HomeMy WebLinkAbout2004-397III RESOLUTION NO. 2004-397
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RESOLUTION OF THE MAYOR AND COMMON COUNCIL OF THE CITY OF SAN
3 BERNARDINO AUTHORIZING THE EXECUTION OF A SUB -RECIPIENT
4 AGREEMENT BETWEEN THE CITY OF SAN BERNARDINO AND THE SAN
BERNARDINO REGIONAL WATER RESOURCES AUTHORITY CONCERNING
5 THE DISTRIBUTION OF FEDERAL GRANT PROCEEDS RELATED TO THE
NORTH LAKE PROJECT
BE IT RESOLVED BY THE MAYOR AND COMMON COUNCIL OF THE
711 CITY OF SAN BERNARDINO AS FOLLOWS:
811 SECTION 1. The Mayor of the City of San Bernardino is hereby authorized and
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directed to execute on behalf of said City, the Sub -Recipient Agreement between the City of
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San Bernardino and the San Bernardino Regional Water Resources Authority, a copy of which
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12 is attached hereto marked Exhibit "A" and incorporated herein by reference as fully as though
1311 set forth at length.
11 1411 SECTION 2. The authorization to execute the above -referenced agreement is
1511 rescinded if the parties to the agreement fail to execute it within sixty (60) days of the passage
16 of this resolution.
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2004-397
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RESOLUTION OF THE MAYOR AND COMMON COUNCIL OF THE CITY OF SAN
BERNARDINO AUTHORIZING THE EXECUTION OF A SUB -RECIPIENT
AGREEMENT BETWEEN THE CITY OF SAN BERNARDINO AND THE SAN
BERNARDINO REGIONAL WATER RESOURCES AUTHORITY CONCERNING
THE DISTRIBUTION OF FEDERAL GRANT PROCEEDS RELATED TO THE
NORTH LAKE PROJECT
I HEREBY CERTIFY that the foregoing Resolution was duly adopted by the Mayor
joint
and Common Council of the City of San Bernardino at a regular meeting thereof, held on the
20ttday of December 2004, by the following vote, to wit:
Council Members: AYES NAYS ABSTAIN ABSENT
ESTRADA x
LONGVILLE x
MCGINNIS x
x
DERRY
x
KELLY
JOHNSON x
x
MCCAMMACK
Ueti'c�
Cit Clerk
The foregoing resolution is hereby approved this day of December ,
2004.
Approved as to
Form and legal content:
James F. Penman, City Attorney
By:2IYf�
S A��p��7forncr
Rikke Van Johnson, Mayor Pro Tem
City of San Bernardino
2004-397
SUB -RECIPIENT AGREEMENT
City of San Bernardino
and
San Bernardino Regional Water Resources Authority
THIS SUB -RECIPIENT AGREEMENT (this "Agreement") is dated as of December
2004, by and between the City of San Bernardino, a California charter city and a public
body, corporate and politic (the "City"), and the San Bernardino Regional Water Resources
Authority, a joint powers authority organized and operating under Government Code Section
6500, et seq. (the "Authority").
WHEREAS, the City is a recipient of certain federal grant funds from the United States
Environmental Protection Agency (the "EPA"), which grant funds are referred to as the "FY03
Special Appropriation — City of San Bernardino's North Lake Project", in the amount of Four
Hundred Forty -Seven Thousand One Hundred Dollars ($447,100) (the "EPA Grant"); and
WHEREAS, the City has entered into a standard form EPA Grant Agreement with the
EPA dated July 23, 2004 (the "EPA Grant Agreement"), which EPA Grant Agreement among
other things sets forth certain grant assurances on the part of the City to the EPA to be performed
by the City as a condition of receiving the EPA Grant funds; and
WHEREAS, a copy of the EPA Grant Agreement is attached hereto as Exhibit "A" and
incorporated herein by reference; and
WHEREAS, the purpose of the EPA Grant is to reimburse the City for eligible expenses
previously incurred and paid by or on behalf of the City for a portion of the planning and
environmental processing expenses related to the initial environmental review and the
preparation of environmental documents ("Environmental Documents") for a certain North Lake
Project (the "Project"); and
WHEREAS, the Authority has incurred certain expenses in furtherance of the Project,
including, but not limited to, costs related to the retention of a consultant to assist the Authority
with the development and implementation of the initial phase of the environmental review and
the preparation of the Environmental Documents; and
WHEREAS, the City and the Authority seek to provide for the terms and conditions for
the disbursal of the EPA Grant funds from the City to the Authority, and the acceptance and
application of the EPA Grant funds by the Authority, as a reimbursement of such eligible Project
expenses incurred by the Authority with the intent that the Authority shall subsequently repay a
portion of the principal amounts owed by the Authority to the City and the San Bernardino
Valley Municipal Water District (the "District") for a certain jointly funded loan in the aggregate
principal amount of $1,700,000 as previously approved and funded by the City and the District
to the Authority.
4840-1733-3760.2 1
2004-397
NOW, THEREFORE, in consideration of the mutual promises contained herein and other
good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged,
the City and the Authority agree as follows:
1. Purpose of Agreement. The parties intend that this Agreement shall be executed
and entered into by and between the City and the Authority in furtherance of the Project and, in
particular, the provisions of, and the grant assurances applicable to, the City as contained in the
EPA Grant Agreement referred to in the Recitals hereof. The acceptance of the EPA Grant funds
by the Authority as a sub -recipient of the City under the EPA Grant Agreement for purposes of
reimbursing the portion of the costs incurred and paid with respect to the initial environmental
review and preparation of the Environmental Documents is hereby determined by the parties to
satisfy in all respects the requirements of the EPA Grant Agreement for the use and disbursement
of EPA Grant funds thereunder.
2. Acceptance of EPA Grant Funds by Authority. The City hereby agrees to
transmit to the Authority, and the Authority hereby agrees to accept, the EPA Grant funds as
disbursed to it by the City as a reimbursement for a portion of the Authority's eligible prior
incurred and paid expenses related to the Project, in an amount not to exceed Four Hundred
Forty -Seven Thousand One Hundred Dollars ($447,100). The Authority agrees that as a sub -
recipient to the City under the EPA Grant Agreement it shall comply with any and all of the
grant assurances required of the City under the EPA Grant Agreement as attached hereto as said
Exhibit "A".
3. Reimbursement from EPA Grant. The City has previously received the
full amount of the EPA Grant pursuant to the EPA Grant Agreement based upon the information,
invoices and other supporting documentation furnished to the City by the Authority in
furtherance of the Project, and the City shall disburse the proceeds of the EDA Grant to the
Authority in accordance with this Agreement. The Authority has previously provided the City
with copies of invoices for those expenses incurred and paid by the Authority related to (i) the
planning and environmental process for the initial phase of the environmental review of the
Project, (ii) the preparation of the Environmental Documents in furtherance of the Project, and
(iii) other related administrative expenses of the Project incurred and paid by the Authority.
4. Compliance with EPA Grant Terms. The City and the Authority hereby agree
that each party shall, respectively, comply with all terms set forth in the EPA Grant, and shall use
and apply proceeds of the EPA Grant in accordance with the specific terms and conditions of the
award of the EPA Grant and the EPA Grant Agreement.
5. Application of EPA Grant Funds by Authority. The Authority as a sub -recipient
to the City under the EPA Grant Agreement shall apply the EPA Grant funds as received from
the City under this Agreement for the purpose of repaying equally a portion of that certain
$1,700,000 aggregate principal amount of a loan as made to the Authority of which $850,000
was loaned by each of the City and the District to the Authority, pursuant to the terms of a
second loan agreement (the "Loan Agreement"). All proceeds of the EPA Grant shall be
disbursed by the City to the Authority as soon as practicable after the date that this Agreement
has been duly approved and executed by the parties hereto. The Authority shall promptly after
4840-1733-3760.2 2
2004-397
receipt of the reimbursement of the funds from the City representing the proceeds of the EPA
Grant, duly enter a notation on the official records of the Authority indicating that the previously
expended moneys attributable in part to the proceeds received by the Authority under the Loan
Agreement have been reimbursed to the Authority from the EPA Grant as a legally available
revenue source of the Authority. Thereafter, the Authority shall cause to be prepared checks to
repay to the City and the District certain principal amounts equal to $223,550 each as a partial
repayment of the principal amounts owed by the Authority to the City and the District under the
Loan Agreement. Such amounts as and when received by the City and District shall have no
further restrictions imposed upon the uses thereof except as may be applicable to the City and the
District pursuant to State law.
6. Time of Essence. Time is strictly of the essence with respect to each and every
term, condition, obligation and provision hereof and failure to timely perform any of the terms,
conditions, obligations or provisions hereof by either party shall constitute a material breach of
and a default under this Agreement by the party so failing to perform.
7. No Waiver. Failure to exercise any right the City may have or be entitled to, in
the event of default by the Authority hereunder, shall not constitute a waiver of such right or any
other right, in the event of a subsequent default by the Authority.
8. Events of Default.
(a) Failure or delay by either party to perform any material term or provision
of this Agreement shall constitute a default under this Agreement; provided, however, that if the
party who is otherwise claimed to be in default by the other party commences to cure, correct or
remedy the alleged default within thirty (30) calendar days after receipt of written notice
specifying such default and diligently pursues such cure, correction or remedy to completion,
such party shall not be deemed to be in default hereunder.
(b) The party that may claim that a default has occurred shall give written
notice of default to the party in default, specifying the alleged default. Delay in giving such
notice shall not constitute a waiver of any default nor shall it change the time of default;
provided, however, the injured party shall have no right to exercise any remedy for a default
hereunder without delivering the written default notice as specified herein.
(c) Any failure or delay by a party in asserting any of its rights and remedies
as to any default shall not operate as a waiver of any default or of any rights or remedies
associated with a default. Except with respect to rights and remedies expressly declared to be
exclusive in this Agreement, the rights and remedies of the parties are cumulative and the
exercise by either party of one or more of such rights or remedies shall not preclude the exercise
by it, at the same or different times, of any other rights or remedies for the same default or any
other default by the other party.
(d) In the event that a default of either party may remain uncured for more
than thirty (30) calendar days following written notice, as provided above, a "breach" shall be
deemed to have occurred. In the event of a breach, the party who is not in default shall be
4840-1733-3760.2 3
2004-397
entitled to terminate this Agreement by serving written notice of such termination on the other
party and shall be entitled to exercise all other remedies as specified in this Agreement.
(e) Upon default by the Authority the City shall be released from any further
obligations under this Agreement; provided, however, in the event that such default by the
Authority shall have occurred after the date that the EPA Grant funds have been remitted by the
City to the Authority, the City shall be entitled to bring an action for specific performance
against the Authority to require the Authority to perform the activities related to the partial
repayment of the Loan Agreement as agreed to by the Authority in this Agreement. Upon a
default by the City, the Authority may institute any proceeding at law or in equity to enforce the
obligations of the City under this Agreement including the obligation of the City to timely remit
to the Authority the full amount of the EPA Grant as set forth in Sections 2 and 5 hereof. In any
action arising under this Agreement between the parties hereto, the prevailing party shall be
entitled to reimbursement from the other party of all costs and expenses, including reasonable
attorney's fees, in bringing such action. The costs, salary and expenses of the City Attorney of
the City and members of his office in enforcing this Agreement shall be considered as
"attorneys' fees" for purposes of this Section 8. Any such action or proceeding must be
commenced in the Superior Court for the County of San Bernardino, San Bernardino District,
State of California.
9. Further Assurances. The Authority shall execute any further documents
consistent with the terns of this Agreement, including documents in recordable form, as the City
shall from time -to -time deem necessary or appropriate to effectuate its purposes in entering into
this Agreement.
10. Amendment of Agreement. No modification, rescission, waiver, release or
amendment of any provision of this Agreement shall be made except by a written agreement
executed by the Authority and the City.
11. No Assignment. Neither the City nor the Authority shall assign any of their rights
or obligations under this Agreement.
12. Tern. This Agreement shall terminate upon the occurrence of both (i) the full
and final disbursement of the EPA Grant funds by the City to the Authority, in an amount equal
to Four Hundred Forty -Seven Thousand One Hundred Dollars ($447,100), and (ii) the
subsequent remittance of equal portions of said amount to the City and the District as a partial
repayment pursuant to the Loan Agreement as further provided in Sections 2, 3 and 5 hereof.
13. Notices. Notices shall be presented in person or by certified or registered United
States mail, return receipt requested, postage prepaid, or by overnight delivery made by a
nationally recognized delivery service to the addresses noted below. Notice presented by United
States mail shall be deemed effective the second business day after deposit with the United
States Postal Service. This Section shall not prevent giving notice by personal service or
telephonically verified fax transmission, which shall be deemed effective upon actual receipt of
such personal service or telephonic verification. Either party may change their address for
receipt of written notice by so notifying the other party in writing.
4840-1733-37602 4
2004-397
TO CITY: City of San Bernardino
300 North "D" Street, Sixth Floor
San Bernardino, California 92418
Attention: City Administrator
Phone: (909) 384-5122
Fax: (909)384-5139
TO AUTHORITY: San Bernardino Regional Water
Resources Authority
300 North "D" Street, Sixth Floor
San Bernardino, California 92418
Attention: John Hoeger
Phone: (909)384-5133
Fax: (909)384-5067
with a copy to: Lewis Brisbois Bisgaard & Smith LLP
650 East Hospitality Lane, Suite 600
San Bernardino, California 92408
Attention: Timothy J. Sabo
Phone: (909) 387-1130
Fax: (909) 387-1138
14. Governing Law. This Agreement shall be governed by and construed in
accordance with the laws of the State of California. Any legal action brought under this
Agreement must be instituted in the Superior Court of the County of San Bernardino, State of
California.
15. Entire Agreement. This Agreement constitutes the entire agreement between the
parties and may not be amended without the prior written consent of both of the parties hereto.
This Agreement supersedes all prior negotiation, discussions and previous agreements between
the parties concerning the subject matter herein. The parties intend that this Agreement shall be
the final expression of their agreement with respect to the subjects contained herein and a
complete and exclusive statement of such agreement. No modification, amendment or waiver of
any term of this Agreement shall be binding unless executed in writing by the parties hereto.
16. Severability. Each and every Section of this Agreement shall be construed as a
separate and independent covenant and agreement. If any term or provision of this Agreement or
the application thereof shall be declared invalid or unenforceable, the remainder of this
Agreement, or the application of such term or provision to circumstances, other than those to
which it is invalid or unenforceable, shall not be affected thereby and each tern and provision of
this Agreement shall be valid and enforceable to the fullest extent permitted by law.
17. Counterparts. This Agreement may be executed in counterparts, and facsimile
signatures shall be as effective as original signatures. Upon the execution hereof by the
appropriate representative of each of the parties, this Agreement shall be deemed to have been
4840-1733-3760.2 5
2004-397
approved by the governing bodies of each of the parties in accordance with all applicable
provisions of State law.
18. Enforceability of Agreement. This Agreement shall be deemed to be an
enforceable agreement by and between the parties hereto. Either of the parties may bring such
legal or equitable action as may be permitted under the laws of the State of California to enforce
any provision of this Agreement in the manner as provided in Section 8 hereof. The successful
party in any such action to interpret or enforce any provision hereof shall be entitled to receive
from the party against which enforcement is sought all costs associated with such successful
action as further provided in, Section 8(e) hereof.
4840-1733-3760.2 6
2004-397
IN WITNESS WHEREOF, each of the parties hereto has executed this Agreement as of
the date first written above.
ATTEST:
By: h. am--'c
City Clerk
APPROVED AS TO FORM
AND LEGAL CONTENT:
By.
City orney
/feat ✓Y E�11
(SEAL)
I
APPROVED AS TO FORM:
By:
Authority ounsel
CITY:
City
AUTHORITY:
San Bernardino Regional Water Resources
Authority
C
4840-1733-3760.2
2004-397
EXHIBIT "A"
EPA Grant Agreement
4840-1733-3760.2
2004-397
RECIPIENT'S COPY
% - 97989001 - 0 Pace 1
ASSISTANCE ID NO.
JH�'ED si4lf
s'
U.S. ENVIRONMENTAL
DATE OF AWARD
PRG DOC ID AMEND#
X - 97989001 0
13r" A
PROTECTION AGENCY
JUL 2 3 2004
TYPE OF ACTION
New
MP�I}.f�G
JU
f)AxE
3 11 2004
9 4\� o
`
iii
1T41
Cooperative Agreement
PAYMENT METHOD:
ACH#
PROS,./
Advance
RECIPIENT TYPE:
Send Payment Request to:
Municipal
Grants Management Office. PMD-7
RECIPIENT:
PAYEE:
City of San Bernardino
City of San Bernardino
300 North D street
300 North D street
San Bernardino, CA 92418
San Bernardino, CA 92418
EIN: 95-6000772
PROJECT MANAGER
EPA PROJECT OFFICER
EPA GRANT SPECIALIST
Lon Sassoon
Roccena Lawatch
Carolyn Truong
300 North 0 street
75 Hawthorne Street, WTR-10
Grants Management Office, PMD-7
San Bernardino, CA 92418
San Francisco, CA 94105
E•Mail: Truong.Carolyn@epamail.epa.gov
E-Mail: sassoon_lo®sbcilyorg
E•Mail: Lawatch.Roccena®epamail.epa.gov
Phone: 415-972-3757
Phone: 909-384-5122
Phone: 415-972-3442
PROJECT TITLE AND DESCRIPTION
FY03 SPECIAL APPROPRIATION - City of San Bernardino Lakes and Streams Project
This assistance agreement provides full EPA funding in the amount of S447,100 to support the Lakes and Streams Project subject of Special
Congressional Appropriation. The City will be studying issues related to construction of two lakes and the issues that surround that effort including
completing necessary NEPA documentation to assure that the project does not negatively impact the environment. Specific details are identified in the
workplan. Refer to condition number 3 regarding pre -award costs.
BUDGET PERIOD
PROJECT PERIOD
TOTAL BUDGET PERIOD COST
TOTAL PROJECT PERIOD COST
10MV2002 - 12'3 V2004
1 10/01/2002 . 12/31/2004
$477,100.00
S477,100.00
NOTE: The Agreement must be completed in duplicate and the Original returned to the appropriate Grants Management Office listed below,
within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA. Receipt of a written refusal or
failure to return the properly executed document within the prescribed time, may result in the withdrawal of the offer by the Agency.
Any change to the Agreement by the Recipient subsequent to the document being signed by the EPA Award Official, which the
Award Official determines to materially alter the Agreement, shall void the Agreement.
OFFER AND ACCEPTANCE
The United Stales, acting by and through the U.S. Environmental Protection Agency (EPA), hereby offers
Assistance/Amendment to the City of San Bernardino for 93.72 1%of all approved costs
incurred up to and not exceeding $447100 for the support of approved budget period effort described in application
(including all application modifications) cited in the Project Title and Description above, signed 05/1412004
included herein by reference.
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE)
AWARD APPROVAL OFFICE
ORGANIZATION / ADDRESS
ORGANIZATION I ADDRESS
U.S. EPA. Region 9
U.S. EPA, Region 9
Grants Management Office, PMD-7
Water Division
75 Hawthorne Street
75 Hawthorne Street
San Francisco, CA 94105
San Francisco, CA 94105
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
SIGNA RE OF AW RD OFFICIAL
TYPED NAME AND TITLE
3
C /
Alexis Strauss, Director - Water Division J LA 2004
This agreement is subject to applicable U.S. Environmental Protection Agency statutory provisions and assistance regulations. In
accepting this award or amendment and any payments made pursuant thereto, (1) the undersigned represents that he is duly
authorized to act on behalf of the recipient organization, and (2) the recipient agrees (a) that the award is subject to the applicable
provisions of 40 CFR Chapter 1, Subchapter 8 and of the provisions of this agreement (and all attachments), and (b) that
acceptance of any payments constitutes an agreement by the payee that the amounts, if any found by EPA to have been overpaid
will be refunded or credited in full to EPA.
BY AND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION
SIGNATURE
TYPED NAME AND TITLE
<�
Fred Wilson, City Administrator
{ J�
2004-397
EPA Funding Information X-97989001-0 Page
FUNDS
FORMER AWARD
THIS ACTION
AMENDEDTOTAL
EPA Amount This Action
S
$ 447,100
$ 447.100
EPA In -Kind Amount
S
S
$ 0
Unexpended Prior Year Balance
5
S
$ 0
Other Federal Funds
S
$
$ 0
Recipient Contribution
S
$
$ 0
State Contribution
$
$
$ 0
Local Contribution
S
S 30,000
$ 30,000
Other Contribution
S
$
$ 0
Allowable Project Cost
$ 0
S 477,100
$ 477.100
Assistance Program (CFOA)
Statutory Authority
Regulatory Authority
66.606 - Surveys - Studies - Investigations and
Special Purpose Grants
Clean Water Act: Sec. 104(b)(3)
40 CFR PART 31
-
Fiscal
Site Name
OCN
FY
Approp.
Budget
PRC
Object
Site/Project
Cost
Obligation /
Code
Organization
Class
Organization
Oeobligation
-
WOE052
0304
C
0900CAY
20201E
41.83
447.100
447.100
2004-397
X - 97989001 - 0 Page 3
Rudncl Summary Pane
Table A - Object Class Category
(Non -construction)
Total Approved Allowable
Budget Period Cost
1. Personnel
$0
2. Fringe Benefits
$0
3. Travel
$0
4. Equipment
$0
S. Supplies
$0
6. Contractual
$477.100
7. Construction
$0
S. Other
$0
9. Total Direct Charges
5477,100
10. Indirect Costs: % Base
$0
11. Total (Share: Recipient La % Federal 93.72 %.)
$477,100
12. Total Approved Assistance Amount
$447,100
13. Program Income
$0
2004-397
X 97989001 - 0 Paqe a
Administrative Conditions
1. An interim Financial Status Report (FSR), Standard Form 269A (Rev. 7/97), covering
the period from "project/budget period start date" to September 30 of each calendar
year shall be submitted to the Grants Management Office, PMD-7, no later than
December 31 of the same calendar year. The initial FSR is due December 31, 2004.
The FSR covering the entire project period shall be submitted within 90 days after the
end of the project period (40 CFR Part 31.23(b)).
2. The recipient shall comply with the Single Audit Act and the reporting requirements
set forth in OMB Circular A-133.
3. Pre -award costs estimated at $391,288 have been approved back to October 1,
2002 in accordance with the recipients application for federal assistance dated May 14,
2004.
4. The recipient agrees to complete and submit to the Grants Management Office,
PMD-7, a MBE/WBE Utilization Report (EPA Form 5700-52A), within 30 days after the
end of the Federal fiscal year, i.e., by October 30 of each calendar year. Negative
reports are required.
5. In accordance with EPA's Program for Utilization of Small, Minority and Women's
Business Enterprises in procurement under Federal assistance programs, the recipient
agrees to:
a) Accept the applicable FY 1999 "fair share" goals negotiated with EPA by the
California State Water Resources Control Board, as follows:
M13E
WBF
Construction
20%
10%
Supplies
24%
44%
Services
20%
31 %
Equipment
19%
16%
If the recipient does not want to rely on the applicable State's MBE/WBE "fair share"
goals, the recipient agrees to submit proposed MBE/WBE "fair share" goals based on
availability of qualified minority and women -owned businesses to do work in the
relevant market for construction, services, supplies, and equipment.��
"Fair share" objectives must be submitted to Joe Ochab, PMD-1, within 30 days of
award and approved by EPA no later than 30 days thereafter.
b) Ensure to the fullest extent possible that at least the applicable "fair share"
objective fsee a) above) of Federal funds for prime contracts for supplies, construction,
equipment or services are made available to organizations owned or controlled by
socially and economically disadvantaged individuals, women and historically black
colleges and universities.
2004-397 X-979890-01-0 Page 5
c) Include in its bid documents applicable "fair share" objectives (see a) above)and
require all of its prime contractors to include in their bid documents for subcontracts the
negotiated fair share percentages.
d) Follow the six affirmative steps stated in 40 CFR Section 30.44(b), Section
31.36(e), Section 35.3145(d), or Section 35.6580(a), as appropriate.
e) In the event race and/or gender neutral efforts prove to be inadequate to achieve
a fair share objective for MBE/WBEs, the recipient agrees to notify EPA in advance of
any race and/or gender conscious action it plans to take to more closely achieve the fair
share objective.
f) Until the recipient has completed its fair share negotiations with EPA, it agrees
to apply the main State agency's fair share objectives. Once the recipient has
completed its fair share negotiations with EPA, it will apply those objectives. The
recipient also agrees to include in its bid documents the applicable FY-1999 "fair Share"
objectives and require all of its prime contractors to include in their bid documents for
subcontracts the applicable FY 1999 "fair share" percentages and to comply with
paragraphs (c) through (e) above.
6. The cost principles of OMB Circular A-87 are applicable to this award. Since there
are no indirect costs included in the assistance budget, they are not allowable under
this Assistance Agreement.
7. The recipient agrees to comply with Title 40 CFR Part 34, New Restrictions on
Lobbying . The recipient shall include the language of this provision in award
documents for all subawards exceeding $100,000, and require that subrecipients
submit certification and disclosure forms accordingly.
In accordance with the Byrd Anti -Lobbying Amendment, any recipient who makes a
prohibited expenditure under Title 40 CFR Part 34 or fails to file the required
certification or lobbying forms shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such expenditure.
8. Pursuant to EPA's annual Appropriations Act, the chief executive officer of this
recipient agency shall require that no grant funds have been used to engage in lobbying
of the Federal Government or in litigation against the United States unless authorized
under existing law. As mandated by this Act, the recipient agrees to provide
certification to the award official via EPA Form 5700-53, Lobbying and Litigation
Certificate , or in a written statement. The Lobbying and Litigation certification and final
Financial Status Report shall be submitted within 90 days after the end of project
period.
Recipient shall abide by its respective OMB Circular (A-21, A-87, or A-122), which
prohibits the use of federal grant funds for litigation against the United States. Any Part
30 recipient shall abide by its respective OMB Circular (A-21 or A-122), which prohibits
the use of Federal grant funds to participate in various forms of lobbying or other
political activities.
2004-397
X-979890-01-0 Page 6
9. Pursuant to EPA Order 1000.25 and Executive Order 13101, the recipient agrees to
use recycled paper for all reports which are prepared as a part of this agreement and
delivered to EPA. This requirement does not apply to Standard Forms. These forms
are printed on recycled paper as available through the General Services Administration.
Recipient shall comply with the requirements set forth in Section 6002 of the Resource
Conservation and Recovery Act (RCRA) (42 U.S.C. 6962). Regulations issued under
RCRA Section 6002 apply to any acquisition of an item where the purchase price
exceeds $10,000 or where the quantity of such items acquired in the course of the
preceding fiscal year was $10,000 or more. RCRA Section 6002 requires that
preference be given in procurement programs to the purchase of specific products
containing recycled materials identified in guidelines developed by EPA. These
guidelines are listed in 40 CFR 247.
to. Effective October 1, 1994, the recipient agrees to ensure that all conference,
meeting, convention, or training space funded in whole or in part with Federal funds
complies with the Hotel and Motel Fire Safety Act of 1990.
11. The recipient shall fully comply with Subpart C of 40 CFR Part 32, entitled
"Responsibilities of Participants Regarding Transactions." The recipient is responsible
for ensuring that any lower tier covered transaction, as described in Subpart B of 40
CFR Part 32, entitled "Covered Transactions," includes a term or condition requiring
compliance with Subpart C. The recipient is responsible for further requiring the
inclusion of a similar term or condition in any subsequent lower tier covered
transactions. The recipient acknowledges that failing to disclose the information
required under 40 CFR 32.335 may result in the delay or negation of this assistance
agreement, or pursuance of legal remedies, including suspension and debarment.
The recipient may access the Excluded Parties List System at http://eyls.arnet.gov.
This term and condition supersedes EPA Form 5700-49, "Certification Regarding
Debarment, Suspension, and Other Responsibility Matters.
12. This award includes $30,000, of non-federal third party contributions. Third party
contributions counting towards satisfying a cost sharing or matching requirement must
be verifiable from the records of grantees and subgrantees. As applicable, these
records must reflect how the value is placed on third party contributions. The value of
third party contributions must be applicable to the period to which the cost sharing or
matching requirement apply (40 CFR Part 31.24).
Programmatic Conditions
13. In accordance with the National Environmental Policy Act (NEPA), 42 U.S.C. §
4321 et seq., EPA is required to conduct an environmental review on the project funded
by this grant. Accordingly, the recipient agrees to provide EPA, in a timely fashion, an
environmental information document (EID) containing all the necessary information on
the project including a written analysis of the alternatives and the environmental
impacts of the project. The EID must be of sufficient scope and detail to enable EPA to
perform an environmental review under NEPA and other Federal environmental
statutes.
2004-397 X-979890-01-0 Page 7
14. The recipient agrees not to take any action on the project beyond conceptual
design, including but not limited to, beginning the preparation of plans and
specifications, purchasing land, advertising or awarding design and/or construction
contracts, initiating construction or requesting reimbursement from EPA for costs
associated with such actions until such time as EPA has completed its environmental
review in accordance with NEPA and 40 C.F.R. Parts 6 and 1500 et sue. Completion of
this review will be evidenced by a signed Finding of No Significant Impact (FONSI) or
Record of Decision (ROD).
15. The recipient agrees that, upon completion of the NEPA review, design and
construction shall be undertaken in accordance with the results of that review, including
but not limited to, the implementation of measures EPA identifies as reasonable to
mitigate the environmental impacts of the project. EPA reserves the right to unilaterally
terminate this grant in the event the recipient fails to comply with this condition, in
accordance with 40 C.F.R. Section 31.43.
16. The grantee shall prepare and submit 2 progress reports which document activities
conducted for the Lakes and Streams Project. The first report will be due 30 days after
the date of award. This report will provide EPA with the status of all activities VZ3joy
conducted up to that date, including submittal of deliverables that have been "�
completed, as well as, provide EPA with a financial accounting of funds expended
to -date, along with any requests for reimbursement. The second and final report shall
be submitted by January 31, 2005. This report should provide EPA with a final
reporting of the tasks under this award. All deliverables (existing conditions report,
alternatives report, land use and circulation system maps and environmental
documentation necessary for EPA to eventually issue a NEPA FONSI or ROD) must be
submitted.
17. Modifications to the approved workplan, including additions, deletions, or changes
in the schedule, shall be submitted in a timely manner to the EPA Project Officer for
approval.
-- END OF DOCUMENT --
2004-397 FINANCIAL STATUS REPORT
(Short Form)
(Follow instructions on Me back)
1. Federal Agency and Organizational Element
2. Federal Grant or Other Identifying Number Assigned
OMB Approval
p aW of
I,Which Report is Submitted
By Federal Agency
No.
0348-4038
pages
3. Recipient Organization (Name and complete address, including ZIP code)
4. Employer Identification Number 115.
Recipient Account Number or Identifying Number
6. Rnal Report
7. Bash
[:]yes ❑ No
❑ Cesh [] Aperual
8. FundngfGrent Period (See instructions)
9. Period Covered by this Report
From: (Month, Day, Year) To: (Month, Day, Year)
From: (Month, Day, Year) To: (Month, Day, Year)
10. Trensacdons:
1
II
III
Previously
This
Cumulative
Reported
Period
a. Total outlays
.
It. Recipient share of outlays
c. Federal share of outlays
d. Total unliquidated obligations
r aE er^r Hk ^��•' v�1 ,• �'
e. Recipient share of unliquidated obligations
I. Federal share of unliquidated obligations
r: r
g. Total Federal share(Sum of lines c and
h. Total Federal funds authorized for this funding period
i. Unobligated balance of Federal fund�Une h minus #ne g)
1; a,
a. Type of Rdle(Place'V ah appropriate box)
11. Indirect
.❑ Provisional ❑ Predetermined ❑ Final Fixed
F�epense]b.
Rate
c. Base
d. Total Amount
e. Federal Share
12. Remarks. Ana any explanations deemed necessary or information required by Federal sponsoring agency in compliance with governing
legislation.
I
13. Certification: I certify to the best of my knowledge and belief that this report is correct and complete and that all outlays and
unliquidated obligations are for the purposes set forth In the award documents.
Typed or Printed Name and Title
Telephone (Area code, number and extension)
Signature of Authorized Certifying Official
Date Report Submitted
NSN 7540-01-218-4387 269-202 Standard Form 269A (Rev. 7-97)
Prescribed by OMB Circulars A-102 and A-11(
2004-397
OMB APPROVAL NO
PAGE OF
0348-0004
PAGES
REQUEST FOR ADVANCE
a X'onecrbdhboree
2 BASIS OF REQUEST
OR REIMBURSEMENT
❑ADVANCE ❑ REIMBURSE -
TYPE OF
MENT
❑ CASH
b. X' M. .,,I..64e b
PAYMENT
(See instructions on back)
REQUESTED
❑ FINAL ❑ PARTIAL
❑ ACCRUAL
a FEDERAL SPONSORING AGENCY AND ORGANIZATIONAL ELEMENT TO
4. FEDERAL GRAM OR OTHER
S. PARTIAL PAYMENT REQUEST
WHICH THIS REPORT IS SUBMITTED
IDENTIFYING NUMBER ASSIGNED
NUMBER FOR THIS REQUEST
BY FEDERAL AGENCY
6. EMPLOYER IDENTIFICATION
T RECIPIENT'S ACCOUNT NUMBER
S. PERIOD COVERED BY THIS REQUEST
FROM (e &L d y. yid
TO (m M. day. year)
NUMBER
OR IDENTIFYING NUMBER
9 REOPIENT ORGANIZATION
To. PAYEE (Where check is to be sent NdOerent Clan Item 9)
Name.
Name:
Number
Number
and Street:
and Street:
C#y' State
State
and ZIP Code:
and ZIP Code:
COMPUTATION OF AM1111NT nF REIMBURSEMENTSIADVANCES REQUESTED
I I.
-
(al
(b)
(c)
PROGRAMS)FUNCTIONS)ACTIVITIES ►
TOTAL
a. Total program (A: d dav)
$
$
$
$
outlays to date
b. Less: Cumulative program income
c. Net program outlays (Line a minus
fine b)
d. Estimated net cash outlays for advance
enod
e. Total (Sum of k'nes c 8 d)
I. Non -Federal share of amount on line e
,
Federal share of amount on line e
h Federal payments previously requested
i. Federal share now requested (Line g
minus fine h)
I P.dian-es required by
month, when requested Isl month
by Federal grantor
2nd month
agency Ior use in making
prescheduled advunras
3rd month
l�CC
n
—
12 ALI tKNA It IUMru IA I IUIV rwn v"i
made durina Deriod covered by the
balance of Federal cash on hand as of beginning of
A71
mount re uested (Una a mrnus Aria o
1 THORIZEO FOR LOCAL REPRODUCTION (u munued on Reverse) STANDARDFORMy OM I Circulars
Prescribed by OMB Circulars A-102 and A-110
2004-397
orr cOrrrRaL tsoweo.eaap
aPParnffi 2::2W
APPROVA EMNE& 1241M
U.S. ENVIRONMENTAL PROTECTION AGENCY
MBEIWBE UTILIZATION UNDER FEDERAL GRANTS, COOPERATIVE
AGREEMENTS, AND INTERAGENCY AGREEMENTS
PART I. (Reports are required even ff no procurements are made during the reporting period.)
to FEDERAL FISCAL YEAR
1B. REPORTING QUARTER (Check appropriate box)
200
❑ to (arm) ❑ 2° (Jan -Mar) ❑ V (Apr -Jun) ❑. 4a (Jul -Sep) ❑ Amtual
IC. REVISION
HIGHLIGHT ITEMS TO BE REVISED AND PROVIDE EXPLANATION IN BLOCK No. 6
Year.
Quarter:
2A. FEDERAL FINANCIAL ASSISTANCE AGENCY
3A. REPORTING RECIPIENT (Name and Addlasa)
(EPA Oats Address. AWN: DBE Coordinator)
28. REPORTING CONTACT
2C. PHONE:
38. REPORTING CONTACT (Recipient)
3C. PHONE:
(EPA DOE Coodbabr)
4A. FINANCLALASSISTANCE AGREEMENT ID NUMBER
48. FEDERAL FINANCIAL ASSISTANCE PROGRAM
(SRF State Recipients. Refer to Instructions for Completion of 4A. SA and 5C)
5A. TOTAL ASSISTANCE AGREEMENT
58. Check and skip to Block
SC. TOTAL PROCUREMENT AMOUNT THIS REPORTING
AMOUNT
No. 7 0 no procurements
PERIOD (ONLY Indude the amount not in any pdar reporlhg
and accomplishments
period and proammems nude by SRF Loan Recipients and Sub -
EPA Share: $
were made this reporting
Recipients)
period.
$
❑
(Exclude procurement amounts reported by Prime Contactors)
Recipient Share: f
5D. ACTUAL MBEIWBE PROCUREMENT ACCOMPLISHED THIS
5E. ACTUAL MBENVBE PROCUREMENT ACCOMPLISHED THIS
REPORTING PERIOD BY RECIPIENT (SRF State Recipients, Report
REPORTING PERIOD BY LOAN RECIPIENTS, SUB -RECIPIENTS,
State Procurement AcgNlaes Here)
AND PRIME CONTRACTORS
$ MBE $ WBE
$ MBE $ WOE
Construction
Construction
Equipment
Equipment
Services
Services
Supplies
Supplies -
TOTAL
TOTAL
6. COMMENTS:
7. NAME OF AUTHORIZED REPRESENTATIVE
TITLE
8. SIGNATURE OF AUTHORIZED REPRESENTATIVE
DATE
EPA FORM 5700-52A- (5/96) available electronically at h0ol/www.eoa.aov/osdbu/5700 52a odf
NOTE: THIS REPORT IS DUE 30 DAYS AFTER THE END OF EACH FEDERAL FISCAL QUARTER OR ANNUAL:
SUBMISSION DATES ARE: January 30, April 30, July 30, and October 30'
•ANNUALREPORT
2004-397
INSTRUCTIONS
MBE/WBE UTILIZATION UNDER FEDERAL ASSISTANCE AGREEMENTS AND INTERAGENCY
AGREEMENTS
EPA FORM 5700-52A
A. General Instructions:
MBENVBE utilization is based on Executive Orders
11625.12138,12432. P.L.102-389and EPARegulations
Part 30 and 31. EPA Form 5700-52A must be completed
by recipients of Federal grants, cooperative agreements,
or other Federal financial assistance which involve
procurement of supplies, equipment, construction or
services to accomplish Federal assistance programs.
Recipients are required to report to EPA within one month
following the end of each Federal fiscal year quarter or
annually as in the agreement.
B. Definitions:
Procurement is the acquisition through order, purchase,
lease or barter of supplies, equipment, construction or
services needed to accomplish Federal assistance
programs.
A contract is a written agreement between an EPA
recipient and another party (other than another public
agency) and any lower tier agreement for equipment,
services, supplies, or construction necessary to complete
the project. Includes personal and professional services,
agreements with consultants, and purchase orders.
A minority business enterprise (MBE) is a business
concem that is (1) at least 51 percent owned by one or
more minority individuals, or, in the case of a publicly
owned business, at least5l percent of the stock is owned
by one or more minority individuals; and (2) whose daily
business operations are managed and directed by one or
more of the minority owners.
U.S. citizenship is required. Recipients shall presume
that minority individuals include Black Americans,
Hispanic Americans, Native Americans, Asian Pacific
Americans, or other groups whose members are found to
be disadvantaged by the Small Business Act or by the
Secretary of Commerce under section 5 of Executive
order 11625. The reporting contact at EPA can provide
additional information.
A woman business enterprise (WBE) is a business
concern that is, (1) at least 51 percent owned by one or
more women, or, in the case of a publicly owned
business, at least 51 percent of the stock is owned by one
or more women and (2) whose daily business operations are
managed and directed by one or more of the women owners.
Business firms which are 51 percent owned by minorities or
women, but are in. fact managed and operated by non-mbwdly
individuals do not qualify for meeting MBENVBE procurement
goals.
The following affirmative steps forublizing MBEs and WBEs are
required to be documented:
1. Inclusion of MBEsNVBEs on solicitation fists.
2. Assure MBEs/WBEs are solicited once they are
identified.
3. Where feasible, divide total requirements into smaller
tasks to permit maximum MBENVBE participation.
4. Where feasible, establish delivery schedules which will
encourage MBENVBE participation.
5. Encourage use of the services of the U.S. Department
of Commerce's Minority Business Development
Agency (MBDA) and the U.S. Small Business
Administration to identify MBEs/WBEs.
6. Require that each party to a subgrant, subagreement,
or contract award take the affirmative steps outlined
here.
C. Instructions for Part I:
la. Complete Federal fiscal year.
1 b. Check applicable reporting box quarterly or annually.
(Federal fiscal year runs from October 1 through
September 30.)
1 c. Indicate if this is a change to previous year or quarter.
(Highlight items to be revised and provide
explanation in Block No.6-Comments.)
2a-c. "Will be provided by EPA."