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HomeMy Public PortalAbout13-8618 EPA For the Rehabilitation of Lift Stations 11B and 11C Sponsored by: City Manager RESOLUTION NO. 13-8618 A RESOLUTION OF THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA AUTHORIZING THE CITY MANAGER TO ACCEPT THE ENVIRONMENTAL PROTECTION AGENCY (EPA) SPECIAL APPROPRIATIONS ACT PROJECT (SAAP) GRANT, IN THE AMOUNT OF $970,000.00, FOR THE REHABILITATION OF LIFT STATIONS 11B AND 11C, PAYABLE FROM ACCOUNT NUMBER 35- 535630; PROVIDING FOR INCORPORATION OF RECITALS; PROVIDING FOR AN EFFECTIVE DATE WHEREAS, in FY 2009 and 2010, the City of Opa-locka requested funding from U.S. Department of Environmental Protection Agency ("EPA"); and WHEREAS, the EPA awarded the City $970,000.00 for the Wastewater Infrastructure Improvements Project; and WHEREAS, the funds will be used for rehabilitation of Pump Station 11B and Pump Station 11C; and WHEREAS, as per Resolution 12-8504, the Community Development Block Grant ("CDBG") funding of $400,000.00, will be used in conjunction to fund rehabilitation of Pump Stations 11B and 11C; and WHEREAS, the City Commission of the City of Opa-locka authorizes the City Manager to accept the EPA award in the amount of$970,000.00. NOW, THEREFORE, BE IT DULY RESOLVED BY THE CITY COMMISSION OF THE CITY OF OPA LOCKA, FLORIDA: Section 1. The recitals to the preamble are hereby incorporated by reference. Section 2. The City Commission of the City of Opa-locka, Florida, hereby directs and authorizes the City Manager to accept the Environmental Protection Agency Resolution No. 13-8618 ("EPA") Special Appropriations Act Project ("SAAP") Grant, in the amount of $970,000.00, for the rehabilitation of Lift Stations 11B and 11C, payable from Account Number 35-535630. Section 3. This resolution shall take effect immediately upon adoption. PASSED AND ADOPTED this 12th day of June, 2013. YRA T YLOR MAYOR Attest to: r -: J?anna Flores City Clerk Approved as to form and legal sufficiency: ., PO JUIrri Geller l EN.POON MARDER PA y A srney Moved by: COMMI ..IONER HOLMES Seconded by: COMMISSIONER JOHNSON Commission Vote: 4-0 Commissioner Holmes: YES Commissioner Johnson: OUT OF ROOM Commissioner Santiago: YES Vice-Mayor Kelley: YES Mayor Taylor: YES 2 i OC oPP-L C F. p' \�POp PS EO City of Opa-Locka Agenda Cover Memo Commission Meeting June 12,2013 Item Type: Resolution Ordinance Other Date: X (EnterXin box) Fiscal Impact: Ordinance Reading: id Reading 2lid Reading (Enter X in box) Yes No (Enter X in box) X Public Hearing: Yes No Yes No (EnterXin box) X Funding Source: (Enter Fund&Dept) Advertising Requirement: Yes No (Enter Acct No.) CDBG (EnterXin box) X 35-535630 Public Works Contract/P.O.Required: Yes No RFP/RFQ/Bid#: (EnterXin box) X N/A Strategic Plan Related Yes No Strategic Plan Priority Area: Strategic Plan Obj./Strategy: (list the (Enter X in box) X specific objective/strategy this item will address) Enhance Organizational 0 Bus.&Economic Dev • Increase public health safety and Public Safety p Economic Growth. Quality of Education 0 Qual.of Life&City Image • Communcation El Sponsor Name City Manager Department: Public Works Short Title: A RESOLUTION OF THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA AUTHORIZING THE CITY MANAGER TO ACCEPT THE ENVIRONMENTAL PROTECTION AGENCY (EPA) SPECIAL APPROPRIATIONS ACT PROJECT (SAAP) GRANT, IN THE AMOUNT OF NINE HUNDRED AND SEVENTY THOUSAND DOLLARS ($970,000.00) FOR THE REHABILITATION OF LIFT STATION l 1 B AND 11C PROJECTS. Staff Summary: Applications were submitted to the U.S. Department of Environmental Protection Agency requesting funding for the City's Wastewater Infrastructure Improvements Project. The City was awarded at total of $970,000.00. Proposed Action: Staff recommends the adoption of the Resolution to authorize the acceptance of the award and further authorize the City Manager to enter into and execute the necessary agreement. In executing the contract, the City can begin the construction phase of Pump Stations 11B and 11C. Both Pump Stations are also partially funded by Community Development Block Grant(CDBG). EPA Contract Document US EPA Region 4 Supplemental General Conditions for Federally Assisted Construction Contracts Resolution 12-8504 to accept the CDBG Award for Pump Station 11C Resolution 12-8411 to award contractors contract Resolution 12-8326 to advertise RFP „.OQpOCkQ o t 1pi Ia ion Memorandum TO: Mayor Myra L. Taylor Vice-Mayor Joseph L. Kel Commissioner Tim thy Ho Commissioner Doro i y ")ctt ” ohnson Commissioner Luis . S n1 a FROM: Kelvin L. Baker, Sr., City Manaer DATE: June 7,2013 RE: Authorization to accept the EPA gr it award for Wastewater Infrastructure Improvement(Pump Station 11B & 11C) Request: A RESOLUTION OF THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA AUTHORIZING THE CITY MANAGER TO ACCEPT THE U.S. ENVIRONMENTAL PROTECTION AGENCY AWARD IN THE AMOUNT OF NINE HUNDRED AND SEVENTY THOUSAND DOLLARS ($970,000.00) FOR THE WASTEWATER INFRASTRUCTURE IMPROVEMENT PROJECT, IN A FORM ACCEPTABLE TO THE CITY ATTORNEY. Description: The City requested funding in FY 2009 and 2010 from the EPA. The funds will be used for the Rehabilitation of Pump Station 11C and 11B. Both Pump Stations also received partial funding from Public Housing and Community Development in the amount of$300,000.00 for Lift Station#11C and $100,000.00 for 11B. Financial Impact: This is partial funding for the pump station 11C and 11B and will be added to the Community Development Block Grant awards to fund the cost of the rehabilitation. The remaining project cost of$605,118.00 will be covered by the City - Payable from Account # 35- 535630. Implementation Time Line: Immediately. Legislative History: Resolution No. 12- authorizing the City Manager to submit the application. Recommendation(s): Staff recommends the adoption of the Resolution to authorize the acceptance of the CDBG award and further to authorize the City Manager to enter into and execute the necessary agreement. Analysis: The rehabilitation of Lift Station 11C and 11B will facilitate the compliance with the Miami Dade County wastewater regulations. The additional funds will relieve the current funding gap that exist for this project, will allow the city to issue the Notice to Proceed to the approved contractor and enable the construction of both pump stations. Attachment(s): The EPA Contract EPA Supplemental General Conditions for Federally Assisted Construction Contracts City Resolution#12-8504 to accept CDBG funds City Resolution#12-8411 to award contractor's contract City Resolution#12-8326 to advertise RFP Prepared By: Charmaine Parchment,Accountant END OF MEMORANDUM Sponsored by: City Manager Resolution No. 12-8326 A RESOLUTION OF THE CITY COMMISSION OF THE CITY OF OPA-LOCKA,FLORIDA,TO AUTHORIZE THE CITY MANAGER TO ADVERTISE AND ISSUE A REQUEST FOR PROPOSALS (RFP) FOR QUALIFIED PROFESSIONAL CONTRACTORS FOR THE RECONSTRUCTION OF MASTER SANITARY SEWER PUMP STATION 11C; PROVIDING FOR INCORPORATION OF RECITALS;PROVIDING FOR AN EFFECTIVE DATE. WHEREAS,there is a need for the reconstruction of Master Sanitary Sewer Pump Station 11C, due to severe wear and tear to all mechanical and electrical components ; and WHEREAS,the City Commission of the City of Opa-locka desires qualified professional contractors to service Pump Station 11C; and WHEREAS,the City of Opa-locka will advertise and issue a Request for Proposals(RFP) for qualified professional contractors for reconstruction work to Master Sanitary Sewer Pump Station 11C. NOW,THEREFORE,BE IT DULY RESOLVED BY THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA: Section 1. The recitals to the preamble herein are incorporated by reference. Section 2. The City Commission of the City of Opa-locka,authorizes and directs the City Manager to advertise and issue a Request for Proposals (RFP) for qualified professional contractors for the reconstruction of Master Sanitary Sewer Pump Station 11C. Resolution No. 12-8326 Section 3. This resolution shall take effect immediately upon adoption. PASSED AND ADOPTED THIS 25th DAY OF January,2012. RAT., LOR MAYOR Attest to: Approved as to orm and legal sufficiency: • 400- !, e. ah S. •► 4 eller City Clerk • Att• ey Moved by: VICE MAYOR JOHNSON Seconded by: COMMISSIONER TYDUS Commission Vote: 4-1 Commissioner Holmes: NO Commissioner Miller: YES Commissioner Tydus: YES Vice-Mayor Johnson: YES Mayor Taylor: YES • OOk4 • • • MEMORANDUM TO: Mayor Myra L.Taylor Vice-Mayor Dorothy Johnson Commissioner Timothy Holmes Commissioner Rose Tydus Commissioner G;' Miller FROM: Bryan K.Finni• ' `� ►:meager DATE: January ,2 RE: Pump k.lion#11C Request: A RESOLUTION OF THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA AUTHORIZING THE CITY MANAGER TO ADVERTISE AND ISSUE A REQUEST FOR PROPOSALS (RFP) FOR QUALIFIED CONTRACTORS FOR THE RECONSTRUCTION OF THE MASTER SANITARY SEWER PUMP STATION 11C. Description: The City of Opa-locka will issue a Request for Proposal for contractors for the reconstruction of Sanitary Sewer Pump Stations 11C in order to remove it from moratorium. The City entered into a Consent Agreement with DERM on October 7, 2009 to correct deficiencies in the operations of the Sanitary Sewer System. Part of the agreement addresses reconstruction of the stations under moratorium to comply with DERM requirements. Visual inspections reveal severe wear and tear to all mechanical and electrical components of Pump Station 11C which causes frequent manhole surcharges which could potentially have environmental effects on the street and also into the adjacent canal. Financial Impact: The stations have approved funding in the FY 2012 budget plan. Implementation Timeline:The pump stations have been designed and permitted. Upon approval,the procurement process will commence. Legislative History:None Recommendation(s): Staff recommends approval to facilitate the requirements of DERM. Analysis: The pump stations are aged and have been assigned varying stages or moratorium status by DERM. This has imposed a building moratorium in the service areas of these stations. As a result growth and development have been hampered causing a loss of revenue for the City. The rehabilitation of the stations is vital to the City's continued development. The station rehabilitation will consist of the installation of new pumps, generator building, emergency by-pass system, connection piping, check valves, plug valves, pressure gauges, new electrical controls, panels, enclosures, switch gear, and all the associated electrical conduits; raceways,and other pump station components in accordance to Miami Dade County standards. •11 , • Attachment: Copy of RFP PREPARED BY: Mohammad Nasir,PE,City Engineer,Public Works and Utilities END OF MEMORANDUM Sponsored by: City Manager RESOLUTION NO. 12-8411 A RESOLUTION OF THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA, TO AUTHORIZE THE CITY MANAGER TO ENTER INTO AN AGREEMENT WITH C&I CONSTRUCTION AND DESIGN, INC. FOR THE REHABILITATION OF MASTER SANITARY SEWER PUMP STATION 11C, IN AN AMOUNT NOT TO EXCEED ONE MILLION FOUR HUNDRED SEVENTY-FIVE THOUSAND ONE HUNDRED EIGHTEEN DOLLARS ($1,475,118.00), PAYABLE FROM ACCOUNT NUMBER 35-535630; PROVIDING FOR INCORPORATION OF RECITALS; PROVIDING FOR AN EFFECTIVE DATE WHEREAS, the City issued Request for Proposals (RFP) for the rehabilitation of Sanitary Sewer Pump Station 11 C and received responses thereto; and WHEREAS, Pump Station 1 1C is very old, has had frequent failures and is in critical need of complete rehabilitation; and WHEREAS, the RFP evaluation panel composed of non-City staff members ranked the vendors based on advertised criteria; and WHEREAS, C&1 Construction and Design, Inc. was the most responsive and responsible and the highest ranked bidder per the panel's evaluation; and WHEREAS, the City Commission of the City of Opa-locka desires the City Manager to enter into an agreement with C&I Construction and Design, Inc., for complete rehabilitation of Pump Station 11C, in an amount not to exceed S1,475,118.00. NOW THEREFORE, BE IT DULY RESOLVED BY THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA; Section 1. The recitals to the preamble herein are incorporated by reference. , Resolution No. 12-8411 Section 2. The City Commission of the City of Opa-locka hereby authorizes the City Manager to enter into an agreement with C&I Construction and Design, Inc. for the rehabilitation of master Sanitary Sewer Pump Station 1IC, in substantially the form attached hereto, in an amount not to exceed One Million Four Hundred Seventy-Five Thousand One Hundred Eighteen Dollars ($1,475,118.00), payable from account number 35-535630. Section 3. This resolution shall take effect immediately upon adoption. PASSED AND ADOPTED this 9t,day of May,2012. AYLOR MAYOR Ap •oved as t n m for and -gal • f -iency: hest to: ,,!' LI 1` ( fA • Jos- �h S. the er canna Flores City Atto ey terim City Clerk i t Y Moved by: VICE MAYOR JOHNSON Seconded by: COMMISSIONER MILLER Commission Vote: 3-2 Commissioner Holmes: NO Commissioner Miller: YES Commissioner Tydus: YES Vice-Mayor Johnson: NO Mayor Taylor: YES Sponsored by: City Manager Resolution No. 12-8504 A RESOLUTION OF THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA, TO AUTHORIZE THE CITY MANAGER TO ACCEPT THE MIAMI-DADE COUNTY HOUSING AND COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) AWARD, IN THE AMOUNT OF THREE HUNDRED THOUSAND DOLLARS ($300,000.00) FOR THE REHABILITATION PROJECT OF LIFT STATION I IC,FOR THE CONTRACT PERIOD BEGINNING MAY 1, 2012 THROUGH DECEMBER 31,2013; PROVIDING FOR INCORPORATION OF RECITALS; PROVIDING FOR AN EFFECTTVE DATE WHEREAS, Miami-Dade County Board of County Commissioners awarded the City of Opa-locka a Community Development Block Grant(CDBG),which may be used to rehabilitate Lift Station I IC; and WHEREAS, the CDBG award is in the amount of $300,000, which shall serve as gap funding for the rehabilitation project for Lift Station I IC; and WHEREAS,the remaining Lift Station I IC project funding shall be paid by the City of Opa- locka, payable from Account No. 35-535630; and WHEREAS,the City Commission of the City of Opa-locka desires that the City Manager accept and execute the necessary agreement with Miami-Dade County to accept the CDBG award. NOW,THEREFORE,BE IT DULY RESOLVED BY THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA: Section 1. The recitals to the preamble herein are incorporated by reference. Section 2. The City Commission of the City of Opa-locka hereby authorizes and directs the City Manager to accept the Miami-Dade County Housing and Community Development Block Resolution No. 12-8504 Grant (CDBG) award, in the amount of Three Hundred Thousand Dollars ($300,000.00), for the rehabilitation project for Lift Station 11C, for the contract period beginning May 1, 2012 through December 31, 2013, with the remaining cost of the project to be paid by the City, payable from Account No. 35-535630. Notice to proceed shall not be issued without Commission approval. Section 3. This resolution shall take effect immediately upon adoption. PASSED AND ADOPTED this I21' day of December, 2012. • T OR MAYOR Attest to: oanna Flores ',city Clerk Approved as to form and legal sufficiency: f i 102, Jos=+h S. !,eller .. Atto ey Moved by: COMMISSIONER JOHNSON Seconded by: COMMISSIONER HOLMES Commission Vote: 5-0 Commissioner Holmes: YES Commissioner Johnson: YES Commissioner Santiago: YES Vice-Mayor Kelley: YES Mayor Taylor: YES XP-95490212-0 Page 1 GRANT NUMBER(FAIN): 95490212 40110 sr4' . U.S. ENVIRONMENTAL MODIFICATION NUMBER: 0 DATE OF AWARD PROGRAM CODE: XP 05/29/2013 PROTECTION AGENCY TYPE OF ACTION MAILING DATE New 06/05/2013 Grant Agreement PAYMENT METHOD: ACH# qt Reimbursement 40156 RECIPIENT TYPE: Send Payment Request to: Municipal Natalie Ellington,ellington.natalie@epa.gov,404-562-9453 RECIPIENT: PAYEE: City of Opa-locka City of Opa-locka 12950 N.W.42nd Ave. 12950 N.W. 42nd Ave. Opa-locka,FL 33054 Opa-locka,FL 33054 EIN: 59-6000394 PROJECT MANAGER EPA PROJECT OFFICER EPA GRANT SPECIALIST Charmaine Parchment Renea Hall Sharonita Johnson 12950 N.W.42nd Ave. 61 Forsyth Street Grants and Audit Management Section Opa-locka,FL 33054 Atlanta,GA 30303-8960 E-Mail: johnson.sharonita @epa.gov E-Mail: cparchment©opalockafl.gov E-Mail: hall.renea @epa.gov Phone:404-562-8311 Phone:305-953-2900 Phone:404-562-8397 PROJECT TITLE AND DESCRIPTION Congressionally Mandated Projects This action approves an award in the amount of$970,000 to the City of Opa-locka,Florida for wastewater infrastructure improvements. The City plans to rehabilitate two lift stations;Pump Station 11B and 11C to comply with the current engineering standards of Miami-Dade County. The project is located in the Everglades watershed(HUC#03090202). A Categorical Exclusion Determination for the project was issued on January 10,2013. BUDGET PERIOD PROJECT PERIOD TOTAL BUDGET PERIOD COST TOTAL PROJECT PERIOD COST 03/25/2013 - 09/30/2014 03/25/2013 - 09/30/2014 $1,975,118.00 $1,975,118.00 NOTICE OF AWARD Based on your Application dated 03/04/2013 including all modifications and amendments,the United States acting by and through the US Environmental Protection Agency(EPA)hereby awards$970,000.EPA agrees to cost-share 49.11%of all approved budget period costs incurred,up to and not exceeding total federal funding of$970,000. Recipient's signature is not required on this agreement. The recipient demonstrates its commitment to carry out this award by either:1)drawing down funds within 21 days after the EPA award or amendment mailing date;or 2)not filing a notice of disagreement with the award terms and conditions within 21 days after the EPA award or amendment mailing date. If the recipient disagrees with the terms and conditions specified in this award,the authorized representative of the recipient must furnish a notice of disagreement to the EPA Award Official within 21 days after the EPA award or amendment mailing date.In case of disagreement,and until the disagreement is resolved,the recipient should not draw down on the funds provided by this award/amendment,and any costs incurred by the recipient are at its own risk. This agreement is subject to applicable EPA statutory provisions.The applicable regulatory provisions are 40 CFR Chapter 1,Subchapter B,and all terms and conditions of this agreement and any attachments. ISSUING OFFICE(GRANTS MANAGEMENT OFFICE) AWARD APPROVAL OFFICE ORGANIZATION/ADDRESS ORGANIZATION/ADDRESS U.S.EPA,Region 4 61 Forsyth Street Water Protection Division Atlanta,GA 30303-8960 61 Forsyth Street Atlanta,GA 30303-8960 THE UNITED STATES OF AMERICA BY THE U.S.ENVIRONMENTAL PROTECTION AGENCY Digital signature applied by EPA Award Official Shirley White Grayer-Chief-Grants&Audit Management Section-Grants DATE 05/29/2013 Management Officer EPA Funding Information XP-95490212-0 Paget FUNDS FORMER AWARD THIS ACTION AMENDED TOTAL EPA Amount This Action $ $970,000 $970,000 EPA In-Kind Amount $ $ $ 0 Unexpended Prior Year Balance $ $ $0 Other Federal Funds $ $ $0 Recipient Contribution $ $1,005,118 $1,005,118 State Contribution $ $ $0 Local Contribution $ $ $0 Other Contribution $ $ $0 Allowable Project Cost $0 $1,975,118 $1,975,118 Assistance Program(CFDA) Statutory Authority Regulatory Authority _66.202-Congressionally Mandated Projects FY 2009 Omnibus Appropriations Act(PL 111-8) 40 CFR PART 31 _ Public Law 111-88 Department of Interior Environment and Related Agencies Appropriations Act 2010 Fiscal Site Name Req No FY Approp. Budget PRC Object Site/Project Cost Obligation/ Code Organization Class Organization Deobligation - 1304VX3040 11 E4 04VOAXN 202B51 4183 - - 970,000 970,000 XP-95490212-0 Page 3 Approved Budget Program Element Classification(Construction) Approved Allowable Budget Period Cost 1.Administration Expense $0 2.Preliminary Expense $0 3.Land Structure,Right Of Way $0 4.Architectural Engineering Basic Fees $0 5. Other Architectural Engineering Fees $0 6.Project Inspection Fees $100,000 7.Land Development $0 8.Relocation Expenses $0 9.Relocation Payments to Individuals&Bus. $0 10.Demolition and Removal $0 11.Construction and Project Improvement $1,875,118 12.Equipment $o 13.Miscellaneous $0 14.Total(Lines 1 thru 13) $1,975,118 15.Estimate Income $0 16.Net Project Amount(Line 14 minus 15) $1,975,118 17.Less:Ineligible Exclusions $0 18.Add: Contingencies $0 19.Total(Share:Recip 50.89%Fed 49.11%) $1,975,118 20.TOTAL APPROVED ASSISTANCE AMOUNT $970,000 XP-95490212-0 Page 4 Administrative Conditions 1. PROCUREMENT FOR ENGINEERING AND OTHER PROFESSIONAL SERVICES The costs of professional engineering and any other professional services contracts procured in compliance with the minimum standards for procurement under grants (see 40 CFR 31.36)are allowable costs for reimbursement with grant funds. No grant funds may be used to reimburse the federal share of any engineering or other professional services contract(s)found to be in noncompliance with the grant procurement regulations. (Note: all project expenditures are deemed to include both the federal and nonfederal shares). The recipient agrees to conduct all procurement for engineering and other professional services in compliance with 40 CFR 31.36(b)-(k). The recipient also agrees to submit to EPA for pre-award and/or post-award review procurement documents including, but not limited to: selection procedures, requests for qualifications and/or proposals, evaluation methodology and results, memorandum of review or negotiation, cost analyses, proposed contract documents, etc. No payments may be made under this grant until EPA has received and reviewed the procurement documents for compliance with the minimum standards for procurement. 2. PROCUREMENT FOR CONSTRUCTION The cost of construction contracts procured in compliance with the minimum standards for procurement under grants (see 40 CFR 31.36) are allowable costs for reimbursement with grant funds. No grant funds may be used to reimburse the federal share of any construction contract(s)found to be in noncompliance with the grant procurement regulations. (Note: all project expenditures are deemed to include both the federal and nonfederal shares). The recipient agrees to conduct all procurement for construction in compliance with 40 CFR 31.36(b)-(k) and include the"EPA Supplemental General Conditions for Federally Assisted Construction Contracts" (enclosed) including Minority Business Enterprise and Women's Business Enterprise Goals in any bidding documents. The recipient also agrees to submit to EPA for pre-award and/or post award review procurement documents including, but not limited to: invitations for bids, independent cost estimates, bid documents, disadvantaged business enterprise documentation, etc. No payments may be made under this grant until EPA has reviewed the construction procurement documents for compliance with the minimum standards for procurement. 3. LOBBYING AND LITIGATION -ALL RECIPIENTS The chief executive officer of this recipient agency shall ensure that no grant funds awarded under this assistance agreement are used to engage in lobbying of the Federal Government or in litigation against the United States unless authorized under existing law. The 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 or for lobbying or other political activities. 4. LOBBYING -ALL RECIPIENTS 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. 5. RECYCLING TERM AND CONDITION In accordance with Section 6002 of the Resource Conservation and Recovery Act(RCRA) (42 U.S.C. 6962)any State agency or agency of a political subdivision of a State which is using appropriated Federal funds shall comply with the requirements set forth. 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. In accordance with the polices set forth in EPA Order 1000.25 and Executive Order 13423, Strengthening Federal Environmental, Energy and Transportation Management(January 24, 2007), the recipient agrees to use recycled paper and double sided printing for all reports which are prepared as a part of this agreement and delivered to EPA. This requirement does not apply to reports prepared on forms supplied by EPA, or to Standard Forms, which are printed on recycled paper and are available through the General Services Administration. 6. HISTORIC PROPERTIES The recipient agrees to consult with the appropriate State Office in the identification and evaluation of any pre-1946 structures which may be impacted by scheduled project activities, or properties located adjacent to the activities areas. The recipient agrees to comply with efforts to identify, evaluate and appropriately design project activities to avoid or minimize adverse project impacts to any historic properties listed, or which satisfy the criteria for eligibility for listing(36 CFR 60.4), in the National Register of Historic Places. 7. PROVISIONS The provisions of the"Award of Grants and Cooperative Agreements for the Special Projects and Programs Authorized by the Agency's FY2009 and 2010 Appropriations Act"dated July 27,2009 and March 29 ,2010 (attached) is incorporated herein by reference. 8. SUSPENSION AND DEBARMENT-ALL RECIPIENTS Recipients shall fully comply with Subpart C of 2 CFR Part 180 entitled, "Responsibilities of Participants Regarding Transactions Doing Business With Other Persons,"as implemented and supplemented by 2 CFR Part 1532. Recipient is responsible for ensuring that any lower tier covered transaction, as described in Subpart B of 2 CFR Part 180, entitled"Covered Transactions," includes a term or condition requiring compliance with Subpart C. Recipient is responsible for further requiring the inclusion of a similar term or condition in any subsequent lower tier covered transactions. Recipient acknowledges that failing to disclose the information required under 2 CFR 180.335 may result in the delay or negation of this assistance agreement, or pursuance of legal remedies, including suspension and debarment. Recipients may access suspension and debarment information at http://www.sam.gov. This system allows recipients to perform searches determining whether an entity or individual is excluded from receiving Federal assistance. This term and condition supersedes EPA Form 5700-49, "Certification Regarding Debarment, Suspension, and Other Responsibility Matters." 9. THIRD PARTY FUNDS OR SERVICES CONDITION This offer is made contingent upon EPA receipt and review of evidence that firm commitments for all sources of required matching share for this EPA grant are in effect prior to advertising for bids on the project. This contingency includes third party sources where third parties are in any manner furnishing funds or services which will be used as required matching share for this EPA grant. No payments will be made by EPA under this assistance agreement until EPA has received and reviewed the requested documentation. 10. EPA PARTICIPATION This award and the resulting ratio of funding is based on estimated costs requested in the application. EPA participation in the final total allowable program/project costs (outlays)shall not exceed the statutory limitation (55%)of total allowable program/project costs or the total funds awarded, whichever is lower. 11. DRUG-FREE WORKPLACE CERTIFICATION FOR ALL EPA RECIPIENTS The recipient organization of this EPA assistance agreement must make an ongoing, good faith effort to maintain a drug-free workplace pursuant to the specific requirements set forth in Title 2 CFR Part 1536 Subpart B. Additionally, in accordance with these regulations,the recipient organization must identify all known workplaces under its federal awards, and keep this information on file during the performance of the award. Those recipients who are individuals must comply with the drug-free provisions set forth in Title 2 CFR Part 1536 Subpart C. The consequences for violating this condition are detailed under Title 2 CFR Part 1536 Subpart E. Recipients can access the Code of Federal Regulations (CFR)Title 2 Part 1536 at http://ecfr.gpoaccess.gov/cg i/t/text/text-idx?c=ecfr&sid=701081165f70316effa8ebf67df73de0&rg n =div5&view=text&node=2:1.2.11.11.2&idno=2. 12. HOTEL-MOTEL FIRE SAFETY Pursuant to 40 CFR 30.18, if applicable, and 15 USC 2225a, the recipient agrees to ensure that all space for conferences, meetings, conventions, or training seminars funded in whole or in part with federal funds complies with the protection and control guidelines of the Hotel and Motel Fire Safety Act(PL 101-391, as amended). Recipients may search the Hotel-Motel National Master List at http://www.usfa.dhs.gov/applications/hotel/to see if a property is in compliance(FEMA ID is currently not required), or to find other information about the Act. 13. DISADVANTAGED BUSINESS ENTERPRISE (DBE)CONDITION FOR non-SRF RECIPIENTS GENERAL COMPLIANCE, 40 CFR, Part 33 The recipient agrees to comply with the requirements of EPA's Program for Utilization of Small, Minority and Women's Business Enterprises in procurement under assistance agreements, contained in 40 CFR, Part 33. FAIR SHARE OBJECTIVES, 40 CFR, Part 33, Subpart D A recipient must negotiate with the appropriate EPA award official, or his/her designee, air share objectives for MBE and WBE (MBE/WBE) participation in procurement under the financial assistance agreements. Accepting the Fair Share Objectives/Goals of Another Recipient The dollar amount of this assistance agreement is$250,000, or more; or the total dollar amount of all of the recipient's non-TAG assistance agreements from EPA in the current fiscal year is $250,000, or more. The recipient accepts the applicable MBE/WBE fair share objectives/goals negotiated with EPA by the Florida Department of Environmental Protection as follows: MBE: CONSTRUCTION 9%; SUPPLIES 9%; SERVICES 9% ; EQUIPMENT 9% WBE: CONSTRUCTION 3%; SUPPLIES 3% ; SERVICES 3%; EQUIPMENT 3% By signing this financial assistance agreement, the recipient is accepting the fair share objectives/goals stated above and attests to the fact that it is purchasing the same or similar construction, supplies, services and equipment, in the same or similar relevant geographic buying market as Florida Department of Environmental Protection. Negotiating Fair Share Objectives/Goals,40 CFR, Section 33.404 The recipient has the option to negotiate its own MBENVBE fair share objectives/goals. If the recipient wishes to negotiate its own MBE/WBE fair share objectives/goals, the recipient agrees to submit proposed MBE/WBE objectives/goals based on an availability analysis, or disparity study, of qualified MBEs and WBEs in their relevant geographic buying market for construction, services, supplies and equipment. The submission of proposed fair share goals with the supporting analysis or disparity study means that the recipient is not accepting the fair share objectives/goals of another recipient. The recipient agrees to submit proposed fair share objectives/goals,together with the supporting availability analysis or disparity study, to the Regional MBE/WBE Coordinator within 120 days of its acceptance of the financial assistance award. EPA will respond to the proposed fair share objective/goals within 30 days of receiving the submission. If proposed fair share objective/goals are not received within the 120 day time frame,the recipient may not expend its EPA funds for procurements until the proposed fair share objective/goals are submitted. SIX GOOD FAITH EFFORTS, 40 CFR, Part 33, Subpart C Pursuant to 40 CFR, Section 33.301, the recipient agrees to make the following good faith efforts whenever procuring construction, equipment, services and supplies under an EPA financial assistance agreement, and to require that sub-recipients, loan recipients, and prime contractors also comply. Records documenting compliance with the six good faith efforts shall be retained: (a) Require DBEs are made aware of contracting opportunities to the fullest extent practicable through outreach and recruitment activities. For Indian Tribal, State and Local and Government recipients, this will include placing DBEs on solicitation lists and soliciting them whenever they are potential sources. (b) Make information on forthcoming opportunities available to DBEs and arrange time frames for contracts and establish delivery schedules, where the requirements permit, in a way that encourages and facilitates participation by DBEs in the competitive process. This includes, whenever possible, posting solicitations for bids or proposals for a minimum of 30 calendar days before the bid or proposal closing date. (c) Consider in the contracting process whether firms competing for large contracts could subcontract with DBEs. For Indian Tribal, State and local Government recipients, this will include dividing total requirements when economically feasible into smaller tasks or quantities to permit maximum participation by DBEs in the competitive process. (d) Encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to handle individually. (e) Use the services and assistance of the SBA and the Minority Business Development Agency of the Department of Commerce. (f) If the prime contractor awards subcontracts, require the prime contractor to take the steps in paragraphs (a)through (e)of this section. MBE/WBE REPORTING,40 CFR, Part 33, Sections 33.502 and 33.503 The recipient agrees to complete and submit EPA Form 5700-52A, "MBE/WBE Utilization Under Federal Grants, Cooperative Agreements and Interagency Agreements"beginning with the Federal fiscal year reporting period the recipient receives the award, and continuing until the project is completed. Only procurements with certified MBE/WBEs are counted toward a recipient's MBE/WBE accomplishments. The reports are due within 30 days of the end of the semiannual reporting periods(April 30th and October 30th). Reports should be sent to: U.S. Environmental Protection Agency Grants Management Office SNAFC, 61 Forsyth Street, SW Atlanta, GA 30303 Final MBE/WBE reports must be submitted within 90 days after the project period of the grant ends. Your grant cannot be officially closed without all MBE/WBE reports. EPA Form 5700-52A may be obtained from the EPA Office of Small Business Program's Home Page on the Internet at www.epa.gov/osbp . CONTRACT ADMINISTRATION PROVISIONS, 40 CFR, Section 33.302 The recipient agrees to comply with the contract administration provisions of 40 CFR, Section 33.302. BIDDERS LIST, 40 CFR, Section 33.501(b)and (c) Recipients of a Continuing Environmental Program Grant or other annual reporting grant, agree to create and maintain a bidders list. Recipients of an EPA financial assistance agreement to capitalize a revolving loan fund also agree to require entities receiving identified loans to create and maintain a bidders list if the recipient of the loan is subject to, or chooses to follow, competitive bidding requirements. Please see 40 CFR, Section 33.501 (b)and (c)for specific requirements and exemptions. 14. TRAFFICKING IN PERSONS a. Provisions applicable to a recipient that is a private entity. 1. You as the recipient, your employees, subrecipients under this award, and subrecipients' employees may not- i. Engage in severe forms of trafficking in persons during the period of time that the award is in effect; ii. Procure a commercial sex act during the period of time that the award is in effect; or iii. Use forced labor in the performance of the award or subawards under the award. 2. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or a subrecipient that is a private entity— i. Is determined to have violated a prohibition in paragraph a.1 of this award term; or ii. Has an employee who is determined by the agency official authorized to terminate the award to have violated a prohibition in paragraph a.1 of this award term through conduct that is either— A.Associated with performance under this award; or B. Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement)," as implemented by our Agency at 2 CFR 1532. b. Provision applicable to a recipient other than a private entity. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if a subrecipient that is a private entity- 1. Is determined to have violated an applicable prohibition in paragraph a.1 of this award term; or 2. Has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in paragraph a.1 of this award term through conduct that is either- i.Associated with performance under this award; or ii. Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement)," as implemented by our agency at 2 CFR 1532 c. Provisions applicable to any recipient. 1. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.1 of this award term. 2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this section: i. Implements section 106(g)of the Trafficking Victims Protection Act of 2000(TVPA), as amended (22 U.S.C. 7104(g)), and ii. Is in addition to all other remedies for noncompliance that are available to us under this award. 3. You must include the requirements of paragraph a.1 of this award term in any subaward you make to a private entity. d. Definitions. For purposes of this award term: 1. "Employee" means either: i. An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this award; or ii. Another person engaged in the performance of the project or program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements. 2. "Forced labor" means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery. 3. "Private entity": i. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25. ii. Includes: A.A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b). B. A for-profit organization. 4. "Severe forms of trafficking in persons," "commercial sex act," and "coercion" have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102). 15. SINGLE AUDIT ACT In accordance with OMB Circular A-133, which implements the Single Audit Act, the recipient hereby agrees to obtain a single audit from an independent auditor, if it expends$500,000 or more in total Federal funds in any fiscal year. Within nine months after the end of a recipient's fiscal year or 30 days after receiving the report from the auditor, the recipient shall submit the SF-SAC and a Single Audit Report Package. The recipient MUST submit the SF-SAC and a Single Audit Report Package, using the Federal Audit Clearinghouse's Internet Data Entry System. For complete information on how to accomplish the single audit submissions, you will need to visit the Federal Audit Clearinghouse Web site: http://harvester.census.gov/fac/ 16. FULLY FUNDED EARMARKS For fully funded agreements based on an earmark: EPA is fully funding this assistance agreement based on the terms of a congressional earmark. If future earmarks are not provided for this project and recipient, supplemental funding for this project is not guaranteed. 17. MANAGEMENT FEES AND SIMILAR CHARGES Management fees or similar charges in excess of the direct costs and approved indirect rates are not allowable. The term"management fees or similar charges"refers to expenses added to the direct costs in order to accumulate and reserve funds for ongoing business expenses, unforeseen liabilities, or for other similar costs which are not allowable under this assistance agreement. Management fees or similar charges may not be used to improve or expand the project funded under this agreement, except to the extent authorized as a direct cost of carrying out the scope of work. 18. Central Contractor Registration and Universal Identifier Requirements. A. Requirement for Central Contractor Registration (CCR)/System for Award Management (SAM). Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. B. Requirement for Data Universal Numbering System (DUNS) numbers. If you are authorized to make subawards under this award, you: 1.Must notify potential subrecipients that no entity(see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its DUNS number to you. 2.May not make a subaward to an entity unless the entity has provided its DUNS number to you. C. Definitions. For purposes of this award term: 1.Central Contractor Registration (CCR)/Svstem for Award Management(SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the System for Award Management(SAM) Internet site http://www.sam.gov. 2.Data Universal Numbering System (DUNS) number means the nine-digit number established and assigned by Dun and Bradstreet, Inc. (D&B)to uniquely identify business entities. A DUNS number may be obtained from D&B by telephone(currently 866-705-5711) or the Internet(currently at http://fedaov.dnb.com/webform). 3.Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C: a.A Governmental organization, which is a State, local government, or Indian tribe; b.A foreign public entity; c. A domestic or foreign nonprofit organization; d.A domestic or foreign for-profit organization; and e.A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity. 4.Subaward: a.This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b.The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. –.210 of the attachment to OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations'). c.A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5.Subrecipient means an entity that: a.Receives a subaward from you under this award; and b.Is accountable to you for the use of the Federal funds provided by the subaward. 19. SUBAWARD REPORTING AND COMPENSATION a. Reporting of first-tier subawards. 1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates$25,000 or more in Federal funds that does not include Recovery funds(as defined in section 1512(a)(2)of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5)for a subaward to an entity(see definitions in paragraph e of this award term). 2. Where and when to report. i. You must report each obligating action described in paragraph a.1. of this award term to www.fsrs.gov. ii. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.) 3. What to report. You must report the information about each obligating action that the submission instructions posted at www.fsrs.gov specify. b. Reporting Total Compensation of Recipient Executives. 1. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if– i. the total Federal funding authorized to date under this award is$25,000 or more; ii. in the preceding fiscal year, you received- (A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts)and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320(and subawards); and (B)$25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts)and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320(and subawards); and iii.The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a)or 15(d)of the Securities Exchange Act of 1934(15 U.S.C. 78m(a), 78o(d))or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.) 2. Where and when to report. You must report executive total compensation described in Paragraph b.1. of this award term: i. As part of your registration Central Contractor Registration/System for Award Management profile available at www.sam.gov. ii. By the end of the month following the month in which this award is made, and annually thereafter. c. Reporting of Total Compensation of Subrecipient Executives. 1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term,for each first-tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if– i. in the subrecipient's preceding fiscal year, the subrecipient received— (A)80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts)and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320(and subawards); and (B)$25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act(and subawards); and li. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a)or 15(d)of the Securities Exchange Act of 1934(15 U.S.C. 78m(a), 78o(d))or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.) 2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term: i. To the recipient. ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year(i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year. d. Exemptions If, in the previous tax year, you had gross income, from all sources, under$300,000, you are Exempt from the requirements to report: I subawards, and ii. the total compensation of the five most highly compensated executives of any subrecipient. e. Definitions. For purposes of this award term: 1. Entity means all of the following, as defined in 2 CFR part 25: i. A Governmental organization, which is a State, local government, or Indian tribe; ii.A foreign public entity; iii. A domestic or foreign nonprofit organization; iv. A domestic or foreign for-profit organization; v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity. 2. Executive means officers, managing partners, or any other employees in management positions. 3. Subaward: i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. ii. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. --.210 of the attachment to OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations"). iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract. 4. Subrecipient means an entity that: i. Receives a subaward from you (the recipient) under this award; and ii. Is accountable to you for the use of the Federal funds provided by the subaward. 5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)): i. Salary and bonus . ii. Awards of stock, stock options, and stock appreciation rights . Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123(Revised 2004) (FAS 123R), Shared Based Payments. iii. Earnings for services under non-equity incentive plans . This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees. iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. v.Above-market earnings on deferred compensation which is not tax-qualified . vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property)for the executive exceeds$10,000. 20. CIVIL RIGHTS OBLIGATIONS GENERAL This term and condition incorporates by reference the signed assurance provided by the recipient's authorized representative on: 1) EPA Form 4700-4, "Preaward Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance"; and 2) Standard Form 424B or Standard Form 424D, as applicable. These assurances and this term and condition obligate the recipient to comply fully with applicable civil rights statutes and implementing EPA regulations. STATUTORY REQUIREMENTS In carrying out this agreement,the recipient must comply with: • Title VI of the Civil Rights Act of 1964,which prohibits discrimination based on race, color, and national origin, including limited English proficiency(LEP), by entities receiving Federal financial assistance. • Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination against persons with disabilities by entities receiving Federal financial assistance; and The Age Discrimination Act of 1975,which prohibits age discrimination by entities receiving Federal financial assistance. If the recipient is conducting an education program under this agreement, it must also comply with: • Title IX of the Education Amendments of 1972,which prohibits discrimination on the basis of sex in education programs and activities operated by entities receiving Federal financial assistance. If this agreement is funded with financial assistance under the Clean Water Act(CWA),the recipient must also comply with: • Section 13 of the Federal Water Pollution Control Act Amendments of 1972,which prohibits discrimination on the basis of sex in CWA-funded programs or activities. REGULATORY REQUIREMENTS The recipient agrees to comply with all applicable EPA civil rights regulations, including: • For Title IX obligations, 40 C.F.R. Part 5; and • For Title VI, Section 504,Age Discrimination Act, and Section 13 obligations, 40 C.F.R. Part 7. • As noted on the EPA Form 4700-4 signed by the recipient's authorized representative, these regulations establish specific requirements including maintaining compliance information, establishing grievance procedures, designating a Civil Rights Coordinator, and providing notices of non-discrimination. TITLE VI—LEP, Public Participation and Affirmative Compliance Obligation • As a recipient of EPA financial assistance, you are required by Title VI of the Civil Rights Act to provide meaningful access to LEP individuals. In implementing that requirement, the recipient agrees to use as a guide the Office of Civil Rights(OCR)document entitled"Guidance to Environmental Protection Agency Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons." The guidance can be found at http://frwebgate.access.gpo.gov/cqi-bin/getdoc.cgi?dbname=2004 register&docid=fr25in04-79.n d • If the recipient is administering permitting programs under this agreement, the recipient agrees to use as a guide OCR's Title VI Public Involvement Guidance for EPA Assistance Recipients Administering Environmental Permitting Programs. The Guidance can be found at http://edocket.access.gpo.gov/2006/pdf/06-2691.pdf. • In accepting this assistance agreement, the recipient acknowledges it has an affirmative obligation to implement effective Title VI compliance programs and ensure that its actions do not involve discriminatory treatment and do not have discriminatory effects even when facially neutral. The recipient must be prepared to demonstrate to EPA that such compliance programs exist and are being implemented or to otherwise demonstrate how it is meeting its Title VI obligations. 21. PAYMENT METHOD a. The Debt Collection Improvement Act of 1996 requires that Federal payments be made by electronic funds transfer. In order to comply with the Act, a recipient must receive payments via one of two electronic methods available to them: Automated Standard Application for Payments(ASAP) The ASAP system is the preferred method of payment for EPA grantees. ASAP enrollment is highly encouraged for organizations that have multiple grants/cooperative agreements and for those with a frequent need to request funds. If your organization uses multiple bank accounts for EPA grants/cooperative agreements, you must enroll in ASAP. If you are interested in receiving funds electronically via ASAP, please complete the ASAP Initiate Enrollment form located at http://www.epa.gov/ocfo/finservices/forms.htm and email it to LVFC-grants @epa.gov or fax it to LVFC at 702-798-2423 Under this payment mechanism, the Recipient initiates, via ASAP, an electronic payment request which is approved or rejected based on the amount of available funds authorized by EPA in the Recipient's account. Approved funds are credited to the recipient organization at the financial institution identified on the recipient's ASAP enrollment application.Additional information concerning ASAP and enrollment can be obtained by contacting the EPA Las Vegas Finance Center, at(702)798-2485, or by visiting www.fms.treas.qov/asap. Electronic Funds Transfer(EFT) Under this payment mechanism,the EPA Las Vegas Finance Center will obtain your organization's banking information from your System for Award Management(SAM) registration. Upon completion of required Regional training, a Las Vegas Finance Center Representative will send you an email message with your EFT Control Number and payment information. Additional information concerning EFT can be obtained by contacting the EPA Las Vegas Finance Center at(702)798-2485, or by visiting http://www.epa.aov/ocfo/finservices/payinfo.htm NOTE: If your banking information is not correct or changes at any time prior to the end of your agreement, please update your SAM registration and notify the EPA Las Vegas Finance Center as soon as possible so the new banking information can be retrieved. This is vital to ensure proper and timely deposit of funds. b. In accepting this assistance agreement, the recipient agrees to draw cash only as needed for its disbursement. Failure on the part of the recipient to comply with this condition may cause the undisbursed portions of the assistance agreement to be revoked and financing method changed to a reimbursable basis. 22. Award Acceptance Language Based on your Application dated 03/04/2013 including all modifications and amendments, the United States acting by and through the US Environmental Protection Agency(EPA) hereby awards$970,000. EPA agrees to cost-share 49.11%of all approved budget period costs incurred, up to and not exceeding total federal funding of$970,000. Recipient's signature is not required on this agreement. The recipient demonstrates its commitment to carry out this award by either: 1)drawing down funds within 21 days after the EPA award or amendment mailing date; or 2) not filing a notice of disagreement with the award terms and conditions within 21 days after the EPA award or amendment mailing date. If the recipient disagrees with the terms and conditions specified in this award, the authorized representative of the recipient must furnish a notice of disagreement to the EPA Award Official within 21 days after the EPA award or amendment mailing date. In case of disagreement, and until the disagreement is resolved, the recipient should not draw down on the funds provided by this award/amendment, and any costs incurred by the recipient are at its own risk. This agreement is subject to applicable EPA statutory provisions. The applicable regulatory provisions are 40 CFR Chapter 1, Subchapter B, and all terms and conditions of this agreement and any attachments. Programmatic Conditions 1. The grantee agrees to follow procedures contained in the most current edition of the EPA Region 4,A Special Appropriations Projects (SPAPs)Grant Procedures Workbook(online workbook at http://www.epa.gov/region4/water/qtas/specialappropriations.html ). 2. The grantee shall follow all requirements under 40 CFR§31.36 when procuring construction contracts including: assuring full and open competition; procuring by federally approved methods; performing a cost/price analysis; and ensuring contracts include MBE/ BE requirements, bonding requirements, compliance with federal, state and local laws, inclusion of Part 31.36(i)contract provisions, and subcontractor requirements. 3. The grantee agrees to obtain EPA Project Officer review and concurrence of plans and specifications for all construction contracts prior to the advertisement for bids. 4. The grantee shall notify the EPA Project Officer of any contract awards made as part of this grant and provide a copy to EPA if so requested. 5. In consultation with the EPA Project Officer, the grantee shall conduct a pre-construction conference for each construction contract awarded as part of this grant. 6. The grantee will assure the EPA that all land, easements, and rights-of-way necessary for the construction of the project have been obtained prior to initiating construction. 7. The grantee will obtain all necessary state and local permits, including a permit to construct from the appropriate state agency, coverage under the State's NPDES general permit for construction activities, and/or a Corps of Engineers Section 404 permit(if applicable), prior to initiating construction. 8. The grantee shall submit to the EPA Project Officer a semi-annual progress report beginning with the award of this grant and a final report pursuant to 40 CFR§31.40. These reports will consist of updated progress toward work objectives, problems encountered, actions taken to resolve problems and discussion of remaining tasks. This report may be as brief as one page, or for grant for construction an invoice of work performed that time period, so long as all the requested information is provided. The items listed below should be addressed, as appropriate: Semi-Annual Progress Report Outline for Special Appropriations Grants Grant Number. Grantee Name: Project Name: Grantee's Authorized Representative: a. What work was accomplished for this reporting period? b. What problems, if any, were encountered? c. If a problem was encountered, what action was taken to correct it? d. Is the project work on schedule? (a)This reporting period? (b) For the project? e. If the project is not on schedule,what is proposed for a revised schedule? f. Does the new schedule require a time extension? g. Is there a change in the Grantee's Authorized Representative or any of the key contacts? 9. The EPA, and its delegated representatives, shall have access to the project work site and project records at all times. 10. The grantee has to obtain EPA approval for pre-award costs occurring on or after October 1 s`in the year of the appropriations for the project covered by this grant. The grantee agrees to submit copies of invoices, appraisals, etc.to EPA for review and approval of these pre-award costs. 11. The grantee agrees to comply with the applicable Cross-Cutting Federal Laws and Authorities listed as an attachment to this grant award document. 12. The grantee will submit its reimbursement request(SF271)and appropriate invoices to EPA to obtain reimbursement. 13. The grantee is encouraged to utilize environmentally preferable practices in the course of procuring goods and services under this grant. "Environmentally preferable" is defined as products or services that have a lesser or reduced effect of human health and the environment. Consideration of environmentally preferable practices should be consistent with price, performance, availability, and safety conditions. Examples include: -General construction:Adding ranking factors or contract language for construction contracts for the contractor to: adopt practices reduce idling of construction equipment, use clean diesel fuels in construction equipment, install emissions retrofits equipment, repower construction equipment engines, etc. More information on environmentally preferable practices for construction projects can be found at: www.epa.qov/cleandiesel/construction/stratepies.htm, www.epa.goc.cleandiesel/construction/whatyoucando.htm, and http://www.epa.goy/otaa/retrofit/yerif-list.htm. -Construction of buildings:Adding ranking factors or contract language for the contractor to include green building techniques such as: designing for energy and water efficiency, using green building products, etc. More information on environmentally preferable practices for greener buildings can be found at: http://www.epa.qov/greenbuildinq and http://www.wbdq.orq. -Electronics equipment: Adding ranking factors or contract language for EnergyStar®features and EPEAT-registered electronics products when procuring electronics equipment. Also consider adding factors concerning buy-back or end-of-life programs that dispose of electronics in an environmentally safe manner. More information on preferable practices for electronics equipment can be found at: http://www.epeat.net/Companies.aspx, http://www.epa.gov/wastewise/pubs//wwupda14.pdf, and http://www.epa.qoy/req3wcmd/pdf/perecyclinq601.pdf. -NE Services and Construction Services: Adding a ranking factor or contract language that gives preference to firms that have an environmental management system(EMS) in-place or a partner in EPA's Performance Track Program demonstrating their commitment to improving the environment through their place of work. More information on EMS and Performance Track can be found at: www.epa.gov/ems and www.epa.gov/performancetrack. Grantees will report any environmentally preferable practices undertaken in the semi-annual progress reports. The information reported will be used to track EPA's progress in reducing our environmental impacts. 14. The grantee is encouraged to improve the environmental performance of their water and wastewater facilities by developing an environmental management system (EMS). More information specific to implementing an EMS for water,wastewater, and biosolids facilities can be found at: http://www.epa.gov/ems/initiatives/water.htm. 15. EPA may terminate the assistance agreement for failure to make sufficient progress so as to reasonably ensure completion of the project within the project period, including any extensions. EPA will measure sufficient progress by examining the performance required under the workplan in conjunction with the milestone schedule, the time remaining for performance within the project period, and/or the availability of funds necessary to complete the project. 16. Electronic and Information Technology Accessibility Recipients and subrecipients are subject to the program accessibility provisions of Section 504 of the Rehabilitation Act, codified in 40 CFR Part 7, which includes an obligation to provide individuals with disabilities reasonable accommodations and an equal and effective opportunity to benefit from or participate in a program, including those offered through electronic and information technology("Eli"). In compliance with Section 504, EIT systems or products funded by this award must be designed to meet the diverse needs of users(e.g., U.S. public, recipient personnel)without barriers or diminished function or quality. Systems shall include usability features or functions that accommodate the needs of persons with disabilities, including those who use assistive technology.At this time, the EPA will consider a recipient's websites, interactive tools, and other EIT as being in compliance with Section 504 if such technologies meet standards established under Section 508 of the Rehabilitation Act, codified at 36 CFR Part 1194. While Section 508 does not apply directly to grant recipients,we encourage recipients to follow either the 508 guidelines or other comparable guidelines that concern accessibility to EIT for individuals with disabilities. Recipients may wish to consult the latest Section 508 guidelines issued by the US Access Board or W3C's Web Content Accessibility Guidelines (WCAG)2.0(see http://www.access-board.gov/sec508/guide/index.htm). 17. Geospatial Data Standards All geospatial data created must be consistent with Federal Geographic Data Committee(FGDC) endorsed standards. Information on these standards may be found at www.fgdc.gov. Revised: March 16, 2011 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY REGION 4 SUPPLEMENTAL GENERAL CONDITIONS FOR FEDERALLY ASSISTED CONSTRUCTION CONTRACTS EPA SPECIAL CONDITIONS The attached instructions and regulations as listed below shall be incorporated into the Specifications and comprise EPA•s Special Conditions. EPA Special Provisions Attachment Number 1 Requirements for Subagreements Awarded by Prime Contractors Attachment Number 2 40 CFR 31.36 (Procurement) Attachment Number 3 Equal Employment Opportunity(EEO)Documents: Notice of Requirement for Affirmative Action Attachment Number 4 Contract Specifications (Executive Order 11246) Attachment Number 5 EEO Goals for Region 4 Economic Areas Attachment Number 6 Special Notice#1 -Check List of EEO Documentation Attachment Number 7 Employer Information Report EEO-1 (SF 100) Attachment Number 8 Labor Standards Provisions for Federally Assisted Construction, EPA Form 5720-4 Attachment Number 9 Certifications Debarment, Suspension and Other Responsibility Matters Attachment Number 10 Anti-lobbying Attachment Number 11 Region 4 Disadvantaged Business Enterprise (DBE) Attachment Number 12 Negotiated Rates as of October 1, 2006 Attachment Number 13 Bonds and Insurance Attachment Number 14 Revised 3/16/11 2 of 48 EPA Region 4 Attachment Number 1 EPA SPECIAL PROVISIONS (a) The construction of the project shall conform to the applicable requirements for state, territorial and local laws and ordinances to the extent that such requirements do not conflict with Federal laws. (b) The EPA shall have access to the site and the project. (c) Any contract(s)awarded under this invitation for Bids are expected to be funded in part by a grant from the U.S. Environmental Protection Agency. Neither the United States nor any of its departments, agencies or employees are or will be a part to this Invitation for Bids or any resulting contract. (d) The"Method of Award" is to the lowest responsible responsive bidder (e) A statement that the bidder must make positive efforts to use Disadvantaged Business Enterprises. (f) Davis-Bacon Act(40 U.S.C. 276a to 276-7)does not apply to grants under the U. S. Environmental Agency's State and Tribal Assistance Grants—Special Appropriations. Compliance with the Davis-Bacon Act is not required by U. S. EPA under this contract. Revised 3/16/11 3 of 48 EPA Region 4 Attachment Number 2 REQUIREMENTS FOR SUBAGREEMENTS AWARDED BY A PRIME CONTRACTOR A contractor must comply with the following provisions in its award of subagreements. (This section does not apply to a supplier's procurement of materials to produce equipment, materials and catalog, off-the-shelf, or manufactured items.) (a) 40 CFR Part 32 (Debarment and Suspension Under EPA Assistance Programs); (b) The limitations and subagreement award in 40 CFR 31.35, and 31.36(i) (3,4,6,10,12) ; (c) The requirement for small, small rural, minority, women's and labor surplus area business in 40 CFR 31.36(e); (d) The specifications requirements of 40 CFR 31.36(c) (1); (e) The Federal cost principles in 40 CFR 31.22 and 31.36(0(3); (0 The prohibited types of subagreements in 40 CFR 31.36(0(4); (g) 40 CFR Part 34 (Anti-Lobbying under EPA Assistance Programs). Revised 3/16/11 4 of 48 EPA Region 4 Attachment Number 3 Title 40: Protection of Environment PART 31—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS Subpart C—Post-Award Requirements Changes, Property, and Subawards §31.36 Procurement. (a)States. When procuring property and services under a grant, a State will follow the same policies and procedures it uses for procurements from its non-Federal funds. The State will ensure that every purchase order or other contract includes any clauses required by Federal statutes and executive orders and their implementing regulations. Other grantees and subgrantees will follow paragraphs (b)through (i) in this section. (b)Procurement standards. (1) Grantees and subgrantees will use their own procurement procedures which reflect applicable State and local laws and regulations, provided that the procurements conform to applicable federal law, the standards identified in this section, and if applicable, §31.38. (2)Grantees and subgrantees will maintain a contract administration system which ensures that contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase orders. (3)Grantees and subgrantees will maintain a written code of standards of conduct governing the performance of their employees engaged in the award and administration of contracts.No employee, officer or agent of the grantee or subgrantee shall participate in selection, or in the award or administration of a contract supported by Federal funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when: (i) The employee, officer or agent, (ii)Any member of his immediate family, (iii) His or her partner, or (iv)An organization which employs, or is about to employ, any of the above, has a financial or other interest in the firm selected for award. The grantee's or subgrantee's officers, employees or agents will neither solicit nor accept gratuities, favors or anything of monetary value from contractors, potential contractors, or parties to subagreements. Grantee and subgrantees may set minimum rules where the financial interest is not substantial or the gift is an unsolicited item of nominal intrinsic value. To the extent permitted by State or local law or regulations, such standards or conduct will provide for penalties, sanctions, or other disciplinary actions for Revised 3/16/11 5 of 48 EPA Region 4 violations of such standards by the grantee's and subgrantee's officers, employees, or agents, or by contractors or their agents. The awarding agency may in regulation provide additional prohibitions relative to real, apparent, or potential conflicts of interest. (4)Grantee and subgrantee procedures will provide for a review of proposed procurements to avoid purchase of unnecessary or duplicative items. Consideration should be given to consolidating or breaking out procurements to obtain a more economical purchase. Where appropriate, an analysis will be made of lease versus purchase alternatives, and any other appropriate analysis to determine the most economical approach. (5) To foster greater economy and efficiency, grantees and subgrantees are encouraged to enter into State and local intergovernmental agreements for procurement or use of common goods and services. (6)Grantees and subgrantees are encouraged to use Federal excess and surplus property in lieu of purchasing new equipment and property whenever such use is feasible and reduces project costs. (7)Grantees and subgrantees are encouraged to use value engineering clauses in contracts for construction projects of sufficient size to offer reasonable opportunities for cost reductions. Value engineering is a systematic and creative anaylsis of each contract item or task to ensure that its essential function is provided at the overall lower cost. (8)Grantees and subgrantees will make awards only to responsible contractors possessing the ability to perform successfully under the terms and conditions of a proposed procurement. Consideration will be given to such matters as contractor integrity, compliance with public policy, record of past performance, and financial and technical resources. (9)Grantees and subgrantees will maintain records sufficient to detail the significant history of a procurement. These records will include, but are not necessarily limited to the following: rationale for the method of procurement, selection of contract type, contractor selection or rejection, and the basis for the contract price. (10) Grantees and subgrantees will use time and material type contracts only- (i)After a determination that no other contract is suitable, and (ii) If the contract includes a ceiling price that the contractor exceeds at its own risk. (11)Grantees and subgrantees alone will be responsible, in accordance with good administrative practice and sound business judgment, for the settlement of all contractual and administrative issues arising out of procurements. These issues include, but are not limited to source evaluation, protests, disputes, and claims. These standards do not relieve the grantee or subgrantee of any contractual responsibilities under its contracts. Federal agencies will not substitute their judgment for that of the grantee or subgrantee unless the matter is primarily a Federal concern. Violations of law will be referred to the local, State, or Federal authority having proper jurisdiction. (12) Grantees and subgrantees will have protest procedures to handle and resolve disputes Revised 3/16/11 6 of 48 EPA Region 4 relating to their procurements and shall in all instances disclose information regarding the protest to the awarding agency. A protestor must exhaust all administrative remedies with the grantee and subgrantee before pursuing a protest with the Federal agency. Reviews of protests by the Federal agency will be limited to: (i) Violations of Federal law or regulations and the standards of this section (violations of State or local law will be under the jurisdiction of State or local authorities) and (ii)Violations of the grantee's or subgrantee's protest procedures for failure to review a complaint or protest. Protests received by the Federal agency other than those specified above will be referred to the grantee or subgrantee. (c) Competition. (1)All procurement transactions will be conducted in a manner providing full and open competition consistent with the standards of§31.36. Some of the situations considered to be restrictive of competition include but are not limited to: (i)Placing unreasonable requirements on firms in order for them to qualify to do business, (ii)Requiring unnecessary experience and excessive bonding, (iii)Noncompetitive pricing practices between firms or between affiliated companies, (iv)Noncompetitive awards to consultants that are on retainer contracts, (v)Organizational conflicts of interest, (vi) Specifying only a"brand name"product instead of allowing"an equal"product to be offered and describing the performance of other relevant requirements of the procurement, and (vii)Any arbitrary action in the procurement process. (2)Grantees and subgrantees will conduct procurements in a manner that prohibits the use of statutorily or administratively imposed in-State or local geographical preferences in the evaluation of bids or proposals, except in those cases where applicable Federal statutes expressly mandate or encourage geographic preference.Nothing in this section preempts State licensing laws. When contracting for architectural and engineering(A/E) services, geographic location may be a selection criteria provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract. (3)Grantees will have written selection procedures for procurement transactions. These procedures will ensure that all solicitations: (i) Incorporate a clear and accurate description of the technical requirements for the material, product, or service to be procured. Such description shall not, in competitive procurements, contain features which unduly restrict competition. The description may include a statement of the qualitative nature of the material, product or service to be procured, and when necessary, shall set forth those minimum essential characteristics and standards to which it must conform if it is to satisfy its intended use. Detailed product specifications should be avoided if at all Revised 3/16/11 7 of 48 EPA Region 4 possible. When it is impractical or uneconomical to make a clear and accurate description of the technical requirements, a"brand name or equal"description may be used as a means to define the performance or other salient requirements of a procurement. The specific features of the named brand which must be met by offerors shall be clearly stated; and (ii)Identify all requirements which the offerors must fulfill and all other factors to be used in evaluating bids or proposals. (4)Grantees and subgrantees will ensure that all prequalified lists of persons, firms, or products which are used in acquiring goods and services are current and include enough qualified sources to ensure maximum open and free competition. Also, grantees and subgrantees will not preclude potential bidders from qualifying during the solicitation period. (5)Construction grants awarded under Title II of the Clean Water Act are subject to the following"Buy American"requirements in paragraphs (c)(5) (i)—(iii)of this section. Section 215 of the Clean Water Act requires that contractors give preference to the use of domestic material in the construction of EPA-funded treatment works. (i)Contractors must use domestic construction materials in preference to nondomestic material if it is priced no more than 6 percent higher than the bid or offered price of the nondomestic material, including all costs of delivery to the construction site and any applicable duty, whether or not assessed. The grantee will normally base the computations on prices and costs in effect on the date of opening bids or proposals. (ii)The award official may waive the Buy American provision based on factors the award official considers relevant, including: (A) Such use is not in the public interest; (B) The cost is unreasonable; (C)The Agency's available resources are not sufficient to implement the provision, subject to the Deputy Administrator's concurrence; (D) The articles, materials or supplies of the class or kind to be used or the articles, materials or supplies from which they are manufactured are not mined, produced or manufactured in the United States in sufficient and reasonably available commercial quantities or satisfactory quality for the particular project; or (E)Application of this provision is contrary to multilateral government procurement agreements, subject to the Deputy Administrator's concurrence. (iii) All bidding documents, subagreements, and, if appropriate, requests for proposals must contain the following"Buy American"provision: In accordance with section 215 of the Clean Water Act(33 U.S.C. 1251 et seq. )and implementing EPA regulations, the contractor agrees that preference will be given to domestic construction materials by the contractor, subcontractors, materialmen and suppliers in the performance of this subagreement. Revised 3/16/11 8 of 48 EPA Region 4 (d)Methods of procurement to be followed—(1)Procurement by small purchase procedures. Small purchase procedures are those relatively simple and informal procurement methods for securing services, supplies, or other property that do not cost more than the simplified acquisition threshold fixed at 41 U.S.C. 403(11) (currently set at$100,000). If small purchase procedures are used, price or rate quotations shall be obtained from an adequate number of qualified sources. (2)Procurement by sealed bids(formal advertising). Bids are publicly solicited and a firm-fixed- price contract(lump sum or unit price) is awarded to the responsible bidder whose bid, conforming with all the material terms and conditions of the invitation for bids, is the lowest in price. The sealed bid method is the preferred method for procuring construction, if the conditions in 31.36(d)(2)(i) apply. (i) In order for sealed bidding to be feasible, the following conditions should be present: (A)A complete, adequate, and realistic specification or purchase description is available; (B) Two or more responsible bidders are willing and able to compete effectively and for the business; and (C) The procurement lends itself to a firm fixed price contract and the selection of the successful bidder can be made principally on the basis of price. (ii) If sealed bids are used, the following requirements apply: (A) The invitation for bids will be publicly advertised and bids shall be solicited from an adequate number of known suppliers, providing them sufficient time prior to the date set for opening the bids; (B)The invitation for bids, which will include any specifications and pertinent attachments, shall define the items or services in order for the bidder to properly respond; (C)All bids will be publicly opened at the time and place prescribed in the invitation for bids; (D) A firm fixed-price contract award will be made in writing to the lowest responsive and responsible bidder. Where specified in bidding documents, factors such as discounts, transportation cost, and life cycle costs shall be considered in determining which bid is lowest. Payment discounts will only be used to determine the low bid when prior experience indicates that such discounts are usually taken advantage of and (E)Any or all bids may be rejected if there is a sound documented reason. (3) Procurement by competitive proposals. The technique of competitive proposals is normally conducted with more than one source submitting an offer, and either a fixed-price or cost- reimbursement type contract is awarded. It is generally used when conditions are not appropriate for the use of sealed bids. If this method is used, the following requirements apply: (i) Requests for proposals will be publicized and identify all evaluation factors and their relative importance. Any response to publicized requests for proposals shall be honored to the maximum Revised 3/16/11 9 of 48 EPA Region 4 extent practical; (ii)Proposals will be solicited from an adequate number of qualified sources; (iii) Grantees and subgrantees will have a method for conducting technical evaluations of the proposals received and for selecting awardees; (iv)Awards will be made to the responsible firm whose proposal is most advantageous to the program, with price and other factors considered; and (v)Grantees and subgrantees may use competitive proposal procedures for qualifications-based procurement of architectural/engineering(A/E)professional services whereby competitors' qualifications are evaluated and the most qualified competitor is selected, subject to negotiation of fair and reasonable compensation. The method, where price is not used as a selection factor, can only be used in procurement of A/E professional services. It cannot be used to purchase other types of services though A/E firms are a potential source to perform the proposed effort. (4)Procurement by noncompetitive proposals is procurement through solicitation of a proposal from only one source, or after solicitation of a number of sources, competition is determined inadequate. (i)Procurement by noncompetitive proposals may be used only when the award of a contract is infeasible under small purchase procedures, sealed bids or competitive proposals and one of the following circumstances applies: (A) The item is available only from a single source; (B) The public exigency or emergency for the requirement will not permit a delay resulting from competitive solicitation; (C) The awarding agency authorizes noncompetitive proposals; or (D)After solicitation of a number of sources, competition is determined inadequate. (ii)Cost analysis, i.e., verifying the proposed cost data, the projections of the data, and the evaluation of the specific elements of costs and profits, is required. (iii) Grantees and subgrantees may be required to submit the proposed procurement to the awarding agency for pre-award review in accordance with paragraph(g)of this section. (e) [Reserved] (f) Contract cost and price. (1)Grantees and subgrantees must perform a cost or price analysis in connection with every procurement action including contract modifications. The method and degree of analysis is dependent on the facts surrounding the particular procurement situation, but as a starting point, grantees must make independent estimates before receiving bids or proposals. A cost analysis must be performed when the offeror is required to submit the elements of his estimated cost, e.g., under professional, consulting, and architectural engineering services Revised 3/16/11 10 of 48 EPA Region 4 contracts. A cost analysis will be necessary when adequate price competition is lacking, and for sole source procurements, including contract modifications or change orders, unless price reasonableness can be established on the basis of a catalog or market price of a commercial product sold in substantial quantities to the general public or based on prices set by law or regulation. A price analysis will be used in all other instances to determine the reasonableness of the proposed contract price. (2)Grantees and subgrantees will negotiate profit as a separate element of the price for each contract in which there is no price competition and in all cases where cost analysis is performed. To establish a fair and reasonable profit, consideration will be given to the complexity of the work to be performed, the risk borne by the contractor,the contractor's investment,the amount of subcontracting,the quality of its record of past performance, and industry profit rates in the surrounding geographical area for similar work. (3) Costs or prices based on estimated costs for contracts under grants will be allowable only to the extent that costs incurred or cost estimates included in negotiated prices are consistent with Federal cost principles (see §31.22). Grantees may reference their own cost principles that comply with the applicable Federal cost principles. (4)The cost plus a percentage of cost and percentage of construction cost methods of contracting shall not be used. (g)Awarding agency review. (1)Grantees and subgrantees must make available, upon request of the awarding agency,technical specifications on proposed procurements where the awarding agency believes such review is needed to ensure that the item and/or service specified is the one being proposed for purchase. This review generally will take place prior to the time the specification is incorporated into a solicitation document. However, if the grantee or subgrantee desires to have the review accomplished after a solicitation has been developed,the awarding agency may still review the specifications, with such review usually limited to the technical aspects of the proposed purchase. (2) Grantees and subgrantees must on request make available for awarding agency pre-award review procurement documents, such as requests for proposals or invitations for bids, independent cost estimates, etc. when: (i)A grantee's or subgrantee's procurement procedures or operation fails to comply with the procurement standards in this section; or (ii)The procurement is expected to exceed the simplified acquisition threshold and is to be awarded without competition or only one bid or offer is received in response to a solicitation; or (iii) The procurement, which is expected to exceed the simplified acquisition threshold, specifies a"brand name"product; or (iv) The proposed award is more than the simplified acquisition threshold and is to be awarded to other than the apparent low bidder under a sealed bid procurement; or Revised 3/16/11 11 of 48 EPA Region 4 (v)A proposed contract modification changes the scope of a contract or increases the contract amount by more than the simplified acquisition threshold. (3)A grantee or subgrantee will be exempt from the pre-award review in paragraph (g)(2) of this section if the awarding agency determines that its procurement systems comply with the standards of this section. (i)A grantee or subgrantee may request that its procurement system be reviewed by the awarding agency to determine whether its system meets these standards in order for its system to be certified. Generally, these reviews shall occur where there is a continuous high-dollar funding, and third-party contracts are awarded on a regular basis. (ii)A grantee or subgrantee may self-certify its procurement system. Such self-certification shall not limit the awarding agency's right to survey the system. Under a self-certification procedure, awarding agencies may wish to rely on written assurances from the grantee or subgrantee that it is complying with these standards. A grantee or subgrantee will cite specific procedures, regulations, standards, etc., as being in compliance with these requirements and have its system available for review. (h)Bonding requirements. For construction or facility improvement contracts or subcontracts exceeding the simplified acquisition threshold, the awarding agency may accept the bonding policy and requirements of the grantee or subgrantee provided the awarding agency has made a determination that the awarding agency's interest is adequately protected. If such a determination has not been made,the minimum requirements shall be as follows: (1)A bid guarantee from each bidder equivalent to five percent of the bid price. The "bid guarantee" shall consist of a firm commitment such as a bid bond, certified check, or other negotiable instrument accompanying a bid as assurance that the bidder will, upon acceptance of his bid, execute such contractual documents as may be required within the time specified. (2)A performance bond on the part of the contractor for 100 percent of the contract price. A "performance bond" is one executed in connection with a contract to secure fulfillment of all the contractor's obligations under such contract. (3)A payment bond on the part of the contractor for 100 percent of the contract price. A "payment bond" is one executed in connection with a contract to assure payment as required by law of all persons supplying labor and material in the execution of the work provided for in the contract. (i) Contract provisions. A grantee's and subgrantee's contracts must contain provisions in paragraph (i)of this section. Federal agencies are permitted to require changes, remedies, changed conditions, access and records retention, suspension of work, and other clauses approved by the Office of Federal Procurement Policy. (1)Administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as may be appropriate. (Contracts more than the simplified acquisition threshold) Revised 3/16/11 12 of 48 EPA Region 4 (2)Termination for cause and for convenience by the grantee or subgrantee including the manner by which it will be effected and the basis for settlement. (All contracts in excess of$10,000) (3) Compliance with Executive Order 11246 of September 24, 1965, entitled"Equal Employment Opportunity,"as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60). (All construction contracts awarded in excess of$10,000 by grantees and their contractors or subgrantees) (4) Compliance with the Copeland"Anti-Kickback"Act(18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR part 3). (All contracts and subgrants for construction or repair) (5)Compliance with the Davis-Bacon Act(40 U.S.C. 276a to 276a-7)as supplemented by Department of Labor regulations(29 CFR part 5). (Construction contracts in excess of$2000 awarded by grantees and subgrantees when required by Federal grant program legislation) (6)Compliance with Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-330)as supplemented by Department of Labor regulations(29 CFR part 5). (Construction contracts awarded by grantees and subgrantees in excess of$2000, and in excess of$2500 for other contracts which involve the employment of mechanics or laborers) (7)Notice of awarding agency requirements and regulations pertaining to reporting. (8)Notice of awarding agency requirements and regulations pertaining to patent rights with respect to any discovery or invention which arises or is developed in the course of or under such contract. (9)Awarding agency requirements and regulations pertaining to copyrights and rights in data. (10)Access by the grantee,the subgrantee, the Federal grantor agency,the Comptroller General of the United States, or any of their duly authorized representatives to any books, documents, papers, and records of the contractor which are directly pertinent to that specific contract for the purpose of making audit, examination, excerpts, and transcriptions. (11)Retention of all required records for three years after grantees or subgrantees make final payments and all other pending matters are closed. (12)Compliance with all applicable standards, orders, or requirements issued under section 306 of the Clean Air Act(42 U.S.C. 1857(h)), section 508 of the Clean Water Act(33 U.S.C. 1368), Executive Order 11738, and Environmental Protection Agency regulations (40 CFR part 15). (Contracts, subcontracts, and subgrants of amounts in excess of$100,000) (13) Mandatory standards and policies relating to energy efficiency which are contained in the State energy conservation plan issued in compliance with the Energy Policy and Conservation Act(Pub. L. 94-163, 89 Stat. 871). (j)Payment to consultants. (1) EPA will limit its participation in the salary rate (excluding Revised 3/16/11 13 of 48 EPA Region 4 overhead)paid to individual consultants retained by grantees or by a grantee's contractors or subcontractors to the maximum daily rate for a GS-18. (Grantees may, however, pay consultants more than this amount). This limitation applies to consultation services of designated individuals with specialized skills who are paid at a daily or hourly rate. This rate does not include transportation and subsistence costs for travel performed; grantees will pay these in accordance with their normal travel reimbursement practices. (Pub. L. 99-591). (2) Subagreements with firms for services which are awarded using the procurement requirements in this part are not affected by this limitation. (k) Use of the same architect or engineer during construction. (1) If the grantee is satisfied with the qualifications and performance of the architect or engineer who provided any or all of the facilities planning or design services for a waste-water treatment works project and wishes to retain that firm or individual during construction of the project, it may do so without further public notice and evaluation of qualifications, provided: (i) The grantee received a facilities planning(Step 1)or design grant(Step 2), and selected the architect or engineer in accordance with EPA's procurement regulations in effect when EPA awarded the grant; or (ii)The award official approves noncompetitive procurement under §31.36(d)(4) for reasons other than simply using the same individual or firm that provided facilities planning or design services for the project; or (iii) The grantee attests that: (A) The initial request for proposals clearly stated the possibility that the firm or individual selected could be awarded a subagreement for services during construction; and (B) The firm or individual was selected for facilities planning or design services in accordance with procedures specified in this section. (C)No employee, officer or agent of the grantee, any member of their immediate families, or their partners have financial or other interest in the firm selected for award; and (D)None of the grantee's officers, employees or agents solicited or accepted gratuities, favors or anything of monetary value from contractors or other parties to subagreements. (2) However, if the grantee uses the procedures in paragraph (k)(1)of this section to retain an architect or engineer, any Step 3 subagreements between the architect or engineer and the grantee must meet all of the other procurement provisions in §31.36. [53 FR 8068 and 8087, Mar. 11, 1988, and amended at 53 FR 8075, Mar. 11, 1988; 60 FR 19639, 19644, Apr. 19, 1995; 66 FR 3794, Jan. 16, 2001; 73 FR 15913, Mar. 26, 2008] Revised 3/16/11 14 of 48 EPA Region 4 Attachment Number 4 NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY(EXECUTIVE ORDER 11246) The following excerpts are from 45 FR 65984 (October 3, 1980): "The minority and female goals apply to Federal and federally assisted construction contractors and subcontractors which have covered contracts. The goals are expressed as a percentage of the total hours worked by such a covered conttractor's or subcontractor's entire onsite construction workforce which is working on any construction site within a relevant area. The goal applies to each construction craft and trade in the contractor's entire workforce in the relevant area including those employees working on private nonfederally involved projects. Until further notice,the following goals for minority utilization in each construction craft and trade shall be included in all Federal or federally assisted construction contracts and subcontracts in excess of$10,000 to be performed in the respective geographic area. The goals are applicable to each nonexempt contractor's total onsite construction workforce, regardless of whether or not part of that workforce is performing work on a Federal, federally assisted or nonfederally related project, contract or subcontract. Construction contractors which are participating in an approved Hometown Plan (see 41 CFR 60-4.5)are required to comply with the goals of the Hometown Plan with regard to construction work they perform in the area covered by the Hometown Plan. With regard to all their other covered construction work, such contractors are required to comply as follows: Goals for female participation in each trade 6.9% Goals for minority participation in each trade Insert goals for each year (see Attachment Number 6) These goals are applicable to all the Contractor's construction work(whether or not it is Federal or Federally assisted)performed in the covered area." The following excerpts are from 45 FR 65977 (October 3, 1980): "The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-4.3(a), and its efforts to meet the goals established for the geographical area where the contract resulting from this solicitation is to be performed. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the contractor Revised 3/16/11 15 of 48 EPA Region 4 shall make a good faith effort to employ minority and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor's goals shall be a violation of the contract,the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed. 3. The Contractor shall provide written notification to the Director of the Office of Federal Contract Compliance Programs within 10 working days of award of any construction subcontract in excess of$10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address and telephone number of the subcontractor; employer identification number; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the contract is to be performed. 4. As used in this Notice, and in the contract resulting from this solicitation,the "covered area" is (insert description of the geographical areas where the contract is to be performed giving the state, country, and city, if any)." Revised 3/16/11 16 of 48 EPA Region 4 Attachment Number 5 STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS (EXECUTIVE ORDER 11246) EEO Specifications Following is the standard language which must be incorporated into all solicitations for offers and bids on all Federal and Federally assisted construction contracts or subcontracts in excess of $10,000 to be performed in designated geographical areas: 1. As used in these specifications: a. "Covered Area"means the geographical area described in the solicitation from which this contract resulted. (b) "Director"means Director, Office of Federal Contract Compliance Program, United States Department of Labor, or any person to whom the Director delegates authority; (c) "Employer identification number"means the Federal Social Security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form 941. (d) "Minority" includes: (i) Black(all persons having origins in any of the Black African racial groups not of Hispanic origin); (ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race); (iii) Asian and Pacific Islander(all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and (iv) American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification). 2. Whenever the Contractor or any Subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in Revised 3/16/11 17 of 48 EPA Region 4 excess of$10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted. 3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each Contractor or Subcontractor participating in an approved Plan is individually required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any covered Contractor's or Subcontractor's failure to take a good faith efforts to achieve the Plan goals and timetables. 4. The Contractor shall implement the specific affirmative action standards provided in paragraphs 7-a through p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. The Contractor is expected to make substantially uniform progress toward its goals in each craft during the period specified. 5. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the Contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the Contractor's obligations under these specifications, Executive Order 11246, or the regulations promulgated pursuant thereto. 6. In order for the non-working training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor. Revised 04/23/09 18 of 48 EPA Region 4 7. The Contractor shall take specific affirmative action to ensure equal employment opportunity. The evaluation of the Contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully, and shall implement affirmative actions steps at least as extensively as the following: a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the contractors employees are assigned to work. The Contractor, where possible, will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities. b. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses. c. Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the contractor,this shall be documented in the file with the reason therefore, along with whatever additional actions the contractor may have taken. d. Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligation. e. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor's employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources complied under 7-b above. f. Disseminate the Contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Revised 04/23/09 19 of 48 EPA Region 4 g. Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed. h. Review, at least annually, the company's EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, lay-off, termination or other employment decisions including specific review of these items with on-site supervisory personnel such as Superintendents, General Foreman, etc., prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter. Disseminate the Contractor's EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor's EEO policy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business. j. Direct its recruitment efforts, both oral and written,to minority, female and community organizations,to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source,the contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process. k. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a Contractor's workforce. 1. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3. m. Conduct, at least annually, an inventory and evaluation of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities. Revised 04/23/09 20 of 48 EPA Region 4 n. Ensure that seniority practices,job classifications, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that EEO policy and the Contractor's obligations under these specifications are being carried out. o. Ensure that all facilities and company activities are nonsegregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes. p. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations. q. Conduct a review, at least annually, of all supervisor's adherence to and performance under the Contractor's EEO policies and affirmative action obligations. 8. Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative actions obligations (7 a through p). The efforts of a contractor association,joint contractor-union, contractor-community, of other similar group of which the contractor is a member and participant may be asserted as fulfilling any one or more of its obligations under 7 a through p of these specifications provided that the contractor actively participates in the group,makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor's minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor's and failure of such a group to fulfill an obligation shall not be defense for the Contractor's noncompliance. 9. A single goal for minorities and a separate single goal for women have been established. The contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non-minority. Consequently,the Contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner(for example: even though the Contractor has achieved its goal for women generally, the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized). 10. The Contractor shall not use the goals and timetables for affirmative action standards to discriminate against any person because of race, color, religion, sex or national origin. Revised 04/23/09 21 of 48 EPA Region 4 11. The Contractor shall not enter into any Subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246. 12. The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any Contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and executive Order 11246, as amended. 13. The Contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of these specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of the Executive Order,the implementing regulations, or these specifications,the Director shall proceed in accordance with 41 CFR 60-4.8. 14. The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out,to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address,telephone numbers, construction trade, union affiliation, if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice, trainee, helper or laborer), dates of changes in status,hours worked per week in the indicated trade,rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form;however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records. 15. Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g.,those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program). Revised 04/23/09 22 of 48 EPA Region 4 Attachment Number 6 EEO Goals for Economic Areas in Region 4 Source: Appendix B-80 in 45 FR 65984(October 3, 1980) Alabama: 047 Mobile,AL SMSA Counties: 5160 Mobile,AL 26.9 AL Baldwin;AL Mobile. 6026 Pascagoula-Moss, Point MS 16.9 MS Jackson. Non-SMSA Counties 26.4 AL Choctaw;AL Clarke;AL Conecuh;AL Escambia;AL Monroe;AL Washington;AL Wlcox; MS George; MS Greene. 048 Montgomery,AL: SMSA Counties 5240 Montgomery,AL 29.9 AL Autauga;AL Elmore;AL Montgomery. Non-SMSA Counties 29.9 AL Barbour;AL Bullock;AL Butler;AL Coffee;AL Coosa;AL Covington; AL Crenshaw;AL Dale;AL Dallas;AL Geneva;AL Henry;AL Houston.; AL Lowndes;AL Macon;AL Perry;AL Pike;AL Tallapoosa. 049 Birmingham,AL: SMSA Counties: 0450 Anniston,AL 14.3 AL Calhoun 1000 Birmingham,AL 24.9 AL Jefferson,AL St-Clair;AL Shelby;AL Walker;AL Etowah 8600 Tuscaloosa,AL 20.6 AL Tuscaloosa. Non-SMSA Counties 20.7 AL Bibb;AL Blount AL Cherokee;AL Chilton;AL Clay;AL Clebume;AL Cullman; AL Fayette;AL Greene;AL Hale;AL Lamar;AL Marion;AL Pickens;AL Randolph; AL Sumter:AL Talladega;AL Winston. 050 Huntsville-Florence,AL: SMSA Counties: 2650 Florence,AL 11.9 AL Colbert;AL Lauderdale. 3440 Huntsville,AL 12.0 AL Limestone;AL Madison;AL Marshall. Non-SMSA Counties 11.2 AL Franklin;AL Lawrence AL Morgan;TN Lincoln. Georgia: 035 Augusta, GA: SMSA Counties: 0600 Augusta, GA-SC 27.2 GA Columbia; GA Richmond; SC Aiken Non-SMSA Counties 32.8 GA Burke; GA Emanuel; GA Glascock; GA Jefferson; GA Jenkins; GA Lincoln; GA McDuffie; GA Taliaferro; GA Warren; GA Wilkes; SC Allendale, SC Bamberg; SC Barnwell; SC Edgefield; SC McCormick 036 Atlanta, GA SMSA Counties 0520 Atlanta 21.2 GA Butts; GA Cherokee; GA Clayton; GA Cobb; GA Dekalb; GA Douglas; GA Fayette; GA Forsyth; GA Fulton; GA Gwinnett; GA Henry, GA Newton; GA Paulding; GA Rockdale; GA Walton Revised 04/23/09 23 of 48 EPA Region 4 Non-SMSA Counties 19.5 GA Banks; GA Barrow; GA Bartow; GA Carroll; GA Clarke; GA Coweta; GA Dawson; GA Elbert; GA Fannin; GA Floyd; GA Franklin; GA Gilmer; GA Gordon; GA Greene; GA Habersham; GA Hall; GA Haralson; GA Hart; GA Heard; GA Jackson; GA Jasper; GA Lamar, GA Lumpkin; GA Madison, GA Morgan; GA Oconee, GA Oglethorpe; GA Pickens; GA Pike; GA Polk; GA Rabun, GA Spalding; GA Stephens; GA Towns; GA Union; GA Upson; GA White. 037 Columbus, GA: SMSA Counties 1800 Columbus 29.6 AL Russell; GA Chattahoochee; GA Columbus. Non-SMSA Counties 31.6 AL Chambers;AL Lee; GA Harris; GA Marion; GA Meriwether; GA Quitman; GA Schley; GA Stewart; GA Sumter; GA Talbot; GA Troup; GA Webster. 038 Macon, GA: SMSA Counties 4660 Macon, GA 27.5 GA Bibb; GA Houston; GA Jones; GA Twiggs. Non-SMSA Counties 31.7 GA Baldwin; GA Bleckley; GA Crawford; GA Crisp; GA Dodge; GA Dooly; GA Hancock; GA Johnson; GA Laurens; GA Macon;GA Monroe; GA Peach; GA Pulaski; GA Putnam. GA Taylor; GA Telfair; GA Treutlen; GA Washington; GA Wheeler; GA Wilcox; GA Wilkinson. 039 Savannah, GA: SMSA Counties: 7520 Savannah, GA 30.6 GA Bryan; GA Chatham; GA Effingham Non-SMSA Counties 29.8 GA Appling; GA Atkinson; GA Bacon; GA Bullock; GA Candler; GA Coffee; GA Evans; GA Jeff Davis; GA Liberty; GA Long; GA McIntosh; GA Montgomery; GA Screven; GA Tattinall; GA Toombs; GA Wayne; SC Beaufort; SC Hampton; SC Jasper. 040 Albany, GA SMSA Counties 0120 Albany, GA 32.1 GA Dougherty; GA Lee. Non-SMSA Counties 31.1 GA Baker; GA Ben Hill; GA Berrien; GA Brooks; GA Calhoun; GA Clay; GA Clinch; GA Colquitt; GA Cook; GA Decatur; GA Early; GA Echols; GA Grady; GA Irwin; GA Lanier, GA Lowndes; GA Miller; GA Mitchell; GA Randolph; GA Seminole, GA Terrell; GA Thomas; GA Tift; GA Turner; GA Worth Florida: 041 Jacksonville, FL: SMSA Counties 2900 Gainesville, FL 20.6 FL Alachua 3600 Jacksonville, FL 21.8 FL Baker; FIL Clay; FL Duval; FL Nassau; FL St. Johns. Non-SMSA Counties 22.2 FL Bradford; FL Columbia; FL Dade; FL Gilchrist; FIL Hamilton; FL LaFayetle; FL Levy; FL Marion; FL Putnam; FL Suwannee; FL Union; GA Brantley; GA Camden; GA Charlton; GA Glynn; GA Pierce; GA Ware. 042 Orlando-Melbourne-Daytona Beach, FL. SMSA Counties: 2020 Daytona Beach, FL 15.7 FL Volusia. 4900 Melbourne-Tutusville-Cocoa, FL 10.7 FL Brevard. 5960 Orlando, FL 15.5 FL Orange; FL Osceola; FL Seminole. Revised 04/23/09 24 of 48 EPA Region 4 Non-SMSA Counties 14.9 FL Flagler; FL Lake; FL Sumter. 043 Miami-Fort Lauderdale, FL: SMSA Counties: 2680 Fort Lauderdale-Hollywood, FL 15.5 FL. Broward. 5000 Miami, FL 39.5 FL Dade. 8960 West Palm Beach-Boca Raton, FL 22.4 FL Palm Beach. Non-SMSA Counties 30.4 FL Glades; FL Hendry; FL Indian River, FL Martin; FL Monroe: FL Okeechobee; FL St. Lucie. 044 Tampa-St Petersburg, FL SMSA Counties: 1140 Bradenton, FL 15.9 FL Manatee. 2700 Fort Myers, FL 15.3 FL Lee. 3980 Lakeland-Winter Haven, FL 18.0 FL Polk 7510 Sarasota, FL 10.5 FL Sarasota. 8280 Tampa-St. Petersburg, FL 17.9 FL Hillsborough, FL Pasco; FL Pinellas Non-SMSA Counties 17.1 FL Charlotte; FL Citrus; FL Collier, FL Desoto; FL Hardee; FL Hernando; FL Highlands. 045 Tallahassee. FL: SMSA Counties: 8240 Tallahassee, FL 24.3 FL Leon; FL Wakulla. Non-SMSA Counties: 29.5 FL Calhoun; FL Franklin; FL Gadsden; FIL Jackson; FL Jefferson: FL Liberty; FIL Madison; FL Taylor. 046 Pensacola-Panama City, FL SMSA Counties: 8615 Panama City, FL 14.1 FIL Bay. 6080 Pensacola, FL 18.3 FL Escambia; FL Santa Rosa. Non-SMSA Counties 15.4 FL Gulf, FIL Holmes; FIL Okaloosa; FL Walton; FL Washington. Kentucky: 056 Paducah, KY: Non-SMSA Counties 5.2 IL Hardin; IL Massac; IL Pope; KY Ballard; KY Caldwell; KY Calloway. KY Carlisle; KY Crittenden; KY Fulton; KY Graves; KY Hickman; KY Livingston; KY Lyon. KY McCracken; KY Marshall. 057 Louisville, KY: SMSA Counties: 4520 Louisville, KY-IN 11.2 IN Clark; IN Floyd; KY Bullift; KY Jefferson; KY Oldham. Non-SMSA Counties 9.6 IN Crawford; IN Harrison; IN Jefferson; IN Orange; IN Scott; IN Washington; KY Breckinridge; KY Grayson; KY Hardin; KY Hart; KY Henry; KY Larue; KY Marion; KY Meade; KY Nelson; KY Shelby; KY Spencer; KY Trimble; KY Washington. Revised 04/23/09 25 of 48 EPA Region 4 058 Lexington, KY SMSA Counties 4280 Lexington-Fayette, KY 10.8 KY Bourbon; KY Clark; KY Fayette; KY Jessamine; KY Scott; KY Woodford. Non-SMSA Counties 7.0 KY Adair KY Anderson; KY Bath; KY Boyle; KY Breathitt; KY Casey; KY Clay; KY Estill; KY Franklin-KY Garrard; KY Green; KY Harrison-KY Jackson; KY Knott; KY Lee; KY Leslie; KY Letcher; KY Lincoln; KY Madison; KY Magoffin; KY Menifee; KY Mercer; KY Montgomery; KY Morgan. KY Nicholas; KY Owsley; KY Perry; KY Powell; KY Pulaski; KY Rockcastle; KY Russell; KY Taylor; KY Wolfe. Mississippi: 112 Jackson, MS: SMSA Counties; 3560 Jackson, MS 30.3 MS Hinds; MS Rankin. Non-SMSA Counties 32.0 MS Attala; MS Choctaw; MS Choctaw; MS Clarke; MS Copiah; MS Covington; MS Franklin; MS Holmes: MS Humphreys; MS Issaquena; MS Jasper; MS Jefferson; MS Jefferson Davis; MS Jones; MS Kemper; MS Lauderdale; MS Lawrence; MS Leake; MS Lincoln; MS Lowndes; MS Madison; MS Neshoba; MS Newton; MS Noxubee,-MS Oktibbeha; MS Scott; MS Sharkey; MS Simpson; MS Smith; MS Warren; MS Wayne; MS Winston; MS Yazoo. North Carolina: 024 Rocky Mount-Wilson-Greenville NC: Non-SMSA Counties 31.7 NC Beaufort; NC Carteret; NC Craven,-NC Dare; NC Edgecombe; NC Greene; NC Halifax; NC Hyde; NC Jones; NC Lenoir', NC Martin; NC Nash; NC Northampton; NC Pamlico; NC Pitt; NC Tyrrell; NC Washington; NC Wayne; NC Wilson 025 Wilmington, NC: SMSA Counties: 9200 Wilmington, NC 20.7 NC Brunswick; NC New Hanover. Non-SMSA counties 23.5 NC Columbus; NC Duplin; NC Onslow; NC Pender. 026 Fayetteville, NC: SMSA Counties: 2560 Fayetteville, NC 26.2 NC Cumberland. Non-SMSA Counties 33.5 NC Bladen; NC Hoke; NC Richmond; NC Robeson; NC Sampson; NC Scotland. 027 Raleigh-Durham, NC. SMSA Counties: 6640 Raleigh-Durham 22.8 NG Durham; NC Orange; NC Wake. Non-SMSA Counties 24.7 NC Chatham; NC Franklin; NC Granville; NC Harnett; NC Johnston; NC Lee; NC Person; NC Vance; NC Warren. 028 Greensboro-Winston Salem-High Point, NC: SMSA Counties: 1300 Burlington, NC 16.2 NC Alamance. 3120 Greensboro-Winston Salem-High Point NC 16.4 NC Davidson; NC Forsyth; NC Guilford,-NC Randolf; NC Stokes; NC Yadkin. Non-SMSA Counties 15.5 NC Alleghany; NG Ashe; NC Caswell; NC Davie; NC Montgomery; NC Moore; NC Rockingham; NC Surry; NC Watauga; NC Wilkes. Revised 04/23/09 26 of 48 EPA Region 4 029 Charlotte, NC: SMSA Counties: 1520 Charlotte-Gastonia, NC 18.5 NC Gaston; NC Mecklenburg; NC Union. Non-SMSA Counties 15.7 NC Alexander; NC Anson; NC Burke; NG Cabarrus; NC Caldwell; NC Catawba; NC Cleveland; NC Iredell; NC Lincoln; NC Rowan; NC Rutherford; NC Stanley; SC Chester; SC Lancaster SC York. 030 Asheville, NC Non-SMSA Counties: 0480 Asheville, NC 8.5 NC Buncombe; NC Madison. Non-SMSA Counties 6.3 NC Avery,-NC Cherokee; NC Clay; NC Graham; HC Heywood, NC Henderson; NC Jackson; NC McDowell; NC Macon; NC Mitchell; NC Swain; NC Transylvania; NC Yancey. South Carolina: 031 Greenville-Spartanburg, SC: SMSA Counties: 316bGreenville-Spartanburg, SC 16.0 SC Greenville; SC Pickens; SC Spartanburg. Non-SMSA Counties 17.8 SC Polk; SC Abbeville; SC Anderson; SC Cherokee', SC Greenwood; SC Laurens; SC Oconee; SC Union. .032 Columbia, SC SMSA Counties: 1760 Columbia, SC 23.4 SC Lexington; SC Richland. No'n-SMSA Counties 32.0 SC Calhoun SC Clarendon; SC Fairfield; SC Kershaw; SC Lee; SC Newberry; SC Orangeburg; SC Saluda; SC Sumter 033 Florence, SC Non-SMSA Counties 33.0 SC Chesterfield; SC Darlington; SC Dillon; SC Florence; SC Georgetown; SC Horry; SC Marion; SC Marlboro; SC Williamsburg. 034 Charleston-North Charleston, SC SMSA Counties 1440 Charleston-North Charleston, SC 30.0 SC Berkeley; SC Charleston; SC Dorchester. Non-SMSA Counties 30.7 SC Collection Tennessee: 051 Chattanooga, TN: SMSA Counties 1560 Chattanooga,TN-GA 12.6 GA Catoosa; GA Dade; GA Walker;TN Hamilton;TN Marion; TN Sequatchie. Non-SMSA Counties 8.6 AL De Kalb;AL Jackson; GA Chattooga; GA Murray; GA Whitfield; TN Bledsoe;TN Bradley; TN Grundy;TN McMinn;TN Meigs; TN Monroe; TN Polk;TN Rhea. 052 Johnson City-Kingsport-Bristol, TN-VA: SMSA Counties'. 3660 Johnson City-Kingsport-Bristol. TN-VA 2.6 TN Carter; TN Hawkins-TN Sullivan; TN Unicoi;TN Washington;VA Scott; VA Washington;VA Bristol. Non-SMSA Counties 3.2 TN Greene;TN Hancock;TN Johnson;VA Buchanan; VA Dickenson;VA Lee; VA Russell;VA Smyth; VA Tazewell;VA Wise; VA Norton;WV McDowell,WV Mercer. Revised 04/23/09 27 of 48 EPA Region 4 053 Knoxville, TN SMSA Counties: 3840 Knoxville,TN 6.6 TN Anderson;TN Blount;TN Knox; TN Union. Non-SMSA Counties 4.5 KY Bell; KY Harlan; KY Knox; KY Laurel; KY McCreary; KY Wayne; KY Whitley;TN Campbell; TN Claiborne;TN Cocke;TN Cumberland; TN Fentress;TN Grainger, TN Hamblen;TN Jefferson;TN Loudon;TN Morgan; TN Roane; TN Scott; TN Sevier. 054 Nashville, TN: SMSA Counties: 1660 Clarksville-Hopkinsville, TN-KY 18.2 KY Christian;TN Montgomery. 5360 Nashville-Davidson,TN 15.8 TN Cheatham,TN Davidson;TN Dickson;TN Robertson;TN Rutherford; TN Sumner; TN Williamson; TN Wilson. Non-SMSA Counties 12.0 KY Allen; KY Barren; KY Butler; KY Clinton; KY Cumberland; KY Edmonson; KY Logan; KY Metcalfe; KY Monroe; KY Simpson; KY Todd; KY Trigg; KY Warren; TN Bedford;TN Cannon;TN Clay; TN Coffee;TN DeKalb;TN Franklin;TN Giles; TN Hickman;TN Houston;TN Humphreys;TN Jackson;TN Lawrence;TN Lewis; TN Macon; TN Marshall; TN Maury;TN Moore;TN Overton;TN Perry; TN Pickett; TN Putnam;TN Smith„TN Stewart;TN Trouslale;TN Van Buren;TN Warren; TN Wayne;TN White. 055 Memphis,TN: SMSA Counties: 4920 Memphis, TN-AR-MS 32.3 AR Critteriden; MS Do Soto;TN Shelby; TN Tipton. Non-SMSA Counties 26.5 AR Clay;AR Craighead;AR Cross;AR Greene;AR Lawrence;AR Lee; AR Mississippi;AR Phillips-AR. Poinsett;AR Randolph;AR St. Francis; MS Alcorn, MS Benton; MS Bolivar; MSCalhoun; MS Carroll; MS Chickasaw, MS Clay; MS Coahoma; MS Grenada; MS Itawamba; MS Lafayette; MS Lee; MS Leflore; MS Marshall; MS Monroe; MS Montgomery; MS Panola; MS Pontotoc; MS Prentiss; MS Quitman; MS Sunflower; MS Tallahatchie; MS Tate; MS Tippah; MS Tishomingo; MS Union; MS Washington; MS Webster. MS Yalobusha; MO Dunklin; MO New Madrid; MO Perniscot; TN Benton;TN Carroll; TN Chester;TN Crockett; TN Decatur;TN Dyer;TN Fayette;TN Gibson;TN Hardeman;TN Hardin; TN Haywood;TN Henderson-TN Henry;TN Lake; TN Lauderdale;TN McNairy; TN Madison;TN Obion;TN Weakley. Revised 04/23/09 28 of 48 EPA Region 4 Attachment Number 7 CHECK LIST OF EEO DOCUMENTATION FOR BIDDERS ON EPA ASSISTED CONSTRUCTION (Required by Executive Order 11246 as amended) The low, responsive responsible bidder must forward the following items, in duplicate,to the owner(grantee)no later than ten(10) days after bid opening. The owner(grantee) shall have one (1)copy available for inspection by the Office of Federal Contracts Compliance within 14 days after the bid opening. The web site for the OFCC is http://www.dol.gov/esa/ofcp org.htm. 1. EPA Project Number. Project Location. Type of Construction. 2. Proof of registration with the Joint Reporting Commission. (See Attachment Number 8.) 3. Copy of Affirmative Action Plan of contractor. Indicate company official responsible for EEO. 4. List of current construction contracts, with dollar amount. List contracting Federal Agency, if applicable. 5. Statistics concerning company percent workforce,permanent and temporary, by sex, race, trade, handicapped, and age. 40 CFR Part 7. 6. List of employment sources for project in question. If union sources are utilized, indicate percentage of minority membership within the union crafts. 7. Anticipated employment needs for this project, by sex,race and trade,with estimate of minority participation in specific trades. 8. List of subcontractors(name, address and telephone)with dollar amount and duration of subcontract. Subcontractor contracts over$10,000 must submit items 1- 8. 9. List of any subcontract work yet to be committed with estimate of dollar amount and duration of contract. 10. Contract Price. Duration of prime contract. 11. DBE Documents - See special instructions regarding use of Minority, and Women Owned, and Small Businesses. Revised 04/23/09 29 of 48 EPA Region 4 Attachment Number 8 Employer Information Report EEO-1 Under the direction of the US Equal Employment Opportunity Commission, the Joint Reporting Committee is responsible for the full-length, multi-phase processing of employment statistics collected on the Employer Information Report EEO-1. This report, also termed Standard Form 100, details the sex and race/ethnic composition of an employer's work force by job category. The Employer Information EEO-1 survey is conducted annually under the authority of Public Law 88-352, Title VII of the Civil Rights Act of 1964, as amended by the Equal Employment Opportunity Act of 1972. All employers with 15 or more employees are covered by Public Law 88-352 and are required to keep employment records as specified by Commission regulations. Based on the number of employees and federal contract activities, certain large employers are required to file an EEO-1 Report on an annual basis. The EEO-1 Report must be filed by. (A)All private employers who are: (1) subject to Title VII of the Civil Rights Act of 1964 (as amended by the Equal Employment Opportunity Act of 1972)with 100 or more employees EXCLUDING State and local governments, primary and secondary school systems, institutions of higher education, Indian tribes and tax-exempt private memberships clubs other than labor organizations; OR(2)subject to Title VII who have fewer than 100 employees if the company is owned or affiliated with another company, or there is centralized ownership, control or management(such as central control of personnel policies and labor relations) so that the group legally constitutes a single enterprise and the entire enterprise employs a total of 100 or more employees. (B)All federal contractors(private employers), who:(1)are not exempt as provided for by 41 CFR 60-1.5, (2)have 50 or more employees, and (a) are prime contractors or first-tier subcontractors, and have a contract, subcontract, or purchase order amounting to $50,000 or more; or(b) serve as depository of Government funds in any amount, or(c) is a financial institution which is an issuing an paying agent for U.S. Savings Bonds and Notes. Only those establishments located in the District of Columbia and the 50 states are required to submit the EEO-1 Report.No Reports should be filed for establishments in Puerto Rico, the Virgin Islands or other American Protectorates. When filing for the EEO-1 Report for the first time,go to the web site at: http://www.mimdms.com/jrc.html and select EFiling for the first time.from the box labeled INFORMATION. File out the electronic questionnaire to enter your company into Joint Reporting Committee (JRC) system. One you have completed the registration process, you will be contacted on how to proceed with the EEO-1 Report. If you have previously registered with the JRC, follow their instructions to update your information. Revised 04/23/09 30 of 48 EPA Region 4 EPA Form 5720 Attachment Number 9 Labor Standards Provisions For Federally Assisted Construction Labor standards provisions applicable to contracts covering federally financed and assisted construction (29 CFR 5.5, Contract Provisions and Related Matters)that apply to EPA Special Appropriations Projects grants are: (a)(4)(iii) Equal employment opportunity. The utilization of apprentices,trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30. (a)(5) Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR Part 3, which are incorporated by reference in this contract. (a)(6) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5 (a)(1)through (10)and such other clauses as the U.S. Environmental Protection Agency may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5. (a)(7) Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. (b) Contractor Work Hours and Safety Standards Act. The Administrator, EPA shall cause or require the contracting officer to insert the following clauses set forth in paragraph(b)(1),(2),(3), and(4) of this section in full in any contract subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by*Section 5.5(a)of this title. As used in this paragraph,the terms•laborers.and •mechanics.include watchmen and guards. (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any work week in which he or she is employed on such work to in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. Revised 04/23/09 31 of 48 EPA Region 4 (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph(b) (1) of this section the contractor and any subcontractor responsible therefore shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States(in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for unliquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph(b)(1) of this section, in the sum of$10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1)of this section. (3) Withholding for unpaid wages and liquidated damages. The U.S. Environmental Protection Agency shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other Federally- assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph(b) (2)of this section. (4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (b)(1)through(4)of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (b)(1)through (4)of this section. (c) In addition to the clauses contained in paragraph (b), in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in section 5.1,the Administrator of EPA shall cause or require the contracting officer to insert a clause requiring that the contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly worked, deductions made, and actual wages paid. Further,the Administrator of EPA shall cause or require the contracting officer to insert in any such contract a clause providing that the records to be maintained under this paragraph shall be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the U.S. Environmental Protection Agency and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview employees during working hours on the job. (Approved by the Office of Management and Budget under OMB control numbers 1215-0140 and 1215-0017.) Revised 04/23/09 32 of 48 EPA Region 4 CERTIFICATIONS Debarred Firms All prime Construction Contractors shall certify that Subcontractors have not and will not be awarded to any firm that is currently on the EPA Master List of Debarred, Suspended and Voluntarily Excluded Persons in accordance with the provisions of 40 CFR 32.500(c). Debarment action is taken against a firm for noncompliance with Federal Law. All bidders shall complete the attached certification (Attachment Number 10) in duplicate and submit both copies to the owner with the bid proposal. The owner(grantee) shall transmit one copy to EPA within 14 days after bid opening. Anti-lobbying Certification All prime Construction Contractors must certify(Attachment Number 11)that no appropriated funds were or will be expended for the purpose of lobbying the Executive or Legislative Branches of the Federal Government or Federal Agency concerning this contract(contract in excess of$100,000). If the Contractor has made or agreed to make payment to influence any member of Congress in regard to award of this contract, a Disclosure Form must be completed and submitted to the owner(grantee)with the bid proposal. The owner must transmit one copy to the EPA Grants Management Office. All prime Contractors must require all Subcontractors to submit the certification which must also be submitted to the owner(grantee). Revised 04/23/09 33 of 48 EPA Region 4 EPA Form 5700-49 Attachment Number 10 CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS The prospective participant certifies to the best of its knowledge and belief that it and its principals: (A) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local)transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity(Federal. State, or local)with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and (d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State, or local)terminated for cause or default. I understand that a false statement on this certification may be grounds for rejection of this proposal or termination of the award. In addition, under 18 USC Sec. 1001, a false statement may result in a fine of up to $10,000 or imprisonment for up to 5 years, or both. Typed Name& Title of Authorized Representative Signature of Authorized Representative Date I am unable to certify to the above statements. My explanation is attached. Revised 04/23/09 34 of 48 EPA Region 4 Instructions for Certification Regarding Debarments Under Executive Order 12549, an individual or organization debarred or excluded from participation in Federal assistance or benefit programs may not receive any assistance award under a Federal program, or a subagreement thereunder for$25,000 or more. Accordingly, each prospective recipient of an EPA grant, loan, or cooperative agreement and any contract or subagreement participant thereunder must complete the attached certification or provide an explanation why they cannot. For further details, see 40 CFR 32.510, Participants' responsibilities, in the attached regulation. Where To Submit: The prospective EPA grant, loan, or cooperative agreement recipient must return the signed certification or explanation with its application to the appropriate EPA Headquarters or Regional office, as required in the application instructions. A prospective prime contractor must submit a completed certification or explanation to the individual or organization awarding the contract. Each prospective subcontractor must submit a completed certification or explanation to the prime contractor for the project. How To Obtain Forms: EPA includes the certification form, instructions, and a copy of its implementing regulation (40 CFR Part 32) in each application kit. Applicants may reproduce these materials as needed and provide them to their prospective prime contractor,who, in turn,may reproduce and provide them to prospective subcontractors. Additional copies/assistance may be requested from: Compliance Branch Grants Administration Division (PM-216F) U.S. Environmental Protection Agency 401 M Street, SW Washington, DC 20460 (Telephone: 202/475-8025) EPA Form 5700-49 (11-88) Revised 04/23/09 35 of 48 EPA Region 4 Attachment Number 11 CERTIFICATION REGARDING LOBBYING Certification for Contracts, Grants, Loans,and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: (1)No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned,to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract,the making of any Federal grant, the making of any Federal loan,the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3)The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements)and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352,title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. TYPED NAME & TITLE OF AUTHORIZED REPRESENTATIVE SIGNATURE OF AUTHORIZED REPRESENTATIVE DATE I am unable to certify to the above statements. My explanation is attached. Revised 04/23/09 36 of 48 EPA Region 4 Attachment Number 12 EPA DISADVANTAGED BUSINESS ENTERPRISE PROGRAM EPA's Disadvantaged Business Enterprise Program rule applies to contract procurement actions funded in part by EPA assistance agreements awarded after May 27, 2008. The rule is found at Federal regulation Title 40, Part 33. Specific responsibilities are highlighted below. The EPA EPA form 6100-2, 6100-3, and 6100-4 are not required to be submitted to EPA; because they are out of date. However the information is still required to be sent to EPA and the forms can be used. Grant recipient responsibilities: • Conduct an Availability Analysis and negotiate fair share objectives with EPA (§ 33.411), or adopt the fair share objectives of the oversight state agency revolving loan fund for comparable infrastructure. (§ 33.405(b)(3)). • Include the Appendix A term and condition in each contract with a primary contractor(§ 3.106). The term and condition is included in the EPA Region 4 contract specifications insert FEDERAL REQUIREMENTS AND CONTRACT PROVISIONS FOR SPECIAL APPROPRIATION ACT PROJECTS US ENVIRONMENTAL PROTECTION AGENCY, Region III, June 2008. • Employ the six Good Faith Efforts during prime contractor procurement(§ 33.301). • Require prime contractor to comply with the following prime contractor requirements of Title 40 Part 33: - To employ the six Good Faith Efforts steps in paragraphs (a)through (e) of§ 33.301 if the prime contractor awards subcontracts (§ 33.301(f)). - To provide EPA form 6100-2—DBE Subcontractor Participation Form to all DBE subcontractors (§ 33.302(e)). - To submit EPA forms 6100-3—DBE Program Subcontractor Performance Form and 6100-4—DBE Program Subcontractor Utilization Form with bid package or proposal. (§ 33.302 (f) and(g)). - To pay its subcontractor for satisfactory performance no more than 30 days from the prime contractor's receipt of payment from the recipient(§ 33.302(a)). - To notify recipient in writing by its prime contractor prior to any termination of a DBE subcontractor for convenience by the prime contractor(§ 33.302(b)). Revised 04/23/09 37 of 48 EPA Region 4 - To employ the six good faith efforts described in § 33.301 if soliciting a replacement subcontractor after a DBE subcontractor fails to complete work under the subcontract for any reason. (§ 33.302(c)). - To employ the six good faith efforts described in § 33.301 even if the prime contractor has achieved its fair share objectives under subpart D of Part 33. (§33.302(d)). • Semiannually complete and submit to Charles Hayes, EPA Region 4 DBE Coordinator EPA form 5700-52A summarizing DBE participation achieved during the previous six months (§ 33.502). • Maintain records documenting its compliance with the requirements of Title 40 Part 33, including documentation of its, and its prime contractors', good faith efforts (§ 33.501(a)). Prime Contractor Responsibilities: • Employ the six Good Faith Efforts steps in paragraphs (a)through (e) of§ 33.301 if the prime contractor awards subcontracts (§ 33.301(f)). • Provide EPA form number 6100-2—DBE Program Subcontractor Participation Form and form number 6100-3—DBE Program Subcontractor Performance Form to each DBE subcontractor prior to opening of the contractor's bid or proposal (§ 33.302(e) and (f)). • Complete EPA form number 6100-4—DBE Program Subcontractor Utilization Form (§ 33.302(g). • Submit to recipient with it bid package or proposal the completed EPA form number 6100-4, plus an EPA form number 6100-3 for each DBE subcontractor used in the contractor's bid or proposal (§ 33.302(f)and (g)). • Pay subcontractors for satisfactory performance no more than 30 days from the prime contractor's receipt of payment from the recipient(§ 33.302(a)). • Notify the recipient in writing prior to prime contractor termination of a DBE subcontractor for convenience(§ 33.302(b)). • Employ the six good faith efforts described in § 33.301 if soliciting a replacement subcontractor after a DBE subcontractor fails to complete work under the subcontract for any reason. (§ 33.302(c)). Revised 04/23/09 38 of 48 EPA Region 4 • Employ the six good faith efforts described in § 33.301 even if the prime contractor has achieved its fair share objectives under subpart D of Part 33. (§33.302(d)). • Semiannually inform recipient of DBE participation achieved (§ 33.502). • Maintain records documenting its compliance with the requirements of Title 40 Part 33, including documentation of its, and its prime contractors', good faith efforts (§ 33.501(a)). Subcontractor Responsibilities: • May submit EPA form 6100-2—DBE Subcontractor Participation Form to Charles Hayes, EPA Region 4 DBE Coordinator(§ 33.302(e)). • Must complete EPA form 6100-3 —DBE Program Subcontractor Performance Form, and submit it to the prime contractor soliciting services from the subcontractor prior to the opening of bids for the prime contract. Form Requirement Provided By: Completed By: Submitted To: EPA Grant Recipients DBE EPA Region 4 DBE Form required to have prime Prime Subcontractors Coordinator 6100-2 contractors provide form Contractors Charles Hayes to Subcontractors EPA Grant Recipients DBE Grant Recipients as Form required to have prime Prime Subcontractors part of a bid or 6100-3 contractors provide form Contractors proposal package to Subcontractors EPA Grant Recipients Prime Grant Recipients as Form required to have prime Grant Contractors part of a bid or 6100-4 contractors complete the Recipients proposal package form Revised 04/23/09 39 of 48 EPA Region 4 0143 Central No: 2090-0030 Approved: O5/01/2008 Approval E piic: 01/31/2011 Erwironmental Protect-kin Agency Disadvantaged Business Enterprise Program DBE Subcontractor Participation Form NAME OF SUBCONTRACTOR PROJECT NAME ADDRESS CONTRACT NO. TELEPHONE NO. EMAIL ADDRESS PRIME CONTRACTOR NAME Please use the space below to report any concerns regarding the above EPA-funded project(err,reason for termination by prime contractor,late payment,etc.). AMOUNT CONTRACT ITEM OF WORK OR DESCRIPTION OF SERVICES RECEIVED FROM SUBCONTRACTOR ITEM NO. THE PRIME CONTRACTOR WAS PAID BY PRIME CONTRACTOR Subcontractor Signature Title/Date 'Subcontractor is dofired as a company,fcvi,pint venture,or indivtdd al who antQrs Into an aarooruont with a contrarior to provlda merlon pumeanl to an EPA award of financial assastatce. EPA FORM tlOD-2(DBE Sabrectactct Panidp¢ion Farm) Revised 04/23/09 40 of 48 EPA Region 4 Disadvantaged Business Enterprise Program DBE Subcontractor Participation Form The public reporting and recordkeeping burden for this collection of information is estimated to average fifteen (15) minutes. Burden means the total time,effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire,install, and utilize technology and systems for the purposes of collecting,validating, and verifying information,processing and maintaining information, and disclosing and providing information;adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. Send comments on the Agency's need for this information,the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques to the Director,Collection Strategies Division, U.S. Environmental Protection Agency (2822), 1200 Pennsylvania Ave., NW,Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed EPA DBE Subcontractor Participation Form to this address. EPA FORM 6100-2(DBE Subcontractor Participation Form) Revised 04/23/09 41 of 48 EPA Region 4 OMB Control No: 2090-0330 Approved_ 061011:006 Approval Expires: 01/33./ Environmental Protection Agency Disadvantaged Business Enterprise Program DBE Subcontractor Performance Form NAME OP SUBCONTRACTOR,. PROJECT NAME ADDRESS BID/PROPOSAL Na TELEPHONE Na E—MAIL ADDRESS PRIME CONTRACTOR NAME CONTRACT ITEM OF WORK OR DESCRIPTION OF SERVICES BID TO PRICE OF WORK IP ITEM NO. PRIME RI P TO PRIME TO Currently certified as an MBE or MIRE under EPA's DEE Program? Yes No Signature of Prime Contractor Date Print Name Title Signature of Subcontractor Date Paint Name Title 'Subcontractor is deftmd as a company,firm,Joint venture,or mdlvidual who enters into an agreement with a.contractor 113 provide e services pursuant io an EPA award of financial assistance. EPA FORM 4100-3("DBE Snbo trartor'Performance Form) Revised 04/23/09 42 of 48 EPA Region 4 OMS Ca :rc1 Na: 2O9O-01190 Approved_ 0'5,`01/2006 Approval Expire. 01/31/2011 EIotecti7nAg71 Pl'dt�Cllt?li Agency Disadvantaged Business Enterprise Program DBE Subcontractor Performance Foam The public reporting and recordkeeping burden for this collection of information is estimated to average fifteen (05) minutes. Burden means the total time, effort or financial resources expended by persons to generate, maintain,retain,or disclose or provide information to or for a Federal agency.This includes the time needed to review instructions;develop,acquire,install,and utilize technology and systems for the purposes of collecting, validating,and verifying information,processing and maintaining information,and disclosing and providing information:adjust the existing ways to comply with any previously applicable instructions and requirements: train personnel to be able to respond to a collection of information;search data sources;complete and review the collection of information;and transmit or otherwise disclose the information An agency may not conduct or sponsor,and a person is not required to respond to,a collection of information unless it displays a currently valid OMB control number_ Send comments on the Agency's need for this information the accuracy of the provided burden estimates,and any suggested methods for minimizing respondent burden_including the use of automated collection techniques to the Director,Collection Strategies Division,US.Environmental Protection Agency(2522),1200 Pennsylvania Ave,.NW,Washington,D.C.204519_ Include the OMB control number in any correspondence_ Do not send the completed EPA DBE Subcontractor Performance Form to this address. EPA FORM 610D-3(DBE Subcociractor Fesfmmaace Fang Revised 04/23/09 43 of 48 EPA Region 4 OMB Ceaskrol Nc_ M90-1)330 APProv'e'a 03101/1 308 rellk Envinaronents.1 Approval Expo 01131,231.1 Protection Agency Disadvantaged Business Enterprise Program DBE Subcontractor Utilization Form BID/PROPOSAL NO. PROJECT NAME NAME OP PRIME BIDDER/PROPOSER E-MAIL ADDRESS ADDRESS TELEPHONE NO_ I FAX NO_ The following wing subcantractorsd will be used on this project COMPANY NAME,ADDRESS,PHONE TYPE OF WORK TO SE ESTIMATE CURRENTLY NUMBER,AND E-MAIL ADDRESS PERFORMED D DOLLAR CERTIFIED AMOUNT AS AN MBE OR WBE? I certify under penalty of perjury that the forgoing statements are true and correct_ In the event of a replacement of a subcontractor,I will adhere to the replacement requirements set forth in 40 CFR Part 33 Section 33302(0. Signature of Prime Contractor Date Print Name Title 'Subcontractor is.deterred as a company..Rana foint venture,or tardividual who e.^n into an agrecrnant with a cwf.ector to pnavtda servviias pursuant to an'EPA award at t nnndal attest ncc. A FORM 4100-4(DBE Subcac raster l timatenFaun) Revised 04/23/09 44 of 48 EPA Region 4 OMI3 Control No: 2090-0050 ppioved 05/01/2005 Olt Approval Expires: 01/31/ E1YG'irtd1 Protection Agency Disadvantaged Business Enterprise Program DBE Subcontractor Utilization Form The public reporting and recardlaeeping burden for this collection of information is est uated to average fifteen (15) minutes. Burden means the total time, effort, or financial resources expended by persons to generate, mminitain retain,or disclose ar provide information to or for a Federal agency. This includes the time needed to review instructions;develop,acquire,install,and utilize technology and systems for the purposes of collecting, validating,and verifying information.processing and maintaining information.and disclosing and providing information;adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information;search data sources;complete and review the collection of information;and transmit or otherwise disclose the information. An agency may not conduct or sponsor,and a person is not required to respond to,a collection of information unless it displays a currently valid OMB control number_ Send comments an the Agency's need for this information,the accuracy of the provided burden estimates,and any suggested methods for minimizing respondent burden,including the use of automated collection techniques to the Director,Collection Strategies Division,U.S Environmental Protection Agency(2822),1200 Pennsylvania Ave.,NW,Washington.D.C.2060_ Include the OMB control number in any correspondence. Do not send the completed EPA DBE Subcontractor Utilization Form to this address. EPA FORM 4100-4(DBE 5vbcaeuactor 1 t73aion Form) Revised 04/23/09 45 of 48 EPA Region 4 Attachment Number 13 Fair Share Goal. set October I. 2006 Region 4 Kentucky Construction 0.70% 7.60% Supplies 3.70% 4.60% Services 1.20% 16.30% Goods/Equipment 1.20% 1.10% Combined Florida DEP Construction 9.00% 3.00% Supplies Services Goods/Equipment Combined Florida -Hillsborough County Construction 20.00% 20.00% Supplies 10.00% 10.00% Services 10.00% 10.00% Goods/Equipment 10.00% 10.00% Combined South Carolina Construction 3.60% 2.40% Supplies 9.00% 9.00% Services 11.00% 11.00% Goods/Equipment 10.00% 10.00% Combined Tennessee Construction 2.60% 2.60% Supplies 5.20% 5.20% Services 5.20% 5.20% Goods/Equipment 5.20% 5.20% Combined Mississippi-Non-SRF Programs Construction Supplies 7.70% 3.40% Services 1.10% 2.20% Goods/Equipment 6.80% 5.10% Combined Revised 04/23/09 46 of 48 EPA Region 4 Georgia Construction 13.70% 7.00% Supplies 13.70% 7.00% Services 13.70% 7.00% Goods/Equipment 13.70% 7.00% Combined North Carolina Construction 8.00% 5.00% Supplies 7.00% 9.00% Supplies 7.00% 9.00% Goods/Equipment 7.00% 9.00% Combined 4.00% 10.00% Alabama Construction 5.00% 17.00% Supplies 4.00% 11.00% Supplies 8.00% 30.00% Goods/Equipment 5.00% 20.00% Combined Revised 04/23/09 47 of 48 EPA Region 4 Attachment Number 14 BONDS AND INSURANCE The minimum requirements shall be as follows: Bonding requirements for contracts of$100,000 or less are contained in 40 CFR 31.36(h). Bond requirements for contracts in excess of$100,000 are: < Bid guarantee equivalent to five percent of the bid price. The bid guarantee shall consist of a firm commitment such as a certified check or bid bond submitted with the bid; < Performance bond equal to 100 percent of the contract price, and < Payment bond equal to 100 percent of the contract price. Bonds must be obtained from companies holding Certificates of Authority as acceptable sureties, issued by the U.S. Treasury. Insurance requirements are contained in the General Conditions of the contract. In addition to the other required insurance, the owner or the contractor, as appropriate, must acquire any flood insurance made available by the Federal Emergency Management Agency as required by 44 CFR Parts 59-79, if construction will take place in a flood hazard area identified by the Federal Emergency Management Agency. The owner's requirements on Flood Insurance are contained in the Special Conditions Section of the Contracts Documents. Revised 04/23/09 48 of 48 EPA Region 4