) to be performed in connection with CDBG/HOME will be awarded to
business concerns that are located in or owned by persons residing in the
program service area.
Minority/Women's Business Enterprise: Under Executive Orders 11625, 12432
and 12138, the City and the Provider must prescribe procedures acceptable to
HUD for a minority outreach program to ensure the inclusion, to the maximum
extent possible, of minorities and women, and entities owned by minorities and
women, in all contracts (see 24 CFR 85.36(e)).
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Labor Requirements
The Provider must comply with certain regulations on wage and labor standards. In
the case of Davis-Bacon and the Contract Work Hours and Safety Standards Acts,
every contract for construction (in the case of residential construction, projects with
eight or more units) triggers the requirements.
Davis-Bacon and Related Acts (40 USC 276(A)-7): Ensures that mechanics and
laborers employed in construction work under Federally-assisted contracts are
paid wages and fringe benefits equal to those that prevail in the locality where
the work is performed. This act also provides for the withholding of funds to
ensure compliance, and excludes from the wage requirements apprentices
enrolled in bona fide apprenticeship programs.
Contract Work Hours and Safety Standards Act, as amended (40 USC 327-333):
Provides that mechanics and laborers employed on Federally-assisted
construction jobs are paid time and one-half for work in excess of 40 hours per
week, and provides for the payment of liquidated damages where violations
occur. This act also addresses safe and healthy working conditions.
Copeland (Anti-Kickback) Act (40 USC 276c): Governs the deductions from
paychecks that are allowable. Makes it a criminal offense to induce anyone
employed on a Federally assisted project to relinquish any compensation to
which he/she is entitled, and requires all contractors to submit weekly payrolls
and statements of compliance.
Fair Labor Standards Act of 1938, As Amended (29 USC 201, et. seq.):
Establishes the basic minimum wage for all work and requires the payment of
overtime at the rate of at least time and one-half. It also requires the payment of
wages for the entire time that an employee is required or permitted to work, and
establishes child labor standards.
Contracting and Procurement Practices
The CDBG/HOME programs are subject to certain Federal procurement rules. In
addition, the City and the Provider must take measures to avoid hiring debarred or
suspended contractors or Sub-Recipients and conflict-of-interest situations. Each is
briefly discussed below.
Procurement: For the City, the procurement standards of 24 CFR 85.36 apply.
For non-profit organizations receiving CDBG/HOME funds, the procurement
requirements at 24 CFR Part 84 apply.
Conflict of Interest: The CDBG regulations require grantees (the City), state
recipients and Sub-Recipients (the Provider) to comply with two different sets of
conflict-of-interest provisions. The first set of provisions comes from 24 CFR
Parts 84 and 85. The second, which applies only in cases not covered by 24
CFR Parts 84 and 85, is set forth in the CDBG regulations. Both sets of
requirements are discussed below.
- The provisions at 24 CFR 85.36 and 24 CFR 84.42 apply in the
procurement of property and services by grantees (the City), state recipients,
and Sub-Recipients (the Provider). These regulations require the City and
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the Provider to maintain written standards governing the performance of their
employees engaged in awarding and administering contracts. At a minimum,
these standards must:
- Require that no employee, officer, agent of the City or the Provider shall
participate in the selection, award or administration of a contract supported
by CDBG/HOME if a conflict-of-interest, either real or apparent, would be
involved;
- Require that employees, officers and agents of the City or the Provider
not accept gratuities, favors or anything of monetary value from contractors,
potential contractors or parties to Sub-Agreements; and
- Stipulate provisions for penalties, sanctions or other disciplinary actions
for violations of standards.
HOME-funded projects must comply with 24 CFR 92.356.
A conflict would arise when any of the following has a financial or other interest in a
firm selected for an award:
- An employee, agent or officer of the City or the Provider;
- Any member of an employee's, agent's or officer's immediate family;
An employee's, agent's or officer's partner; or
An organization that employs or is about to employ an employee, agent or
officer of the City or the Provider.
The CDBG/HOME regulations at 24 CFR 570.611and 24 CFR 92.356
governing conflict-of-interest apply in cases not covered by 24 CFR 85.36 and 24
CFR 84.42. These provisions cover employees, agents, consultants, officers and
elected or appointed officials of the grantee (the City), state recipient or Sub-
Recipient (the Provider). The regulations state that no person covered who
exercises or has exercised any functions or responsibilities with respect to
CDBG/HOME activities or who is in a position to participate in decisions or gain
inside information:
- May obtain a financial interest or benefit from a CDBG activity; or
Have an interest in any contract, subcontract or agreement for themselves
or for persons with business or family ties.
This requirement applies to covered persons during their tenure and for one year
after leaving the grantee (the City), the state recipient or Sub-Recipient (the Provider)
entity.
Upon written request, exceptions to both sets of provisions may be granted by HUD
on a case-by-case only after the City has:
Disclosed the full nature of the conflict and submitted proof that the
disclosure has been made public; and
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Provided a legal opinion from the City stating that there would be no
violation of state or local law if the exception were granted.
Debarred contractors: In accordance with 24 CFR Part 5, CDBG/HOME funds may
not be used to directly or indirectly employ, award contracts to or otherwise engage
the services of any contractor or Sub-Recipient during any period of debarment,
suspension or placement of ineligibility status. The City should check all contractors,
subcontractors, lower-tier contractors or Sub-Recipients against the Federal
publication that lists debarred, suspended and ineligible contractors.
III. Environmental Requirements
The City is responsible for meeting a number of environmental requirements,
including environmental reviews, flood insurance, and site and neighborhood
standards.
Environmental Review
The City is responsible for undertaking environmental reviews in accordance with the
requirements imposed on "recipients" in 24 CFR 58. Reviews must be completed,
and Requests for Release of Funds (RROF) submitted to HUD before CDBG/HOME
funds are committed for non-exempt activities. Private citizens and organizations
may object to the release of funds for CDBG/HOME projects on certain procedural
grounds relating to environmental review (see 24 CFR 58.70 - 58.77). To avoid
challenges, grantees (the City) and Sub-Recipients (the Provider) should be diligent
about meeting procedural requirements.
Flood Insurance
Section 202 of the Flood Disaster Protection Act of 1973 (42 USC 4106): Requires
that CDBG/HOME funds shall not be provided to an area that has been identified by
the Federal Emergency Management Agency (FEMA) as having special flood
hazard, unless: The community is participating in the National Flood Insurance
Program, or it has been less than a year since the community was designated as
having special flood hazards; and Flood insurance is obtained.
IV. Lead-based Paint
On September 15, 1999, the "Requirements for Notification, Evaluation and
Reduction of Lead-Based Paint Hazards in Federally Owned Residential Property
and Housing Receiving Federal Assistance; Final Rule" was published within title 24
of the Code of Federal Regulations as part 35 (24 CFR 35). The regulation was
issued under sections 1012 and 1013 of the Residential Lead-Based Paint Hazard
Reduction Act of 1992, which is Title X (ten) of the Housing and Community
Development Act of 1992. Sections 1012 and 1013 of Title X amended the Lead-
Based Paint Poisoning Prevention Act of 1971, which is the basic law covering lead-
based paint in federally associated housing.
The regulation sets hazard reduction requirements that give much greater emphasis
to reducing lead in house dust. Scientific research has found that exposure to lead in
dust is the most common way young children become lead poisoned. Therefore, the
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new regulation requires dust testing after paint is disturbed to make sure the home is
lead-safe. Specific requirements depend on whether the housing is being disposed
of or assisted by the federal government, and also on the type and amount of
financial assistance, the age of the structure, and whether the dwelling is rental or
owner occupied.
On April 22, 2008, the EPA issued a rule requiring the use of lead-safe practices and
other actions aimed at preventing lead poisoning to protect against the hazards
created by exposure to lead dust in existing structures built prior to 1978. Under the
rule, all contractors performing renovation, repair and painting projects that disturb
lead-based paint in homes, child care facilities, and schools built before 1978 must
be certified and follow specific work practices to prevent lead contamination. This rule
(40 CFR Part 745) is enforced as of April 22, 2010. The rule must be executed by all
sub-contractors.
Property Exempt from Lead-based paint regulation:
• Housing built since January 1, 1978, when lead paint was banned for
residential use;
• Housing exclusively for the elderly or people with disabilities, unless a child
under age 6 is expected to reside there;
• Zero-bedroom dwellings, including efficiency apartments, single-room
occupancy housing, dormitories or military barracks;
• Property that has been found to be free of lead-based paint by a certified
lead-based paint inspector;
• Property where all lead-based paint has been removed;
• Unoccupied housing that will remain vacant until demolished;
• Non-Residential property; and
• Any rehabilitation or housing improvement that does not disturb a painted
surface.
Types of housing subject to 24 CFR 35:
• Federally-Owned housing being sold;
• Housing receiving a federal subsidy that is associated with the property,
rather than with the occupants (project-based assistance);
• Public housing;
• Housing occupied by a family (with a child) receiving tenant-based subsidy
(such as a voucher or certificate);
• Multifamily housing for which mortgage insurance is being sought; and
• Housing receiving federal assistance for rehabilitation, reducing
homelessness, and other special needs.
If you want copies of the regulation or have general questions, you can call the
National Lead Information Center at (800) 424-LEAD, or TDD (800) 526-5456 for the
hearing impaired. You can also download the regulation and other educational
materials at http://www.hud.gov/offices/lead/index.cfm. For further information, you
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may call HUD at (202) 755-1785, ext. 104, or e-mail HUD at
lead requlations(c�hud.gov.
V. Displacement, Relocation, Acquisition and Replacement of Housing
CDBG/HOME projects involving acquisition, rehabilitation or demolition may be
subject to the provisions of the Uniform Relocation Act (URA). Demolition or
conversion of units with CDBG funds may trigger Section 104 (d) (also known as the
"Barney Frank Amendment" requirements.)
VI. Compliance with National Objective
The Provider will ensure and maintain evidence that activities assisted with
CDBG/HOME funds from the City of Miami Beach comply with the primary National
Objective, "Benefit to Low and Moderate Income Persons" and will provide services
or activities that benefit at least 51% low and moderate income persons. A low or
moderate-income household is defined as: a household having an income equal to or
less than the limits cited below. Individuals who are unrelated but are sharing the
same household shall each be considered as one-person households.
Low and Moderate Household Income Limits (Effective 05/14/2010) (Source: U.S.
Department of Housing & Urban Development) (Note: Low-Income (80% of Median
Income), Very Low-Income (50 % of Median Income), Extremely Low (30% of Median
Income)
HUD Income Limits for FY 2016
AMI Income Category 1 2 3 4 5 6 7 8
person persons persons persons persons persons persons persons
Extremely Low 14,950 17,050 20,160 24,300 28,440 32,580 36,730 40,890
$49,900 (30%)
Very Low(50%) 24,850 28,400 31,950 35,500 38,350 41,200 44,050 46,900
Low Income(80%) 39,800 45,450 51,150 56,800 61,350 65,900 70,450 75,000
Change Orders/Budget Amendments
The goal should be to limit the use of Change Orders or Budget Amendments. Both
require prior written approval by the City Manager.
To request a Change Order or Budget Amendment, a written request for changes
must be submitted to your Grant Monitor delineating the changes and providing a
detailed justification for making the request. Approvals of any changes are at the sole
discretion of the City Manager.
No budget amendment will be processed after June 30, 2016 for Public Service
Projects. No budget amendment will be processed for Capital Projects Budgets after
eighty (80) percent of the available funds have been drawn.
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Budget amendments or Change Orders that deviate from the original scope will be
rejected and the funds in question may be subject to recapture at the sole discretion
of the City Manager.
Compliance with Local Rules, Regulations, Ordinances and Laws
The Sub-Recipient must remain in compliance with all local rules, regulations,
ordinances and laws (including having an active business license and the resolution
of all Code Compliance and Building Department violations) in addition to those
specified in the body of the Agreement. In addition, the Sub-Recipient must not owe
any monies to the City at the time of Agreement execution or final release of grant
funds. The City will verify with the Finance Department to ensure that no monies are
due the City prior to Agreement execution.
Furthermore, the Sub-Recipient must not have any outstanding and/or open Code
Compliance or Building Department violations at the time of the Agreement's
execution. Any pending issues must be disclosed. Those violations which are open at
the time of the Agreement's execution and are expected to remain open for the
foreseeable future require the submission and approval of a remediation plan
submitted to the City.
Cost Allocation Plans
Cost Allocation Plans (CAP) must be submitted for any employee/contractor whose
salary or compensation is not wholly funded by City funds. The CAP must include the
sources of compensation, percentage of work charged by funding source and
requires the submission of detailed time sheets distinguishing the work compensated
through City funds. Salary reimbursements will not be processed without an approved
CAP and weekly/bi-weekly timesheets, as appropriate.
Davis Bacon Reporting Requirements
Sub-Recipients funded for construction projects must notify the City at least twenty-
four (24) business hours in advance of construction start or an extended delay.
Sub-Recipients funded for construction projects must notify the City at least twenty-
four (24) business hours in advance of any new classification reporting for work in
order to enable the City to conduct mandated Davis Bacon Act compliance
interviews. Any failures to notify the City in a timely manner must be addressed within
twenty-hour (24) business hours of the classifications reporting to the job site.
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Desk Audit
The City will conduct a desk audit of the Sub-Recipient, utilizing the City's Monitoring
Checklist, no later than 120 days from the commencement of services to determine if
a project site monitoring is required. The City's Contract Manager will contact the
Sub-Recipient, if necessary, to ensure that information needed for Desk Audit is on
file.
Employee/ Contractor File Review
The following documentation must be included in the Sub-Recipient's
employee/contractor file for those employees/contractors providing services under
this contract.
The following must be included in the employee files:
• Employment Application
• Evidence of degree/credentials
• Job Description Signed by Employee
• Evidence of Required Experience
• Florida Background Criminal Screening, if applicable
• National FBI Background Criminal Screening (Level 2), if applicable
• Affidavit of Good Moral Character, if applicable
• Proof of Knowledge of Policies & Procedures, if applicable
• 1-9 Verification on File
The City reserves the right to inspect those employee/contractor files whose salaries
are funded in part or in whole by its funds.
Evaluation
In its continuing effort to ensure contract compliance and performance, the City will
evaluate the Sub-Recipient in its fulfillment of the terms of this agreement including,
but not limited to, the following measures:
• Agreement compliance
• Leverage and fiscal soundness
• Accuracy and timeliness of Monthly Progress Reports
• Accuracy and timeliness of Monthly Financial Reports
• Adherence to project timelines
• Fulfillment of prescribed outcomes
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Fiscal Stability
The Sub-Recipient is required to maintain fiscal stability throughout the terms of this
Agreement. This is to ensure the Sub-Recipient's ability to fulfill the terms of this
Agreement and meeting of the National Objective.
For affordable housing developers, fiscal stability policies are encouraged in
anticipation of additional HUD guidance regarding fiscal oversight for rental projects.
More so, as projects have extended lives, fiscal stability underscores the long-term
viability of the housing units.
Leverage
For HOME-funded projects, the Sub-Recipient must demonstrate the commitment of
other sources of funds committed to the City-funded project. Furthermore, all other
identified funds must be in place prior to the use of HOME funds.
The documentation that demonstrates this fiscal leverage is the Subsidy Layering
Review and underwriting.
Monitoring & Performance Reviews
The City reserves the right to inspect, monitor and/or audit the Sub-Recipient to
ensure contractual compliance. This includes, but is not limited to:
• Review of on-site service delivery
• Inspection and review of client, budgetary and employee files (for those
employees providing services under this Agreement)
While Desk Audits will be conducted to determine the need for an on-site monitoring
visit, any monitoring visit will take place within 180 days of the commencement of
services. The City will notify the Sub-Recipient a minimum of three (3) business days
prior to a monitoring visit. Reference Exhibit E for additional information.
Performance Ratings
The Sub-Recipient agrees that its Performance Rating, the score awarded for
performance on the following measures, will be posted on the City's website on an
annual basis:
• Timely and accurate submission of Monthly Progress Report
• Timely and accurate submissions of Monthly Financial Reports
(reimbursement requests)
• Delivery of contracted service units
Ratings will be given for each performance measure based on the following:
13
Performance Measure I Rating Rationale & Score
Timely and accurate submission of ➢ "0" for failing to submit on time
Monthly Progress Report ➢ "25" for submitting on time -
Timely and accurate submissions of ➢ "0" for failing to submit accurate report
Monthly Financial Report (reimbursement with back-up material on time
requests) ➢ "25" for submitting accurate report on
time
Delivery of contracted service units within Possible score of 0 to 50 based upon
contracted timeframe completion of projected service units.
Score is pro-rated if total projected
service units are not met.
Proformas/Sources & Uses Reports
Capital projects must submit certified monthly proformas or Sources and Uses
reports that indicate project funding sources and correlating uses. Proformas must be
certified by the preparing party as well as the agency's signatory as reflected within
this Agreement.
Reporting Requirements
The Contractor will provide the City with a Monthly Progress Report and Monthly
Financial Report by the 10th of the following month utilizing the forms provided by the
City. In the event that the 10th of the month lands on a Saturday, Sunday or holiday,
the report must be submitted the following business day.
The following chart depicts the submission dates for the term of this Agreement:
Month Date or Submission
November 2016 December 12, 2016
December 2016 January 10, 2017
January 2017 February 10, 2017
February 2017 March 10, 2017
March 2017 April 10, 2017
April 2017 May 10, 2017
14
Monthly reports will be submitted via any of the following methods:
• Standard mail
• Hand delivery
Monthly reports will not be considered acceptable unless the following is met:
• City-provided forms are completely and accurately completed
• Necessary back-up materials are included (evidence of expense incurred,
invoices, time logs, executed AIA Forms, etc.)
• Reports bear the signature of the person preparing the report and the Sub-
Recipient's authorized signatory
Monthly Progress Reports should encapsulate a project's progress in alignment with
the funds expended. Progress photos and additional reporting material is
encouraged.
Rent Roll Submissions
Sub-Recipients using City funds for the creation or rehabilitation of affordable housing
must submit tenant rent rolls within thirty (30) days of meeting the National Objective
and every year thereafter for a minimum of fifteen (15) years in adherence with the
affordability period required with use of these funds. For completed projects, certified
tenant rolls must be submitted annually by November 1st. Tenant rolls must be
certified by the Sub-Recipient Agency's authorized signatory.
Those projects with a longer affordability period require annual tenant rolls for the
period of affordability established in the City's Restrictive Covenant and/or mortgage.
These tenant rolls must be submitted by November 1st of each year of affordability.
Tenant rolls must be certified by the Sub-Recipient Agency's authorized signatory.
Retainage
All capital projects utilizing HUD funds are subject to a ten (10) percent retainage that
will not be released until the National Objective is met. Retainage will be held as
appropriate from all submitted reimbursement requests.
Subsidy Layering Review
All affordable housing projects using CDBG/HOME funds require the completion of
an independent Subsidy Layering Review and underwriting. These reviews must be
completed prior to the project being submitted via HUD's IDIS system and precedes
the incurrence of any related funds. Therefore, no capital projects will be deemed
eligible for reimbursement until the Subsidy Layering Review and underwriting have
been received and accepted by the City.
15
The expense for the Subsidy Layering Review and underwriting services are eligible
for reimbursement if the project proceeds but is not eligible for reimbursement
otherwise.
Timeliness of Reimbursement Requests
Reimbursement requests must be submitted no later than sixty (60) days from the
incurrence of the expense. The City will strictly monitor this element. Please note that
cancelled checks must be submitted in conjunction with all reimbursement requests.
Therefore, the Sub-Recipient should calendar itself accordingly to ensure that
reimbursement requests are submitted to the City in a timely manner.
Furthermore, at least sixty (60) percent of your allotted grant funds must be
expended by June 30, 2015 as demonstrated by the total value of reimbursements
processed. Capital projects will be reviewed and judged based on their
implementation schedule.
Training Requirements
The Sub-Recipient must ensure that the person responsible for preparing the Monthly
Progress Report and Monthly Financial Report attends the City's Sub-Recipient
Reporting Training and places the attendance certificate in the employee's personnel
file for inspection by the City during its monitoring visit.
Additional Documentation
The following documentation must be submitted with this executed agreement:
• All required insurance certificates
• Copy of current audit
• Copy of required business licenses and permits
16
EXHIBIT "B"
"DOCUMENTATION"
The Sub-Recipient agrees to provide the following documents as part of its reporting
requirements:
To Document Insurance Coverage:
• Copy of insurance policy or binder (with proof of payment) with limits and
scope of coverage
To Document Client Eligibility and Service:
• Client attendance logs
• Intake and screening forms
• Executed client consent agreements
To Document Fiscal Leverage:
• Monthly project proformas (for capital projects only)
To Document Procurement:
• Evidence of at least three (3) quotes obtained for service/item
• Formal bid process including advertisement, scope, respondents and scoring
To Document Expenses Incurred:
• Cancelled checks with copy of referenced invoice
• Electronic payroll ledgers with corresponding bank transactions (statement)
• Executed professional service agreements (subject to procurement)
• Executed and notarized AIA Forms (for capital projects only)
• Executed and Filed Release of Lien (for capital projects only)
• Copies of valid work permits ad clearances (for capital projects only)
To Document Construction Completion:
• Certificate of Occupancy (CO)
To Document Lease-up of Affordable Housing:
• Rent rolls
• Tenant applications (with proof of income) and executed leases
17
AMENDED EXHIBIT "C"
"BUDGET"
The attached budget reflects the scope of expenses that may be incurred through
this Agreement. All expenses must comply with applicable rules and regulations
including Procurement and Davis Bacon Act.
18
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EXHIBIT "D"
"FINANCIAL MANAGEMENT"
To comply with federal regulations, each program must have a financial management system
that provides accurate, current and complete disclosure of the financial status of the activity.
This means the financial system must be capable of generating regular financial status
reports which indicate the dollar amount allocated for each activity (including any budget
revisions), amount obligated (i.e., for which contract exists), and the amount expended for
each activity. The system must permit the comparison of actual expenditures and revenues
against budgeted amounts. The City must be able to isolate and to trace every CDBG dollar
received and prove where it went and for what it was used.
The City is responsible for reviewing and certifying the financial management of any
operating agency, which is not a City department or bureau, in order to determine whether or
not it meets all of the above requirements. If the agency's system does not meet these
requirements and modifications are not possible, the City must administer the CDBG funds
for the operating agency.
Support for Expenditures
Sufficient support for expenses depends on the type of expenditure. They normally include
the following items:
• Salaries - Should be supported by proper documentation in personnel files of hire date,
position, duties, compensation, raises with effective date, termination date, and similar
type information. Non-exempt employees are required by law to complete a timesheet
showing number of hours they worked during the day. All employees paid in whole or in
part from CDBG funds should prepare a time sheet indicating the hours worked on CDBG
projects for each pay period. Based on these time sheets and the hourly payroll costs for
each employee, a voucher statement indicating the distribution of payroll charges should
be prepared and placed in the appropriate files.)
• Employee Benefits - Should be supported by personnel policies and procedures
manual, describing the types of benefits, eligibility and other relevant information.)
• Professional Services - Should be supported by a complete and signed copy of the
contract between the organization and the independent contractor, describing at the
minimum, period of service, type of service and method for payments, in addition to the
invoice from the private contractor.)
• Purchases - At a minimum, purchases should be supported by a purchase order,
packing list and vendor invoice. Credit card statements, travel itineraries, vendor
statements and similar items do not represent support for an expense.
Records
Accounting records must be supported by source documentation. Invoices, bills of lading,
purchase vouchers, payrolls and the like must be secured and retained for four years in order
to show for what purpose funds were spent. Payments should not be made without invoices
and vouchers physically in hand. All vouchers/invoices should be on vendor's letterhead.
19
Financial records are to be retained for a period of four years, with access guaranteed to the
City, to HUD or Treasury officials or their representative.
Audits
For years beginning after June 30, 1996, all nonprofit organizations, state governments, and
local governments that receive Federal funding fall under the revised OMB Circular A-133,
Audits of States, Local Governments, and Nonprofit Organizations. Non-Federal entities that
expend $500,000 or more in a year in Federal awards must have a single or program-
specific audit.
One copy of the sub-recipient or vendors' audited financial statement shall be submitted to
the City immediately following the end of the fiscal year(s) during which CDBG funds are
received.
All auditees must submit to the Federal Audit Clearinghouse (FAC) a data collection form
(Form SF-SAC) and reporting package upon completion of the annual audit in accordance
with OMB Circular A-133. The deadline for this submission is the earlier of the 30 days after
receipt of the auditor's report(s), or nine months after the end of the audit period, unless a
longer period is agreed to in advance by the cognizant or oversight agency for the audit.
Address for submission is:
The Federal Audit Clearinghouse
1201 E. 10th Street
Jeffersonville, IN 47132
Phone (301) 457-1551 or (800) 253-0696
Email: gov.facCa�census.gov
Web: http://harvester census.gov/sac
20
EXHIBIT "E"
"HOME UNITS"
Unit# Assigned to City of Miami Beach Assigned to MDC
1 A-101 x
2 A-IOTA x
—
3 A-102 x
4 A-102A x
5 A-103 x
6 A-103A x
7 A-104 x
8 A-104A x
9 A-105 x
10 A-105A x
11 A-106 x
12 A-106A x
13 A-107 x
14 A-107A x
15 A-108 x
16 A-108A x
17 A-201 x
18 A-201A x
19 A-202 x
20 A-202A x
21 A-203 x
22 A-203A x
23 A-204 x
24 A-204A x
25 A-205 x
26 A-205A x
27 A-206 x
28 A-206A x
29 A-207 x
30 A-207A x
31 A-208 x
32 A-208A x
33 B-101 x
34 B-101 A x
35 B-102 x
21
36 B-102A x
37 B-103 x
38 B-103A x
39 B-104 x
40 B-104A x
41 B-105 x
42 B-105A x
43 B-106 x
44 B-106A x
45 B-201 x
46 B-201A x
47 B-202 x
48 B-202A x
49 B-203 x
50 B-203A x
51 B-204 x
52 B-204A x
53 B-205 x
54 B-205A x
55 B-206 x
56 B-206A x
57 B-207 x
58 B-207A x
59 B-208 x
60 B-208A x
61 C-101 x
62 C-101A x
63 C-102 x
64 C-102A x
65 C-103 x
66 C-103A x
67 C-104 x
68 C-104A x
69 C-105 x
70 C-105A x
71 C-106 x
72 C-106A x
73 C-107 x
74 C-107A x
75 C-108 x
76 C-108A x
22
77 C-201 x
78 C-201A x
79 C-202 x
80 C-202A x
81 C-203 x
82 C-203A x
83 C-204 x
84 C-204A x
85 C-205 x
86 C-205A x
87 C-206 x
88 C-206A x
89 C-207 x
90 C-207A x
91 C-208 x
92 C-208A x
23