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Housing Choice Voucher Funding
THE CITY OF Dui Masterpiece on the Mississippi Dubuque kital All- America City II 111! 2012 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: 2013 Housing Choice Voucher Funding Shortfalls and Use of the Renewal Set -Aside to Prevent Terminations Due to Insufficient Funding DATE: June 10, 2013 Housing and Community Development Director Alvin Nash is recommending submittal of a grant for $83,964 in HUD shortfall funds for the current fiscal year ending December 2013. I concur with the recommendation and respectfully request Mayor and City Council approval. btitt44 kr,„709,,, Michael C. Van Milligen MCVM:jh Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager Teri Goodmann, Assistant City Manager Alvin L. Nash, Housing and Community Development Department Director Masterpiece on the Mississippi TO: Michael C. Van Milligen, City Manager FROM: Alvin L. Nash, Housing & Community Development Director Dubuque kital All- America City II 111! 2012 SUBJECT: 2013 Housing Choice Voucher (HCV) Funding Shortfalls and Use of the Renewal Set -aside to Prevent Terminations Due to Insufficient Funding DATE: June 6, 2013 BACKGROUND As you are aware, the full -year Continuing Resolution, CR, was consolidated and further Continuing Appropriations Act, 2013 was enacted on March 26, 2013. HUD has calculated public housing agencies' (PHAs) calendar year 2013 funding. They have issued a PIH implementation notice that provides information on all of the 2013 final CR provisions, including set -aside funding eligibility, and our final funding notification letter. HUD has set -aside Funding to Prevent Terminations due to Insufficient Funding. The 2013 CR continues to "set- aside" renewal funds of approximately $100 million for Cities that qualify under certain categories. However, the 2013 CR expanded the use of the HAP Renewal Set -aside funds by providing a new funding category. In 2013, HUD may also use the set -aside funding for "PHAs that despite taking reasonable cost savings measures, as determined by the Secretary, would otherwise be required to terminate participating families from the program due to insufficient funds." The City of Dubuque qualifies for those funds. DISCUSSION • The City of Dubuque is working with the HUD Field Office /Shortfall Prevention Team (SPT) and is in a HUD confirmed shortfall position at the time of application. • The City of Dubuque has ceased issuing vouchers to applicants • The City of Dubuque has rescinded or immediately rescinds following receipt of HUD's April 26, 2013 letter any vouchers remaining on the street that were issued to applicant families on or after April 1, 2013 and has stopped leasing those rescinded vouchers. Note this does not apply to vouchers issued under the two exceptions noted in paragraph (2) above. The City of Dubuque was notified in March that the Sequestration was effective and of the expected impact on the proration for 2013 funding, as well as provided guidance on how to estimate their available resources in the wake of the Sequestration cuts. Therefore, HUD's expectation is that the CITY OF DUBUQUE is in shortfall positions would not have been issuing vouchers at such a late date, or have taken /are taking immediate action to rescind any vouchers issued in error. • The City of Dubuque has ceased to absorb portable vouchers. • The City of Dubuque, in regard to Project -Based Voucher HAP contracts, vouchers are not issued to a family that wants to voluntarily move. However, if a unit becomes vacant, the unit shall be filled with a family from the waiting list. ACTION REQUESTED Under this short fall condition, the City of Dubuque is eligible for $83, 964 in HUD short fall funds for the current fiscal year ending December 2013. Our recommendation is to submit an application and that the City manager concur with the recommendation and that the City Council approve an application requesting short fall funds from HUD to meet the application deadline of June 24, 2013. 2 COPY CY 2013 Housing Choice Voucher Program - $103 Million Set -Aside ATTACHMENT A PHA Application for Category 1, Shortfall Funds and PHA Certification of Reasonable Cost Savings Measures Undertaken To Prevent Termination of HCV Participants Due to Insufficient Funds Name of PHA: City of Dubuque PHA Number: IA087 Executive Director: Alvin Nash The above referenced agency is applying for Category 1 Shortfall Funds and has undertaken reasonable cost savings measures to prevent termination of HCV Participants due to insufficient funds. I, Alvin Nash , hereby certify to the following: 1. The above identified PHA is working with the HUD Field Office /Shortfall Prevention Team (SPT) and is in a HUD confirmed shortfall position at the time of application. 2. The above identified PHA has ceased issuing vouchers to applicants. (Please note this does not apply to families that are participants and were issued a voucher to move to a different unit. This restriction is also not applicable to tenant protection vouchers that are being issued to targeted families that were residing in the covered property on the eligibility event, or where the PHA is leasing homeless veterans under a recent HUDVASH allocation. ) 3. The above identified PHA has rescinded or immediately rescinds following receipt of HUD's April 26, 2013 letter any vouchers remaining on the street that were issued to applicant families on or after April 1, 2013 and has stopped leasing those rescinded vouchers. Note this does not apply to vouchers issued under the two exceptions noted in paragraph (2) above. (PHAs were notified in March that the Sequestration was effective and of the expected impact on the proration for 2013 funding, as well as provided guidance on how to estimate their available resources in the wake of the Sequestration cuts. Therefore, 1-IUD's expectation is that PHAs in shortfall positions would not have been issuing vouchers at such a late date, or have taken /are taking immediate action to rescind any vouchers issued in error.) In addition, PHAs may enter into PBV HAP contracts for units that are under AHAP as of the date of this letter and still meet this condition. 4. The above identified PHA has /or immediately ceases to absorb portable vouchers. 5. The above identified PHA, in regard to project -based voucher (PBV) HAP contracts, vouchers are not issued to a family that wants to voluntarily move. (However, if a unit becomes vacant, the PBV unit shall be filled with a family from the waiting list.) However, if a unit becomes vacant, the PBV unit shall be filled with a family from the waiting list. This certification must be signed by the appropriate PHA official and returned. Certification: I hereby certify that all the information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate. Warning: HUD will prosecute false claims and statements. Conviction may result in crit 'ttal an or civil penalties (18 U.S.C. 1001, 1010, 1012; 31 U.S.C. 3279, 3802) 06/04/13 Signature of Executive Director and Date Alvin Nash (563) 589 -4239 Contact Name and Phone Number 26 CY 2013 Housing Choice Voucher Program ATTACHMENT B — Application for $103 Million Set -Aside for Category(ies) 2a — Unforeseen Circumstances; 2b — Portability; 3 — Project Based Vouchers and /or; 4 HUD -VASH Name of PHA: City of Dubuque PHA Number: IA 087 Executive Director: Alvin Nash CHECK ALL BOXES THAT APPLY Category 2a: Unforeseen Circumstances. X Category 2b: Portability. X Category 3: Project Based Vouchers Category 4: HUD -VASH. Documentation requirements for each of the above categories are contained in Paragraph 13 of this Notice. This certification must be signed by the appropriate PHA official and returned. Certification: I hereby certify that all the information stated herein, as well as any information provided in the accompaniment erewith, is true and accurate. Warning: HUD will prosecute false claijus -and tements. 'onvi on may result in criminal and /or civil penalties (18 U.S.C. 1001, 1 10 L90 802) 06/04/13 Signature of ecutive Director and Date Alvin Nash 563- 589 -4239 Contact Name and Phone Number CY 2013 Housing Choice Voucher Program - $103 Million Set -Aside Attachment C - Project -Based Commitment Data - Calendar Year 2012 HA Number 1A087 HA Name City of Dubuque PROJECT -BASED COMMITMENTS If the PHA had project -based (PB) commitments during CY 2012 for which vouchers were withheld from leasing, the PHA must report for each month the number of vouchers withheld from leasing. The PHA must complete a separate Attachment C for each PB commitment. PHA Certification: I hereby certify that all information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate. Warning: HUD will prosecute false claims and statements. Convictions may result in criminal and/or civil penalties. (18 U.S.C. 1001, 1010, 1012, U.S.C. 3729, 3802) Executive Director Signature Alvin Nash 06/04/2013 Date Executive Director Name Alvin Nash PHA Contact (563) 589-4239 Phone Number NUMBER OF VOUCHERS WITHHELD FOR THIS PROJECT BASED COMMITMENT ONLY Project Identification Jan 2012 Feb 2012 Mar 2012 Apr 2012 May 2012 June 2012 July 2012 Aug 2012 Sept 2012 Oct 2012 Nov 2012 Dec 2012 Rose of Dubuque 17 17 17 17 17 17 17 17 17 17 17 13 PHA Certification: I hereby certify that all information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate. Warning: HUD will prosecute false claims and statements. Convictions may result in criminal and/or civil penalties. (18 U.S.C. 1001, 1010, 1012, U.S.C. 3729, 3802) Executive Director Signature Alvin Nash 06/04/2013 Date Executive Director Name Alvin Nash PHA Contact (563) 589-4239 Phone Number 28 ATTACHMENT D - $103 MILLION SET -ASIDE - PBV DATA - (Page 1 of 2) NOTE: PLEASE COMPLETE ATT D FOR EACH PROJECT FOR WHICH PBV SET -ASIDE FUNDING IS BEING REQUESTED PHA #: IA087 # 1 of 1 PROJECTS PROJECT TYPE: PHA NAME: City of Dubuque PROJECT NAME: Rose of Dubuque NEW CONSTRUCTION: X NOTE: EXISTING HOUSING IS INELIGIBLE FOR THIS CATEGORY INFORMATION ON AHAP: PERIOD ALLOWED: # OF UNITS: REHABILITATION: EFFECTIVE DATE OF AHAP: 09/26/2011 #OF DAYS FROM EFFECTIVE DATE OF HAP TO PROJECT COMPLETION DATE: 500 END DATE (DATE OF NEW CONSTRUCTION/REHAB COMPLETION DATE): 10/12/2012 17 Jan -12 Feb -12 Mar -12 Apr -12 May -12 Jun -12 Jul -12 Aug -12 Sep -12 Oct -12 Nov -12 Dec -12 17 I 17 17 17 1 17 17 1 17 1 17 17 17 1 17 UNIT SIZE CONTRACT RENT GROSS RENT UTILITIES INCLUDED IN GROSS RENT Y/N # OF UNITS 1 BEDROOM 449 449 Y 17 BEDROOM 29 (Pace 2 of 2) BEDROOM BEDROOM BEDROOM BEDROOM BEDROOM COMMENTS: This certification must be signed by the appropriate PHA official and returned. Certification: I hereby certify that all the information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate. Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties (18 U.S.C. 1001, 1010, 1012; 31 U.S.C. 3279, 3802) SIGNATURE OF EXECUTIVE DIRECTOR: DATE: CONTACT NAME AND PHONE #: 06/04/2013 Alvin Nash (563) 589-4239 OMB Approval No. 2577 -016g (exp. 04/30/2014) This agency may not conduct or sponsor, and a person Is not required to respond to, a collection of information unless that collection displays a valid OMB control number. Assurances of confidentiality are not provided under this collection. . 1.1 Parties . • This Agreement to Enter into Housing Assistance Payments Contract ( "Agreement ") is entered into between: City of Dubuque Housing Department ( "PHA ") and Rose of Dubuque, L.P. 1.2 Purpose ( "owner "). The owner agrees to develop the Housing Assistance Payments Contract ( "HAP contract ") units to in accordance with Exhibit B to comply with Housing Quality Standards ( "HQS "), and the PHA agrees that, upon timely completion of such development in accordance with the terns of the Agreement, the PHA will enter into a HAP contract with the owner of the contract units. 1,3 Contents of Agreement This Agreement consists of Part 1, Part II and the following Exhibits: EXHIBIT A: The approved owner's PBV proposal. (Selection of proposals must be in accordance with 24 CFR 983.51.) Previous Editions are obsolete Page 1 of 17 HUI) 52531A Agreement, Part 1 of 2 Project -based Voucher Program n en t Cep _ r # fE i r i D 1 sue . . F_t _ W � -- - APalw'i. z t ® 11As bent ° , _$._ __ t e1 ell —It-ID O _W&4I 1i= This agency may not conduct or sponsor, and a person Is not required to respond to, a collection of information unless that collection displays a valid OMB control number. Assurances of confidentiality are not provided under this collection. . 1.1 Parties . • This Agreement to Enter into Housing Assistance Payments Contract ( "Agreement ") is entered into between: City of Dubuque Housing Department ( "PHA ") and Rose of Dubuque, L.P. 1.2 Purpose ( "owner "). The owner agrees to develop the Housing Assistance Payments Contract ( "HAP contract ") units to in accordance with Exhibit B to comply with Housing Quality Standards ( "HQS "), and the PHA agrees that, upon timely completion of such development in accordance with the terns of the Agreement, the PHA will enter into a HAP contract with the owner of the contract units. 1,3 Contents of Agreement This Agreement consists of Part 1, Part II and the following Exhibits: EXHIBIT A: The approved owner's PBV proposal. (Selection of proposals must be in accordance with 24 CFR 983.51.) Previous Editions are obsolete Page 1 of 17 HUI) 52531A Agreement, Part 1 of 2 Project -based Voucher Program EXHIBIT B: Description of work to be performed under this Agreement, including: • if the Agreement is for rehabilitation of units, this exhibit must include the rehabilitation work write -up and, where the PHA has determined necessary, specifications and plans. • if the Agreement is for new construction of units, the work description must include the working drawings and specifications. • any additional requirements beyond HQS relating to quality, design and architecture that the PHA'requires. • work items resulting from compliance with the design and construction requirements of the Fair Housing Act and implementing regulations at 24 CFR 100.205 and the accessibility requirements under section 504 of the Rehabilitation Act of 1973 and implementing regulations at 24 CFR 8.22 and 8.23. EXHIBIT C: Description of housing, including: • project site. • total number of units in project covered by this Agreement. • location of contract units on site. • number of contract units by area (size) and number of bedrooms and bathrooms. • services, maintenance, or equipment to be supplied by the owner without charges in addition to the rent to owner. • utilities available to the contract units, including a specification of utility services to be paid by owner (without charges in addition to rent) and utility services to be paid by the tenant. • estimated initial rent to owner for the contract units, EXHIBIT D; The HAP contract. 1.4 Significant Dates A. Effective Date of the Agreement: The Agreement must be executed promptly after PHA notice of proposal selection to the owner has been given. The PHA may not enter this Agreement with the owner until any required subsidy layering review has been performed and an environmental review has been satisfactorily completed in accordance with HUD requirements. B. A project may either be a single -stage or multi-stage project. A single- stage project will have the same Agreement effective date for all contract units. A multi -stage project will have separate effective dates for each stage. Previous Editions are obsolete Page 2 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program Single -stage project i. Effective Date for all contract units: Date of Signature 'i. Date of Commencement of the Work: The date for commencement of work is not later than 45 calendar days after the effective date of this Agreement. iii. Time for Completion of Work: The date for completion of the work is not later than 500 calendar days after the effective date of this Agreement. Multi -Stage Project Enter he information for each stage upon execution of the Agreement for the corresponding stage. STAGE NUMBER OF UNITS EFFECTIVE DATE DATE OF COMMENCEMENT OF WORK TIME FOR COMPLETION OF WORK 1.5 Nature of the Work This Agreement is for New Construction ofunits to be assisted by the project -based voucher program This Agreement is for Rehabilitation of units to be assisted by the project -based voucher program, Previous Editions are obsolete Page 3 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program 1.6 Schedule of Completion A. Timely Performance of Work: The owner agrees to begin work no later than the date for commencement of work as stated in section 1.4. In the event the work is not commenced, diligently continued and completed as required under this Agreement, the PHA may terminate this Agreement or take other appropriate action, The owner agrees to report promptly to the PHA the date work is commenced and fitmish the PHA with progress reports as required by the PHA. B. Time for Completion: All work must be completed no later than the end of the period stated in section 1.4. Where completion in stages is provided for, work related to units included in each stage shall be completed by the stage completion date and all work on all stages must be completed no later than the end of the period stated in section 1.4. C. Delays: If there is a delay in the completion due to unforeseen factors beyond the owner's control as determined by the PHA, the PHA agrees to extend the time for completion for an appropriate period as determined by the PHA in accordance with HUD requirements. 1.7 Changes in Work A. The owner must obtain prior PHA approval for any change from the work specified in Exhibit B which would alter the design or quality of the rehabilitation or construction, The PHA is not required to approve any changes requested by the owner, PHA approval of any change may be conditioned on establishment of a lower initial rent to owner as determined by PHA in accordance with HUD requirements. B. If the owner makes any changes in the work without prior PHA approval, the PHA may establish lower initial rents to owner as determined by the PHA in accordance with HUD requirements. C. The PHA may inspect the work during rehabilitation or construction to ensure that work is proceeding on schedule, is being accomplished in accordance with the terms of the Agreement, meets the level of material described in Exhibit B and meets typical levels of workmanship for the area. Previous Editions are obsolete Page 4 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program 1.8 Work Completion A. Conformance with Exhibit B: The work must be completed in accordance with Exhibit B. The owner is solely responsible for completion of the work. B. Evidence of Completion: When the work in completed, the owner must provide the PHA with the following. 1, A certification by the owner that the work has been completed in accordance with the HQS and all requirements of this Agreement. 2. A certification by the owner that the owner has complied with labor standards and equal opportunity requirements in the development of the housing. (See 24 CFR 983.155(b)(1)(ii).) 3. Additional Evidence of Completion: At the discretion of the PHA, or as required by HUD, the owner may be required to submit additional documentation as evidence of completion of the housing. Check the following that apply: A certificate of occupancy or other evidence that the contract units comply with local requirements, X1 An architect or developer's certification that the housing complies with: the HQS; State, local or other building codes; Zoning; F-1 The rehabilitation work write -up for rehabilitated housing; nThe work description for newly constructed housing; or Any additional design or quality requirements pursuant to this Agreement. Previous Editions are obsolete Page 5 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Progratn 1.9 Inspection and Acceptance by the PHA of Completed Contract Units A. Completion of Contract Units: Upon receipt of owner notice of completion of contract units, the PHA shall take the following steps: 1. Review all evidence of completion submitted by owner. 2. Inspect the units to determine if the housing has been completed in accordance with this Agreement, including compliance with the HQS and any additional requirements imposed by the PHA under this Agreement. B. Non - Acceptance: If the PHA determines the work has not been completed in accordance with this Agreement, including non - compliance with the HQS, the PHA shall promptly notify the owner of this decision and the reasons for the non- acceptance. The parties must not enter into the HAP contract at this point. However, work deficiencies may be corrected in accordance with Section 1.10 of this Agreement. C. Acceptance: If the PHA determines that the work has been completed in accordance with this Agreement, and that the owner has submitted all required evidence of completion, the PHA must submit the HAP contract for execution by the owner and must then execute the HAP contract. 1.10 Acceptance Where Work Deficiencies Exist A. If the PHA determines that work deficiencies exist, the PHA shall determine whether and to what extent the deficiencies are correctable, whether the units will be accepted after correction of the deficiencies, and the requirements and procedures (consistent with HUD requirements) for such correction and acceptance of contract units. The PHA shall notify the owner of the PHA's decision. B. Completion in Stages: When the units will be completed in stages, the procedures of this section shall apply to each stage. 1.11 Execution of HAP Contract A. Time and Execution: Upon acceptance of the units by the PHA, the owner and the PHA execute the HAP contract. Previous Editions are obsolete Page 6 of 17 HUD 52531A Agreement, Part 1 oft Project -based Voucher Program B. Completion in Stages: When the units will be completed in stages, the number and types of units in each stage, and the initial rents to owner for such units, shall be separately shown in the HAP contract for each stage. Upon acceptance of the first stage, the owner shall execute the HAP contract and the signature block provided in the HAP contract for that stage. Upon acceptance of each subsequent stage, the owner shall execute the signature block provided in the HAP contract for such stage. C. Form of HAP contract: The terms of the HAP contract shall be provided in Exhibit D of this Agreement. There shall be no change in the terms of the HAP contract unless such change is approved by HUD headquarters. Prior to execution by the owner, all blank spaces in the HAP contract shall be completed by the PHA. D. Survival of Owner Obligations: Even after execution of the HAP contract, the owner shall continue to be bound by all owner obligations under the Agreement. 1.12 Initial Determination of Rents A. The estimated initial rent to owner shall be established in Exhibit C of this Agreement. B. The initial rent to owner is established at the beginning of the HAP contract term. C. The estimated and initial contract rents for each unit may in no event exceed the amount authorized in accordance with HUD requirements. Where the estimated or the initial rent to owner exceeds the amount authorized under HUD requirements, the PHA shall establish a lower estimated or initial rent to owner (as applicable), in accordance with HUD requirements. 1.13 Uniform Relocation Act A. A displaced person must be provided relocation assistance at the levels described in and in accordance with the requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (URA) (42 U.S.C. 4201- 4655) and implementing regulations at 49 CFRpart 24. B. The cost of required relocation assistance may be paid with funds provided by the owner, or with local public funds, or with funds available from other sources. Payment of relocation assistance must be in accordance with HUD requirements. Previous Editions are obsolete Page 7 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program C The acquisition of real property for a project to be assisted under the project - based voucher program is subject to the URA and 49 CFR part 24, subpart B. D. The PHA must require the owner to comply with the URA and 49 CPR part 24. E. In computing a replacement housing payment to a residential tenant displaced as a direct result of privately undertaken rehabilitation or demolition of the real property, the term "initiation of negotiations" means the execution of the Agreement between the owner and the PHA. 1.14 Protection of In-Place Families A. In order to minimize displacement of in -place families, if a unit to be placed under HAP contract is occupied by an eligible family on the proposal selection date, the in -place family must be placed on the PHA's waiting list (if it is not already on the list) and, once its continued eligibility is determined, given an absolute selection preference and referred to the project owner for an appropriately sized unit In the project. B. This protection does not apply to families that are not eligible to participate in the program on the proposal selection date. C. The term "in -place family" means an eligible family residing in a proposed contract unit on the proposal selection date. D. Assistance to in -place families may only be provided in accordance with HUD requirements. 1.15 Termination of Agreement and HAP Contract The Agreement or HAP contract may be terminated upon at least 30 days notice to the owner by the PHA or HUD if the PHA or HUD determines that the contract units were not eligible for selection in conformity with HUD requirements. 1.16 Rights of HUD if PHA Defaults Under Agreement If HUD detennines that the PHA has failed to comply with this Agreement, or has failed to take appropriate action, to HUD's satisfaction or as directed by HUD, for enforcement of the PHA's rights under this Agreement, HUD may assume the PHA's rights and obligations under the Agreement, and may perform the obligations and enforce the rights of the PHA under the Agreement. HUD will, if it determines that the owner is not in Previous Editions are obsolete Page 8 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program default, pay annual contributions for the purpose of providing housing assistance payments with respect to the dwelling units) under this Agreement for the duration of the HAP contract. 1.17 Owner Default and PHA Remedies A. Owner Default Any of the following is a default by the owner under the Agreement: 1. The owner has failed to comply with any obligation under the Agreement. 2. The owner has violated any obligation under any other housing assistance payments contract under Section 8 of the United States Housing Act of 1937 (42 U.S.C. 14370. 3. The owner has committed any fraud or made any false statement to the PHA or HUD in connection with the Agreement. 4. The owner has committed fraud, bribery or any other corrupt or criminal act in connection with any Federal housing assistance program. 5. If the property where the contract units are located is subject to a lien or security interest securing a HUD loan or a mortgage insured by HUD and: A. The owner has failed to comply with the regulations for the applicable mortgage insurance or loan program, with the mortgage or mortgage note, or with the regulatory agreement; or B. The owner has committed fraud, bribery or any other corrupt or criminal act in connection with the HUD loan or HUD- insured mortgage. 6. The owner has engaged in any drug- related criminal activity or any violent criminal activity. B. PHA Remedies 1. If the PHA determines that a breach has occurred, the PHA may exercise any of its rights or remedies under the Agreement. Previous Editions are obsolete Page 9 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program 2. The PHA must notify the owner in writing of such determination. The notice by the PHA to the owner may require the owner to take corrective action (as verified by the PHA) by a time prescribed in the notice, 3, The PHA's rights and remedies under the Agreement include, but are not limited to: (i) terminating the Agreement; and (ii) declining to execute the HAP contract for some or all of the units. C. PHA Remedy is not Waived The PHA's exercise or non- exercise of any remedy for owner breach of the Agreement is not a waiver of the right to exercise that remedy or any other right or remedy at any time. 1.18 PTA and Owner Relation to Third Parties A. Selection and Performance of Contractor h The PHA has not assumed any responsibility or liability to the owner, or any other party for performance of any contractor, subcontractor or supplier, whether or not listed by the PHA as a qualified contractor or supplier under the program. The selection of a contractor, subcontractor or supplier is the sole responsibility of the owner and the PHA is not involved in any relationship between the owner and any contractor, subcontractor or supplier. 2. The owner must select a competent contractor to undertake rehabilitation or construction. The owner agrees to require from each prospective contractor a certification that neither the contractor nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or otherwise excluded from participation in contracts by any Federal department or agency or the Comptroller General, The owner agrees not to award contracts to, otherwise engage in the service of, or fund any contactor that does not provide this certification. 13. Injury Resulting from Work under the Agreement: The PHA has not assumed any responsibility for or liability to any person, including a worker or a resident of the unit undergoing work pursuant to this Agreement, injured as a result of the work or as a result of any other action or failure to act by the owner, or any contractor, subcontractor or supplier. Previous Editions are obsolete Page 10 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program C. Legal Relationship: The owner is not the agent of the PHA and this Agreement does not create or affect any relationship between the PHA and any lender to the owner or any suppliers, employees, contractor or subcontractors used by the owner in the implementation of the Agreement. D. Exclusion of Third Party Claims: Nothing in this Agreement shall be construed as creating any right of any third party (other than HUD) to enforce any provision of this Agreement or the HAP contract, or to assert any claim against HUD, the PHA or the owner under the Agreement or the HAP contract. E. Exclusion of Owner Claims against HUD: Nothing in this Agreement shall be construed as creating any right of the owner to assert any claim against HUD. 1.19 PHA -Owned Units Notwithstanding Section 1,18 of this Agreement, a PHA may own units assisted under the project -based voucher program, subject to the special requirements in 24 CFR 983.59 regarding PHA -owned units. 1.20 Conflict of Interest A. Interest of Members, Officers, or Employees of PHA, Members of Local Governing Body, or Other Public Officials 1. No present or former member or officer of the PHA (except tenant - commissioners), no employee of the PHA who formulates policy or influences decisions with respect to the housing choice voucher program or project -based voucher program, and no public official or member of a governing body or State or local legislator who exercises functions or responsibilities with respect to these programs, shall have any direct or indirect interest, during his or her tenure or for one year thereafter, in the Agreement or HAP contract. 2. HUD may waive this provision for good cause. B. Disclosure The owner has disclosed to the PHA any interest that would be a violation of the Agreement or HAP contract. The owner must fully and promptly update such disclosures. Previous Editions are obsolete Page 11 of 17 HUD 52531A Agreement, Part I of 2 Project -based Voucher Program 1.21 Interest of Member or Delegate to Congress No member of or delegate to the Congress of the United States of America or resident - commissioner shall be admitted to any share or part of the Agreement or HAP contract or to any benefits arising from the Agreement or HAP contract. 1.22 Transfer of the Agreement, IIAP Contract or Property A. PHA Consent to Transfer The owner agrees that the owner has not made and will not make any transfer in any form, including any sale or assignment, of the Agreement, HAP contract or the property without the prior written consent of the PHA. A change in ownership in the owner, such as a stock transfer or transfer of the interest of a limited partner, is not subject to the provisions of this section. Transfer of the interest of a general partner is subject to the provisions of this section. B. Procedure for PHA Acceptance of Transferee Where the owner requests the consent of' the PHA for a transfer in any form, including any sale or assignment, of the Agreement, the HAP contract or the property, the PHA must consent to a transfer of the Agreement or HAP contract if the transferee agrees in writing (in a form acceptable to the PHA) to comply with all the terms of the Agreement and HAP contract, and if the transferee is acceptable to the PHA. The PHA's criteria for acceptance of the transferee must be in accordance with HUD requirements. C. When Transfer is Prohibited The PHA will not consent to the transfer if any transferee, or any principal or interested party is debarred, suspended subject to a limited denial of participation, or otherwise excluded under 2 CFR part 2424, or is listed on the U.S. General Services Administration list of parties excluded from Federal procurement or nonprocurenrent programs. 1.23 Exclusion from Federal Programs A. Federal Requirements The owner must comply with and is subject to requirements of 2 CFR part 2424. Previous Editions are obsolete Page 12 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program B. Disclosure The owner certifies that: 1. The owner has disclosed to the PHA the identity of the owner and any principal or interested party. 2. Neither the owner nor any principal or interested party is listed on the U.S. General Services Administration list of parties excluded from Federal procurement and nonprocurement programs; and none of such parties are debarred, suspended, subject to a limited denial of participation or .. otherwise excluded under 2 CFR part 2424. 1.24 Lobbying Certifications A. The owner certifies, to the best of' owner's knowledge and belief, that: 1, No Federally appropriated funds have been paid or will be paid, by or on behalf of the owner, 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 the Agreement or HAP contract, or the extension, continuation, renewal, amendment, or modification of the HAP contract. 2. If any funds other than Federally 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 the Agreement or HAP contract, the owner roust complete and submit Standard Fonn -LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. B. This certification by the owner is a prerequisite for making or entering into this transaction Unposed by 31 U.S.C. 1352. Previous Editions are obsolete Page 13 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program 1.25 Subsidy Layering A, Owner Disclosure The owner must disclose to the PHA, in accordance with HUD requirements, information regarding any related assistance from the Federal Govermnent, a State, or a unit of general local government, or any agency or instrumentality thereof, that is made available or is expected to be made available with respect to the contract units. Such related assistance includes, but is not limited to, any loan, grant, guarantee, insurance, payment, rebate, subsidy, credit, tax benefit, or any other form of direct or indirect assistance, B. Limit of Payments Housing assistance payments under the HAP contract must not be more than is necessary, as determined in accordancewith HUD requirements, to provide affordable housing after taking account of such related assistance, The PHA will adjust in accordance with HUD requirements the amount of the housing assistance payments to the owner to compensate in whole or in part for such related assistance. 1.26 Prohibition of Discrimination A. The owner may not refuse to lease contract units to, or otherwise discriminate against, any person or family in leasing of a contract unit, because of race, color, religion, sex, national origin, disability, age or familial status. B. The owner must comply with the following requirements: The Fair Housing Act (42 U.S.C. 3601 -19) and implementing regulations at 24 CFR part 100 et seq. ; Executive Order 11063, as amended by Executive Order 12259 (3 CFR, 1959- 1963 Comp., p. 652 and 3 CFR, 1980 Comp., p. 307) (Equal Opportunity in Housing Programs) and implementing regulations at 24 CFR part 107; title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d- 2000d -4) (Nondiscrimination in Federally Assisted Programs) and implementing regulations at 24 CFR part 1; the Age Discrimination Act of 1975 (42 U.S.C. 6101 -6107) and implementing regulations at 24 CPR part 146; section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing regulations at part 8 of this title; title II of the Americans with Disabilities Act, 42 U.S.C, 12101 et seq. ; 24 CFR part 8; section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 170Iu) and implementing regulations at 24 CFR part 135; Executive Order 11246, as amended by Executive Orders 11375, 11478, 12086, and 12107 (3 CFR, 1964— Previous Editions are obsolete Page 14 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program 1965 Comp., p. 339; 3 CFR, 1966 -1970 Comp., p. 684; 3 CFR, 1966 -1970 Comp., p. 803; 3 CFR, 1978 Comp., p. 230; and 3 CFR, 1978 Comp., p. 264, respectively) (Equal Employment Opportunity Programs) and implementing regulations at 41 CFR chapter 60; Executive Order 11625, as amended by Executive Order 12007 (3 CFR, 1971 -1975 Comp., p. 616 and 3 CFR, 1977 Comp., p. 139) (Minority Business Enterprises); Executive Order 12432 (3 CFR, 1983 Comp., p. 198) (Minority Business Enterprise Development); and Executive Order 12138, as amended by Executive Order 12608 (3 CFR, 1977 Comp., p. 393 and 3 CFR, 1987 Comp., p. 245) (Women's Business Enterprise). C. The PHA and the owner must cooperate with HUD in the conducting of compliance reviews and complaint investigations pursuant to all applicable civil rights statutes, Executive Orders, and all related rules and regulations. 1.27 PHA and HUD Access to Premises and Owner Records A. The owner must furnish any information pertinent to this Agreement as may be reasonably required from time to time by the PHA or HUD. The owner shall furnish such information in the form and manner required by the PHA or HUD. B. The owner must permit the PHA or HUD or any of their authorized representatives to have access to the premises during normal business hours and, for the purpose of audit and examination, to have access to any books, documents, papers and records of the owner to the extent necessary to determine compliance with the Agreement. 1.28 Notices and Owner Certifications A. Where the owner is required to give any notice to the PHA pursuant to this Agreement, such notice shall be in writing and shall be given in the manner designated by the PHA. B. Any certification or warranty by the owner pursuant to the Agreement shall be deemed a material representation of fact upon which reliance was placed when this transaction was entered into. Previous Editions are obsolete Page 15 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program 1.29 HUD Requirements A. The Agreement and the HAP contract shall be interpreted and implemented in accordance with all statutory requirements, and with all HUD requirements, including amendments or changes in HUD requirements. The owner agrees to comply with all such laws and HUD requirements B. HUD requirements are requirements that apply to the project -based voucher program. HUD requirements are issued by HUD Headquarters as regulations, Federal Register notices or other binding program directives. 1.30 Applicability of Part II provisions — Check all that apply ® Training, Employment and Contracting Opportunities Section 2.1 applies if the total of the contract rents for all units under the proposed HAP contract, over the maximum term of the contract, is more than $200,000. Equal Employment Opportunity Section2.2 only applies to construction contracts of more than$10,000. © Labor Standards Requirements Sections 2.4, 2.8 and 2.10 apply when this Agreement covers the or more units ❑ Flood Insurance Section 2.11 applies if units are located in areas having special flood hazards and in which flood insurance is available under the National Flood Insurance Program. Previous Editions are obsolete Page 16 of 17 HUD 52531A Agreement, Part 1 oft Project -based Voucher Program EXECUTION OF THE AGREEMENT PUBLIC HOUSING AGENCY Name rust} ` \,\ By: Signature of Authorized Representative Official title (Print): David Harris - Director of Housing and Community Development ity of Dubuque Housing Department Date: OWNER Name (Print) The Rose of Dubuque, L.P. By: Signs uft rbQ All*lorized Representative Official Title (Print): GregoryA Mcoenahan. Pres leM of Evergreen Real Eea's Development Corpora kn, GP. Date: 9-i(0-1-00 Previous Editions are obsolete Page 17 of 17 HUD 52531A Agreement, Part 1 of 2 Project -based Voucher Program PBV AGREEMENT TO ENTER INTO HOUSING ASSISTANCE PAYMENTS CONTRACT PART 1 EXHIBIT C Description of Housing Includes: 1. Project Site: a. Site address will be: 3390 Lake Ridge Drive. b. Legal Description: i. Currently — Part of Lot 2 -2, Cedar Lake Plaza Thrid Addition it Will Become — Lot 1, Cedar Lake Plaza Fouth Addition 2. Total Number of Units Covered By Agreement —total of 17 Units. 3. Location of Contract Units on Site — All 17 Units will be floating within the 70 unit Rose of Dubuque Senior Affordable Assisted Living Center. 4. Contract Unit Size — As noted above the 17 Contract Units will Be Floating within the Entire 70 Unit Center —the unit breaskdown is as follows: a. 64 Units are 1- Bedroom — Each 728 avg. SF in Size b. 6 Units are 2- Bedrooms Each 849 avg.SF in Size 5. Utilities Available to Contract Units — all utilities are covered in rent except for telephone and cable services. 6. Estimated Initial Rent— Based on the Current Prevailing Fair Market Rents: a. 1- Bedroom - $449 per month b. 2- Bedrooms - $549 per month OMB Approval No 2577.0100 (exp. 04/30/2014 U.S. Department Of Housing and Urban Development Office of Public and Indian Housing SECTION 8 PROJECT- BASED VOUCHER PROGRAM PBV HOUSING ASSISTANCE PAYMENTS CONTRACT NEW CONSTRUCTION OR REHABILITATION PART 1 OF HAP CON'T'RACT This agency may not conduct or sponsor, and a person Is not required to respond to, a collection of Information unless that collection displays a valid OMB control number. Assurances of confldentlallly are not provided under thls collection. 1. CONTRACT INFORMATION a. Parties This housing assistance payments (HAP) contract is entered into between: City of Dubueuo Housing & Community Development (PHA) and Rose ofDubuquo, L.P. (owner), b. Contents of contract The HAP contract consists of Part 1, Part 2 and the contract exhibits listed in paragraph c, c. Contract exhibits The HAP contract Includes the following exhibits: EXHIBIT A: TOTAL NUMBER OF UNITS IN PROJECT COVERED )3Y THIS HAP • CONTRACT; INITIAL RENT TO OWNER; AND THE NUMBER AND DESCRIPTION OF THE CONTRACT UNITS. (See 24 CFR 983.203 for required items) If this is a Multi -stage project, this exhibit must include a description of the units in each completed phase, Previous editions are obsolete Protect- basest Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page -1- of Part 1 EXHIBIT B: SERVICES, MAINTENANCE AND EQUIPMENT TO BE PROVIDED BY THE OWNER WITHOUT CHARGES IN ADDITION TO RENT TO OWNER EXHIBIT C: UTILITIES AVAILABLE IN THE CONTRACT UNITS, INCLUDING A LISTING OF UTILITIY SERVICES TO BE PAID BY THE OWNER (WITHOUT CHARGES IN ADDITION TO RENT TO OWNER) AND UTILITIES TO BE PAID BY THE TENANTS EXIIIBITD: FEATURES PROVIDED TO COMPLY WITH PROGRAM ACCESSIBILITY FEATURES OF SECTION 504 OF THE REHABILITATION ACT OF 1973 ADDITIONAL BXHIBITS d, Single -Stage and Multi -Stage Contracts (Check the app. pplicable box,) 1. x Single -Stage Project This Is a stugie -stage project. For all contract wilts, the effective date of the HAP contract Is: Ormhnr 124 9019 The PHA enters the effective date, and executes the HAP contract, after completion and PHA acceptance of all units in the single stage protect. 2, Q Multl- StageProject This is a multi -stage project, Theunits In each completed stage are designated itt Exhibit A, The PHA enters the effective date for each stage after completion and PHA acceptance of all units In that stage. The PHA enters the effective date for each stage in the "Execution of HAP contract for contract units completed in stages" (starting on page 8). The annual anniversary date of theHAP contract for all contract units in this multi -stage project is the atn iversary of the effective date of the HAP contract for the contract units included in the first stage, The expiration date of the HAP contract for all of the contract units completed in stages must be concurrent with the end of the HAP contract term for the units included in the first stage. (See 24 CFR 981206(e).) Previous editions are obsolete Projeet -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page -2- efPart 1 e, Term of the HAP contract 1. Beginning of Term The PHA may not enter into a HAP contract for any coutractuuit until the PHA has determined that the unit complies with the housing quality standards. The term of the HAP contract for any unit begins on the affective date of the HAP contract. 2, Length of initial term a. Subject to paragraph 2,b, the initial term ofthe HAP contract for any contract units is; 10 Years b. The Initial term of the HAP contract for any unit may not be less than one year, nor more than fifteen years. 3, Extension of terra The PHA and owner may agree to enter Into an extension of the MAP contract at the time of initial HAP contract execution or any time prior to expiration of the contraot. Any extension, including the term of such extension, must be in accordance with HUD requirements. A PHA must determine that any extension is appropriate to achieve long -term affordability of the housing or expand housing opportunities. 4. Requirement for sufficient appropriated funding a, The length of the Initial term and any extension term shall be subject to availability, as detertnlned by HUD, or by the PHA In accordance with HUD requirements, of sufficient appropriated funding (budget authority), as provided in appropriations acts and in the PHA's annual contributions contract (ACC) with HUD, to make Hilt payment of housing assistance payments duo to the owner for any contract year in accordance with the NAP contraot, b. The availability of sufficient firnding must badetennlnedby HUD orby the PHA in accordance with HUD requirements. If it is determined that there may not be sufficient fimdiug to continue housing assistance payments for all contract units and for the fill term of the HAP contract, the PHA has the right to terminate tha HAP contract by notice to the owner for all or any of the contract units. Such action by the PHA shall be itnplemented in accordance with HUD requirements. Previous editions are obsolete Protect -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page - 3 - ofPart I f. Occupancy and payment 1, Payment for occupied unit During the teen of the HAP contract, the PHA shall make housing assistance payments to the owner for the months during which a contract unit is leased to and occupied by an eligible family, If an assisted faintly moves out of a contract cult, the owner may keep the housing assistance payment for the calendar month when the family moves out ("move- outmonth "), However, the owner may not keep the payment if the PHA determines that the vacancy is the owner's fault, 2, Vacancy payment THE PHA HAS DISCRETION WHETHER TO INCLUDE THE VACANCY PAYMENT PROVISION (PARAGRAPH f,2), OR TO STRIKE THIS PROVISION FROM THE HAP CONTRACT FORM, If an assisted family moves out of a contra - ' , = rovide- vananey- payments to the owner r a P •,;nod- vacane periecl- extending on -the- beginningofthefirstcalendaHnenthaflethe- move- onianentb€oe peeled -not. exceeding two full months following the - move -out- montht enttethe- ownerferach- month ofehe- manimumtwo -mend peried- w� i l - bv Bete..n. Ct-biaaHd2aHH9 BHBH 1Fte-0YHgl-FHi eFt e- assisted lease, minus ear-portion of the rental payment received-by- the - owner - hieluding- ameunts- available from the tenant's security depesit},—Any -v teanoy- paymontmay only col er the period the unit remains vasautc o. Tho n� 4 -may only make.- 'aeaney- payments-te-the owner -tft 1, The owner gt'es the PHA prompt, written no - at the-family has - vacated -the -unit and the- date -whef -the fanlilyineved-ent-(te#he-best-of-tho- ewnor'-s -kna5 2, The-ownereerti€Ics- that -the vaeaney Is net -the- fault- e€thoewner and -that the unit wasvacant- duringthe- period- rot widob paymeut-lselaletedj 3. Thoewner -es likelihood -and length of vacancy; and :n to minitnlzo the Previous editions are obsolete Project -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page -4 - of Part 1 4, Theewnar provides any-additienal information required and requested by the O1 4o-ve 4f ihat-theewner b entitled to the-vaeaney- payment; d, Th vaoaney. e, The ow n^ n y b .n (lies -t ng list fer- eeeipanoy of vacant unite/ The owner must submitn- request- feewaeaney- payments in th by ibo Po . HA and must provide - any- iafermatle determine the- ameunte€ any vacancy-payments/ sortable action to minimizethe likelihood and - length of •�amilios- 3, PHA is not responsible for family damage or debt to owner Except as provided In this paragraph f (Occupancy and Payment), the PHA will not make any other payment to the owner under the HAP contract, The PHA will not make any payment to owner for any damages to the unit, or for any other amounts owed by a family under the family's lease. g. Income- mixing requirement 1. Except as provided in paragraphs g.2 and 3, the PHA will not make housing assistance payments under the 11A2 contract for more than 25 percent of the total number of dwelling units (assisted or unassisted) in any project. The term "project" means a single building, multiple contiguous buildings, or multiple buildings on contiguous parcels of land assisted under this HAP contract. 2. The limitation in paragraph g.1 does not apply to single- fainiiybuildings. 3. In referYing eligible families to the owner for admission to the number of contract units hi any project exceeding the 25 percent Ihnitation under paragraph g.1, the PHA shall give preference to elderly or disabled families, or to families receiving supportive services, for the number of contract units designated for occupancy by such fatuities, The owner shall rent the designated number of contract units to such families referred by the PHA from the PHA waiting list, 4. The PHA and owner must comply with all HUD requirements regarding income nixing. Previous editions arc obsolete Project -bused Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Pnge- 5 - ofPart 1 5. The following specifies the number of contract units (Many): a Designated for occupancy by disabled families; b Designated for occupancy by elderly families; e. Designated for occupancy by elderly or disabled families; or d, Designated for occupancy by families receiving suppotlive services. ❑ Check this box if any contract units are designated for disabled families, The following number of contract units shall be rented to disabled families: ❑ Check this box if any contract units are designated for elderlyfamilies, The following number of contract units shall be rented to elderly families: ❑ Check this box if any contract units are designated for elderly or disabled families, The following number of contract units shalt be rented to elderly or disabled families: Ei Check this box if any contract units are designated for families receiving supportive services. The following number of contract units shall be rented to families receiving suppottive services: 17 Previous editions aro obsolete Project -based Voucher Program AAP Contract for New Construction or Rehabilitation HUD 52530A Page - 6 of Part 1 EXECUTION OF 1TAP CONTRA T FOR SINGLL?. -ST A Lr PC QJb CT Previous editions m•e obsolete Project -based Voucher Program HAP Contract for Now Construction or Reltahllltattoa HDD 52530A Pngo - 7 - ofPm•t 1 PUBLIC HOUSING AGENCY (PHA) Name of PHA (Print) . City ofDubuqueHousing & CommunityDevelopment Department By: Signature ofa thoriz e)esentative M/ Nance and offlal itttfi t e (Print) Alvin Nash - Director of Rousing & Community Development Depntnnont Date OWNER Name of Owner (Print) The Rose of Dubuque, L.P. By: EverGreen Real Estate Development Corporation, Gen. Partner Signal' of authorized re n'esentativo n Name an tit a (Print) Gregory A. McClonabnn - Prestdont of HverOreon Real Rstnto Development corporation, O,P, Date iO- 22-- Zol7.. Previous editions m•e obsolete Project -based Voucher Program HAP Contract for Now Construction or Reltahllltattoa HDD 52530A Pngo - 7 - ofPm•t 1 EXECUTION 01? HAP CONTRACT FOR CONTRACT UNITS COMPLETED AND ACCEPTED IN STAGES (Por multi -stage projects, at acceptance of each stage, the PHA and the owner sign the HAP contract execution for the completed stage.) TAGE NO, 1. The Contract Is hereby executed for the contract milts In this stage. TAGE EFFECTIVEDATE. The effective date of the Contraot for this stage is: ' UBLIC HOUSING AGENCY (PHA) ame of PHA (Print) t\ igoature of authorized representative ame and official title (Print) ate •INNER ame of Owner (Print) ty ignatu'e of authorized representative t ante and title (Print) 1 ate Previous editions are obsolete ProJeet -bnsed Voucher Program HAP Contract for Now Construction or Rehabilitation HUD 52530A Page - 8 - ot Port 1 TAGB NO.2. The Contract is hereby executed for the contract units in this stage. TAGS EFFECTIVE DATE, The effective date oftho Contract for this stage is: •UBLIC ROUSING AGENCY (PHA) ame ofPTIA (Print) :\ ignature of authorized representative acne and official title (Print) Da e •WNEIt ante of Owner (Print) :y Signature of authorized representative 1 ame and title (Print) rate Previous editions aro obsolete project -bnse0 Voucher Program HAP Contract for New Construction or Rehabilitation 11U0 52530A Page -9- of Part 1 .TAGE NO. 3. The Contract is hereby executed for the contract units in this stage. TAGE EFFECTIVE DATB, The effeotive date of the Conhrtct for this stage is: r UBLAC HOUSING AGENCY (PHA) acne of PHA (Print) \ ignaturo of authorized representative ate and official title (Print) Date *AMER ante of Owner (Print) By ignature of authorized representative atnc and title (Print) Date Previous editions are obsolete Project -bused Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page -10 - ofPart 1 TAGENO, The Contraot Is hereby executed for the contract units in this stage. +TAGE EFFECTIVE DATE, The effective date of the Contraot for this stage Is: UBLTC HOUSING AGENCY (PHA) acne ofPHA (Print) :\ Signattll'a of authorized representative t ame and official title (Print) Tate •WNER ante of Owner (Print) :y Slgnahtre of authorized representative ame and title (Print) O \YH Previous editions are obsolete Proieet -based Voucher Program HAP Contract for Now Construction or Rehabilitation HUD 52530A Page - 11 - of Part 1 OMB Approval No. 2077 -0169 (exp. 4/30/2014) U.S. Department Of Housing and Urban Development Office of Public and Indian Housing SECTION 8 PROJECT -BASED VOUCHER PROGRAM PBV HOUSING ASSISTANCE PAYMENTS CONTRACT NEW CONSTRUCTION OR REHABILITATION PART 2 OF HAP CONTRACT This agency may not conduct or sponsor, and a person Is not required to respond to, a collection of information unless that collection displays a valid OMB control number. Assurances of confidentiality are not provided under this collection. 2. DEFINITIONS Agreement. Agreement to enter into HAP Contract between the owner and the PIMA. The IIAP contract was entered into following new construction or rehabilitation of the contract units by the owner pursuant to an Agreement. Contract units, The housing units covered by this HAP contract. The contract units are described in Exhibit A. Family. The persons approved by the PIIA to reside in a contract unit with assistance under the program. HAP contract. This housing assistance payments contract between the PHA and the owner. The contract consists of Part 1, Part 2, and the contract exhibits (listed in section 1,c of the HAP contract). Housing assistance payment. The monthly assistance payment by the PHA for a contract unit, which includes: (1) a payment to the owner for rent to the owner under the family's lease minus the tenant rent; and (2) an additional payment to or on behalf of the family if the utility allowance exceeds total tenant payment. Household. The family and any PHA- approved live -in aide. Housing quality standards (HQS). The HUD minimum quality standards for dwelling units occupied by families receiving project -based voucher program assistance. Previous editions are obsolete Project -based Voucher Program HAP Contract for New Construction or Rehabilitation IIUD 52530A Page - I - of Part 2 HUD. U.S. Department of Housing and Urban Development. HUD requirements. HUD requirements which apply to the project -based voucher program. HUD requirements are issued by HUD headquarters, as regulations, Federal Register notices or other binding program directives. Newly constructed housing. Housing units that do not exist on the proposal selection date and are developed after the date of selection pursuant to an Agreement between the PIIA and owner for use under the project -based voucher program. Owner. Any person or entity who has the legal right to lease or sublease a unit to a participant. Premises. The building or complex in which a contract unit is located, including eonmon areas or grounds. Principal or interested party. This term includes a management agent and other persons or entities participating in project management, and the officers and principal metnbers, shareholders, investors, and other patties having a substantial interest in the HAP contract, or in any proceeds or benefits arising from the HAP contract. Program. The project -based voucher program (see authorization for project -based assistance at 42 U.S.C. 1437f(o)(13)). PHA. Public Housing Agency. The agency that has entered into the HAP contract with the owner. The agency is a public housing agency as defined in the United States Housing Act of' 1937 (42 U.S.C. 1437a(b)(6)). Proposal selection date. The date the PIIA gives written notice of proposal selection to the owner whose proposal is selected in accordance with the criteria established in the PHA's administrative plan. Rehabilitated housing. Housing units that exist on the proposal selection date, but do not substantially comply with the HQS at that date, and are developed, pursuant to an Agreement between the PHA and owner, for use under the project -based voucher program. Rent to owner. The total monthly rent payable to the owner under the lease for a contract unit. Rent to owner includes payment for any housing services, maintenance and utilities to be provided by the owner in accordance with the lease. Previous editions are obsolete Project -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page - 2 of Part 2 Tenant. The person or persons (other than a live -in aide). who executes the lease as a lessee of the dwelling unit, Tenant rent. The portion of the rent to owner payable by the family, as determined by the PHA in accordance with HUD requirements. The PHA is not responsible for paying any part of the tenant rent. 3. PURPOSE This is a HAP contract between the PHA and the owner. b. The purpose of the HAP contract is to provide housing assistance payments for eligible families who lease contract units that comply with the 'IUD HQS from the owner. c. The PHA trust make housing assistance payments to the owner in accordance with the HAP contract for contract units leased and occupied by eligible fatuities during the HAP contract term. 'IUD provides Rinds to the PHA to make housing assistance payments to owners for eligible families. 4. RENT TO OWNER; HOUSING ASSISTANCE PAYMENTS a. Amount of initial rent to owner The initial rent to owner for each contract unit is stated in Exhibit A, which is attached to and made a part of the HAP contract, At the beginning of the HAP contract term, and until rent to owner is adjusted In accordance with section 5 of the HAP contract, the rent to owner for each bedroom size (number of bedrooms) shall be the initial rent to owner amount listed in Exhibit A. HUD rent requirements Notwithstanding any other provision of the HAP contract, the rent to owner may in no event exceed the amount authorized in accordance with I-IUD requirements. The PHA has the right to reduce the rent to owner, at any time, to correct any errors in establishing or adjusting the rent to owner in accordance with HUD requirements. The PHA may recover any overpayment from the owner. c. PHA payment to owner 1. Each month the PHA must make a housing assistance payment to the owner for a unit under lease to and occupied by an eligible family in Previous editions are obsolete Protect -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page - 3 - of Part 2 accordance with the HAP contract. 2. The monthly housing assistance payment to the owner for a contract unit is equal to the amount by which the rent to owner exceeds the tenant rent. 3. Payment of the tenant rent is the responsibility of the family. The PHA is not responsible for paying any part of the tenant rent, or for paying any other claitn by the owner against a family. The PHA is only responsible for making housing assistance payments to the owner on behalf of a family in accordance with the HAP contract. 4. The owner will be paid the housing assistance payment under the HAP contract on or about the first day of the month for which payment is due, unless the owner and the PHA agree on a later date. 5. To receive housing assistance payments in accordance with the HAP contract, the owner must comply with all the provisions of the HAP contract. Unless the owner complies with all the provisions of the HAP contract, the owner does not have a right to receive housing assistance payments. 6. If the PHA determines that the owner is not entitled to the payment or any part of it, the PI-IA, in addition to other remedies, may deduct the amount of the overpayment from any amounts due the owner, including amounts due under any other housing assistance payments contract. 7. The owner will notify the PHA promptly of any change of circumstances that would affect the amount of the monthly housing assistance payment, and will return any payment that does not conform to the changed circumstances. d. Termination of assistance for family The PHA may terminate housing assistance for a family under the HAP contract in accordance with HUD requirements. The PHA must notify the owner in writing of its decision to terminate housing assistance for the family in such case. 5. ADJUSTMENT 01? RENT TO OWNER a. PHA determination of adjusted rent 1. • At each annual anniversary during the term of the IIAP contract, the PHA Previous editions are obsolete Project -based Voucher Program HAP Contract for Now Construction or Rehabllitatlon HUH 52530A Page -4- of Part 2 shall adjust the amount of rent to owner, upon request to the PHA by the owner, in accordance with law and HUD requirements. In addition, the PHA shalt adjust the rent to owner when there is a five percent or greater decrease in the published, applicable Fair Market Rent in accordance with 24 CFR 983.302. 2, The adjustment of rent to owner shall always be determined in accordance with all HUD requirements. The amount of the rent to owner may be adjusted up or clown, in the amount defined by the PHA in accordance with HUD requirements. b. Reasonable rent The rent to owner for each contract unit, as adjusted by the PHA in accordance with 24 CFR 983.303, may at no time exceed the reasonable rent charged for comparable units in the private unassisted market. The reasonable rent shall be determined by the PHA in accordance with HUD requirements. c. No special adjustments The PHA will not make any special adjustments of the rent to owner. d, Owner compliance with HAP contract The PHA shall not approve, and the owner shall not receive, any increase of rent to owner unless all contract units are in accordance with the HQS, and the owner has complied with the terms of the assisted leases and the HAP contract. e, Notice of rent adjustment Rent to owner shall be adjusted by written notice by the PHA to the owner in accordance with this section. Such notice constitutes an amendment of the rents specified in Exhibit A. 6. OWNER RESPONSIBILITY The owner is responsible for: a. Performing all management and rental fimctions for the contract units. b. Maintaining the units in accordance with HQS. Previous editions are obsolete Project -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page- 5 - of Part 2 c. Complying with equal opportunity requirements. d. Enforcing tenant obligations under the lease. e. Paying for utilities and housing services (unless paid by the family under the lease). f. Collecting from the tenant: 1. Any security deposit; 2. The tenant rent; and 3. Any charge for unit damage by the family. 7. OWNER CERTIFICATION The owner certifies that at all times during the term of the HAP contract: a. All contract units are in good and tenantable condition. The owner is maintaining the premises and all contract units in accordance with the HQS. b. The owner is providing all the services, maintenance and utilities a9 agreed to under the HAP contract and the leases with assisted families. c. Each contract unit for which the owner is receiving housing assistance payments is leased to an eligible family referred by the PHA, and the lease is in accordance with the HAP contract and HUD requirements. d. To the best of the owner's knowledge, the members of the family reside in each contract unit for which the owner is receiving housing assistance payments, and the unit is the family's only residence. g. The owner (including a principal or other interested party) Is not the parent, child, grandparent, grandchild, sister, or brother of any member of a family residing in a contract unit. The amount of the housing assistance payment is the correct amount due under the HAP contract. The rent to owner for each contract unit does not exceed rents charged by the owner for other comparable unassisted units. Previous editions are obsolete Project -bused Voucher Program RAP Contract for New Construction or Rehabilitation HUD 52530A Page- 6 - ofPart 2 h. Except for the housing assistance payment and the tenant rent as provided under the HAP contract, the owner has not received and will not receive any payments or other consideration (from the family, the PHA, HUD, or any other public or private source) for rental of the contract unit. i. The family does not own, or have any interest in the contract unit. If the owner is a cooperative, the family may be a member of the cooperative. S. CONDITION OF UNITS a. Owner maintenance and operation The owner must maintain and operate the contract units and premises to provide decent, safe and sanitary housing in accordance with the HQS, including performance of ordinary and extraordinary maintenance. The owner must provide all the services, maintenance and utilities set forth in Exhibits B and C, and lathe lease with each assisted family. h. PHA inspections i . The PHA must inspect each contract unit before execution of the HAP contract. The PHA may not enter into a HAP contract covering a unit until the unit filly complies with the HQS. 2. Before providing assistance to a new family in a contract unit, the PHA must inspect the unit. The PHA may not provide assistance on behalf of the fancily until the unit fully complies with the HQS. 3, At least annually during the term of the HAP contract, the PHA must inspect a random sample, consisting of at least 20 percent of the contract units in each building, to determine if the contract units and the premises are maintained in accordance with the HQS. Turnover inspections pursuant to paragraph 2 of this section are not counted towards meeting this annual inspection requirement. 4, if more than 20 percent of the annual sample of inspected contract units in a building fail the initial inspection, the PHA must reinspect 100 percent of the contract units in the building.. 5, The PHA must inspect contract units whenever needed to determine that the contract units comply with the HQS and that the owner is providing Previous editions are obsolete Project - based voucher Program UAP Contract for New Construction or Rehabilitation HUD 52530A Page - 7 - of Part 2 maintenance, utilities, and other services in accordance with the HAP contract. The PHA must take into account complaints and any other information that comes to its attention in scheduling inspections. c. Violation of the housing quality standards I . If the PHA determines a contract unit is not in accordance with the HQS, the PHA may exercise any of its remedies under the T-TAP contract for all or any contract units. Such remedies include termination, suspension or reduction of housing assistance payments, and termination of the HAP contract. 2. The PHA may exercise any such contractual remedy respecting a contract suit even if the family continues to occupy the unit. 3. The PHA shall not make any housing assistance for a dwelling unit that fails to meet the HQS, unless the owner corrects the defect within the period specified by the PHA and the PHA verifies the correction. If a defect is life threatening, the owner must correct the defect within no more than 24 hoes. For other defects, the owner must correct the defect within no more than 30 calendar days (or any PHA- approved extension). d. Maintenance and replacement — owner's standard practice Maintenance and replacement (including redecoration) must be in accordance with the standard practice for the building concerned as established by the owner. 9. LEASING CONTRACT UNITS a. Selection of tenants 1. During the term of the HAP contract, the owner must lease all contract units to eligible families selected and referred by the PHA from the PHA waiting list, (See 24 CFR 983.251.) 2. The owner is responsible for adopting written tenant selection procedures that are consistent with the purpose of improving housing opportunities for very low- income families and reasonably related to program eligibility and an applicant's ability to perform the lease obligations. 3. Consistent with HUD requirements, the owner may apply its own admission procedures in determining whether to admit a family referred Previous editions are obsolete ProJeet -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 525304 Page - 8 - of Part 2 by the Pt-HA for occupancy of a contract uit, The owner may refer families to the PHA, and reeominend selection of such families from the PHA waiting list for occupancy of vacant units. 4. The owner must promptly notify in writing any rejected applicant of the grounds for rejection. 5. The PHA must determine family eligibility in accordance with HUD requirements, 6. The contract unit leased to each family must be appropriate for the size of the family under the PI-IA's subsidy standards. 7. If a contract unit was occupied by an eligible family at the time the unit was selected by the PHA, or is so occupied on the effective date of the HAP contract, the owner must offer the family the opportunity to lease the same or another appropriately -sized contract unit with assistance under the HAP contract. 8. The owner is responsible for screening and selecting tenants from the families referred by the PHA from its waiting list. b. Vacancies 1. The owner must promptly notify the PHA of any vacancy in a contract unit. After receiving the owner notice, the PHA shall snake every reasonable effort to refer a sufficient number of families for owner to fill the vacancy. 2. The owner must rent vacant contract units to eligible families on the PHA waiting list referred by the PHA. 3. The PHA and the owner nmst make reasonable good faith efforts to minimize the likelihood and length of any vacancy. 4, if any contract units have been vacant for a period of 120 or more days since owner notice of vacancy (and notwithstanding the reasonable good faith efforts of the PHA to fill such vacancies), the PHA may give notice to the owner amending the HAP contract to reduce the number of contract units by subtracting the number of contract units (by number of bedrooms) that have been vacant for such period. Previous editions are obsolete Protect -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 5253fA Page - 9 - of Part 2 10. TENANCY a. Lease The lease between the owner and each assisted family must be in accordance with HUD requirements. In all cases, the lease must include the HUD - required tenancy addendum, The tenancy addendum must include, word- for -word, all provisions required by HUD. b. Termination of tenancy 1. The owner may only terminate a tenancy in accordance with the lease and HUD requirements. 2. • The owner must give the PHA a copy of any owner eviction notice to the tenant at the same time that the owner gives notice to the tenant. Owner eviction notice means a notice to vacate, or a complaint or other initial pleading used to commence an eviction action under State or local law. c. Family payment 2. The portion of the monthly rent to owner payable by the family ( "tenant rent ") will be determined by the PHA in accordance with HUD requirements. The amount of the tenant rent is subject to change during the term of the HAP contract. Any changes in the amount of the tenant rent will be effective on the date stated in a notice by the PHA to the family and the owner. The amount of the tenant rent as determined by the PHA is the maximum amount the owner may charge the family for rent of a contract unit, including all housing services, maintenance and utilities to be provided by the owner in accordance with the HAP contract and the lease. 3. The owner may not demand or accept any rent payment from the tenant in excess of the tenant rent as determined by the PHA. The owner must immediately return any excess rent paytnent to the tenant. 4. The family is not responsible for payment of the portion of the contract rent covered by the housing assistance payment under the HAP contract. The owner may not terminate the tenancy of an assisted family for nonpayment of the PHA housing assistance payment. Previous editions are obsolete Project -based Voucher Program HAP Contract for New Construction or Rehabilitation ItUf 52530A Page -10 - of Part 2 5. The PHA is only responsible for making the housing assistance payments to the owner on behalf of the family in accordance with the HAP contract. The PtIA is not responsible for paying the tenant rent, or any other claim by the owner. (1. Other owner charges Except as provided in paragraph 2, the owner may not require the tenant or family members to pay charges for meals or supportive services. Nonpayment of such charges is not grounds for termination of tenancy. 2. 1n assisted living developments receiving project -based voucher assistance, owners may charge tenants, family members, or both for meals or supportive services, These charges may not be included in the rent to owner, nor may the value ofineals and supportive services be included in the calculation of reasonable rent. Non - payment of such charges is grounds for termination of the lease by the owner in an assisted living development. 3. The owner may not charge the tenant or family members extra amounts for items customarily included in rent in the locality or provided at no additional cost to the unsubsidized tenant in the premises. e. Security deposit 1. The owner may collect a security deposit from the family. 2. The owner trust comply with HUD and PHA requirements, which may change front time to time, regarding security deposits from a tenant. 3. The PHA may prohibit security deposits hi excess of private market practice, or in excess of amounts charged by the owner to unassisted families. 4. When the family moves out of the contract unit, the owner, subject to State and local law, may use the security deposit, including any interest on the deposit, in accordance with the lease, as reimbursement for any unpaid tenant rent, damages to the unit or other amounts which the family owes under the lease. The owner trust give the family a written list of all items charged against the'security deposit and the amount of each item. After deducting the amount used as reimbursement to the owner, the owner must Previous editions are obsolete Project -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page -11- of Part 2 promptly refimd the fidi amount of the balance to the family. 5. If the security deposit is not sufficient to cover amounts the family owes under the lease, the owner may seek to collect the balance from the family. However, the PHA has no liability or responsibility for payment of any amount owed by the family to the owner. FAMILY RIGHT TO MOVE a. The family may terminate its lease at any time after the first year of occupancy. The family must give the owner advance written notice of intent to vacate (with a Copy to the PHA) In accordance with the lease. If the family has elected to terminate the lease in this manner, the PHA must offer the family the opportunity for tenant -based rental assistance in accordance with HUD requirements. b. Before providing notice to terminate the lease under paragraph a, the family must first contact the PHA to request tenant -based rental assistance if the family wishes to move with continued assistance. If tenant -based rental assistance is not immediately available upon lease termination, the PHA shall give the family priority to receive the next available opportunity for tenant -based rental assistance. 12, OVERCROWDED, UNDER- OCCUPIED, AND ACCESSIBLE UNITS The PHA subsidy standards determine the appropriate unit size for the family size and composition. The PHA and owner trust comply with the requirements in 24 CFR 983.259. 13. PROAIBITION OF DISCRIMINATION a, The owner may not refuse to lease contract units to, or otherwise discriminate against any person or family in leasing of a contract unit, because of race, color, religion, sex, national origin, disability, age or familial status. b, The owner must comply with the following requirements: The Fair Housing Act (42 U,S.C. 3601 -19) and implementing regulations at 24 CFR part 100 el seq. ; Executive Order 11063, as amended by Executive Order 12259 (3 CFR, 1959- 1963 Comp., p. 652 and 3 CFR, 1980 Comp., p. 307) (Equal Opportunity in Mousing Programs) and implementing regulations at 24 CFR part 107; title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d- 2000d -4) (Nondiscrimination in Federally Assisted Programs) and implementing regulations at 24 CFR part I; the Previous editions are obsolete Prof ect -Lased Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page -12 - of Part 2 Age Discrimination Act of 1975 (42 U.S.C. 6101 -6107) and implementing regulations at 24 CFR part 146; section 504 of the Rehabilitation Act of I973 (29 U.S.C. 794) and implementing regulations at part 8 of this title; title 11 of the Americans with Disabilities Act, 42 U.S.C. 12101 et seq. ; 24 CFR part 8; section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and implementing regulations at 24 CFR part 135; Executive Order 11246; as amended by Executive Orders 11375, 11478, 12086, and 12107 (3 CFR, 1964— 1965 Comp., p. 339; 3 CFR, 1966 -1970 Comp., p. 684; 3 CFR, 1966 -1970 Cotnp., p. 803; 3 CFR, 1978 Cotnp., p. 230; and 3 CFR, 1978 Comp., p. 264, respectively) (Equal Employment Opportunity Programs) and implementing regulations at 41 CFR chapter 60; Executive Order 11625, as amended by Executive Order 12007 (3 CFR, 1971-1975 Comp., p. 616 and 3 CFR, 1977 Cotnp., p. 139) (Minority Business Enterprises); Executive Order 12432 (3 CFR, 1983 Comp., p. 198) (Minority Business Enterprise Development); and Executive Order 12138, as amended by Executive Order 12608 (3 CFR, 1977 Comp., p. 393 and 3 CFR, 1987 Comp., p. 245) (Women's Business Enterprise). c. The PHA and the owner must cooperate with HUD in the conducting of compliance reviews and complaint investigations pursuant to all applicable civil rights statutes, Executive Orders, and all related rules and regulations. 14, PHA DEFAULT AND HUD REMEDIES If HUD determines that the PHA has failed to comply with the HAP contract, or has failed to take appropriate action to HUD's satisfaction or as directed by HUD, for enforcement of the PHA's rights under the HAP contract, HUD may assume the PHA's rights and obligations under the I -IAP contract, and may perform the obligations and enforce the rights of the P1-IA under the HAP contract. 15. OWNER DEFAULT AND PHA REMEDIES a, Owner default Any of the following is a default by the owner under the'HAP contract: 1. The owner has failed to comply with any obligation under the HAP contract, including the owner's obligations to maintain all contract units in accordance with the housing quality standards. 2. The owner has violated any obligation under any other housing assistance payments contract under Section 8 of the United States Housing Act of 1937 (42 U.S.C. 14370. Previous editions are obsolete Protect -bused Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page - 13 - of Part 2 3. The owner has committed any fraud or made any false statement to the PHA or HUD in connection with the HAP contract. 4. The owner has committed fraud, bribery or any other corrupt or criminal act in connection with any Federal housing assistance program, 5. If the property where the contract units are located is subject to .a lien or security interest securing a HUD loan or a mortgage insured by HUD and: A. The owner has failed to comply with the regulations for the applicable mortgage insurance or loan program, with the mortgage or mortgage note, or with the regulatory agreement; or. B. The owner has committed fraud, bribery or any other corrupt or criminal act in correction with the I -IUD loan or HUD - insured mortgage. 6. The owner has engaged in any drug - related criminal activity or any violent criminal activity. b, PHA remedies 1. If the PHA determines that a breach has occurred, the PHA may exercise any of its rights or remedies under the HAP contract. 2. The PHA must notify the owner in writing of such determination. The notice by the PHA to the owner may require the owner to take corrective action (as verified by the PHA) by a time prescribed in the notice. 3. The PHA's rights and remedies under the HAP contract include recovery of oveq>ayments, termination or reduction of housing assistance payments, and termination of the HAP contract. c. PHA remedy is not waived The PHA's exercise or non - exercise of any remedy for owner breach of the HAP contract is not a waiver of the right to exercise that remedy or any other right or remedy at any time. Previous editions are obsolete Pro Jett -based Voucher Program IIAP Contract for New Construction or Rehabilitation HUD 52530A Page - 14 - ofPart2 16. OWNER DUTY TO PROVIDE INFORMATION AND ACCESS REQUIRED BY HUD OR PHA a, Required information The owner must prepare and fitrnish any information pertinent to the HAP contract as may reasonably be required from time to time by the PHA or HUD. The owner shall furnish such information in the form and manner required by the PHA or IUD. b. PHA and HUD access to premises The owner must permit the PHA or HUD or any of their authorized representatives to have access to the premises during normal business hours and, for the purpose of audit and examination, to have access to any books, documents, papers and records of the owner to the extent necessary to determine compliance with the HAP contract, including the verification of Information pertinent to the housing assistance payments or the ITAP contract. 17. PHA AND OWNER RELATION TO THIRD PARTIES a. Injury because of owner action or failure to net The PHA has no responsibility for or liability to any person injured as a result of the owner's action or failure to act in connection with the implementation of the HAP contract, or as a result of any other action or failure to act by the owner. b. Legal relationship The owner is not the agent of the PHA. The HAP contract does not create or affect any relationship between the PHA and any lender to the owner or any suppliers, employees, contractors or subcontractors used by the owner in connection with the implementation of the HAP contract. c. Exclusion of third party claims Nothing in the HAP contract shall be construed as creating any right of a family or other third party (other than HUD) to enforce any provision of the HAP contract, or to assert any claim against HUD, the PHA or the owner under the HAP contract. Previous editions are obsolete Project -based Voucher Program HAP Contract for New Construction or Rehabilitation HUI) 52530A Page - 15 - of Part 2 d. Exclusion of owner claims against HUD Nothing in the HAP contract shall be construed as creating any right of the owner to assert any claim against HUD. 18. PHA -OWNED UNITS Notwithstanding Section 17 of this HAP contract, a PHA may own units assisted under the project -based voucher program, subject to the special requirements in 24 CFR 983.59 regarding P1 -IA -owned units. 19. CON)!LICT OF INTEREST a. Interest of members, officers, or employees of PHA, members of local governing body, or other public officials No present or former member or officer of the PHA (except tenant - commissioners), no employee of the PHA who formulates policy or influences decisions with respect to the housing choice voucher program or project -based voucher' program, and no public official or member of a governing body or State or local legislator who exercises functions or responsibilities with respect to these programs, shall have any direct or indirect interest, during his or her tenure or for one year thereafter, or in the HAP contract. 2. HUD may waive this provision for good cause. b, Disclosure The owner has disclosed to the PHA any interest that would be a violation of the HAP contract. The owner must filly and promptly update such disclosures, c. Interest of member of or delegate to Congress No member of or delegate to the Congress of the United States of America or resident - commissioner shall be admitted to any share or part of this HAP contract or to any benefits arising from the contract. Previous editions are obsolete Project -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page -16 - of fart 2 20. EXCLUSION FROM FEDERAL PROGRAMS a. Federal requirements The owner must comply with and is subject to requirements of 2 CFR part 2424. b. Disclosure The owner certifies that: 1. The owner has disclosed to the PHA the identity of the owner and any principal or interested party. 2. Neither the owner nor any principal or interested party is listed on the U,S. General Services Administration list of parties excluded from Federal procurement and nonprocurement programs; and none of such parties are debarred, suspended, subject to a limited denial of participation or otherwise excluded under 2 CFR part 2424. 21. TRANSFER OF THE CONTRACT OR PROPERTY a, When consent is required 1. The owner agrees that neither the HAP contract nor the property may be transferred without the advance written consent of the PHA in accordance with HUD requirements. 2, "Transfer" includes: A. Any sale or assignment or other transfer of ownership, in any form, of the HAP contract or the property; B. The transfer of any right to receive housing assistance payments that may be payable pursuant to the HAP contract; C. The creation of a security interest in the HAP contract or the property: D. Foreclosure or other execution on a security interest; or E. A creditor's lien, or transfer in bankruptcy. Previous editions are obsolete Project based Voucher Program . FLAP Contract for Now Construction or Rehabilitation HUD 52530A Page -17 - of Part 2 3. If the owner is a corporation, partnership, trust or joint venture, the owner is not required to obtain advance consent of the PHA pursuant to paragraph a for transfer of a passive and non - controlling interest in the ownership entity (such as a stock transfer or transfer of the interest of a limited partner), if any interests so transferred cumulatively represent Tess than half the beneficial interest in the HAP contract or the property. The owner must obtain advance consent pursuant to paragraph a for transfer of any interest of a general partner. h Transferee assumption of HAP contract No transferee (including the holder of a security interest, the security holder's transferee or successor in interest, or the transferee upon exercise of a security interest) shall have any right to receive any payment of housing assistance payments pursuant to the HAP contract, or to exercise any rights or retnedies under the HAP contract, unless the PHA has consented in advance, in writing to such transfer, and the transferee has agreed in writing, in a form acceptable to the PHA in accordance with HUD requirements, to assume the obligations of the owner under the HAP contract, and to comply with all the terms of the HAP contract. c. Effect of consent to transfer 1. The creation or transfer of any security interest in the HAP contract is limited to amounts payable under the HAP contract in accordance with the terms of the HAP contract. 2. The PHA's consent to transfer of the HAP contract or the property does not to change the terms of the 1 -TAP contract in any way, and does not change the rights or obligations of the PHA or the owner under the HAP contract, 3. The PHA's consent to transfer of the HAP contract or the property to any transferee does not constitute consent to any further transfers of the HAP contract or the property, including further transfers to any successors or assigns of an approved transferee. d. When transfer is prohibited The PHA will not consent to the transfer if any transferee, or any principal or interested party is debarred, suspended subject to a limited denial of participation, or otherwise excluded under 2 CFR part 2424, or is listed on the Previous editions are obsolete Project -bused Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page - 18 - of Part 2 U.S, General Services Administration list of parties excluded from Federal procurement or nonprocurement programs. 22. SUBSIDY LAYERING a. Ow ner disclosure The owner Must disclose to the PHA, in accordance with HUD requirements, information regarding any related assistance from the Federal Govermnent, a State; or a unit of general Local government, or any agency or instrumentality thereof, that is made available or is expected to be made available with respect to the contract units. Such related assistance includes, but is not limited to, any loan, grant, guarantee, insurance, payment, rebate, subsidy, credit, tax benefit, or any other form of direct or indirect assistance. b. Limit of payments Housing assistance payments under the HAP contract must not be more than is necessary, as determined in accordance with IUD requirements, to provide affordable housing after taking account of such related assistance. The PHA will adjust in accordance with HUD requirements the amount of the housing assistance payments to the owner to compensate in whole or in part for such related assistance. 23. OWNER LOBBYING CERTIFICATIONS a. The owner certifies, to the best of owner's knowledge and belief, that: No Federally appropriated funds have been paid or will be paid, by or on behalf of the owner, 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 the HAP contract, or the extension, continuation, renewal, amendment, or modification of the FJAP . contract. 2. If any funds other than Federally 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 the HAP contract, the owner must complete and submit Standard Form -LLL, "Disclosure Form to Report LobbyIng," in Previous editions are obsolete Protect -based Voucher Program HAP Contract for New Constriction or Rehabilitation HUD 52530A Page - 19 - of Part 2 accordance with its instructions, b. This certification by the owner is a prerequisite for making or entering into this transaction imposed by 31 U.S.C, 1352. 24. COMPLETION AND ACCEPTANCE 01? CONTRACT UNITS The owner certifies that the contract units have been completed in accordance with the Agreement. Completion and acceptance of the units is subject to the provisions of the Agreement, 25. TERMINATION OF HAP CONTRACT FOR WRONGFUL SELECTION OF CONTRACT UNITS The HAP contract may be terminated upon at least 30 days notice to the owner by the PHA or HUD if the PHA or HUD determines that the contract units were not eligible for selection in conformity with HUD requirements, 26. NOTICES AND OWNER CERTIFICATIONS a. Where the owner is required to give any notice to the PHA pursuant to the HAP contract or any other provision of law, such notice must be in writing and must be given in the form and manner required by the PHA. b, Any certification or warranty by the owner pursuant to the HAP contract shall be deemed a material representation of fact upon which reliance was placed when this transaction was made or entered into. 27, ENTIRE AGREEMENT; INTERPRETATION a. The Agreement and the HAP contract, including the exhibits, is the entire agreement between the PHA and the owner, b. The Agreement and the HAP contract must be interpreted and implemented in accordance With all statutory requirements, and with all HUD requireniehts, including amendments or changes in HUD requirements during the term of the HAP contract. The owner agrees to comply with all such laws and HUD requirements. Previous editions are obsolete Protect -based Voucher Program HAP Contract for New Construction or Rehabilitation HUD 52530A Page - 20 - of Part 2 PBV HOUSING ASSISTANCE PAYMENTS CONTRACT PART 1 EXHIBIT A Description of Housing Includes: 1. Project Site: Rose of Dubuque Senior Affordable Assisted Living Center a. Site address will be: 3390 Lake Ridge Drive, Dubuque, IA 52003 b. Legal Description: I, Currently — Part of Lot 2 -2, Cedar Lake Plaza Thrid Addition li. Wilt Become — Lot 1, Cedar Lake Plaza Fouth Addition 2, Total Number of Units in Facility — Rose of Dubuque Senior Affordable Assisted Living Center will have a total of 70 Units. The unit breakdown and unit size is as follows: a. 64 Units are 1- Bedroom — Each 728 Avg. SF in Size b. 6 Units are 2- Bedrooms — Each 849 Avg. SF in Size 3. Total Number of Contract Units Covered By HAP Contract Agreement -17 Units, 4. Location of Contract Units on Site — Ali 17 Units will be fixed within the 70 unit Rose of Dubuque Senior Affordable Assisted Living Center. 5. Estimated Initial Rent — Based on the Current Prevailing Fair Market Rents: a. 1- Bedroom - $449 per month b. 2- Bedrooms - $549 per month 6. Services, Maintenance and Equipment Supplied to each Unit See Attached Standard form of Lease. 7. Utilities Available — All utilities included in rent, except for Phone and Cable Services —See Attached Standard form of Lease. 8. HAP Contract Term —10 Years from Commencement of HAP Contract. PBV HOUSING ASSISTANCE PAYMENTS CONTRACT PART 1 EXHIBIT B Services — Maintenance and Equipment Provided by Owner Without Charges in Addition to Rent to Owner Includes: 1.. See Standard form of Lease Agreement — attached; 2. See Service Plan Agreement attached 3. See Innhouse Service Plan Agreement — attached Number of Bedrooms:_ Annual Recertification Date: LEASE FOR THE ROSE OF DUBUQUE Equal Opportunity Housing 1. PARTIES AND DWELLING UNIT: The parties to this Lease are THE ROSE OF DUBUQUE, L.P. referred to as "Landlord," and , referred to as ' "Tenant." The Landlord leases to the Tenant Apartment Dwelling located at 3390 Lake Ridge Drive, Dubuque, Iowa 52003 (hereafter "unit "). EverGreen Real Estate Development Corporation is the management agent authorized to act on behalf of Landlord, including receipt of rental payments and receipt of service of process and notices and demands. The address of EverGreen Real Estate Development Corp. for receipt of service of process and notices and demands is 16670 Franklin Trail, Ste 240, Prior Lake, MN 55372 The premises leased are for the exclusive use and occupancy of the Tenant's household, consisting of the following - named persons who will live in the dwelling unit: The Tenant has designated as his or her legal representative, which person shall be a signatory to this Lease and be entitled to notice of any change in the terms ofthe Lease, including that of involuntary transfer, and the right of access to Tenant's apartment dwelling. 2. LEASE TERM AND RENT PAYMENT: This Lease shall begin on The initial tern shall be , beginning on and ending on , unless terminated as provided by this lease. After the initial term ends, the Lease may be renewed for successive one month terms, except that at each point of renewal, Landlord may change the lease terms, including rent, as provided in paragraph 20. Landlord may review and update the Lease as necessary to reflect any changes in Tenant's financial arrangements and service plan as set forth in the Service Plan Agreement. 3. RENT: A Tenant shall pay monthly rent of $ . This amount is due on the first day of each month at the offices of The Rose of Dubuque, 3390 Lake Ridge Drive, Dubuque, Iowa 52003. Rent payments shall be applied to past rent due before being credited to a current month's rent. If, at the commencement of this lease, the Tenant is leasing the unit after the first of the month, the rent for the first partial month is $ , prorated from to . While it is the Tenant's responsibility to pay rent, the obligation to pay rent may be satisfied through third party payments arranged in advance with Landlord. 4. ADDITIONAL RENT FOR LATE PAYMENTS, RETURNED CHECKS OR OTHER PROPERTY CHARGES: If the Tenant does not pay the full amount ofthe rent shown in paragraph 3 by 5:00 p.ni. on the fifth day of the month, the Landlord may collect a fee of $10.00 on the fifth day of the month. Thereafter, the Landlord may collect $5.00 for each additional day the rent remains unpaid during the month up to a maximum of $40.00. The Landlord may collect a fee of $25.00 any time a check in not honored for payment (bounces). Additional rent shall include charges accruing under this Lease, which include repair charges, lost key charges, and other reasonable charges and fees. The charges referenced in this paragraph are additional rent payable with the current month's rent. 5. OPTIONAL SERVICES AND FEES: If Tenant is in need of services, the Tenant may elect to receive services from either Landlord or its Management Agent, Landlord's non- exclusive, on-site Service Provider, or another authorized Service Provider designated by Tenant; said services are more specifically set forth in the Service Plan Agreement, which is included in Tenant's Occupancy Agreement. The costs for such optional services shall be in addition to the Rent for the Apartment Dwelling and such costs are more specifically set forth in the Service Plan Agreement. The choice of a Service Provider is Tenant's right; any Service Provider chosen by Tenant must execute an Assisted Service Program Agreement with Landlord and a Service Plan Agreement with Tenant and Landlord. Tenant must choose a Service Provider as a condition of residency, and a failure to have a contracted Service Provider and maintain a Service Plan Agreement is deemed a material breach of this lease and grounds for termination of this lease, If a Tenant elects to subscribe to a food plan offered by Management Agent or to rent a personal emergency response system pendant from Management Agent, the fees or charges for those elections shall be in addition to the Rent for the Apartment Dwelling and such charges shall be payable with the current month's rent. 6. DEPOSITS: a. SECURITY DEPOSIT: The Tenant has deposited $ 500 with i the Landlord as a security deposit. b. PET DEPOSIT: Yes No If Tenant has initialed the "Yes" blank, the Tenant has also deposited $ as a Pet Security Deposit with the Landlord as a condition of his or her having a handicap- assistance dog or other authorized and documented, medically - necessary pet in the unit. $ of the deposit shall be retained as liquidated damages associated with the presence of a pet on the premises. No other pets are allowed, anywhere on the premises without the express written consent of Landlord. c. The Landlord will hold the Deposit(s) for the period the Tenant occupies the unit, The Landlord shall not use the Deposit(s) for rent or other charges while the Tenant is living in the unit. After the 'Tenant has moved out of the unit and given Tenant's new address or delivery instructions to the Landlord, the Landlord shall return the Deposit(s), in accordance with Iowa Code Chapter 562A.12, minus whatever amount is needed to pay the cost of: ( 1) Unpaid rent; ( ii) Repair of damages that exceed normal wear and tear as listed on the Move -Out Unit Inspection Report; (iii) Additional rent charges as described in paragraph 4, if any remain unpaid; (iv) Charges for unreturned keys, as described in paragraph 11; 2 ( v) Charges for elective services provided to Tenant by Landlord or Management Agent; and (vi) Other charges due under the lease. After the Tenant has moved from the unit, the Landlord will inspect the unit and complete the Move -Out Apartment Inspection Report, which is attached to this Lease as Attaclunent No. 1. The Landlord shall provide the Tenant with a written list of any charges made against the Deposit(s), including any charges associated with the Move -Out Apartment Inspection Report. If the Tenant disagrees with the amount subtracted from the Deposit(s), the Landlord agrees to meet with the Tenant to discuss the changes. If more than one person rents the unit, the Tenants agree they will assume all responsibility for dividing any refimd among themselves. The Landlord may pay the refund to any Tenant identified in paragraph 1 of this Agreement, without fiu'ther liability to the Tenants. If no mailing address or instructions are provided to the Landlord within one year from termination of the tenancy, the deposit shall revert to the Landlord and the Tenant will be deemed to have forfeited all rights to the deposit. 7, ANNUAL CERTIFICATION OF FAMILY COMPOSITION AND HOUSEI-IOLD INCOME: The Rose of Dubuque is participating in the Low Income Housing Tax Credit Program, which mandates that Tenant households satisfy certain income eligibility requirements as a condition for initial occupancy. The Tenant acknowledges that his or her family income, family composition, or other eligibility requirements may be considered material in determining the Tenant's right to initial occupancy. Upon each annual anniversary of the Tenant's lease commencement, or upon other reasonable request by Landlord, within thirty days of Landlord's request, the Tenant shall provide accurate statements regarding income, assets, expenses and family compositions. The Landlord shall verify the income supplied by the Tenant. In the event that federal laws or regulations or state statues or rules require the Landlord to obtain additional information throughout the year regarding the Tenant's family income, family composition or other eligibility requirements, the Tenant agrees to provide such required information within seven days of the request from the Landlord. In addition, Tenant affirmatively agrees to notify Landlord if Tenant or a member of Tenant's household becomes a full -time student or Tenant experiences any other material change in Tenant's household. A Tenant's failure to provide any information referenced in this paragraph shall be grounds for termination of this lease. 8. CONFIDENTIALITY. The contents of Tenant's files shall be confidential and Landlord and Service Provider's staff shall maintain that confidentiality as permitted or required by applicable law or regulation. Tenant authorizes Landlord and Service Provider each to have open access to the other's respective files. Release of information to third parties must be requested in writing by third parties and authorized in writing by Tenant. 9. CONDITIONS OF OCCUPANCY, ADMISSION AND TRANSFER: The Tenant must live in the unit and the unit must be the only place of residence. The Tenant shall use the premises solely as a private dwelling for himself or herself and the persons named in 3 paragraph 1 of this Lease, and shall not permit its use for any other purpose. Tenant may not use the unit as a site for conducting any business that would require customers or vendors to come to the unit. As long as Tenant abides by the terms of this Lease, Tenant shall have the right to exclusive use and quiet enjoyment of the unit. Prior to occupancy, the Landlord's non - exclusive, on -site Service Provider shall evaluate each proposed Tenant's functional, cognitive and health status in order to determine the Tenant's eligibility for residency at the Development, including whether services required by Tenant's unique physical, mental and emotional condition can be provided by a Service Provider of Tenant's choice. The functional, cognitive and medical admission criteria are itemized in the Admission/Transfer Policy, which is included in Tenant's Occupancy Agreement. It is Tenant's responsibility to select a Service Provider of their choice to administer any services that Tenant requires and monitor their continued needs. A failure of a Tenant to choose, contract with and maintain a contract with a Service Provider of their choice is a material breach of this lease, and will be grounds for termination of the Tenant's lease. The Service Provider selected by Tenant shall monitor Tenant's condition during Tenant's occupancy. It is Tenant's responsibility to notify their Service Provider and Landlord of any hospitalizations or other extended absences from the Rose community and immediately inform their Service Provider and Landlord upon their return. Any change in Tenant's condition that results in a violation of the Admission/Transfer Policy constitutes grounds for termination of this Lease and will result in the transfer of Tenant to another housing arrangement that can accommodate Tenant's needs. In the event Tenant disagrees with Landlord's request for transfer for conditions stated in the Admission/Transfer Policy, Tenant and Tenant's legal representative may contest the transfer as provided in the Admission/Transfer Policy — Appeal Procedure. Landlord and Service Provider shall not discriminate or retaliate in any way against a Tenant, a Tenant's family, or an employee of Landlord or Service Provider who has initiated and participated in any proceeding authorized by Iowa Code, Chapter 23IC. Any such discrimination or retaliation will subject the violator to a penalty as established by administrative rule and enforced by the Department of Inspections and Appeals. This Lease is subject to the Iowa Uniform Residential Landlord and Tenant Law, Iowa Code Chapter 562A and the provisions of Iowa Code Chapter 648, Forcible Entry and Detention to Real Property, and the rights and remedies provided Landlords and Tenants thereunder, 10. GENERAL RESTRICTIONS: The Tenant shall not: a. Permit any person other than those listed above and minor children which are born into this household during this tenancy, to reside in the unit without obtaining the prior written approval of the Landlord. Tenant may have house guests for reasonable stays. A reasonable stay shall not exceed two consecutive days (without management permission) nor an aggregate of fourteen (14) days total in any one year period. House guests staying beyond fourteen (14) days in a one year period shall be reported to Landlord as additional household members and all Tenant eligibility rules and regulations will be applicable to the addition of a new household member; b. Sublet or assign the unit, or any part of the unit; c. Use the unit for any unlawful purposes. The Tenant hereby specifically covenants and agrees that she/he will not use the unit, the common areas, or the development grounds, or permit anyone acting under his/her direction or control or present at his /her invitation to use the unit, common areas, or development grounds to (1) manufacture, sell, give away, barter, deliver, exchange, distribute, use or possess with intent to manufacture, sell, give away, barter, deliver, exchange, distribute, or use a controlled substance in violation of the Iowa Code. (ii) allow prostitution or prostitution - related activity; (iii) allow the unlawful use or possession of a firearm in violation of The Iowa Code ; (iv) allow possession of stolen property or property obtained by robbery. The Tenant hereby acknowledges that a breach of the covenant contained in this paragraph 10e voids his/her right to possession of the unit and is good cause for termination of this lease; d.. Have pets or animals of any kind anywhere on the premises or in their apartment, excepting only handicap - assistance dogs or other authorized and documented, medically- necessary pets; e. Act or allow household members or guests to act in a manner that will disturb the rights and comfort of neighbors. The Tenant agrees to keep the volume of any radio, stereo, television, or musical instruments at a level that will not disturb the neighbors; £ Permit any member of the household, a guest, or another person under the Tenant's control to engage in any criminal activity that threatens the health, safety or right to peaceful enjoyment of the premises by other residents or employees; g. Use or permit the use of Christmas decorations that are not flame retardant; h, Use candles, incense, or any other open flame or incendiary articles or accents within the unit or on the premises; i. Engage in SMOKING except in designated exterior areas; and j. Engage in conduct prohibited elsewhere in this lease, It is specifically agreed that violation of the above restrictions constitute material noncompliance with this lease and entitle Landlord to terminate this lease as provided in Section 21. 11. KEYS AND LOCKS; The tenant agrees not to install additional or different locks or gates on any doors or windows of the unit without written permission of the Landlord. If the Landlord approves the Tenant's request to install .such locks, the Tenant agrees to provide the Landlord with a key for each lock. At the termination of this Lease, the Tenant agrees to return all keys to the Landlord. The Landlord may charge the Tenant $50.00 for each key not returned and deduct such amount from security deposit as provided in paragraph 6. If Tenant fails to return any keys and Landlord, at its sole discretion, deems it necessary for a subsequent Tenant's security to re -key the locks, the charge for such action shall be deducted from the security deposit as provided in paragraph 6. 12. RULES AND REGULATIONS: Tenant agrees to obey the Rules and Regulations of The Rose of Dubuque, Which is included in Tenant's Occupancy Agreement. Tenant agrees that the Rules and Regulations apply to all members of the household and guests and 5 agrees that Management may exclude Tenant's guests from the premises and Tenant's unit for violations of said rules and policy. Allowing excluded persons onto the premises shall be considered a lease violation. The Tenant agrees to obey additional rules established after the effective date of this lease Agreement if: a. The rules are reasonably related to the safety, care and cleanliness of' the building and safety, comfort and convenience of the Tenants; and b. A Tenant receives written notice of the proposed rule at least 30 days before the rule is enforced. 13. CONDITION OF UNIT: By signing this Lease and the Move -in Apartment Inspection Report, the Tenant acknowledges that the unit is safe, clean and in good condition, and that all appliances and equipment in the unit are in good working order as described on the Move -in Apartment Inspection Report, which is attached to this Lease as Attachment No. 1. The Tenant agrees that the Landlord has made no promises to decorate, alter, repair or improve the unit except as listed on the Move -in Apartment Inspection Report. At the time of move -out, the Landlord shall complete another inspection of the unit and complete a Move -out Apartment Inspection Report, which is attached to this Lease as Attachment No. 1. 14. UTILITIES: The following chart describes how the cost of utilities and services for the unit shall be paid. The Landlord shall not be responsible for failure to furnish utilities for reasons that are beyond the Landlord's control. Landlord provides stove and refrigerator. Type of Utility Landlord Paid Tenant Paid Gas (Room heat and water heat) X Household Electricity X Water and sewer X Trash removal X Phone Cable 15, MAINTENANCE: TENANT AGREES TO: X X a. Keep the unit and other areas assigned for the Tenant's exclusive use in a clean and safe condition; • b. Use all appliances, fixtures and equipment in a safe manner and only for the purposes for which they are intended; e. Not litter the grounds or conuuon areas of the development; d. Not undertake, or permit his or her family or guest to undertake any hazardous acts or do anything that will damage the property; e, Not destroy, deface, damage or remove any part of the unit, common areas, or development grounds; £ If requested to do so, separate recyclable materials from other trash and place trash and recyclables in appropriate containers for refuse pick -up; g, Remove garbage and other waste from the unit in a clean and safe manner. All trash should be placed in sealed plastic garbage bags and placed in trash receptacles provided by Landlord; h. Give the Landlord prompt notice of any defects in the plumbing, fixtures, appliances, heating and cooling equipment or any other part of the unit or related facilities; i. Not store items outside his or her unit or in the hallway; j. If Tenant has a permitted handicap- assistance dog, Tenant agrees to clean up animal waste from the apartment and common areas and properly dispose of same; k. Pay reasonable charges (other than for wear and tear) for the repair of damages to the unit, development buildings, facilities or other common areas caused by the Tenant, his /her household, or guests, and to do so within 30 days after receipt of Landlord's itemized statement for the repair charges. Reasonable wear and tear does not include pest eradication attributable to Tenant. A Damage and Service Charge Schedule may be obtained fiom Landlord's office. • LANDLORD AGREES TO: a, Maintain the common areas, facilities, grounds and the development in a decent, safe and sanitary condition; b. Comply with requirements of applicable health and safety laws, building codes and housing codes; c. Make necessary repairs to the premises and maintain exterior common area lighting in 'good working order; d. Maintain in good and safe working order and condition electric, plumbing, sanitary, heating, ventilating, and other facilities and appliances supplied or required to be supplied by the Landlord; • e, Provide appropriate garbage receptacles and recycling bins (if recycling is accepted by the refuse vendor) for the deposit of garbage, rubbish and other wastes removed from the unit by the Tenant and arrange for collection and removal of trash and garbage; Provide exterminator services, excepting pest eradication charges attributable to Tenant, as necessary; g. Supply sewer and water services, hydronic heat and electrical service; h. Provide snow removal from the parking lot and sidewalks. 16. DAMAGES: When damage is caused to the Tenant's unit, exterior building or common area and facilities by carelessness, misuse or neglect on the part of the Tenant or Tenant's family or visitors, the Tenant agrees to pay: a. The cost of all repairs within 30 days after receipt of the Landlord's demand for repair charges; and b. Rent for the period the unit is damaged whether or not the unit is habitable. 17. RESTRICTIONS ON ALTERATIONS: The Tenant shall not do any of the following without first obtaining the Landlord's written permission: 7 a. Dismantle, change or remove any part of the appliances, fixtures or equipment in the unit; b. Paint or install wallpaper or contact paper in the unit; e. Install curtains or draperies in the unit; d. Attach awnings or window guards in the unit; e. Attach or place any fixtures, signs or fences on the building(s), the common areas or. the Development grounds; f. Attach any shelves, screen doors or other permanent improvements in the unit; g. Install or alter carpeting, resurface floors or alter woodwork; h. Install washing machines, driers, fans, heaters or air conditioners in the unit; 1. Place any aerials, antennas or other electrical connections on the unit; satellite dishes may not be installed unless approved in accordance with the Management Satellite Dish Policy. j. Install additional or different locks or gates on any door or windows of the unit; or k. Other: 18. ACCESS BY LANDLORD: Landlord shall provide 24 hour or other reasonable advance notice to the Tenant of its intent to enter the unit for the purposes of performing inspections, for making improvements or repairs, for supplying necessary or agreed services, or to show the unit for re- renting. The Tenant shall permit the Landlord, its agents, or other persons, when accompanied by the Landlord, to enter the unit for these purposes. In the event the Tenant and the adult members of the household are absent from the unit at the time of entry, the Landlord shall leave a card stating the date and time and name of the person entering the unit and the purpose of the visit. The Landlord may enter the unit at anytime without advance notice when there is reasonable cause to believe an emergency exists, or after receiving a call in the office that a repair needs immediate attention. Tenant consents to access by Landlord, its agents, or other persons for purposes of supplying necessary or agreed to services as reflected in the Service Plan Agreement. 19. DISCRIMINATION PROHIBITED: The Landlord agrees not to discriminate based upon race, color, religion, creed, national origin, sex, age, disability, sexual orientation, gender identity, familial status, membership in a class, such as unmarried mothers or recipients of public assistance, or because there are children in the family. 20, CHANGE IN LEASE: The Landlord may change the terms and conditions of this Lease at the end of the initial term or a successive term. The Landlord must notify the Tenant of any change and must offer the Tenant a new Lease or an amendment to the existing Lease. The Landlord shall provide Tenant or the Tenant's representative at least 60 days notice before the proposed effective date of the change. The Tenant may accept the changed terms and conditions by signing the new Lease or the amendment to the existing Lease and returning it to the Landlord. The Tenant may reject the changed tertns and conditions by giving the Landlord written notice that Tenant intends to terminate the tenancy. The Tenant must give such notice of rejection at least 30 days before the month in which the tenancy will be terminated. If the Tenant does not accept the amended 8 Lease, the tenancy will cease at the end of the lease term. An exception to the 60 day notice exists when the Tenant's health status or behavior constitutes a substantial threat to the health and safety of the Tenant, other Tenants, or when a significant change in the Tenant's condition results in the need for provision of services hi excess of the level of' services provided by a Service Provider and cannot be safely provided by a Service Provider, as explained in greater detail in Section 9, and the Admission/Transfer Policy. 21. TERMINATION OF TENANCY: a. Where the Tenant is authorized by the terms of this Lease to terminate this Lease, the Tenant must give the Landlord 30 days written notice prior to the end of the lease term. The 30 days written notice shall be calculated from the last day of the month in which notice is given. If the Tenant does not give the full 30 day notice, the Tenant shall be liable for an additional month's rent, or to the date the unit is re- rented, whichever date comes first. b. Any termination of this Lease by the Landlord muss be carried out in accordance with state and local law, and the terms of this Lease. The Landlord may terminate this Lease for: (1) Non- payment of rent, other charges, and fees due under the Lease, or repeated late payment of rent; and (2) Failure to provide timely and accurate statements of income, assets, expenses and family composition at the commencement of the initial term of the Lease or at an annual rent certification upon any lease renewals or in response to other reasonable request by Landlord; (3) Demonstrating behavior or conditions referenced in the Admission/ Transfer Policy; (4) Failure to participate in bimonthly fire chills and evacuation training and to follow evacuation procedures when emergency circumstances arise; (5) Assignment or subleasing of the premises or providing accommodation for boarders or lodgers; (6) Use of the premises for purposes other than solely as a dwelling unit for the Tenant and the Tenant's household as identified in this Lease, or permitting its use for any other purpose; (7) Failure to abide by necessary and reasonable rules made by the Landlord for the benefit and well being of the development and the Tenants, including repeated violations of the Rules and Regulations of The Rose of Dubuque included in Tenant's Occupancy Agreement; (8) Failure to abide by applicable building and housing codes materially affecting health or safety; (9) Failure to dispose of garbage, waste or rubbish in a safe and sanitary manner and as provided in this Lease; (10) Failure to use electrical, plumbing, sanitary, heating, ventilating, air conditioning and other equipment in a safe manner; (11) Acts of destruction, defacement, or removal of any part of the premises, or failure to cause guests to refrain for such acts; (12) Failure to pay reasonable charges within 30 days for the repair of damages (other than for normal wear and tear) to the premises, development 9 buildings, facilities or common areas; (13) Serious or repeated interference of the rights and quiet enjoyment of other Tenants; (14) Any criminal activity that threatens the rights and quiet enjoyment of other Tenants; (15) Any drug - related criminal activity on or near the premises as discussed elsewhere in this Lease; (16) Change in Tenants' household so that Tenant or a member of Tenant's household becomes a frill -time student, which status would cause non- compliance of the development under state or federal statutes or regulations; (17) Violations of paragraph 10c of this Lease; (18) Allowing access to the premises to persons excluded by Management; (19) Violations of any provision of this Lease, including the prohibition against pets or smoking; and (20) For other good cause. If the Landlord proposes to terminate this Lease, the Landlord agrees to give the Tenant written notice of the proposed termination, as listed below: (I) Failure to pay rent, three days written notice of nonpayment and intention to terminate Lease if not paid within three days, all as provided by Iowa Code §562A127(2); (2) Creation or maintenance of behavior or threats, including behaviors under the Admission Transfer Policy, constituting a clear and present danger to health or safety of the Tenant, other Tenants or Landlord's employees or contract agents, three days written notice of termination and notice to quit; (3) Demonstrating behavior or conditions referenced in the Admission/ Transfer Policy, which fall short of a clear and present danger to health and safety of the Tenant, other Tenants or Landlord's employees or contract agents, seven (7) days written notice of termination and notice to quit, same as provided in (4) below; (4) All other cases of material noncompliance with the Lease, seven (7) days written notice, which notice shall specify the actions and omissions constituting the breach of lease and specify that the rental agreement will terminate upon a date not less than seven (7) days after receipt of the notice if the breach is not remedied in the seven day period. If remedied, the lease shall not termnate. If substantially the same act or omission, which constituted the noncompliance, recurs within six months, Landlord may terminate the lease upon seven (7) days written notice specifying the recurrent breach and the date of termination; (5) In all other cases, including non- renewal, written notice provided thirty (30) clays prior to the end of the term of the tenancy. d. If Tenant refuses to vacate their apartment after termination of the lease, Landlord will provide Tenant with a three days' notice to quit and proceed with a forceable entry and detainer action. 10 22. REMEDIES OF LANDLORD UPON TERMINATION — ATTORNEY FEES, DAMAGES, DEFICIENCIES, ETC: In the event that the Term of this Lease shall terminate other than by expiration: a, Tenant shall pay to the Landlord the rent and fees then due, together with all legally recoverable expenses of the Landlord incurred in connection with (i) any lawful action or proceeding that results in an order of a court that Tenant shall surrender possession of the unit; and (ii) the removal of the property and effects of' Tenant or other occupants from the unit. b. Tenant shalt be liable for all expenses incurred by Landlord in repairing and redecorating the unit for re- rental with the exception of ordinary wear and tear; c. Landlord may release the unit in the name of the Landlord for a term which may at Landlord's option be more or less than the period which would otherwise have constituted the balance of the Term of this Lease, and Tenant shall remain liable for payment of the full rent for any period of the balance of the lease during which the unit was not released; d. Landlord shall not be liable to Tenant for failure to release the unit or, in the event that the unit is re- rented, for failure to collect the rent due under such re- renting. Any such failure to collect the rent due under such re- renting shall not release or affect Tenant's liability for damages; e. Landlord's rights and remedies under this Agreement are cumulative. The use of one or more right or remedy shall not exclude or waive any other right or remedy. 23. TENANT'S RIGHTS /GRIEVANCES. Tenant is advised that this Lease and Tenancy's occupancy is subject to the Iowa Residential Landlord and Tenant Law, Iowa Code Chapter 562A, et seq. Tenant has rights of internal appeal as defined in the Admission/Transfer Policy, but only in the event Landlord seeks to involuntarily transfer Tenant for reasons stated in the Admission/Transfer Policy. If the Tenant's residency is terminated for reasons other than those stated in the Admission/Transfer Policy, Tenant's rights upon termination and forced eviction are defined in Sections 21 and 22 of this Lease Agreement. Tenants are encouraged to present any concerns regarding their residency or assisted care service to property management or the assisted care provider. These concerns are best presented in writing to either the on -site resident manager, the on -site assisted care manager or your assigned assisted care worker. Tenant concerns presented in writing will be investigated and a written response will be provided to the Tenant and a copy placed in the tenant file. Tenant has rights of autonomy and self determination with respect to the service plan. These rights are discussed in greater detail in the Risk Management Policy and Tenant's Rights and Responsibilities, which; are included in Tenant's Occupancy Agreement. Concerns, questions or complaints regarding any aspect of Tenant's residency or service plan may also be addressed with his /her designated legal representative, the Office of the State Long -Term Care Ombudsman, 800 -532 -3213, or the Iowa Department .of Inspections and Appeals (515) 281 -6325. The Landlord will notify the tenant at least 90 days in advance of any planned program cessation, which includes voluntary decertification, except in cases of emergency. 11 24. TERMINATION OF LEASE UPON DEATH OF TENANT: Upon the death of the Tenant, or if there is more Than one Tenant, upon the death of all Tenants, either the Landlord or the personal representative of the Tenant's estate may terminate this Lease upon one months' written notice before the beginning of a monthly term, Liability for assisted housing benefits shall cease upon the death of a beneficiary. 25. PROPERTY ABANDONMENT: If a Tenant abandons the unit, the Landlord shall take possession of the Tenant's personal property remaining on the premises, and shall store and care for the property. The Landlord has a claim against the Tenant for reasonable costs and expenses inclined in removing the property and in storing and caring of the property, and the Landlord can collect from the Tenant all moving and storage costs. The Landlord may sell or otherwise dispose of the property 14 days after the Landlord receives actual notice of abandonment or 14 days after it reasonably appears to the Landlord that the Tenant has abandoned the premises, whichever day occurs first. Prior to the sale, the Landlord agrees to make reasonable efforts to notify the Tenant of the sale by written notice of the sale either by personal service or certified mail, return receipt requested, to the Tenant's last known address or likely living quarters if that is known by the Landlord, The Landlord shall also post a notice of sale in a clearly visible place on the premises for at least one week before the sale. The Landlord may use the money from the sale to pay off any debts the Tenant owes the Landlord. Any amount above this belongs to the Tenant, if the Tenant has written and asked for it. The Landlord may also, at its election, attempt to re -rent the abandoned unit, although the Landlord is under no obligation to do so and Tenant therefore remains obligated for payment of rent for the duration of the Lease. 26. CONTENTS OF THIS LEASE: This Lease and its attachments make up the entire agreement between the Tenant and the Landlord. If any court declares a particular provision of this Lease to be invalid or illegal, all other terms of this Lease will remain in effect and both the Landlord and Tenant will continue to be bound by it. 27. SUBORDINATION: This Lease is subject to all present or future mortgages affecting the unit, and the Tenant hereby appoints the Landlord as Attorney -in -Fact to execute and deliver any and all necessary documents to subordinate this Lease to any present or future mortgage affecting the unit. 28. WAIVER OF ONE BREACH —NOT A GENERAL WAIVER; ACCEPTANCE OF RENT - NOT A WAIVER OF EXISTING OR PRIOR BREACHES: A waiver of a breach of the covenants, provisions or conditions contained in this Lease shall not be construed as a waiver of the covenant itself or of any subsequent breach thereof. If any breach shall occur and afterwards be compromised, settled or adjusted, this Lease shall continue in full force and effect as if no breach had occurred. Acceptance of rent from Tenant does not constitute a waiver by Landlord of any existing, pending or prior breaches of this Lease by Tenant. 12 29, PERSONAL PROPERTY /STORAGE /PARKING /SNOW REMOVAL: a. All personal property placed in the unit or in any other portion of a building or the development shall be at the sole risk of the Tenant. The Landlord shall not be liable for the loss, destruction, theft, or damage to such property unless caused by or resulting from the gross negligence or theft of the Landlord or Landlord's agents or employees, in the operation, care or maintenance of the unit or the development. The Tenant is encouraged to obtain renter's insurance for their personal property and contents. b. Storage: The Tenant agrees not to store flammable materials or liquids or any other item that would create a danger to the other Tenants or to the development. ft is specifically understood that Tenant shall not store items outside his or her unit, in the hallway, or in the proximity of their unit. e. Parking: Parking is allowed in designated parking areas only. Vehicles parked in the apartment roadway in areas not designated for parking, will be towed at the vehicle owner's expense. Tenant must register with Management all vehicles that will be parked in the exterior designated parking areas for periods in excess of 24 hours. Parking for additional vehicles must be approved by Landlord or be subject to towing at the owner's expense. Any vehicle parked in a designated parking area must be in operating condition and have current license plates and tabs. d. Snow Removal: Snow removal procedures for the exterior parking area will be posted on the premises and must be followed exactly. Failure to do so will result in the towing of violating vehicles. 30. CONDEMNATION: In the event the unit, the building, the development or any part thereof is taken by condemnation by the United States, the State of Iowa, or any other governmental agency or authority, this Agreement shall be terminated at the option of the Landlord by 15 days notice after the date of the award of condemnation. The Tenant waives any right to any portion of the award received by the Landlord as damages for the taking of the property. 31. VACATING PREMISES: Tenant agrees to vacate the premises and deliver all keys to Landlord at the end of the Lease. 32. DELAY OF POSSESSION: If Landlord is unable to give the Tenant possession at the beginning of the tern, the rent shall be rebated on a pro rata basis until possession can be given, which rebated rent shall be accepted by Tenant as full settlement of all damages occasioned by said delay, and if possession cannot be delivered within ten (10) days of the beginning of said tern, this Lease may be terminated by either Landlord or Tenant by giving prior written notice of such termination. 33. RENTER'S INSURANCE. Management is not responsible for any damage or injury that is done to Tenant or his /her property, guests or their property that was not caused by management. Management recommends that Tenant obtain Renter's Insurance to protect against injuries or property damage. 13 34. THIRD PARTY ACTIONS. Management is not responsible for the actions, or for any damages, injury or harm caused by third parties (such as other residents, guests, intruders or trespassers) who are not under management's control. 35. NOTICES: Any notice for which provision is made in this Lease, shall be in writing and shall be deemed given when (a) personally delivered (b) mailed by certified mail as defined in Iowa Code §618.15, whether or not a receipt is signed for the notice, to the place held out by Landlord or Tenant as the place for receipt of communication, or to the person's last known place of residence, or (c) delivery by service in the manner provided by Iowa law for the service of original notice. 36. Al FACHMENTS TO THE LEASE AGREEMENT: The Tenant certifies that he /she has received a copy of this Lease, and the following Attachments to this Lease and understands that these Attachments are part of this Lease. a. Attachment No, 1: Move- in/Move -out Apartment hnspection Report b. Attachment No. 2: Rent Payment Policy c. Attachment No. 3: HAP Tenancy Addendum, if applicable d. Attachment No. 4: Section 8 Project Based Voucher Statement of homily 'Responsibility, if applicable 37. SIGNATURES: TENANT BY: 1. DATE 2. / / LANDLORD BY: EverGreen Real Estate Development Corporation Name: Date Title: Agent Revised: 10/17/2011 14 EVERGREEN REAL ESTATE DEVELOPMENT CORPORATION Rent Collection Policy The following Policy has been set forth by EVERGREENREAL ESTATE DEVELOPMENT CORPORATION, The Property Management Company for The Rose Affordable Assisted Living Communities, There are NO exceptions to this police, 1) Per your lease, the stated rent amount per month is DUE on the 1 :t of every month. 2) You are given until 5:00 PM on the 5th of the month to pay the rent without penalty. Late Rent 1) From 5:00 PM on the 5th there is a $10.00 penalty, and a $5.00 per day fine* for EACH day rent is not paid by 8:00 AM. This applies to all unpaid portions of rent. 2) If you are aware that you will be getting assistance from another agency we need confirmation of this FROM THE AGENCY by 8:00 AM on the 811' of the month. 3) We will not accept partial payments of rent or post dated checks beyond the 10 °i of the month. In fact, all rent paid on or after the 8t'' MUST be paid with either a cashier's cheek or a money order — NO EXEPTIONS. 4) Should rent not be paid by 8:00 AM on the 10111, we will give you a 3 -day written notice of termination and proceed with a sunnnary remedy for forcible entry (eviction). A court date will be set, and you will be required to pay the rent, late fees and other legally recoverable fees, before the court date to avoid the appearance in court. Should you wait until the court date we may be forced to request an eviction. NSF Rent Checks If a rent check "bounces ", you will be required to pay a $25.00 NSF fee, plus the late fees stated above, We will be unable to accept another check for that month's rent, We will only accept a money order or a cashiers check. Should you have 2 checks that "bounce" while living at the Rose, we will no longer accept your checks for rent. You will be required to pay by money order or cashiers check for the duration of the time you live at the property. Unit Number Date Tenant Tenant's Legal Representative *Not to exceed $40.00 each month Rev. July 2008 SERVICE PLAN AGREEMENT This Service Plan Agreement is made the . day of 20, between ( "Service Provider "), The Rose of Dubuque ( "Landlord ") and ( "Tenant "), and is incorporated into and is made a part of Tenant's Occupancy Agreement. I. EVALUATION /SERVICE PLAN. Prior to and as a condition of occupancy, Landlord's designated, non - exclusive Service Provider ( "Designated Service Provider ") shall evaluate each proposed Tenant's fimctional, cognitive and health status in order to determine the Tenant's need for services from the Service Provider and prepare a Service Plan. The preoccupancy Service Plan shall be developed by a healthcare professional or human service professional in consultation with the Tenant and, at the Tenant's request, with other individuals identified by the Tenant, and, if applicable, with the Tenant's legal representative. All personnel who develop the plan and the Tenant or the Tenant's legal representative must sign the plan. If the Designated Service Provider determines that a Tenant needs personal care or health- related care, the Service Plan shall be updated within thirty days of occupancy and as needed, but not less than ammaily. If a significant change triggers the review and update of the service plan, the updated service plan shall be signed and dated by a multidisciplinary team of no fewer than 3 individuals, including a health care professional and other staff appropriate to meet the needs of the tenant, in consultation with the tenant and, at the tenant's request, with other individuals identified by the tenant, and with the tenant's legal representative, if applicable. The Service Provider, by signing below, verifies the preoccupancy Service Plan and certifies that Tenant does not meet Landlord's transfer requirements referenced in Lease Section 9 and Landlord's Admission/Transfer Policy and, accordingly, is qualified for occupancy. The verified pre - occupancy Service Plan, which details Tenant's specific personal care or health- related care needs, is attached as Attaclunent A. The attached pre - occupancy Service Plan shall be updated by the Service Provider within thirty days of occupancy, and as needed, but not less than annually, which updates shalt be noted on the plan updates page(s). 2. MEDICATIONS. Service Provider and Tenant have adopted a medication plan, which details the procedures for administration of any medication prescribed for Tenant, a copy of which is included in the pre - occupancy Service Plan. The medication plan shall follow a medication policy in compliance with Iowa Administrative Code Section 321, Chapter 25,29, ' Service Provider shall be wholly responsible for administration and supervision of the Tenant's medication plan and shall provide the necessary personnel, including a registered nurse, to monitor, administer and implement Tenant's medication plan. 3. BASIC SERVICE PLAN. Each Tenant will be provided with basic services by a provider of their choice, which services will be responsive to each tenant's unique personal circumstances. The elements of the basic service plan offered by the Designated Service Provider are detailed in The Rose of Dubuque In -House Service Plan Sununary — Basic Service Plan. A Tenant may contract for basic services from the Designated Service Provider or from a third -party service provider of their choice, but a third -party service provider must first execute an Assisted Service Program Agreement with Landlord and a Service Plan Agreement with Tenant and Landlord. A third party service provider may offer fewer basic services and have a different fee or no fee for its basic services. The specifics of the In -House Basic Service Plan available from Designated Service Provider are further explained in the In -House Service Plan Stimmary and in The Rose Social and Recreational Activities Policy. A no -fee, no- basic - service option is also available through the Designated Service Provider, which explanation is available upon request. 4. FOOD SERVICE. Tenant may elect to participate in an optional food service plan, which will provide Tenant with nutritional meals for consumption in the on- site dining room. If Tenant elects this option, a food service plan will be prepared by Landlord's designated food service provider, which will reflect necessary consideration to the Tenant's nutritional needs, and will be attached as Attachment B. 5. PERSONAL EMERGENCY RESPONSE SYSTEM. If a Personal Emergency Response System (PERS) is included in the Resident's Preoccupancy Service Plan, the Tenant must enter into a PERS subscription agreement with a PERS provider of their choice and Landlord, which subscription agreement must comply with the Iowa state regulations and Landlord policies and procedures. The pendant shall automatically identify the Tenant in distress and shall be monitored 24 hours a day, 7 days a week. Further explanation of a Tenant's PERS options are contained in the 24-Hour Personal Emergency Response System Policy. The Landlord offers a PERS System, which provides 24- hour, on -site monitoring of the Tenant's PERS by the Service Provider. 6. TRANSPORTATION, Transportation will be coordinated with third - party providers as part of the Basic Service Plan. 7. SOCIAL AND RECREATIONAL ACTIVITIES. Basic Social and Recreational Activities will offered to each Tenant through the Basic Service Plan. These activities will reflect each Tenant's individual circumstances and service plan. The Social and Recreational Activities Policy provides further explanation of' the activities and recreational programming available at The Rose. 8. STAFFING. Service Provider and Landlord shall provide sufficient trained staff onsite at the Assisted Living Facility to filly meet Tenant's needs identified in the Service Plan, medication plan, and the Basic Service Plan and this Service Plan Agreement and to accommodate the optional services elected by the Tenant. 9. FEES. Service Plan Services - per Service Provider Home Care Service Agreement attached hereto as Attachment C; Medication Plan - per Service Provider Home Care Service Agreement attached hereto as Attachment C; Basic Service Plan — per Service Provider Flome Care Service Agreement attached hereto as Attachment C; Food Service - per Food Service plan attached hereto as Attachment B; PERS — per PERS Agreement attached hereto as Attachment D. 2 While it is the Tenant's responsibility to pay the fees referenced above, that payment obligation may be satisfied through third party payments arranged in advance with the respective payee or provider. 10. PAYMENT. Failure to pay for services referenced in this Agreement or otherwise arrange for payment shall result in discontinuance of the respective services and termination of this Service Plan Agreement. 11, BILLING PROCEDURE. Tenant shall receive a monthly billing for elected services, which shall be payable as designated in the respective billing statement. 12. TERMINATION OF AGREEMENT. This Service Plan Agreement shall terminate upon the occurrence of one of the following: (1) Termination of Tenant's residency at the Rose; (ii) Termination of the Assisted Service Program Agreement between Service Provider and Landlord and transition of Tenant's care to and acceptance of service for Tenant's Care Plan by another authorized Service Provider, which has entered into an Assisted Service Program Agreement with Landlord; (iii) Authorized transfer of Tenant's care to and acceptance of service for Tenant's Care Plan by another authorized Service Provider, which has entered into an Assisted Service Program Agreement with Landlord. (iv) Failure to pay for services provided to Tenant pursuant to this Service Plan Agreement and the Tenant's care plan. TENANT: TENANT'S REPRESENTATIVE Date: Date: SERVICE PROVIDER: LANDLORD: THE ROSE OF DUBUQUE, L.P. By: By: Its: Its: Date: Date: ATTACHMENTS (if applicable): A. Pre - Occupancy Service Plan, which includes the medication plan B. Food Service Plan Subscription Agreement C. Home Care Service Agreement D. PERS Agreement Revised: April 2011 In -House Service Plan Summary All residents may select a service provider of their choice. However, any service provider must provide the resident with certain basic services. The in -house service provider offers a basic service package, which includes the required basic services. This Basic Service plan offered by the in -house service provider costs $100. If you select a different service provider, it may offer fewer basic services and have a different fee or no fee for its basic services. There is also a no -fee, no- basic- service option available through the in -house provider, which explanation is available upon request. In addition to the basic services, your chosen service provider will provide other services in response to the service needs identified in your individualized needs assessment. If you have chosen the in -house service provider, this summary explains the basic and other services, which will be provided to you. A more detailed explanation of those services is contained in your Service Plan Agreement. . (Service Provider's) Basic Service Plana $100 /month includes: • The cost of Activities and Special Events. We give attention to each resident's personal circumstances and provide a social, family -like atmosphere. • On -Site staff to provide a secondary level of pendant response readiness greater than just primary pendent monitoring alone • Mandatory Assessment completed within 30 days after admission and upon significant changes in condition, return from hospitalization, and annual assessments o 24/7 staffing for additional security at night and on weekends • Facilitation and coordination of Disaster Plans, Emergency Preparedness and Evacuations (i.e., Fire Drills and response to Fire Alarms) • 5 Free Care Calls per month • Community Resource/Medicaid Liaison Services - Coordinating access to third -party providers, such as medical services, transportation and on -site congregate meal services - Referral and counseling for social services and financial support resources o Prevention and Wellness Clinics /General Health and General Nutritional Oversight Additional Ala Carte Services — Fee Per Service • Homemaker Services (light housekeeping, laundry) may be paid by Elderly Waiver; otherwise as Fee Per Service. • Care Calls (unscheduled non- medical visits, meal delivery, and general assistance) billed in units. Fifteen minutes equal one unit, $8.00 / unit • Nursing Visits may be paid by Medicaid; otherwise as Fee Per Visit. o Horne Health Aide may be paid by Medicaid; otherwise as Fee Per Visit. Financial Aid Available In qualified cases, the resident's payment obligation may be reduced so that the Basic Service Plan Fee does not exceed 25% of the resident's net disposable income.. Net Disposable Income = Qualified Income - Rent — Cost of Meals - PERS 1 agree to pay $100 per month for the Basic Service Plan Fee I qualify for Financial Aid and my Basic Service Plan Fee is Client Signature: Date: Updated 12/08/11 PBV HOUSING ASSISTANCE PAYMENTS CONTRACT PART 1 EXHIBIT C Utilities Provided by Owner Without Charges in Addition to Rent to Owner Includes: Landlord pays all utilities, except cable and telephone See Attached Standard form of Lease Agreement