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HomeMy WebLinkAboutC. Bulk ApprovalsBOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY MEETING DATE: 1/20/09 DIVISION: COUNTY ADMINISTRATOR BULK ITEM: YES DEPARTMENT: AIRPORTS STAFF CONTACT PERSON: Peter Horton Phone:809-5200 AGENDA ITEM WORDING: Approval of lease with Federal Express for space at the Key West International Airport. ITEM BACKGROUND: The previous lease agreement with Federal Express expired September 30, 2009. This agreement is for the term of October 1, 2009, through September 30, 2014. PREVIOUS RELEVANT BOCC ACTION: Approval of previous Federal Express agreement, August 17, 2005- Approval of month to month occupancy pending new lease agreement, October 21, 2009. CONTRACT/AGREEMENT CHANGES: New agreement STAFF RECOMMENDATION: Approval TOTAL COST: None INDIRECT COST: n/a BUDGETED: n/a DIFFERENTIAL OF LOCAL PREFERENCE: n/a COST TO AIRPORT: None SOURCE OF FUNDS: n/a COST TO PFC: None COST TO COUNTY: None REVENUE PRODUCING: Yes AMOUNT PER YEAR: $58,780.29, plus landing fees APPROVED BY: County Attorney X OMB/Purchasing X Risk Management X DOCUMENTATION: Included X DISPOSITION: /bev AO revised 7/09 Not Required AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract # Contract with: Federal Express Effective Date: 10/1/09 Expiration Date: 9/30/14 Contract Purpose/Description: Lease for property at the Key West International Airport Contract Manager: Peter Horton # 5200 Airports - Stop # 5 (name) (Ext.) (Department/ Stop) for SOCC meeting on: 1/20110 Agenda Deadline: 1/5/10 CONTRACT COSTS Total Dollar Value of Contract: Revenue Producing Current Year Portion: n/a Budgeted? n/a Account Codes: n/a Grant: n/a County Match: n/a ADDITIONAL COSTS Estimated Ongoing Costs: n/a For: (not included in dollar value above) (eg. maintenance, utilities, janitorial, salaries, etc.) Date In Airports Director �Z/Z210� Risk Man(a� —q ment (a,/�( O.1� W/Pu)t,hasing L/ M I_n County Attorneev ] _I /IT / Comments: r\" UGCt/�0 L :Zi-1 CONTRACT REVIEW Changes Needed Reviewer Date Out Yes No e r Hortw for R' anage nt fo4r OMB FedEx Lease No.: 90-0182-011 LEASE AGREEMENT KEY WEST INTERNATIONAL AIRPORT Federal Express Corporation THIS CONTRACT OF LEASE ("Lease") is made and entered into on this day of 12009, by and between MONROE COUNTY, a political subdivision of the State of Florida, hereinafter referred to as "COUNTY" and FEDERAL EXPRESS CORPORATION, hereinafter referred to as "FEDEX." WHEREAS, COUNTY owns an airport known as the Key West International Airport, located in Key West, Monroe County, Florida, hereinafter referred to as "AIRPORT," and WHEREAS, FEDEX is engaged in the business of air transportation of cargo and other property, and WHEREAS, FEDEX desires to obtain certain rights, services and privileges in connection with the use of the Airport facilities, and the COUNTY is willing to grant and lease the same to FEDEX on a non-exclusive basis, upon the terms and conditions hereinafter stated, now, therefore, IN CONSIDERATION of the premises and of the mutual covenants and agreements herein contained, and other valuable considerations, COUNTY does hereby grant and lease unto FEDEX, and FEDEX does hereby lease from COUNTY, certain premises, facilities, rights, and privileges in connection with and on the Airport, as follows, to wit: 1. Premises. COUNTY does hereby lease to FEDEX, and FEDEX leases from the COUNTY, the Air Cargo building presently located at the Airport, measuring one hundred feet by thirty feet (100' x 30'), and nine thousand, five hundred thirty-five (9,535) square feet of open land adjacent to the building, and an aircraft apron measuring approximately eight thousand, eight hundred forty-two (8,842) square feet as indicated on the drawing labeled as Exhibit A attached hereto and made a part hereof. 2. Use of the Airport. FEDEX shall be entitled to use, in common with others authorized to do so, the airport facilities and appurtenances, together with all equipment, improvements, and services which have been or may hereafter be provided at or in connection with the Airport for -common use, in the operation of a business for the transportation of cargo and other property by air. 3. Term. The term of this Lease shall be sixty (60) months, commencing October 1, 2009 and ending on September 30, 2014. 4. Rentals and Fees. During the term of this Lease, FEDEX shall pay to the COUNTY, rent as follows: a) the amount of Forty -Six Thousand, Two Hundred Thirty Six Dollars and 91/100 Cents ($46,236.91) per annum, plus applicable sales tax, for the area of three thousand (3,000) square feet, in the existing Air Cargo building, and b) the amount of Five Thousand, Nine Hundred Seventy One Dollars and 88/100 Cents ($5,971.88) per annum, plus applicable_ sales tax, for an area of nine thousand, five hundred thirty- five (9,535) square feet of open land adjacent to the Air Cargo building, for use for loading, unloading, and parking of automotive vehicles. RECEIVED DEC 0 8 2009 AIRPORT GRANTS c) the amount of Six Thousand, Five Hundred Seventy One Dollars and 50/100 Cents ($6,571.50) per annum, plus applicable sales tax, for an area of eight thousand, eight hundred forty- two (8,842) square feet of aircraft apron adjacent to the Air Cargo building. The Lease amount agreed to herein shall be adjusted annually in accordance with the percentage change in the Consumer Price Index for all urban consumers (CPI-U) for the most recent twelve (12) months available. Rent for items a, b, and c shall be paid in equal monthly installments, all of which shall be due and payable on or before the first day of each calendar month during which this Lease is in effect. Upon the failure of FEDEX to pay any installments when due, the COUNTY will be entitled to charge and collect, and FEDEX will be obligated to pay, a late fee of two percent (2%) of any such amount, if paid within thirty (30) days of the date due, and five percent (5%) of any such amount, not paid within thirty (30) days of the date due. Such late fees will be in addition to the amount of rent due. The acceptance by the COUNTY of the overdue rental installment plus applicable late fees shall cure what would otherwise constitute a default by FEDEX under the terms of this Lease. The COUNTY, at its option, however, may refuse a proffered overdue rental installment and late fees, declare a default, and proceed according to paragraph 36 of this Lease. In the event that any check, draft, or negotiable instrument by which FEDEX has tendered any rent payment is returned to the COUNTY and not honored, whether for insufficient funds or other reason, the COUNTY will be entitled to charge and collect, in addition to any applicable late payment fees as provided above, a fee of Twenty-five Dollars ($25.00) for such dishonored instrument. Such penalty fee shall also be in addition to the amount of rent due. The acceptance by the COUNTY of the rental payment plus any applicable late fee and penalties following the receipt of a dishonored instrument shall cure what would otherwise constitute a default under the terms of this Lease. The COUNTY, at its option, however, may refuse any proffered rental installment and applicable late fees and penalties, declare a default, and proceed according to paragraph 36 of this Lease. 5. Security Deposit. In addition to the rent payment as provided above, FEDEX shall maintain with the COUNTY, the sum deposited, to -wit: an amount of Twenty-five Hundred Dollars ($2,500.00), which the COUNTY will hold as a security deposit. In the event of any breach by FEDEX of any of the terms of this Lease, including any failure to timely pay any rent due, the COUNTY may draw upon the monies held by the COUNTY as security, to pay and cover any amounts due and owing from FEDEX. 6. Landing Fees. Landing fees shall be assessed at a rate to be established by the County's 2001 or an approved, updated Rates and Charges Study, subject to an adjustment on each January I" for the term of the Lease, in accordance with the percentage change in the CPI-U for the most recent twelve (12) months available. The landing fees shall be computed, using the $2.49 rate as an example only, as follows: $2.49 per 1,000 pounds of approved maximum gross landing weight, with no minimum fee. FEDEX shall report to the Monroe County Board of County Commissioners, not later than the 10th day of each month, FEDEX's Actual Revenue Trip Arrivals at the Airport during the preceding calendar month, which shall include the number and type of such arrivals. The number of arrivals so operated, multiplied by the applicable approved maximum gross landing weights for each type of aircraft, shall determine the weight for which the monthly payment shall be made. The term "approved maximum gross landing weight" for any aircraft as used herein, shall be the maximum gross landing weight approved by the Federal Aviation Administration for landing such aircraft at the AIRPORT herein. FEDEX provides service to Key West, Florida utilizing a Cessna 208 Caravan. While this aircraft is owned by FEDEX, it is leased to and operated by Mountain Air Cargo (MAC) based in Denver, North Carolina. As such, MAC is responsible for all the operating expenses related to aircraft, including landing fees. Wiihin fifteen (15) days after its receipt of written notice that MAC is unable to satisfy its obligations hereunder, FEDEX will assume the responsibility for ensuring that all payments and contractual agreements are maintained, or vacate the premises and this Lease shall be terminated in accordance with paragraph 36. 7. Leasehold Improvements and Use. FEDEX shall have the right to occupy the Air Cargo building measuring one hundred feet by thirty feet (100' x 30'), and nine thousand, five hundred thirty-five (9,535) square feet of open land adjacent to the Air Cargo building, plus the aircraft apron, as indicated on the drawing labeled as Exhibit "A" attached hereto and made a part hereof. FEDEX has the right during the term hereof, at its own expense, at any time from time to time, to install, maintain, operate, repair and replace any and all trade fixtures and other Airport personal property useful from time to time in connection with its operation on the Airport, all of which shall be and remain the property of FEDEX and may be removed by FEDEX prior to or within a reasonable time after expiration of the term of this Lease; provided, however, that FEDEX shall repair any damage to the premises caused by such removal. The failure to remove trade fixtures or other personal property shall not constitute FEDEX a hold over, but all such property not removed within ten (10) days after FEDEX receives a written demand for such removal shall be deemed abandoned and thereupon shall become the sole property of the Airport. FEDEX shall cause to be removed any and all liens of any nature arising out of or because of any construction performed by FEDEX or any of its contractors or subcontractors on the leased premises or because of the performance of any work or labor upon or the furnishing of any materials for use at said premises, by or at the direction of FEDEX. FEDEX may only utilize the leased building to provide counter space for members of the public desirous of using FEDEX's cargo and package services and for the operation of a business engaged in the transportation of cargo and other property. Whilc premises are leased to FEDEX for parking, FEDEX shall not park or place automotive vehicles in any space on the premises unless it has been designated by the COUNTY for parking. The COUNTY shall cooperate with FEDEX in designating a reasonable number of parking spaces to accommodate FEDEX's business traffic. 8. Common Areas. FEDEX shall have the right to use, in common with others, the Airport space and facilities to permit landing, taking off, loading, unloading and servicing of FEDEX's aircraft, subject to reasonable rules and regulations of COUNTY as to the use of such common spaces and facilities. 9. Rieht of In ress and Egress. FEDEX, its agents, employees, customers, suppliers, and patrons shall have the right of ingress and egress to and from the leased premises, which shall not be unreasonably restricted by the COUNTY. 10. Utilities. FEDEX shall be responsible for the payment of electrical service, water service, and any similar utility services as needed. In addition to rent and other charges, FEDEX shall pay a trash collection fee of Two Thousand, Thirteen Dollars and 84/100 Cents ($2,013.84) per annum, paid monthly with the rent. . 11. Assignment. The premises leased hereunder along with the improvements thereon may not be sublet and this Lease may not be assigned without the written consent of the COUNTY. 12. Maintenance of Premises by FEDEX. FEDEX shall be responsible for and shall properly maintain the leased premises, and upon the termination of this Lease, shall leave the premises in at least as good condition as at the time of the commencement of this Lease, normal use and occupancy excepted. FEDEX is responsible for and shall properly maintain the security fences and gates surrounding the leased premises and is also responsible for properly securing any portion of the premises being remodeled or under construction. 13. Inspection and Maintenance of Premises by County. The County and its authorized officers, employees, agents, contractors, subcontractors and other representatives shall have the right to enter upon the leased premises for the following purposes: a) to inspect the leased premises at reasonable intervals during regular business hours (or at any time in case of emergency) to determine whether FEDEX has complied and is complying with the terms and conditions of this Lease with respect thereto; b) to perform essential maintenance, repair, relocation, or removal of existing underground and overhead wires, pipes, drains, cables and conduits now located on or across the leased premises, and to construct, maintain, repair, relocate, and remove such facilities in the future as necessary to carry out the Master Plan of development of the Airport; provided, however, that said work shall in no event unduly interfere with the operations of FEDEX and, provided further, that the entire cost of such work, including but not limited to the cost of rebuilding, removing, relocating, protecting or otherwise modifying any fixed improvements at any time erected or installed in or upon the leased premises by FEDEX, the COUNTY or third parties, as a result of the exercise by the COUNTY of its rights hereunder, and all damage to such fixed improvements caused thereby, shall be borne by the COUNTY. 14. Insurance Requirements a) FEDEX will obtain or possess the following insurance coverages and will provide Certificates of Insurance to COUNTY to verify such coverage; Commercial General Liability. FEDEX shall provide coverage for all premises and operations including Contractual, Products, and Completed_ Operations, and Personal/Advertising Injury. The limits shall not be less than; $5,000,000 Combined Single Limits (CSL) or its equivalent If split limits are provided, the minimum limits acceptable shall be; $5,000,000.00 per occurrence, $500,000 per person, $100,000 Property Damage The General Aggregate limit shall either apply separately to this Lease or shall be at least twice the required occurrence limits. Business Automobile Liability. FEDEX shall provide coverage for all owned, non -owned and hired vehicles with limits of not less than; $5,000,000 CSL or its equivalent If split limits are provided, the minimum limits acceptable shall be; $5,000,000 per occurrence $500,000 per person $100,000 Property Damage Professional Aviation Liability. FEDEX will provide coverage for limits of not less than $30,000,000.00 CSL, including passengers, or its equivalent. Worker's Compensation. FEDEX shall provide coverage with limits sufficient to respond to the applicable state statutes. Employer's Liability. FEDEX shall provide Employer's Liability insurance with limits of not less than; $1,000,000 Bodily Injury by Accident, $1,000,000 Bodily Injury by Disease, policy limits and $1,000,000 Bodily Injury by Disease, each employee. Property Insurance. FEDEX shall provide coverage for all premises governed by this Lease with limits no less than the Replacement Cost Value of the leased premises and as a minimum shall include coverages consistent with the latest version of the Special Form as filed by the Insurance Services Office (ISO) and shall include as a minimum coverage for claims arising out of Fire, Sprinkler Leakage, Windstorm, Civil Commotion, Lightning, Sinkhole Collapse, Smoke, Aircraft and Vehicle Damage, Vandalism, Falling Objects, Explosion and Flood. b) The Monroe County Board of County Commissioners will be included as "Additional Insured" on all policies, except for Worker's Compensation. In addition, the Monroe County Board of County Commissioners shall be named as loss payee on any property insurance placed on the leased facilities. c) All insurance policies must specify that they are not subject to cancellation, non - renewal, material change, or reduction in coverage unless a minimum of thirty (30) days prior notification is given to the COUNTY by the insurer. d) The acceptance and/or approval of FEDEX'S insurance shall not be construed as relieving FEDEX from any liability or obligation assumed under this Lease or imposed by law. e) FEDEX shall maintain the required insurance throughout the entire term of this -Lease and any extensions which may be entered into. The COUNTY, at its sole option, has the right to request a certified copy of any and all insurance policies required by this Lease. Failure to comply with this provision shall be considered a default and the COUNTY may terminate the Lease in accordance with paragraph 36. Any deviations from these General Insurance Requirements must be requested in writing on the COUNTY prepared form entitled, "Request for Waiver of Insurance Requirements" and be approved by Monroe County Risk Management. 15. Books. Records and Documents. FEDEX shall maintain all books, records, and documents directly pertinent to performance under this Lease in accordance with generally accepted accounting principles consistently applied. Each party to this Lease or their authorized representatives shall have reasonable and timely access to such records of each other party for public records purposes during the term of the Lease and for four (4) years following the termination of this Lease. The COUNTY, acting through its Finance Director or other authorized representative, shall have the right to inspect and audit FEDEX's books of accounts and other records directly generated at the Key West International Airport facility or otherwise pertaining to this Lease. Knowingly furnishing the COUNTY a false statement of its Actual Revenue Trip Arrivals under the provision hereof will constitute a default by FEDEX of this Lease and the COUNTY may, at its option, declare this Lease terminated. FEDEX retains the right to have its controller or a representative assigned by its controller to be present during any inspection or audit by the COUNTY. Ten (10) business days notice must be given of intent to audit by the COUNTY to allow FEDEX's controller sufficient time to schedule said presence. Nothing contained within this section waives attomey/client or attorney work product privilege. 16. Governina Law, Venue, Intervretation. Costs, and Fees. This Lease shall be governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Lease, the COUNTY and FEDEX agree that venue will lie in the appropriate court or before the appropriate administrative body in Monroe County, Florida. The COUNTY and FEDEX agree that, in the event of conflicting interpretations of the terms or a term of this Lease by or between any of them the issue shall be submitted to mediation prior to the institution of any other administrative or legal proceeding. 17. Severability. If any term, covenant, condition or provision of this Lease (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Lease, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Lease shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Lease would prevent the accomplishment of the original intent of this Lease. The COUNTY and FEDEX agree to reform the Lease to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. 18. Attorney's Fees and Costs. The COUNTY and FEDEX agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of this Lease, the prevailing party shall be entitled to reasonable attorney's fees, court costs, investigative and out-of-pocket expenses, as an award against the non -prevailing party, and shall include attorney's fees, court costs, investigative, and out-of-pocket expenses in appellate proceedings. Mediation proceedings initiated and conducted pursuant to this Lease shall be in accordance with the Florida Rules of Civil Procedure and usual and customary procedures required by the Circuit Court of Monroe County. 19. Binding Effect. The terms, covenants, conditions, and provisions of this Lease shall bind and inure to the benefit of the COUNTY and FEDEX and their respective legal representatives, successors, and assigns. 20. Authority. Each party represents and warrants to the other that the execution, delivery and performance of this Lease have been duly authorized by all necessary COUNTY and corporate action, as required by law. 21, Claims for Federal or State Aid. FEDEX and COUNTY agree that each shall be, and is, empowered to apply for, seek, and obtain Federal and State funds to further the purpose of this Lease; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission, 22. Adjudication of Disputes or Disagreements. COUNTY and FEDEX agree that all disputes and disagreements shall be attempted to be resolved by meet and confer sessions between representatives of each of the parties. If no resolution can be agreed upon within thirty (30) days after the first meet and confer session, the issue or issues shall be discussed at a public meeting of the Board of County Commissioners. If the issue or issues are still not resolved to the satisfaction of the parties, then any party shall have the right to seek such relief or remedy as may be provided by this Lease by Florida law. 23. Cooperation. [n the event any administrative or legal proceeding is instituted against either party relating to the formation, execution, performance, or breach of this Lease, COUNTY and FEDEX agree to participate, to the extent required by the other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Lease or provision of the services under this Lease. COUNTY and FEDEX specifically agree that no party to this Lease shall be required to enter into any arbitration proceedings related to this Lease. A party who requests the other's parry's participation in accordance with the terms of this section shall pay all reasonable expenses incurred by the other party by reason of such participation. 24. Nondiscrimination. COUNTY and FEDEX agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent jurisdiction that FEDEX has discriminated against any person, this Lease automatically terminates without any further action on the part of any party, effective the date of the Court order. COUNTY or FEDEX agree to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss. 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975; as amended (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patent records; 8) Title VIII of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. 1201 Note), as may be amended from time to time, relating to nondiscrimination based of disability; 10) Secs. 13-101, et seq., Monroe County Code, relating to discrimination based on race, color, sex, religion, disability, national origin, ancestry, sexual orientation, gender identify or expression, familial status or age; 11) Any other nondiscrimination provisions in any Federal or State statutes which may apply to the parties to, or the subject matter of, this Lease. 25. Covenant of No Interest. The COUNTY and FEDEX covenant that neither presently has any interest, and shall not acquire any interest, which would conflict in any manner or degree with its performance under this Lease, and the only interest of each is to perform and receive benefits as'recited in this Lease. 26. Code of Ethics. The COUNTY agrees that officers and employees of the COUNTY recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112.313, Florida Statutes, regarding, but not limited to solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. 27. Public Access. The COUNTY and FEDEX shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the COUNTY and FEDEX in conjunction with this Lease; and the COUNTY shall have the right to unilaterally cancel this Lease upon violation of this provision by FEDEX. Nothing in this section waives attorney/client or attorney work product privilege. 28. Non -Waiver of Immunity. Notwithstanding the provisions of Sec. 786.28, Florida Statues, the participation of the COUNTY and the FEDEX in this Lease and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any contract entered into by the COUNTY be required to contain any provision for waiver. 29. Privile es and Immunities. All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the COUNTY, when performing their respective functions under this Lease within the territorial limits of the COUNTY shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the COUNTY. 30. Legal Obligations and Responsibilities. Non -Delegation of Constitutional or Statutory Duties. This Lease is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Lease is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the COUNTY, except to the extent permitted by the Florida Constitution, State Statute, and case law. 31. Non -Reliance by Non -Parties. No person or entity shall be entitled to rely upon the terms, or any of them, of this Lease to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the COUNTY and FEDEX agree that neither the COUNTY nor FEDEX or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity or entities, have entitlements or benefits under this Lease separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Lease. 32. Attestations. FEDEX agrees to execute such documents as the COUNTY may reasonably require, to include a Public Entity Crime Statement, an Ethics Statement, and a Drug -Free Workplace Statement. 33. No Personal Liability. NO covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Lease or be subject to any personal liability or accountability by reason of the execution of this Lease. 34. Execution in Counterparts. This Lease may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken together shall constitute one and the same instrument and any of the parties hereto may execute this Lease by signing any such counterpart. 35. Section Heading. Section headings have been inserted in this Lease as a matter of convenience of reference only, and it is agreed that such section headings are not a part of this Lease and will not be used in the interpretation of any provision of this Lease. 36. Default. Unless the COUNTY has accepted a rental installment after it has become due together with any applicable late payments and penalties, the failure to pay rental installments when due shall constitute a default under the terms of this Lease. The failure to pay any other charges or fees when due under this Lease shall constitute a default. Further, the failure of FEDEX to perform any other of the covenants of this Lease, which failure shall continue for a period of fifteen (15) days, or for such longer period of time as may be reasonably required to rectify said failure through the exercise of prompt, diligent and continuous action, after notice thereof is given to FEDEX in writing by the COUNTY, shall also constitute a default under the terms of this Lease. In the event of a default, the COUNTY may, at its option, declare the Lease forfeited and may immediately re-enter and take possession of the leased premises and this Lease shall terminate. If it shall be necessary to employ the services of an attorney in order to enforce its right under this paragraph, or to collect any of its rentals, fees, or charges due, the COUNTY shall be entitled to reasonable attorney's fees. 37. CANCELLATION OF LEASE. The COUNTY may cancel this Lease agreement by giving FEDEX sixty (60) days advanced written notice upon the happening of any one of the following events: the appointment of a receiver of FEDEX's assets; the divesting of FEDEX's leasehold estate by other operation of law; the abandonment by FEDEX of its air cargo transportation business at the Airport for a period of sixty (60) days. By the end of the sixty (60) day notice period, FEDEX shall have vacated the premises and the COUNTY may immediately re-enter and take possession of the same. If it is necessary to employ the services of an attorney in order to enforce the COUNTY's rights under this paragraph, the COUNTY shall be entitled to reasonable attorney's fees. 38. FAA REQUIREMENTS. The parties shall comply with FAA Required Lease Clauses, which are listed in Exhibit C, attached hereto and made a part hereof. 39. AIRPORT SECURITY. a. General. The Federal Transportation Security Administration is the federal agency primarily responsible for overseeing the security measures utilized by the airport owner pursuant to the relevant provisions of Chapter 49, United States Code, and regulations adopted under the authority of the Code, including but not limited to 49 CFR 1540, et seq. Violations of the statutes or regulations may result in severe civil monetary penalties being assessed against the airport operator. It is the intent of the airport operator that the burdens and consequences of any security violations imposed upon the airport operator as a result of actions by an airport tenant or the airport tenant's employees, agents, invitees, or licensees shall be home by the airport tenant. b. Airport Tenant Defined. An airport tenant means any person, entity, organization, partnership, corporation, or other legal association that has an agreement with the airport operator to conduct business on airport property. The term also includes an airport tenant as defined in 49 CFR 1540.5. Each signatory to this Lease, other than the airport operator, is an airport tenant. c. Airport Operator Defined. As used in this Lease, airport operator means Monroe County, Florida, its elected and appointed officers, and its employees. d. Airport Property Defined. Airport property shall mean the property owned or leased by, or being lawfully used by, the airport operator for civil aviation and airport -related purposes. For purposes of this Lease, airport property is the property generally referred to as the Key West International Airport, the Florida Keys Marathon Airport, or both as may be set forth in this Lease. e. Inspection Authority. The airport tenant agrees to allow Transportation Security Administration (TSA) authorized personnel, at any time or any place, to make inspections or tests, including copying records, to determine compliance of the airport operator or airport tenant with the applicable security requirements of Chapter 49, United States Code, and 49 CFR 1540, et seq. i Airport Security Program. The airport tenant agrees to become familiar, to the extent permitted by the airport operator, with the Airport Security Program promulgated by the airport operator and approved by TSA, and also agrees to conform its' operations and business activities to the requirements of the Airport Security Program. g. Tenant Security Program. If permitted under TSA regulations, the airport tenant may voluntarily undertake to maintain an Airport Tenant Security Program as referred to in 49 CFR 1542.1 13. If the airport tenant voluntarily promulgates an Airport Tenant Security Program that is approved by TSA, such program, as may be amended and approved from time to time, shall be automatically incorporated into this Lease. h. Breach of Agreement. Should TSA determine that the airport tenant or one or more of the airport tenant's employees, agents, invitees, or licensees has committed an act or omitted to act as required, and such act or omission is a violation which results in TSA imposing a civil penalty against the airport operator in accordance with TSA's Enforcement Sanction Guidance Policy, such determination and imposition of a civil penalty by TSA shall be considered a significant breach of this Lease. (1) Minimum Violation. If the violation is the first or second violation attributed to the airport tenant and is a civil penalty "minimum violation" as provided for in TSA's Enforcement Sanction Guidance Policy, the airport tenant may cure the breach by paying to the airport operator the total costs incurred by the airport operator, including any' fines or penalties imposed, in investigating, defending, mitigating, compromising, or taking of remedial measures as may be agreed to by TSA, to include but not be limited to reasonable attorney's fees and costs incurred in the investigation, defense, compromising, mitigation, or taking of remedial action measures. If the violation is a third violation, or there are multiple violations in excess of two violations, that is or are a civil penalty "minimum violation," the airport tenant shall pay to the airport operator the total costs incurred by the airport operator, including any fines or penalties imposed, in investigating, defending, compromising, mitigating, or taking of remedial measures as may be agreed to by TSA, to include but not be limited to reasonable attorney's fees and costs incurred in the investigation, defense, compromising, mitigation, or taking of remedial action measures; and, further, the airport operator shall have the right to unilaterally cancel this Lease, such cancellation to be effective thirty (30) calendar days after receipt by the airport tenant of written notice of cancellation of this Lease by the airport operator. (2) Moderate Violation. If the violation is the first or second violation attributed to the airport tenant and is a civil penalty "moderate violation" as provided for in TSA's Enforcement Sanction Guidance Policy, the airport tenant may cure the breach by paying to the airport operator the total costs incurred by the airport operator, including any fines or penalties imposed, in investigating, defending, compromising, mitigating, or taking of remedial measures as may be agreed to by TSA, to include but not be limited to reasonable attorney's fees and costs incurred in the investigation, defense, compromising, mitigation, or taking of remedial action measures; and, further, the airport tenant may cause all of airport tenant's employees involved in the airport tenant's business operations on the airport property to undergo such security training as may be required by the airport operator. The total cost of the training shall be paid for by the airport tenant. If the violation is a third violation, or there are multiple violations in excess of two violations, that is or are a civil penalty "moderate violation," the airport tenant shall pay to the airport operator the total costs incurred by the airport operator, including any fines or penalties imposed, in investigating, defending, compromising, mitigating, or taking of remedial measures as may be agreed to by TSA, to include but not be limited to reasonable attorney's fees and costs incurred in the investigation, defense, compromising, mitigation, or taking of remedial action measures; and, further, the airport operator shall have the right to unilaterally cancel this Lease, such cancellation to be effective thirty (30) calendar days after receipt by the airport tenant of written notice of cancellation of this Lease by the airport operator. (3) Maximum Violation. if the violation is the first violation attributed to the airport tenant and is a civil penalty "maximum violation" as provided for in TSA's Enforcement Sanction Guidance Policy, the airport tenant may cure the breach by paying to the airport operator the total costs incurred by the airport operator, including any fines and penalties imposed, in investigating, defending, compromising, mitigating, or taking of remedial measures as may be agreed to by TSA, to include but not be limited to reasonable attorney's fees and costs incurred in the investigation, defense, compromising, mitigation, or taking of remedial action measures; and, further, the airport tenant may cause all of airport tenant's employees involved in the airport tenant's business operations on the airport property to undergo such security training as may be required by the airport operator. The total cost of the training shall be paid for 10 by the airport tenant. If the violation is a second violation, or them are multiple violations, that is or are a civil penalty "maximum violation," the airport tenant shall pay to the airport operator the total costs incurred by the airport operator, including any fines or penalties imposed, in investigating, defending, compromising, mitigating, or taking of remedial measures as may be agreed to by TSA, to include but not be limited to reasonable attorney's fees and costs incurred in the investigation, defense, compromising, mitigation, or taking of remedial action measures; and, further, the airport operator shall have the right to unilaterally cancel this Lease, such cancellation to be effective thirty (30) calendar days after receipt by the airport tenant of written notice of cancellation of this Lease by the airport operator. (4) Mitigation of Breach. TSA has a policy of forgoing civil penalty actions when the airport operator detects violations, promptly discloses the violations to TSA, and takes prompt corrective action to ensure that the same or similar violations do not recur. This policy is known as the TSA Voluntary Disclosure Program Policy, and is designed to encourage compliance with TSA regulations, foster secure practices, and encourage the development of internal evaluation programs. The airport tenant agrees that upon detecting a violation the airport tenant will immediately report it to the airport operator. Should the TSA ultimately determine that the violation was committed by the airport tenant, or an employee, agent, invitee, or licensee of the airport tenant, but the violation should result in the issuance of a letter of correction in lieu of a civil penalty, then the airport tenant shall reimburse the airport operator the total costs incurred by the airport operator in investigating, defending, mitigating, or taking of remedial measures as may be agreed to by TSA, to include but not be limited to reasonable attorney's fees and costs incurred in the investigation, defense, mitigation, or taking of remedial action measures. A violation resulting in the issuance of a letter of correction shall not be considered to be a breach of this Lease by the airport tenant. (5) Survival of Subsection. This subsection shall survive the cancellation or termination of this Lease, and shall be in full force and effect. 40, Hold Harmless, Indemnification-; Defense; Release; Survival. Notwithstanding any minimum insurance requirements prescribed elsewhere in this Lease, FEDEX shall defend, indemnify and hold the COUNTY and the COUNTY's elected and appointed officers and employees harmless from and against (i) any claims, actions or causes of action, (ii) any litigation, administrative proceedings, appellate proceedings, or other proceedings relating to any type of injury (including death), loss, damage, fine, penalty or business interruption, and (iii) any costs or expenses (including, without limitation, costs of remediation and costs of additional security measures that the Federal Aviation Administration, the Transportation Security Administration or any other governmental agency requires by reason of, or in connection with a violation of any federal law or regulation, attorney's fees and costs, court costs, fines and penalties) that may be asserted against, initiated with respect to, or sustained by, any indemnified party by reason of, or in connection with, (A) any activity of FEDEX or any of its employees, agents, contractors or other invitees on the Airport during the term of this Lease, (B) the negligence or willful misconduct of FEDEX or any of its employees, agents, contractors or other invitees, or (C) FEDEX's default in respect of any of the obligations that it undertakes under the terms of this Lease, except to the extent the claims, actions, causes of action, litigation, proceedings, costs or expenses arise from the intentional or sole negligent acts or omissions of the COUNTY or any of its employees, agents, contractors or invitees (other than FEDEX). Insofar as the claims, actions, causes of action, litigation, proceedings, costs or expenses relate to events or circumstances that occur during the term of this Lease, this Section will survive the expiration of the term of this Lease or any earlier termination of this Lease. 41. Rules and Regulations A. COMPLIANCE. FEDEX shall comply with the Minimum Standards for Commercial Aeronautical Activities by Fixed Base Operators and Other Aeronautical Service Providers at Monroe County Airports and all ordinances of the COUNTY, including any reasonable rules and regulations with respect to use of Airport property, as the same may be amended from time to time, all 11 additional laws, statutes, ordinances, regulations and rules of the federal, state and county governments, and any and all plans and programs developed in compliance therewith, which may be applicable to its operations, including specifically, without limiting the generality thereof, federal air and safety laws and regulations and federal, state, and county environmental, hazardous waste and materials and natural resources laws, regulations and permits. In making the foregoing covenant, FEDEX does not undertake any obligations to make alterations or improvements to the leased premises or to remediate, or take any other action with respect to, any environmental condition that affects the leased premises, both that is not attributable to FEDEX's activities on the leased premises. This Lease is subordinate to the County's obligations under federal aviation law and contractual commitments to the federal government. Upon a formal written declaration by the Federal Aviation Administration ("FAA") that a term or provision of the Lease is inconsistent with federal aviation law or a contractual commitment to the FAA, the impermissible term shall be severed, without affecting the remainder of the Lease, so long as the severance of that term does not materially affect FEDEX's rights or obligations arising under the terms of this Lease. The parties may agree to amend this Lease as provided herein as necessary to comply with the FAA's formal written declaration. B. VIOLATIONS. FEDEX agrees to pay on behalf of the COUNTY any penalty, assessment, or fine, issued against the COUNTY, or to defend in the name of the COUNTY any claim, assessment, or civil action, which may be presented or initiated by any agency or office of the federal, state, or county governments, based in whole or substantial part upon a claim or allegation that FEDEX, its agents, employees or invitees have violated any law, ordinance, regulation, rule or directives with which FEDEX agrees to comply in 41(A) above. 42. Rights Reserved. Rights not specifically granted to FEDEX by this Lease are reserved to the COUNTY. The foregoing will not constitute a waiver by FEDEX of any rights it may have by virtue of the statutory or common law of the United States or the State of Florida. 43. Mutual Review. This Lease has been carefully reviewed by FEDEX and the COUNTY, therefore this Lease is not to be construed against either party on the basis of authorship. IN WITNESS WHEREOF, the parties have caused this Lease to be executed this day of , 2009. (SEAL) ATTEST: DANNY L. KOLHAGE, CLERK By: Deputy Clerk Witness Witness BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA By: Mayor/Chairman FEDERAL EXPRESS CORPORATION By: _-2t M ging actor Real Eshtte Title- a Al n Dml.pmeM �?s ?2 "Ic /zt}o9,,�. Approved JcD RM' Legal Department �IPPROVED bR0 . fVi�fi r.ri —AMCCOUNTING DEPARTMENT ASSI�TNTYAI'0:.K;i-YA4IIIL� l09 12 Daten+ IJ!co i r 1� Exhibit A 13 Exhibit C Lose clauses required by FM Nondiscrimination The tenant lot himself, his persona representatives. successors in irtsrast, and asaigns, as a part of the carmWeration hereof, does hereby covenant and agree that (1) no person on the grounds of race, color, or national origin shall be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of sold flcMdes, (2). that in the construction of any inhprovem*nts on, over or under such land and the furnishing of services thereon, no person an the grounds of race, color, or natonai origin shall he excluded from partcpation in, denied the bgrafils of, or be otherwise subjected to discrimination. (3) that the trmant shall uas the promisee in compliance with all otrsr requironliants imposed by or pursuant to Title 49, Code of Federal Regulations, Deparbnerd of Transportation, Subtitle A. Office of the 3ecraM. Part 21, Nondiserimhiatidn in Federally assisted programs of the Department of Transportationh-Effectuation of Title Vl of the CMI Rights Ad of 19". and as said Regulations may be amended, That in the event of breach of any of the above nondlsoriMnallon covenants, Airport Owner shag have the right to temnhrate the lease and to re-anlar and as it said lease had never boar made or issued. The provision shall not be aftecbva until the procedures of Title 49. Code of Federal Regulations, Part 21 are followed and complated, Including exarclse or expiration of appeal rights. - Airport Protection 'It shall be a condition of this lease, that the lessor reserves unto itself, its successors and assigns, for the use and beneidt of Use pubic, a right of flight for the passage of ararmfl in the airspace above the surface of the real property hareeinater described, to m6r with the right to cause in said shspooe such noise as may be inherent in the operstim of aircraft, now known or hereafter used, for navigation of or flight in the said aFapscw, and tar use of said airspace far landing on, taking off from or operating oft the airport. That the Tenant expressly agrees for itself, its successors and assigns, to restrict the height of structures, objects of natural growth and other obsimctlons out the hereinafter descrbed real property to suit a height so as to comply with Federal Aviation Regulations, Part 77, That the Lease* expressy agrees for half. Its successors end assigns, to Prevent any use of eta hereirurfler described real property which would inlorfere with at adversely affect dire operation ar maintenance of the airport, or otherwise constitute an airport hazard' Property Rights Reserved 'This Was and all provisions hereof are aubjed and subordinate to the terms and conddions of the instruments and documents under which the Airport Owner acquired the subject property from the Untied Stales of America and shall be given only such *fled as will not conflict at be lnoonsish" t with the terms and conditions contained in the lease of sold lends from the Airport Owner, and any existing or subsequent amendments thereto, and are subject to any ordinances, rules or regulations which have been, or may hereafter be adopted by the Airport Owner petaining 10 the Airport" Exclusive Rights (required In aviation leases only) 'Notwithstanding anything herein contained that may be, or appear to be, to the contrary, it Is expressly understood and agreed that the rights granted under this agreta end are non-exclusive and to lessor herein reserves the right to grant similar privNeges to another Lessee or other Lessaea on other parts of the arport." Escalation Clauses. Since the annual cost of satialK Any operating artd maintalinig an airport will most Ikely Inaaasa throughout the term of the lease, provisions should be made ro insure that fair market metal value raise remain current throughout the lik of the lases. Accordingly, rental rates should be adjusted at a niniman of 5 yaw incramanh. An escalating clause or other means of automatically adjusting must be incorporated lift long term Wass to provide for this adjustment. A local, state or federal coat of fixing index an be uWU*d as the basis far determining the increase. The following is a sample clause: 'Lena and lessee recognize and agree that the purchasing power of the Unked :states dollar is ewkkwm ed by the Inane of appropriate Indat). In 199_ and every live years thereafter, the parties harelo will eomaire the price Indahr for said year with the price Index fir (dais year the lease is executed) and the annual rental payments shall be increased (or decreased) in the same proportion as said price indsr has Increased (or deer ased) with the price index for (state the year the base is executed).' Other Acceptable Aflailtods of Adjusting Loma RetO "This Iowa sMI be subject lo review and re-evaluatkn at the and of each _ year period, by the akWrl owns# and the rent may be adjusted aocording to their action, not to exceed the Consumer Price index rate during the month period." or "land lose Improvements will be appraised every 5 years and the adjusiad rental will be based on_ percent (normally 10.12%) of appraised value, If disputed, lassor obtains appraisal at his own expense and lessorfle see equally sham expense liar review appraisal that establishes fair market value.' Consideration may be given retails to partaernages of gorse sates, att- Due to escalating land values in the southeast over the pmvious years many leases of this nature fail to commarhd a fair market rental rate throughout the life of the base if the sirimt is located in a high growth area. Caution should be used when entering Into this arrangement. Rataresees Rahti>tg to both Aviation end *Mavhatlon LGWM: • FAA Advisory Circular 15M190-1A, Minimum Standards and Commercial Aeronautical Activftiea an PubNc Airports, dated 12ROW. • FAA Order 5190.1A, Exclusive Rights at Ahporls, dated 10f1MS. • FAA Order 5190.03A, Airport Compliance Requirements, dated 10aW, DATE I CERTIFICATE 4F LIABILITY INSURANCE 0q!141M/DD YYYY) ACORD'e 09114l2009 L/ PRODUCER THIS CERTIFICATION IS ISSUED AS A MATTER OF INFORMATION k ARSH ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE 1000 RIDGEWAY LOOP ROAD HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR MEMPHIS TN 38120 — -- ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. Attn Diane Franczyk P 901 684 3532 F got 684 7432 966896--Liab-09 10 I INSURERS AFFOi:DING COVERAGE NAIC it INSURED I INSUF R A' AGE Ani rican Insurance Company 22667 F,} FEDERAL EXPRESS CORPORATION " 7 3620 HACKS CROSS ROAD. BUILDING B, 3RD FLOOR 4N5,RER C' MEMPHIS, TN 38125-8800 L. ..- J i -INS4 RERO INS JR!_R E: .. COVERAGES 4 THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT. TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY 9E ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS. EXCLUSIONS AND CONDITICNS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR ADD'L TYPE OF INSURANCE POLICY NUMBER LTR INSRp FOLICYFFFECTIVE POLICY EXPIRATION LIMITS DATE rIyAQOIYYYY) DATE(MWGDIYYYYI GENERAL LIABILITY EACH OCCURRENCE CCMMERCIAL GENERAL LIABILITY DAMAGE TO RENTED PREMISES(EA-urrencE) $ _ ' CLAIMS MApB OCCUR I MED EXP tAI,— pesOn) $ - PERSONAL B ADV INJURY ,$ ,- - _.._ GENERAL AGGREGATE �$ ' GENERAL AGGREGATE LIMIT APPLIES PER: CT J r ., .... �- :PRODUCT COMPlOp AGQJ PRO.. '_ POLICY - JECT LOCI - - IAUTOMOBILE LIABILITY ISAH08581034 A X 1 10101i2009 10/01/2010 COMBINED 'NESINGLE LIMIT COMBINED Is 10,000,000 ' IX iANY AUTO - ALL _ BUDIL� INJUHI $ SCHEOULED AUTOS HIRED ALTOS I V BODILY INJURY I,$ . NON-0WNED AU r05 - L______-.. IX Deductible $3,000,000 .___ _ i PROPERTY DAMAGE ,.----- - --- -- I IPFr—W I) $ Per Occurrence_ RAGE LIABILITY 'ALTO ONLY - EA ACCIDENT '$ _--I. EAACC $ ANY ALTO I AU TOOHAN AGO EXCESS/UMBRELLA LIABILITY f, - EACHOCCURRENCE $ - I OCCUR CLAIMS MADE f AGGREGATE ! $ - DEDUCTIBLE r $ , RETENTION S WORKERS COMPENSATION AND f / WC STATU- OTH- LIN11T5- ERAN'r EMPLOYERS' LIABILITY OFF PROPRIEBERIPXCLUDElE %E UUTIVE'- INN UFFICERIMEMBER EXCLUDED' ��j t -IV}vIT`rlt \} _j-) L .U�' + .TOR't �L EACHACCIDENT$ AEMPLOYEE EL DISEASE EA EMPLOVE6$ �_� - (Manda�rY,n NH) 9 YPS. dj0 AbI� I'' ,'(} RPE-.IAL PRO+r rclONs rel "I ^�1, ) I•I�C--�L I;-� - I - E-L G+GT4GL uLIC r,IhIIT $ OTHER - !ii MONROECOUNTY t30C%46 Reference Contract 95-0858 CERTIFICATE HOLDER ATL-001916831-13 Monroe County Board of County Commission Risk Mgmt- 1100 Simonton Street Kcy West, FL 33010 INSURED UNDER AUTOMOBILE LIABILITY AS REQUIRED BY WRITTEN CONTRACT CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL 30 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON p THE INSURER, IT$ AGENTS OR REPRESENTATIVES. IAo1M�lSIED$£PR�SENTATIVE . 1 /J W06am J. Ln-6 - ACORD 25 (2009/01) �D 1998-2009 ACORD CORPORATION. All Rights Reserved The ACORD name and logo are registered marks Of ACORD Certificate of Insurance No. 4633 Jill'fh1, rnlGcateu nvred ar,m.per,sfmhmmauon on I, andcnnlen no nghs holds fR.. Thn xdihcarr dr,csnm amend... rend nrallrn the cmrnape uRudr-0Sp lhr prilricr ir.ted below C.ncell.dan: Should any of the d_liheJ p^I... he nncrlld. bi, Iwrnp cumpin, .,It padre, or rn —I n oleo., •rrtrn mute nthebdnu rened cenlhrme Iarldm hp fin.. rnntailsuchnni—chill Impure, rhheal'Im ^r habits, nit amLind rpm Ih company. Named Insured: Federal Eras Corporator SEVERABIL[TY LIABILITY YOTI 36201.1. Crass Road, BMg B, 3rd Roe The arb.¢ebinpm nBipun ,nder rap. ofmsu+a whchlhLy whv:rihearnr+xrnl and naln uN Memphis, TN 38125 are limped v,ley� IO lh...... 11111ir ird-dual subssiplmns. ITe sthxnhmlmwr- arrnol m.pon.shle l r^hi, rubvnpnon ^fan- —hs—hql mswer wln far inn doe. nor .anT)-all or parr nri,, obligallon, 1lAMR AS'D ADORFSS OF C'ERTIFICw1E IIOLDFJI PRODGCeA Monroe County An Risk Services Southwest. Inc. ATTN. Art Skelly, Airport Manager 27tl N. Naskal Avenue, Suite 800 Key West Intern lionel Airport Dales, Teaaa 75204 3491 S- Roo=M Bhd. Key West, FL 3304D Conlatl: MiChella Pill 214-969.0000 TYKOFCOLERAQ IJ.f13OFLIaOUTY PF=n- Em'RA:CY COMPA" AVO rni NUMBER MM/O A. ,AIRCRAFT LIABILITY 71112009-7112010 Gbbr Aerospav Poky No. 2029401O0 in respeG of all aircraR owned, leased, or Operated by the Named Var.ous Irwunra Mso,Vh Ann Group Limnlld, A.Mebn Insured, worldwide Poly No. AM0904]Ot Sobapibk,g marnbeq o 1.1dlul. Or Loosen unnerwnl.rs for percenlapn se male with Pan Gaup Limileo, —anon Sub.obirg I...—Corrpanie. fw B. AIR AFTH r [VS I .AV pecradepaa m m fib h respect of all Insured airoraB Owned ,silt Mir, Coup Limited, Aviation or leased by the Named Insured, worldwide ARCH Insurs—Co. (Par IMaman—sLAam) Poliey W. ttCAA5a94703 Semel inaw - Co, (Per aerkley Aviation) Paltry Ni RANA I N 15 Neaorrel Dnion Fire Company Or pjI%blaah PA Polley No. HL1B53210-Os C. COMPREREVSIVEOENER,AL 15. 000,000 LIABILITY Bodily Injury 6 Pmperty Damage inrespect of ell Gmund Operations of Combined Per Dr cumenea National Marne . File Inaunnra Company Poky N.. 92CVbt0.722 the NamInsured, including but not Named limited to Premises Operations, %L Spec., Inaurano, Co (Par Yi. AarCepsra) COnlraoWl, Produos and Completed Poky No. UA0o001150AVO9A Operations, Cargo Legal Liability, a Operated m reslncted A—, Gbbal Rea. US—— Company ar—s as eirporl preen' Poacy No, A1AL00u136809AM Nangiinakeepers ListiOly Tiger Intamaaona Torrence I.W. Poky No TIG7DINM1AIN I rj/L///'(l•�., ,•y/ D, COMPREHENSIVE AEITOMOBILE fn1P_ in respatl of all Owned, Hired, and Non -Owned Automobiles , E. PROPERTY—_—_ Direct PhysirLost o Damage of air and Personal rc onal Ptbasis a re rEp]! Or ROIeOEmenl cost basla -� �� r1 ,I ill � .. ICI•: !' a tare or In tenest: Loss Payee - As their intarests may apply. Mor,gag" 6 Ill. _ Adddortaf Insured - As Iheirinterests may apply tea. � - OR Ner ra.h nrthr ir— I-- Ind—Jualhoc ul y, hhnr,aed Inn Rn.r+,rs 1 SS,Iunh—L Inc I e Ihlr rrnitiram m bus hehall: Ann Kill,Sr.+tca Snuuhwesl. Inc, i, nd am .nd In, nn hob lm Or— s, —n the aW,, pW - —. acrrsvt nl'rh, I•stunrr N In9 Cr 15— I-h of b—h,- lns,sers lap—LIP.1l;np rnr d..n.,l pan and not .ir fur the mhrr. rho palkn it .bj,. fo.n rJervonk Dane R—Rnirino Eaclu.lan and rlrxrrnnlr D—C buns R—Itnlllon f:lrla.ke C.,'—it, F.nrinrae leaaL _ DederipllEn OOprnlltsu: -. D.le 11—d' RE'. 3553 S,�loo—O Blvd: Key V est, FL Monroe County ,_ mch,ded as an 6: 262009 Addll10nal Insured as its lespeclw! imleresl may appear _ /� Peter McKenna FEC 602 Attachment to Certificate No. 4633 2b ADDITIONAL INSURED 'As required by cmtract, but subject to the leans, conditions and exclusions of the policy, Monroe County BOCC is fare) included as additional insuredls, asrespects operations performed by or for the named insured. BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY MEETING DATE: 1/20/10 DIVISION: COUNTY ADMINISTRATOR BULK ITEM: YES DEPARTMENT: AIRPORTS STAFF CONTACT PERSON: Peter Horton Phone:809-5200 AGENDA ITEM WORDING: Request to rescind approval of month to month occupancy for US Customs and Border Protection for additional space in the Adam Arnold Annex at the Key West International Airport. ITEM BACKGROUND: Local Field Office of US Customs and Border Protection has been unable to obtain permission/funding from their headquarters to lease an additional 400 sq. ft. of office space. PREVIOUS RELEVANT BOCC ACTION: Approval of month to month occupancy, 8120/08. CONTRACT/AGREEMENT CHANGES: n/a STAFF RECOMMENDATION: Approval to rescind month to month occupancy. TOTAL COST: n/a INDIRECT COST: n/a BUDGETED: n/a DIFFERENTIAL OF LOCAL PREFERENCE: n/a COST TO AIRPORT: None SOURCE OF FUNDS: n/a COST TO PFC: None COST TO COUNTY: None REVENUE PRODUCING: n/a AMOUNT PER MONTH NEAR: n/a APPROVED BY: County Attorney n/a OMB/Purchasing nfa Risk Management nla DOCUMENTATION: Included Not Required X AGENDA ITEM * DISPOSITION: /bev AO revised 7/09 BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: County Administration Bulk Item: Yes X No _ Department: Project ement Staff Contact Person/Phone #: kM Barnett X4416 AGENDA ITEM WORDING: Approval of a continuing contract with Currie Sowards Aguila Architects, for Architectural/Engineering Services for projects in which construction costs do not exceed $2,000,000.00, or for study activity if the fee for professional services for each individual study under the contract does not exceed $200,000.00. ITEM BACKGROUND: The BOCC approved to negotiate with the top four ranked firms for continuing contracts where construction costs do not exceed $2,000,000.00. Three of the four firms were negotiated and awarded contracts. Currie Sowards Aguila Architects is the fourth ranked firm. PREVIOUS RELEVANT BOCC ACTION: On October 21, 2009, the BOCC approved to negotiate with the top four ranked firms for continuing contracts. On December 16, 2009 the BOCC approved to award and execute A/E continuing contracts with three of the four ranked firms, CH2MIK Inc., MBI/K2M Architecture, Inc., and William P. Horn Architects, P.A. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval as stated above. TOTAL COST: N/A INDIRECT COST: N/A BUDGETED: Yes X No DIFFERENTIAL OF LOCAL PREFERENCE: N/A COST TO COUNTY: N/A SOURCE OF FUNDS: Projects REVENUE PRODUCING: Yes No X AMOUNT PER MONTH Year APPROVED BY: County Atty e O�iirchasing Risk Management DOCUMENTATION: DISPOSITION: Revised 7/09 Included X Not Required AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: Currie Sowards Aguila Contract # Effective Date: 01/20/10 Expiration Date: 01/20/14 Contract Purpose/Description: Architectural/EngineeringArchitectural/Engineering services for projects in which construction costs do not exceed 2 000 000.00 r for study activity if the fee for professional services for each individual study under the contract does not exceed $200,000.00 Contract Manager: Ann Riger X4549 Facilities Devel/Stop #1 (Name) (Ext.) (Department/Stop #) for BOCC meeting on 01/20/10 Agenda Deadline: 01/05/10 CONTRACT COSTS Total Dollar Value of Contract: $ N/A Current Year Portion: $ N/A Budgeted? Yes® No ❑ Account Codes: - - - - Grant: $ N/A - - - County Match: $ N/A - - - - ADDITIONAL COSTS Estimated Ongoing Costs: $ 1yr For: (Not included in dollar value above) (e . maintenance, utilities, janitorial, salaries, etc.) CONTRACT REVIEW Changes Date Out Date In Needed er Division Director Yes❑ No❑ Risk Man�� Yes❑ 36O.M.B. ] -+10 Yes❑ County Attorney C , Yes❑ Comments: -jNw corm Fx"sed Z%L"//ut m Y #Z CONTRACT FOR PROFESSIONAL SERVICES BETWEEN OWNER AND ARCHITECT/ENGINEER THIS CONTRACT FOR PROFESSIONAL SERVICES BETWEEN OWNER AND ARCHITECT/ENGINEER (the "Contract" or "Agreement") is made and entered into by Monroe County ("Owner" or "County"), a political subdivision of the State of Florida, whose address is 1100 Simonton Street, Key West, Florida 33040, its successors and assigns through the Monroe County Board Of County Commissioners ("BOCC"), and Currie Sowards Aquila Architects, the ( "Architect")., whose address is 134 NE 1ST Avenue, Delray Beach, FL 33444, its successors and assigns. This contract shall be effective on the date of execution by the last party signatory to the contract. This contract is issued as a continuing contract pursuant to Florida Statute 287.055(2) (g). The professional services required by this Contract are to be rendered for projects in which the estimated construction costs of each individual project under the contract does not exceed Two Million Dollars ($2,000,000.00), or for study activity if the fee for professional services for each individual study under the contract does not exceed Two Hundred Thousand Dollars ($200,000.00). The parties shall enter into a separate contract for each project awarded to the Architect by the Owner. The specific services to be performed under these separate contracts will be determined by the Owner and agreed to by the Architect. Each separate contract will contain specific scope of work, time schedule, charges and payment conditions, and additional terms and conditions applicable to that specific contract. Architect will be chosen pursuant to Owner policy and work will be distributed among all contractors who have signed a continuing contract. The professional services required by this contract will be for services in the form of a continuing contract, commencing on the effective date of this contract and ending four years thereafter, with options for Owner to renew on an annual basis for two additional years. The terms and conditions of this Contract shall apply to any separate contract, unless expressly modified in the provisions of the separate contract. Where the terms of this Contract differ from the terms of the separate contract, the terms of the separate contract shall take precedence. The separate contract will contain its specific scope of work and it is anticipated by this Contract that the scope of work in the separate contract will be in addition to the scope of work outlined in this Contract NOW, THEREFORE, in consideration of the mutual promises, covenants and agreements stated herein, and for other good and valuable consideration, the sufficiency of which hereby acknowledged, the Owner and the Architect agree: FORM OF AGREEMENT ARTICLE 1 1.1 REPRESENTATIONS AND WARRANTIES By executing this Contract, Architect makes the following express representations and warranties to the Owner: 1.1.1 The Architect is a professional qualified to act as the Architect for the Project and is licensed to practice Architecture/Engineering by all public entities having jurisdiction over the Architect/Engineer and the Project; 1.1.2 The Architect shall maintain all necessary licenses, permits or other authorizations necessary to act as Architect for the Project until the Architect's duties hereunder have been fully satisfied; 1.1.3 The Architect shall become familiar with the individual Project site and the local conditions under which the Project is to be designed, constructed, and operated prior to entering a separate contract for any specific Project. 1.1.4 The Architect shall prepare all documents required by this Contract including, but not limited to, all contract plans and specifications, in such a manner that they shall be in conformity and comply with all applicable law, codes and regulations. The Architect warrants that the documents prepared as a part of this Contract will be adequate and sufficient to accomplish the purposes of the Project, therefore, eliminating any additional construction cost due to missing or incorrect design elements in the contract documents; 1.1.5 The Architect assumes full responsibility to the extent allowed by law with regards to his performance and those directly under his employ as Architect of Record. 1.1.6 The Architect's services shall be performed as expeditiously as is consistent with professional skill and care and the orderly progress of the Work. The Architect shall submit, for the Owner's and Monroe County Project Management Department's information, a schedule for the performance of the Architect's services which may be adjusted as the Project proceeds if approved by the Owner, and shall include allowances for periods of time required for the Owner's and Monroe County Project Management Department's review, and for approval of submission by authorities having jurisdiction over the Project. Time limits established by this schedule and approved by the Owner may not be exceeded by the Architect except for delay caused by events not within the control of the Architect or foreseeable by him. 1.1.7 In providing all services pursuant to this agreement, the Architect shall abide by all statutes, ordinances, rules and regulations pertaining to, or regulating such services, including those now in effect and hereinafter adopted. Any violation of said statutes, ordinances, rules and regulations shall constitute a material breach of this agreement and shall entitle the COUNTY to terminate this agreement immediately upon delivery of written notice of termination to the Architect. ARTICLE II SCOPE OF ARCHITECT/ENGINEER'S BASIC SERVICE 2.1 DEFINITION 2.1.1 Architect's Basic Services consist of those described in Paragraphs 2.2 through 2.6, and other services identified as part of Basic Services, and include normal, civil, structural, mechanical, and electrical engineering services. 2.1.2 The Design for Construction shall include, but shall not necessarily be limited to, plans and specifications which describe all systems, elements, details, components, materials, equipment, and other information necessary for construction. The Design for Construction shall be accurate, coordinated and in all respects adequate for construction and shall be in conformity, and comply, with all applicable law, codes, permits, and regulations. Products, equipment and materials specified for use shall be readily available unless written authorization to the contrary is given by the Owner. The Architect shall be responsible for designing the Project in accordance with the analyses and recommendations of the geotechnical information furnished by the Owner. 2.1.3 These services shall include, but not be limited to: Preparation and completion of the design program for space requirements and relationships, schematic design, design development, preparation of contract documents for bids, preparation and advertisement for Request for Bids, tabulation and review of bids, recommendation of contract awards, cost estimating during design and document preparation, administration of contract documents, consultation and on -site inspections during construction, review and recommend approval of contractor invoices, preparation and submittal of permit applications, zoning applications, public presentations and presentations to the County Commission. Architect shall arrange his schedule in order to be available to perform the listed services for one or for several projects if requested by COUNTY and with the understanding that for any individual project the construction costs will not exceed the limits under F.S. 287.055 (2)(g). 2.2 SCHEMATIC DESIGN PHASE 2.2.1 The Architect shall review the County's program, schedule and construction budget furnished by the Owner to ascertain the requirements of the Project and shall arrive at a mutual understanding of such requirements with the Owner. 2.2.2 The Architect shall review with the Owner and Monroe County Project Management Department's proposed site use and improvements, required permits, zoning, selection of materials, building systems and equipment; and method of Project delivery. 3 2.2.3 The Architect shall review with the Owner and Monroe County Project Management Department's alternative approaches to design and construction of the Project. 2.2.4 Based on the mutually agreed -upon program, schedule and construction budget requirements, the Architect shall prepare, for approval by the Owner, Schematic Design Documents consisting of drawings and other documents illustrating the scale and relationship of Project components. 2.2.5 Upon completion of the Schematic Design Phase, the Architect shall provide drawings, outline specifications, estimate of anticipated cost in accordance with the schematic designs, and other documents for the Owner's approval and the Monroe County Project Management Department's information. 2.2.6 The Schematic Design must be approved in writing, by the Owner prior to Architect continuing to the Design Development Phase. 2.3 DESIGN DEVELOPMENT/DOCUMENT PHASE 2.3.1 Upon completion of the Design Development Phase, the Architect shall provide drawings, outline specifications and other documents for the Owner's approval and the Monroe County Project Management Department's information. The Architect shall provide an estimate of anticipated costs in accordance with the design development phase. 2.3.2 The Design Development Documents must be approved in writing, by the Owner prior to Architect continuing to the Construction Documents Phase. 2.4 CONSTRUCTION DOCUMENTS PHASE 2.4.1 The Architect shall provide Drawings and Specifications for the Owner's and the Monroe County Project Management Department's review. 2.4.2 The Architect shall assist the Owner and Monroe County Project Management Department in the preparation of the necessary bidding information, bidding forms, the Conditions of Contracts, and the forms of Agreement between the Owner and the Contractors. 2.4.3 The Architect's construction documents (plans, specifications, etc.) will conform to all written codes and regulations of the federal government, county, state, municipalities, agencies and state departments, in effect at the date of this Agreement, and shall be of such completion as to receive all permits when applied for. If permits are 4 denied, then the Architect will conform the construction documents in such manner to receive permits upon such plans. Work required from the Architect to conform the documents to federal, state, city, county, or agency specifications and permit requirements to allow them to be approved shall be completed at no charge or cost to the Owner. 2.5 BIDDING OR NEGOTIATION PHASE 2.5.1 The Architect, following the Owner's approval of the Construction Documents and the Architect's latest estimate of Construction Cost, shall assist the Monroe County Project Management Department in obtaining bids or negotiated proposals and assist in preparing contracts for construction. 2.5.2 The Architect shall assist the Monroe County Project Management Department in issuing bidding documents to bidders and conducting pre -bid conferences with prospective bidders. The Architect, with the assistance of the Monroe County Project Management Department, shall respond to questions from bidders, and shall issue addenda. 2.6 CONSTRUCTION PHASE - ADMINISTRATION OF THE CONSTRUCTION CONTRACT 2.6.1. The Architect's responsibility to provide Basic Services for the Construction Phase under this Agreement commences with the award of the Contract for construction and terminates with the issuance to the Owner of the final Project Certificate for Payment including the submission of all project close-out documents by the Architect and Contractor. The Architect will administer the Owner's contract as provided for in that document. The Architect agrees to perform a project check prior to the end of the warranty period as a part of the contract. The check shall not exceed one working day unless additional time is approved by the Owner. 2.6.2 The Architect shall at all times have access to the Work whenever it is in preparation or progress. 2.6.3 The Architect shall, as contemplated herein and in the Construction Contract, but not otherwise, act on behalf, and be the agent, of the Owner throughout construction of the Project. Instructions, directions, and other appropriate communications from the Owner to the Contractor shall be given to the Contractor by the Architect or Monroe County Project Management Department. 2.6.4 The Architect shall have authority, after notification to the Monroe County Project Management Department to reject Work, which does not conform to the Contract Documents. 2.6.5 The Architect shall review and sign or take other appropriate action on Change Orders and Construction Change Directives prepared by the Monroe County Project Management Department for the Owner's approval and execution in accordance with the Contract Documents. 2.6.6 The Architect shall promptly provide appropriate interpretations as necessary for the proper execution of the work as long as there is no change in Contract price. 2.6.7 The Architect shall require inspection or re -inspection and testing or retesting of the work, to include architectural/engineering, structural, mechanical and electrical engineering portions of the work, in accordance with the provisions of the Construction Contract whenever appropriate. 2.6.8 The Architect, assisted by the Monroe County Project Management Department, shall conduct inspections to determine the dates of Substantial Completion and the date of Final Completion. 2.6.9 The Architect shall interpret and decide matters concerning performance of the Contractor under the requirements of the Contract Documents upon written request. 2.6.10 Interpretations and decisions of the Architects shall be consistent with the intent of and reasonably inferable from the Contract Documents and shall be in writing or in the form of drawings and submitted on proper Construction Change Directives. 2.6.11 The Architect shall render written decisions within a reasonable time on all claims, disputes or other matters in question between Owner and Contractors relating to the execution or progress of the Work as provided in the Contract Documents. 2.6.12 Duties, responsibilities and limitations of authority of the Architect shall not be restricted, modified or extended without written agreement of the Owner and Architect. 2.6.13 The Architect shall be a representative of and shall advise and consult with the Owner (1) during construction until final payment to the Contractor is due and (2) as a Basic Service at the Owner's direction from time to time during the correction period described in the Contract for Construction. 2.6.14 The Architect shall transmit to the Owner all manuals, operating instructions, as - built plans, warranties, guarantees and other documents and things required by the Construction Contract and submitted by the Contractor. 2.6.15 The Architect shall not have control over or charge of and shall not be responsible for construction means, methods, techniques, sequences or procedures, or for safety precautions and programs in connection with the Work, since these are solely the Contractor's responsibility under the Contract for Construction. The Architect shall not be responsible for the Contractor's schedules or failure to carry out the work in accordance with the contract documents. The Architect shall not have control over or charge of acts or omissions of the Contractor, Subcontractors, or their agents or employees, or of any other persons performing portions of the work. 2.6.16 The Architect shall make available to the Owner any personnel or consultants employed or retained by the Architect for the purpose of reviewing, studying, analyzing or investigating any claims, contentions, allegations, or legal actions relating to, or arising out of, the design or construction of the project. 2.6.17 The Architect shall review any as -built drawings furnished by the Contractor and shall certify to the Owner that same are adequate and complete. 2.6.18 The Architect shall, without additional compensation, promptly correct any errors, omissions, deficiencies, or conflicts in the work product of the Architect or its consultants, or both. 2.6.19 The Architect must reimburse the Owner for any added costs paid by the Owner during construction that were incurred as the result of any omission, deficiency, or conflict in the work product of the Architect, its consultants, or both. This added expense is defined as the difference in cost from that which the Owner would have paid if the work was included in the bid, and the actual cost presented by the Contractor. ARTICLE III ADDITIONAL SERVICES 3.1 GENERAL 3.1.1 The services described in this Article III are not included in Basic Services. They shall be paid for by the Owner as provided in this agreement as an addition to the compensation paid for the Basic Services but only if approved by the Owner before commencement, and as follows: A. Providing services of Architect for other than the previously listed consulting scope of Project provided as a part of Basic Services. B. Providing any other services not otherwise included in this Agreement or not customarily furnished in accordance with generally accepted consulting practice. C. Providing representation before public bodies in connection with the Project, upon approval by the Owner. 3.2 If Additional Services are required, such as those listed above, the Owner shall issue a letter requesting and describing the requested services to the Architect. The Architect shall respond with fee proposal to perform the requested services. Only after receiving an amendment to the Agreement and a notice to proceed from the Owner proceed with the Additional Services. ARTICLE IV OWNER'S RESPONSIBILITIES 4.1 The Owner shall designate Monroe County Project Management Department to act on the Owner's behalf with respects to the Project. The Owner or Monroe County Project Management Department shall render decisions in a timely manner pertaining to documents submitted by the Architect in order to avoid unreasonable delay in the orderly and sequential progress of the Architect's services. However, the parties acknowledge that due to Monroe County Policy, Ordinances or State or Federal Statute there may be times when a decision must be made by the BOCC, in which case any delay shall not be attributed to Monroe County or its representative. 4.2 Prompt written notice shall be given by the Owner and Monroe County Project Management Department to the Architect if they become aware of any fault or defect in the Project or non-conformance with the Contract Documents. 4.3 The Owner shall furnish the required information and services and shall render approvals and decisions as expeditiously as necessary for the orderly progress of the Architect's services and work of the contractors. 4.4 The Owner's review of any documents prepared by the Architect or its consultants shall be solely for the purpose of determining whether such documents are generally consistent with the Owner's criteria, as and if, modified. No review of such documents shall relieve the Architect of responsibility for the accuracy, adequacy, fitness, suitability or coordination of its work product. ARTICLE V CONSTRUCTION COST 5.1 The Construction Cost, if applicable, shall be defined in a contract for the specific Project. ARTICLE VI INDEMNIFICATION AND HOLD HARMLESS 6.1 The Architect covenants and agrees to indemnify and hold harmless Owner/Monroe County and Monroe County Board of County Commissioners from any and all claims for bodily injury, including death, personal injury, and property damage, including property owned by Monroe County, and any other losses, damages, and expenses, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the Architect or its Subcontractor(s), occasioned by the negligence, errors, or other wrongful act or omission of the Architect, their employees, or agents. 6.2 The first ten dollars ($10.00) of remuneration paid to the Architect is for the indemnification provided for above. Should any claims be asserted against the County by virtue of any deficiency or ambiguity in the plans and specifications provided by the Architect, the Architect agrees and warrants that he shall hold the County harmless and shall indemnify him from all losses occurring thereby and shall further defend any claim or action on the County's behalf. 6.3 In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the Architect's failure to purchase or maintain the required insurance, the Architect shall indemnify County from any and all increased expenses resulting from such delays. Should any claims be asserted against County by virtue of any deficiencies or ambiguity in the plans and specifications provide by the Architect the Architect agrees and warrants that Architect hold the County harmless and shall indemnify it from all losses occurring thereby and shall further defend any claims or action on the County's behalf. 6.4 The extent of liability is in no way limited to, reduced or lessened by the insurance requirements contained elsewhere within the Agreement. 6.5 This indemnification shall survive the expiration or early termination of the Agreement. ARTICLE VII 7.1 PERSONNEL The Architect shall assign only qualified personnel to perform any service concerning the project. ARTICLE VIII 8.1 PAYMENT Terms of payment will be governed by state guidelines and/or hourly rates to be approved by the County. Hourly rates are provided in Exhibit A and subject to annual affirmation. Details of payment will be set out in the specific separate contract. 8.2 REIMBURSABLE EXPENSES Shall be negotiated and agreed to prior to award of the separate contract, but only to the extent and the amounts authorized by Section 112.061, Florida Statutes; however prior to incurring any expense written approval for any reimbursable expense must be obtained from the County. 8.3 BUDGET 8.3.1 The Architect may not be entitled to receive, and the County is not obligated to pay, any fees or expenses in excess of the amount budgeted for this Agreement in each fiscal year (October 1- September 30) by County's Board of County Commissioners. The budgeted amount may only be modified by an affirmative act of the County's Board of County Commissioners. 8.3.2 AVAILABILITY OF FUNDS. If funding cannot be obtained or cannot be continued at a level sufficient to allow for continued reimbursement of expenditures for services specified in this Contract or in the separate contracts for individual projects, the agreement may be terminated immediately at the option of the County by written notice of termination delivered to the Architect. The County shall not be obligated to pay for any services provided by the Architect after the Architect has received written notice of termination, unless otherwise required by law. 8.3.3 The County does not guarantee Architect any specific amount of work or contracts under this agreement. The parties shall enter into a separate contract for each project awarded to the Architect by the County. The specific services to be performed under these separate contracts will be determined by the County and agreed to by the Architect. Each separate contract will contain specific scope of work, time schedule, charges and payment conditions, and additional terms and conditions applicable to that specific contract. Architect will be chosen pursuant to County policy and work will be distributed among all contractors who have signed a continuing contract. 8.3.4 Monroe County's performance and obligation to pay under this contract is contingent upon an annual appropriation by the Board of County Commissioners and the approval of the Board members at the time of contract initiation and its duration. ARTICLE IX 9.1 APPLICABLE LAW This contract is governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and performed entirely in the State. Venue for any mediation, dispute conferences or litigation arising under this contract must be in Monroe County, Florida. The Parties waive their rights to a trial by jury. ARTICLE X 10.1 OWNERSHIP OF THE PRELIMINARY DESIGN AND THE DESIGN FOR CONSTRUCTION 10.1 The Drawings, Specifications and other documents prepared by the Architect for this project are instruments of the Architect's service for use solely with respect to this project, and the Architect shall be deemed the author of these documents and shall retain all common law, statutory and other reserved rights, including reproducible copies, of the Architect's Drawings, Specifications and other documents shall not be used by the Owner or others on other projects except by agreement in writing and with appropriate compensation to the Architect. 10.1.2 Submission or distribution of documents to meet official regulatory requirements or for similar purposes in connection with the project is not to be construed as publication in derogation of the Architect's reserved rights. 11no 10.1.3 The As -Built drawings and specifications may be furnished by the Architect to the Owner in electronic format in addition to the original As -Built documents. 10.1.4 The Owner may utilize the construction documents, As -Built documents, etc. as required for reference on any necessary future work on the site, and for constructing, using and maintaining the Project. ARTICLE XI 11.1 SUCCESSORS AND ASSIGNS The Architect shall not assign its right hereunder, excepting its right to payment, nor shall it delegate any of its duties hereunder without the written consent of the Owner. The Owner and Architect, respectively, bind themselves, their partners, successors, assigns and legal representatives to the other party to this Agreement and to the partners, successors, assigns and legal representatives of such other parry with respect to all covenants of this Agreement. ARTICLE XII NO THIRD PARTY BENEFICIARIES AND INDEPENDENT CONTRACTOR RELATIONSHIP 12.1 NO THIRD PARTY BENEFICIARIES Nothing contained herein shall create any relationship, contractual or otherwise, between the parties which creates or gives rise to any rights in favor of, any third party. 12.2 INDEPENDENT CONTRACTOR RELATIONSHIP The Architect is and shall be an independent contractor in the performance of all work, services, and activities under this Agreement and is not an employee, agent or servant of the County. The Architect shall exercise control over the means and manner in which it and its employees perform the work and in all respects the Architect's relationship and the relationship of its employees to the County shall be that of an independent contractor and not as employees or agents of the County. The Architect does not have the power or authority to bind the County in any promise, agreement or representation other than such power and authority that is specifically provided for in this Agreement. ARTICLE XIII 13.1 INSURANCE 13.1.1 The Architect shall obtain insurance as specified and maintain the required insurance at all times that this Agreement is in effect. Professional Liability Insurance shall also be maintained as specified. In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the Architect's failure to 11 purchase or maintain the required insurance, the Architect shall indemnify the County from any and all increased expenses resulting from such delay. 13.1.2 The coverage provided herein shall be provided by an insurer with an A.M. Best Rating of VI or better, that is licensed to do business in the State of Florida and that has an agent for service of process within the State of Florida. The insurance certificate shall contain an endorsement providing thirty (30) days notice to the County prior to any cancellation of said coverage. Said coverage shall be written by an insurer acceptable to the County and shall be in a form acceptable to the County. 13.1.3 Architect shall obtain and maintain the following policies: A. Workers' Compensation insurance as required by the State of Florida. B. Employers Liability Insurance with limits of $100,000.00 per Accident, $500,000.00 Disease, policy limits, $100,000.00 Disease each employee. C. Comprehensive business automobile and vehicle liability insurance covering claims for injuries to members of the public and/or damages to property of others arising from use of motor vehicles, including onsite and offsite operations, and owned, hired or non -owned vehicles, with One Hundred Thousand Dollars ($100,000.00) combined single limit and One Million Dollars ($1,000,000.00) annual aggregate. D. Commercial general liability covering claims for injuries to members of the public or damage to property of others arising out of any covered act or omission of the Architect or any of its employees, agents or subcontractors or subconsultants, including Premises and/or Operations, Independent Contractors; Broad Form Property Damage and a Contractual Liability Endorsement with One Hundred Thousand Dollars ($100,000.00) per occurrence and annual aggregate. E. Professional liability insurance of Five Hundred Thousand Dollars ($500,000.00) per claim and One Million Dollars ($1,000,000.00) annual aggregate. If the policy is a "claims made" policy, Architect shall maintain coverage or purchase a "tail" to cover claims made after completion of the project to cover the statutory time limits in Chapter 95 of the Florida Statutes. F. County shall be named as an additional insured with respect to Architect's liabilities hereunder in insurance coverage identified in Paragraphs C and D. G. Architect shall require its subconsultants to be adequately insured at least to the limits prescribed above, and to any increased limits of Architect if so required by County during the term of this Agreement. County will not pay for increased limits of insurance for subconsultants. 12 H. Architect shall provide to the County certificates of insurance or a copy of all insurance policies including those naming the County as an additional insured by including any subsection thereunder. The County reserves the right to require a certified copy of such policies upon request. ARTICLE XIV TERMINATION 14.1 Either party hereto may terminate this contract prior to expiration upon giving seven (7) days written notice to the other in the event that such other party negligently or for any reason substantially fails to perform its material obligations set forth herein. No termination expenses shall be paid by the Owner after the date of notice of termination. 14.2 The Owner may terminate this Contract without cause by giving the other party sixty (60) days written notice of its intention to do so. Termination expenses shall include expenses available under the contract through the date on the notice of termination and shall not include any additional services required in order to stop performance of services, unless agreed to in writing by the County and subject to audit for the purpose of verification. ARTICLE XV ENTIRE AGREEMENT 15.1 This contract constitutes of the form of agreement, the exhibits that are attached and made a part of the contract, and the documents referred to in the form of agreement as a part of this contract. In the event any conflict between any of those contract documents, the one imposing the greater burden on the Architect will control. 15.2 A person or affiliate who has been place on the convicted vendor list following a conviction for public entity crime may not submit a bid on contract to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the property to public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017 of the Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list. ARTICLE XVI DISPUTE RESOLUTION 16.1 County and Architect agree that all disputes and disagreements shall first be attempted to be resolved by meet and confer sessions between representatives of each of the parties. If no resolution can be agreed upon within 30 days after the first meet and confer session, the issue or issues shall be submitted to mediation before a mediator 13 mutually agreed to by the parties. The cost of mediation shall be shared equally. The parties agree that mediation is a condition precedent to the institution of legal or equitable proceedings by either party. Request for mediation shall be in writing and sent to the other party. The parties shall agree on a mediator to hear the dispute. 16.2 Mediation shall be held in Monroe County Florida in a location in Key West; the location may be moved only by mutual agreement of the parties. 16.3 Agreements reached in mediation shall be reduced to writing and signed by the representative of each party; however agreements must be approved by the Board of County Commissioners to be enforceable. Agreements reached in mediation shall be enforceable as settlement agreements in any court having jurisdiction in Monroe County. 16.4 Nothing in this Agreement shall be construed to interfere with a subsequent order from any court of competent jurisdiction ordering the parties to enter into mediation after institution of legal or equitable proceedings. 16.5 Arbitration is specifically rejected by the parties as a method of settling disputes which arise under this agreement; neither of the parties shall be compelled by the other to arbitrate a dispute which may arise under this Agreement. ARTICLE XVII Additional Requirements 17.1 The following items are part of this contract: a) Architect shall maintain all books, records, and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. Each party to this Agreement or their authorized representatives shall have reasonable and timely access to such records of each other party to this Agreement for public records purposes during the term of the Agreement and for four years following the termination of this Agreement. If an auditor employed by the County or Clerk determines that monies paid to Architect pursuant to this Agreement were spent for purposes not authorized by this Agreement, the Architect shall repay the monies together with interest calculated pursuant to F.S. Sec. 55.03, running from the date the monies were paid to County. b) Governing Law, Venue, Interpretation, Costs, and Fees: This Agreement shall be governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Agreement, the County and Architect agree that venue will lie in the appropriate court or before the appropriate administrative body in Monroe County, Florida. The Parties waive their rights to a trial by jury. The County and Architect agree that, in the event of conflicting interpretations of the terms or a term of this Agreement by or between any of them the issue shall be submitted to mediation prior to the institution 14 of any other administrative or legal proceeding, pursuant to Section XVI of this agreement. C) Severability. If any term, covenant, condition or provision of this Agreement (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Agreement, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Agreement shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Agreement would prevent the accomplishment of the original intent of this Agreement. The County and Architect agree to reform the Agreement to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. d) Attorney's Fees and Costs. The County and Architect agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees and court costs expenses, as an award against the non -prevailing party, and shall include attorney's fees and courts costs expenses in appellate proceedings. e) Binding Effect. The terms, covenants, conditions, and provisions of this Agreement shall bind and inure to the benefit of the County and Architect and their respective legal representatives, successors, and assigns. f) Authority. Each party represents and warrants to the other that the execution, delivery and performance of this Agreement have been duly authorized by all necessary County and corporate action, as required by law. Each party agrees that it has had ample opportunity to submit this Contract to legal counsel of its choice and enters into this agreement freely, voluntarily and with advise of counsel. g) Claims for Federal or State Aid. Architect and County agree that each shall be, and is, empowered to apply for, seek, and obtain federal and state funds to further the purpose of this Agreement; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission. h) Adjudication of Disputes or Disagreements. County and Architect agree that all disputes and disagreements shall be attempted to be resolved under Section XVI of this agreement. If no resolution can be agreed upon within 30 days after mediation, then any party shall have the right to seek such relief or remedy as may be provided by this Agreement or by Florida law. i) Cooperation. In the event any administrative or legal proceeding is instituted against either party relating to the formation, execution, performance, or breach of this Agreement, County and Architect agree to participate, to the extent required by the 15 other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Agreement or provision of the services under this Agreement. County and Architect specifically agree that no party to this Agreement shall be required to enter into any arbitration proceedings related to this Agreement. j) Nondiscrimination. Architect and County agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent jurisdiction that discrimination has occurred, this Agreement automatically terminates without any further action on the part of any party, effective the date of the court order. Architect or County agree to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss. 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975, as amended (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91- 616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patent records; 8) Title VIII of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. 1201 Note), as maybe amended from time to time, relating to nondiscrimination on the basis of disability; 10) Any other nondiscrimination provisions in any Federal or state statutes which may apply to the parties to, or the subject matter of, this Agreement. k) Covenant of No Interest. Architect and County covenant that neither presently has any interest, and shall not acquire any interest, which would conflict in any manner or degree with its performance under this Agreement, and that only interest of each is to perform and receive benefits as recited in this Agreement. 1) Code of Ethics. County agrees that officers and employees of the County recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112.313, Florida Statutes, regarding, but not limited to, solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. m) No Solicitation/Payment. The Architect and County warrant that, in respect to itself, it has neither employed nor retained any company or person, other than a bona fide employee working solely for it, to solicit or secure this Agreement and that it has not paid or agreed to pay any person, company, corporation, individual, or firm, other than a bona fide employee working solely for it, any fee, commission, percentage, gift, or other consideration contingent upon or resulting from the award or making of this Agreement. For the breach or violation of the provision, the Architect agrees that the County shall have the right to terminate this Agreement without liability and, at its discretion, to offset from monies owed, or otherwise recover, the full amount of such fee, commission, percentage, gift, or consideration. n) Public Access. The Architect and County shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the Architect and County in conjunction with this Agreement; and the Architect shall have the right to unilaterally cancel this Agreement upon violation of this provision by County. o) Non -Waiver of Immunity. Notwithstanding he provisions of Sec. 286.28, Florida Statutes, the participation of the Architect and the County in this Agreement and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government liability insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any contract entered into by the County be required to contain any provision for waiver. p) Privileges and Immunities. All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the County, when performing their respective functions under this Agreement within the territorial limits of the County shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the County. q) Legal Obligations and Responsibilities: Non -Delegation of Constitutional or Statutory Duties. This Agreement is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the County, except to the extent permitted by the Florida constitution, state statute, and case law. r) Non -Reliance by Non -Parties. No person or entity shall be entitled to rely upon the terms, or any of them, of this Agreement to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the Architect and the County agree that neither the Architect nor the County or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity 17 or entities, have entitlements or benefits under this Agreement separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Agreement. s) Attestations. Architect agrees to execute such documents as the County may reasonably require including a Public Entity Crime Statement, an Ethics Statement, and a Drug -Free Workplace Statement. t) No Personal Liability. No covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Agreement or be subject to any personal liability or accountability by reason of the execution of this Agreement. u) Americans with Disabilities Act of 1990 (ADA) and Florida Accessibility Code (FAC), current edition, whichever is required for the specific project. The Architect will comply with all the requirements as imposed by the ADA, the regulations of the Federal government issued thereunder, and the assurance by the Architect pursuant thereto. v) Disadvantaged Business Enterprise (DBE) Policy And Obligation. It is the policy of the County that DBE's, as defined in C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole or in part with County funds under this Agreement. The DBE requirements of applicable federal and state laws and regulations apply to this Agreement. The County and its Architect agree to ensure that DBE's have the opportunity to participate in the performance of the Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with applicable federal and state laws and regulations to ensure that DBE's have the opportunity to compete and perform contracts. The County and the Architect and subcontractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts, entered pursuant to this Agreement. w) Execution in Counterparts. This Agreement may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken together shall constitute one and the same instrument and any of the parties hereto may execute this Agreement by singing any such counterpart. 18 x) Section Headings. Section headings have been inserted in this Agreement as a matter of convenience of reference only, and it is agreed that such section headings are not a part of this Agreement and will not be used in the interpretation of any provision of this Agreement. IN WITNESS WHEREOF, each party caused this Agreement to be executed by its duly authorized representative on the day and year first above written. (SEAL) Attest: DANNY L. KOLHAGE, Clerk Deputy Clerk �. OU STY ATTORNI R.S�TjOO FORIVI: WITNESS TO Architect's Signature: By: Kathleen Davis Date: ► Zr- z opt BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman Date: CURRIE SOWARDS AGUILA ARCHITECTS By: os . A ila, AIA, Principal Date: 12011 2cCn END OF AGREEMENT m ACORD,M CERTIFICATE OF LIABILITY INSURANCE 0DATE (MWDDffYYY) 8/24/2009 PRODUCER THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ISU Suncoast Insurance Assoc ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE P.O. Box 22668 HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. Tampa, FL 33622-2668 813 289-5200 INSURERS AFFORDING COVERAGE NAIC # INSURED INSURER A: MSA Insurance Co 11066 Currie Sowards Aguila Architects Inc INSURER B: Travelers Casualty 8r Surety Co 19038 134 NE 1st Avenue INSURERC: XL Specialty Insurance Co 37885 Delray Beach, FL 33444 INSURER D: INSURER E: COVERAGES THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. LTR INSR/DDIM OF INSURANCE POLICY NUMBER POLICY EFFECTIVE POLICY EXPIRATION ATTYPE LIMITS A GENERAL LIABILITY MERCIAL GENERAL LIABILITY N:—CO:1M CLAIMS MADE aOCCUR BPG98835 08117/Oe 08/17/10 EACH OCCURRENCE $1,000,000 DAMAGE TO RENTED$5OO OOO MED EXP (Any one person) $5000 PERSONAL & ADV INJURY $1,000,000 GENERAL AGGREGATE s2,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: POLICY PROT LOC PRODUCTS - COMP/OP AGG s2,000,000 A AUTOMOBILE LIABILITY ANY AUTO ALL OWNED AUTOS SCHEDULED AUTOS HIRED AUTOS NON -OWNED AUTOS BPG98835 08/17/09 08/17/10 COMBINED SINGLE LIMIT (Ea accident) $1,000,000 BODILY INJURY (Per person) $ X BODILY INJURY (Per accident) $ X PROPERTY DAMAGE (Per accident) $ GARAGE LIABILITY ANY AUTO AUTO ONLY - EA ACCIDENT $ OTHER THAN EA ACC AUTO ONLY: AGG $ $ EXCESS/UMBRELLA LIABILITY OCCUR CLAIMS MADE DEDUCTIBLE RETENTION $ �xy la EACH OCCURRENCE $ AGGREGATE $ $ $ $ B WORKERS COMPENSATION AND EMPLOYERS' LIABILITY ANY PROPRIETOR/PARTNER/EXECUTIVE OFFICER/MEMBER EXCLUDED? If yes, describe under SPECIAL PROVISIONS below UB5436Y34 01/01/09 01/01/10 WCSLIMJT OTH- ER E.L. EACH ACCIDENT $100000 E.L. DISEASE - EA EMPLOYEE $100000 E.L. DISEASE - POLICY LIMIT $500OOO C OTHER Professional Liability DPR9680953 08/24/09 08/24/10 $1,000,000 per claim $1,000,000 annl aggr. DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES / EXCLUSIONS ADDED BY ENDORSEMENT / SPECIAL PROVISIONS Professional Liability is claims made and reported. Monroe COunty is listed as additional insured with respect to the General Liability and Auto Liability policies. Monroe County Attn: Ann Riger, Contracts Administrator 1100 Simonton St. Room 2-216 Key West, FL 33040 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL _30 _ DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE INSURER, ITS AGENTS OR AUTHORIZEDREPRESEjdTATIVE ;p' AUUKU 25 (ZUUT/US) 1 of 2 #S209977/M209965 KEB 0 ACORD CORPORATION 1988 SECTION FIVE INSURANCE REQUIREMENTS AND INDEMNIFICATION STATEMENT Insurance Requirement Worker's Compensation Employer's Liability General Liability Vehicle Liability Professional Liability Required Limits Statutory Limits $100,000/$500,000/$100,000 $100,000 Combined Single Limit $100,000 Combined Single Limit per Occurrence/$1,000,000 Aggregate $500,000 per occurrence/ $1,000,000 Aggregate IDEMNIFICATION AND HOLD HARMLESS FOR CONSULTANTS AND SUBCONSULTANTS The Architect/Consultant covenants and agrees to indemnify, hold harmless and defend Monroe County, its commissioners, officers, employees, agents and servants from any and all claims for bodily injury, including death, personal injury, and property damage, including property owned by Monroe County, and any other losses, damages, and expenses of any kind, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the Architect or Consultant or any of its Subcontractor(s) in any tier, occasioned by the negligence, errors, or other wrongful act or omission of the Architect/Consultant, including its Subcontractor(s) in any tier, their officers, employees, servants or agents. In the event that the completion of the project (to include the work of others) is delayed or suspended as a result of the Architect/Consultant's failure to purchase or maintain the required insurance, the Architect/Consultant shall indemnify the County from any and all increased expenses resulting from such delay. Should any claims be asserted against the COUNTY by virtue of any deficiency or ambiguity in the plans and specifications provided by the Architect/Consultant, the Architect/Consultant agrees and warrants that Architect/Consultant shall hold the County harmless and shall indemnify it from all losses occurring thereby and shall further defend any claim or action on the County's behalf. The first ten dollars ($10.00) of remuneration paid to the Architect/Consultant is consideration for the indemnification provided for above. 20 The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. This indemnification shall survive the expiration or earlier termination of the Agreement. RESPONDENT'S STATEMENT I understand the insurance that will be mandatory if awarded the contract and will comply in full with all the requirements Currie Sowards Aquila Architects Respondent Signature INSURANCE AGENT'S STATEMENT I have reviewed the above requirements with the respondent named above. The following deductibles apply to the corresponding policy, POLICY DEDUCT[gLES General Liability - MSA Insurance Company/Policy #BPG31784 /Vo ne, Automobile Liability - MSA Insurance CompanylPolicy #BPG31784 JV o n t Workers Comp - Travelers Casulaty & Surety/Policy #UB5436Y34 �(j -!a e. Professional Liability - XL Specialty Insurance/Policy #DPR9617044 25 000 Liability policies are X Occurrence XClaims Made (P'ofeis)v-al Ls�b: ("Ll Suncoast Insurance Associates, Inc. Insurance Agency Signature COUNTY RESPONSE FORMS RESPOND TO: MONROE COUNTY BOARD OF COUNTY COMMISSIONERS c/o PURCHASING DEPARTMENT GATO BUILDING, ROOM 1-213 1100 SIMONTON STREET KEY WEST, FLORIDA 33040 I acknowledge receipt of Addenda No.(s) 1 & 2 I have included: o The Submission Response Forms ✓ o Lobbying and Conflict of Interest Clause ✓ o The Non -Collusion Affidavit ✓ o Drug Free Workplace Form ✓ o Respondent's Insurance and Indemnification Statement ✓ o Insurance Agent's Statement ✓ o Professional and Occupational Licenses ✓ In addition, I have included a current copy of the following professional and occupational licenses: Professional Licenses: Currie Sowards Aguila Architects, Robert G. Currie, Jess M. Sowards, Jose N. Aguila, Occupational Licenses: Currie Sowards Aguila Architects, Robert G. Currie, Jess M. Sowards, Jose N. Aguila (Check mark items above, as a reminder that they are included.) Mailing Address: 134 N. E. 1st Avenue, Delray Beach, Florida 33444 Telephone: 561-276-4951 Date: December 22, 2009 Signed: f Josh N. Aguila, AIA (Name) Principal/Secretary (Title) Fax: 561-243-8184 Witness: ) FLORIDA DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION LICENSES - 41$14 7-9- - - STATE OF FLMIDA $EIi�LpalS3Sa0636 .f-'!'s61�l19A =_ila�xoea ,cao;eilo{ a.Coa.ir t=y� lr.—� "i— Is c3pk7Tv xb vAdei t11e-P-1.1— (st Chaptiar 481 lg.,-; - �cpirfitiice� daiea PY9 28,- -unlz scwial-s AMILA ARCRITzers, INC s 14 a3sr An .. ULRAM BEAM - EL 33444 - -- - "}LAk:.1E "R1SY CaAEES V.RYRAGO aGVGAifOY OISPLAYAS.FE("REQ BY LAW . Au .41813 a4 STATE OFA-yF`ptQWA . SLURQ�❑rBiLR�G'SYIREPfi —ca"n cC,StBt, Z SEAM Loavizoolsa i li/_ 4�0-kU0 v_zaz3ot_ iuocoissi ..'Rmad bvlw 19'LI c3X217 -Qad�r xh.n prorl•Saua of Chopp"b�'s-4 tg� - RKp<ree Len .4�reY-F'4R38, 201i '^g'"=.' 1� 34Ax[�13i=Avb .. - 4QLxAT.ilACR FL 33444, t C`fifGT ,' �SEEppYAEYLRAGO fdOPYII $ - 048PLAYASl QURM BYLAW CR 4.1$1435_ gST7AyTE£ggOMLORRIDAgg-gqp}�� ggQ�L� . Q6YAAT4PF8AR [91iE�1,'Y�biPfFRZDR, DE828dQ TION ', -- - +i SEOfnoeaai?oossa 1V_Pa�o�oia�n}_ wRGo;Y2ps � z the ARCAISBCp _ ... :fnder Che prwlRioni ! ChaggEarF +4g r�, - - 8sp3r1C30A date: Pl-B 38, 2011 7GLRAY�14tACtEA�-- FL 33444 novatraoR O PLAYPS REQU(RE6 BYLAW Cg3CHCt>8Y CURRIE • SOWARDS • AGUILA • ARCHITECTS PALM BEACH COUNTY OCCUPATIONAL LICENSES PALM 2010.03777 STATE OF FLORIDA PALM BEACH COUNTY LOCAL BUSINESS TAX RECEIPT EICPIRES: SEPTEMBER 30, 2010 CURRIE I ILO A ARCH TECTS C,URRIL QVO�f 1),.ii; L•. L'ST :E 4p'7'rTEC713 INC FCLRAy isf :.'.:I•F: F-'.. aL 'fT►n,c,.N •a r.n6r.kM fU tly>mo, wtivw rw xnr pnu ' rb0�uiny an w ■nl sry p 0. rx.r nv "__.np e� tls �rrt.uuwr THIS IS NOT A BILL - DO NOT PAY of S,ps+rtw- Ie en�tl. m fry trwf.nr prr.Ay, pn r•• p^�yHy,a. ,�r ANNE M. GANNON ' THUS DOCUMENT 13 VALID ONLY WHEN W TAX CO"CTOR PALM BEACH COUNTY RECEIPTED BY TAX COLLECTOR TAX 2005-00888 STATE OF FLORIDA OA-016 PALM BEACH COUNTY cussFlcarroH LOCAL BUSINESS TAX RECEIPT EXPIRES: SEPTEMBER - 30 - 2010 CURRIE SOWARDS AGUILA LOCATED AT CNTY 33.00 ARCHITECTS CURRIE ROBERT 0 134 HE 1ST AVENUE DELRAY BEACH FL 33444 TOTAL 33.00 -*V f. nreey wb b-g ror n,..nov. ,wren wr a,. P.r�ed THIS IS NOT A BILL - DO NOT PAY_ cwa on ew rr» a,'r a oaon,r ..w .nd4,9 0� m. urni.m ' — — I do ARCHITECT PAID. PBC TAX COLLECTOR AR0004964 33.60 BTR 049 0166I957 07/17/2009 ANNE M. GANNON THIS DOCUMENT IS VALID ONLY WHEN RECEIPTED 2005-00687 STATE OF FLORIDA OA-016 PALM BEACH COUNTY cwssiF�caTron LOCAL BUSINESS TAX RECEIPT EXPIRES: SEPTEMBER - 30 - 2010 CURRIE SOWARDS AGUILA LOCATED AT CNTY 33.00 ARCHITECTS SOWARDS JESS M 134 HE 1ST AVENUE DELRAY BEACH FL 33444 TOTAL 33.00 I Tttls receipt h IWdb — �-- y vN(d lai dq Nwv. ,ddYen IM tln period � I ----------_� ;6e9flW1 m, IIII my wxla,«•.nd erbM9 mru„ u,t wh THIS IS NOTA BILL - DO NOT PAY d+Y W 9ePl,ttbe+' [o erg,9e In (M b,nirwsq professim or � 1- - - - -- -- --._—... oeapallan p � ARCHITECT PAID. PBC TAX COLLECTOR 33.00 BTR 049 01661959 07/17/2009 AR0013205 ANNE M. GANNON THIS DOCUMENT IS VALID ONLY WHEN RECEIPTED TAX COLLECTOR, PALM BEACH COUNTY BY TAX COLLECTOR 2005-OOM83 STATE OF FLORIDA OA-016 PALM BEACH COUNTY cLnssrFrcanon LOCAL BUSINESS TAX RECEIPT EXPIRES: SEPTEMBER - 30 - 2010 CURRIE SOWARDS AGUILA LOCATED AT CNTY 33.00 ARCHITECTS AGUILA JOSE N 134 HE 1ST AVENUE DELRAY BEACH FL 33444 TOTAL 33.00 rid:.«, n fureby vxfa ro. xluv me,eove,ao-ror m. v,viod THIS IS NOT A BILL - DO NOT PAY ' begfrvdrp an tty fFrrt dry of Oclobar ,M non Br ihrtfMN __ _ _ . e<cup,i{erf of ARCHITECT PAID. PBC TAX COLLECTOR ARD015849 _ 33.00 BTR 049 01661960 07/17/2009 ANNE M. GANNON THIS DOCUMENT IS VALID ONLY WHEN RECEIPTED TAX COLLECTOR, PALM BEACH COUNTY BY TAX COLLECTOR CURRIE • SOWARDS • AGUILA • ARCHITECTS ETHICS CLAUSE LOBBYING AND CONFLICT OF INTEREST CLAUSE SWORN STATEMENT UNDER ORDINANCE NO. 010-1990 MONROE COUNTY, FLORIDA Currie Sowards Aguila Architects (Company) warrants that he/it has not employed, retained or otherwise had act on his/its behalf any former County officer or employee in violation of Section 2 of'Ordinance No. 010-1990 or any County officer or employee in violation of Section 3 of Ordinance No. 010-1990. For breach or violation of this provision the County may, in its discretion, terminate this Agreement without liability and may also, in its discretion, deduct from the Agreement or purchase price, or otherwise recover, the full amount of any fee, commission, percentage, gift, or consideration paid to the former County officer or employee". Principal (S gnat Date. December 22, 2009 STATE OF FLORIDA COUNTY OF PALM BEACH Subscribed and sworn to (or affirmed) before me on December 22, 2009 by Jose N. Aquila, AIA He is personally known to me. NOTARY PUBLIC My commission expires: t I 1 � KATyf o a• vtAY 'oM��s oeY •Zb.T G Z w •-C v. O N2 X .0 I do 46 �do4011 �� �FFLORtDA �'� DRUG -FREE WORKPLACE FORM The undersigned vendor in accordance with Florida Statute 287.087 hereby certifies that: Currie Sowards Aquila Architects 1. Publish a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace and specifying the actions that will be taken against employees for violations of such prohibition. 2. Inform employees about the dangers of drug abuse in the workplace, the business's policy of maintaining a drug -free workplace, any available drug counseling, rehabilitation, and employee assistance programs, and the penalties that may be imposed upon employees for drug abuse violations. 3. Give each employee engaged in providing the commodities or contractual services that are under bid a copy of the statement specified in subsection (1). 4. In the statement specified in subsection (1), notify the employees that, as a condition of working on the commodities or contractual services that are under bid, the employee will abide by the terms of the statement and will notify the employer of any conviction of, or plea of guilty or nolo contendere to, any violation of Chapter 893 (Florida Statutes) or of any controlled substance law of the United States or any state, for a violation occurring in the workplace no later than five (5) days after such conviction. 5. Impose a sanction on, or require the satisfactory participation in a drug abuse assistance or rehabilitation program if such is available in the employee's community, or any employee who is so convicted. 6. Make a good faith effort to continue to maintain a drug -free workplace through implementation of this section. As the person authorized to sign the statement, I certify that this firm complies fully with the above requirements. is Signature December 22, 2009 Date NON -COLLUSION AFFIDAVIT Jose N. Aguila, AIA of the city of Delray Beach, Florida according to law on my oath, and under penalty of perjury, depose and say that: am Secretary/Principal of the firm of Currie Sowards Aguila Architects the bidder making the Proposal for the project described in the Request for Qualifications for: Continuing Contract for Professional Services by Architectural/Engineering Firms or Individuals and that I executed the said proposal with full authority t do so: 2. the prices in this bid have been arrived at independently without collusion, consultation, communication or agreement for the purpose of restricting competition, as to any matter relating to such prices with any other bidder or with any competitor; 3. unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the bidder and will not knowingly be disclosed by the bidder prior to bid opening, directly or indirectly, to any other bidder or to any competitor; and 4. no attempt has been made or will be made b the bidder to induce any other person, partnership or corporation to submit, or not to submit, a bid for the purpose of restricting competition; 5. the statements contained in this affidavit are true and correct, and made with full knowledge that Monroe County relies upon the truth of the statements contained in this affidavit in awarding contracts for said project. December 22, 2009 �Sigrtkurf Respondent) (Date) STATE OF FLORIDA COUNTY OF PALM BEACH PERSONALLY APPEARED BEFORE ME, the undersigned authority, Jose N. Aguila, AIA who, after first being sworn by me, affixed his/her signature in the space provided above on this 22nd day of December 2009 NOTARY PUBLIC My Commission Expires COMAfj6' Cow do 4a19 s �ilf EXHIBIT "A" CURRIE • Robert 0. Currie, FAIR Hourly Rates: Principals Project Architect Project Manager CADD Level I CADD Level II Clerical SOWARDS • AGUILA • ARCHITECTS Jess M. Sowards, AIA Joe@ N. Aguila, AIA $ 175.00 $150.00 $125.00 $ 85.00 $ 65.00 $ 45.00 BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: JanuaU 20, 2010 Division: County Administration Bulk Item: Yes X No _ Department: Project Management Staff Contact Person/Phone #: Jerry Barnett X4416 AGENDA ITEM WORDING: Approval to add a fifth Continuing Contract for Architectural/Engineering services for projects in which construction costs do not exceed $2,000,000.00, and approval of a Continuing Contract with the fifth ranked firm, Bender & Associates Architects, for the Architectural/Engineering services. ITEM BACKGROUND: The BOCC approved to negotiate with the top four ranked firms for continuing contracts where construction costs do not exceed $2,000,000.00. Three of the four firms were negotiated and awarded contracts. The fourth ranked firm is still pending negotiations. Bender & Associates Architects P.A. is the fifth ranked firm, fully negotiated, and with historical experience with the East Martello Fort/Museum, West Martello Towers, and Fort Zachery Taylor. PREVIOUS RELEVANT BOCC ACTION: On October 21, 2009, the BOCC approved to negotiate with the top four ranked firms for continuing contracts. On December 16, 2009 the BOCC approved to award and execute A/E continuing contracts with three of the four ranked firms, CH2MHill, Inc., MBMM Architecture, Inc., and William P. Horn Architects, P.A. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval as stated above. TOTAL COST: N/A INDIRECT COST: N/A BUDGETED: Yes X No DIFFERENTIAL OF LOCAL PREFERENCE: N/A COST TO COUNTY: N/A SOURCE OF FUNDS: Projects REVENUE PRODUCING: Yes No X AMOUNT PER MONTH Year APPROVED BY: County Atty _ OMB/Purchasing Risk Management DOCUMENTATION: Included X Not Required DISPOSITION: AGENDA ITEM # Revised 7/09 C UNTY jo'�MONROE KEY WESTLORIDA 33040 (305)294-4641 December 22, 2009 BOARD OF COUNTY COMMISSIONERS Mayor Sylvia I Murphy, District 5 Mayor Pro Tem Heather Carruthers, District 3 Kim Wigington, District 1 George Neugent, District 2 Mario Di Gennaro, District 4 Monroe County Board of County Commissioners, Roman Gastesi, County Administrator RE: Awarding Bender and Associates a Continuing Contract for A/E services Dear Commissioners and Roman: The top four (4) ranked Architects responding to an RFQ have been awarded a Continuing Contract for Architect/Engineering Services (A/E). At this time, it would be to the County's advantage to award the 5th ranked A/E firm (Bender and Associates) a Continuing Contract. Originally, Project Management requested that four contracts be awarded. Project Management is, at this time, asking that a fifth contract be awarded. Bert Bender is the local authority on restoration and/or renovation of the forts and Martello's located in our area. We will be involved in several projects on the forts and/or Martello's in the near future (we are starting two at this time) and recommend that the County contract with an architect that has experience with these historic structures. Mr. Bender was contracted in the past to do a survey of the structures to determine the need for repairs. He has also provided Architectural Services for the County on several projects for repair and renovation of portions of these structures. These structures are historical in nature and great care must be taken to preserve their value to the people of Monroe County and citizens of the United States of America. Bender and Associates is the next ranked firm on the RFQ score sheet and has great knowledge and experience with these structures. Therefore, it would be appropriate to offer Bender and Associates a Continuing Contract for A/E Services. Thank you for your consideration of this matter. Sincerely, Jeri arnett, Director Projec anagement JAB/cai 1100 Simonton Street Tel: 305-292-4429 Key West Fl 33040 Fax: 305-295-4321 MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: Bender & Associates Contract # Effective Date: 01/20/10 Expiration Date: 01/20/14 Contract Purpose/Description: Architectural/EngineeringArchitectural/Engineering services for projects in which construction costs do not exceed 2 000 000.00 or for study activity if the fee for professional services for each individual study under the contract does not exceed $200,000.00 Contract Manager: Ann Riger X4549 Facilities DeveUStop #1 (Name) (Ext.) (Department/Stop #) for BOCC meeting on 01/20/10 Agenda Deadline: 01/05/10 CONTRACT COSTS Total Dollar Value of Contract: $ N/A Current Year Portion: $ N/A Budgeted? Yes® No ❑ Account Codes: - - - - Grant: $ N/A - - - - County Match: $ N/A - - - - ADDITIONAL COSTS Estimated Ongoing Costs: $ /yr For: (Not included in dollar value above) (e . maintenance, utilities, janitorial, salaries, etc.) I Division Director Risk Management O.M.B./Purchasing r County Attorney I Comments: CONTRACT REVIEW Changes Dat I Needed evi er �Oq Yes[:--]]N C� ("A Yes❑ No[J' r Yes[] No❑ ( C 46q Yes[—] Now OMB Form Revised 2/27/01 MCP #2 Date Out U 25Jul l CONTRACT FOR PROFESSIONAL SERVICES BETWEEN OWNER AND ARCHITECT/ENGINEER THIS CONTRACT FOR PROFESSIONAL SERVICES BETWEEN OWNER AND ARCHITECT/ENGINEER (the "Contract" or "Agreement') is made and entered into by Monroe County ("Owner" or "County"), a political subdivision of the State of Florida, whose address is 1100 Simonton Street, Key West, Florida 33040, its successors and assigns through the Monroe County Board Of County Commissioners ("BOCC"), and Bender & Associates Architects P.A. , the ( "Architect')., whose address is 410 Angela St. Key West, FL 33040, its successors and assigns. This contract shall be effective on the date of execution by the last party signatory to the contract. This contract is issued as a continuing contract pursuant to Florida Statute 287.055(2) (g). The professional services required by this Contract are to be rendered for projects in which the estimated construction costs of each individual project under the contract does not exceed Two Million Dollars ($2,000,000.00), or for study activity if the fee for professional services for each individual study under the contract does not exceed Two Hundred Thousand Dollars ($200,000.00). The parties shall enter into a separate contract for each project awarded to the Architect by the Owner. The specific services to be performed under these separate contracts will be determined by the Owner and agreed to by the Architect. Each separate contract will contain specific scope of work, time schedule, charges and payment conditions, and additional terms and conditions applicable to that specific contract. Architect will be chosen pursuant to Owner policy and work will be distributed among all contractors who have signed a continuing contract. The professional services required by this contract will be for services in the form of a continuing contract, commencing on the effective date of this contract and ending four years thereafter, with options for Owner to renew on an annual basis for two additional years. The terms and conditions of this Contract shall apply to any separate contract, unless expressly modified in the provisions of the separate contract. Where the terms of this Contract differ from the terms of the separate contract, the terms of the separate contract shall take precedence. The separate contract will contain its specific scope of work and it is anticipated by this Contract that the scope of work in the separate contract will be in addition to the scope of work outlined in this Contract NOW, THEREFORE, in consideration of the mutual promises, covenants and agreements stated herein, and for other good and valuable consideration, the sufficiency of which hereby acknowledged, the Owner and the Architect agree: FORM OF AGREEMENT ARTICLE 1 1.1 REPRESENTATIONS AND WARRANTIES By executing this Contract, Architect makes the following express representations and warranties to the Owner: 1.1.1 The Architect is a professional qualified to act as the Architect for the Project and is licensed to practice Architecture/Engineering by all public entities having jurisdiction over the Architect/Engineer and the Project, 1.1.2 The Architect shall maintain all necessary licenses, permits or other authorizations necessary to act as Architect for the Project until the Architect's duties hereunder have been fully satisfied; 1.1.3 The Architect shall become familiar with the individual Project site and the local conditions under which the Project is to be designed, constructed, and operated prior to entering a separate contract for any specific Project. 1.1.4 The Architect shall prepare all documents required by this Contract including, but not limited to, all contract plans and specifications, in such a manner that they shall be in conformity and comply with all applicable law, codes and regulations. The Architect warrants that the documents prepared as a part of this Contract will be adequate and sufficient to accomplish the purposes of the Project, therefore, eliminating any additional construction cost due to missing or incorrect design elements in the contract documents; 1.1.5 The Architect assumes full responsibility to the extent allowed by law with regards to his performance and those directly under his employ as Architect of Record. 1.1.6 The Architect's services shall be performed as expeditiously as is consistent with professional skill and care and the orderly progress of the Work. The Architect shall submit, for the Owner's and Monroe County Project Management Department's information, a schedule for the performance of the Architect's services which may be adjusted as the Project proceeds if approved by the Owner, and shall include allowances for periods of time required for the Owner's and Monroe County Project Management Department's review, and for approval of submission by authorities having jurisdiction over the Project. Time limits established by this schedule and approved by the Owner may not be exceeded by the Architect except for delay caused by events not within the control of the Architect or foreseeable by him. 1.1.7 In providing all services pursuant to this agreement, the Architect shall abide by all statutes, ordinances, rules and regulations pertaining to, or regulating such services, including those now in effect and hereinafter adopted. Any violation of said statutes, ordinances, rules and regulations shall constitute a material breach of this agreement and shall entitle the COUNTY to terminate this agreement immediately upon delivery of written notice of termination to the Architect. ARTICLE II SCOPE OF ARCHITECT/ENGINEER'S BASIC SERVICE 2.1 DEFINITION 2.1.1 Architect's Basic Services consist of those described in Paragraphs 2.2 through 2.6, and other services identified as part of Basic Services, and include normal, civil, structural, mechanical, and electrical engineering services. 2.1.2 The Design for Construction shall include, but shall not necessarily be limited to, plans and specifications which describe all systems, elements, details, components, materials, equipment, and other information necessary for construction. The Design for Construction shall be accurate, coordinated and in all respects adequate for construction and shall be in conformity, and comply, with all applicable law, codes, permits, and regulations. Products, equipment and materials specified for use shall be readily available unless written authorization to the contrary is given by the Owner. The Architect shall be responsible for designing the Project in accordance with the analyses and recommendations of the geotechnical information furnished by the Owner. 2.1.3 These services shall include, but not be limited to: Preparation and completion of the design program for space requirements and relationships, schematic design, design development, preparation of contract documents for bids, preparation and advertisement for Request for Bids, tabulation and review of bids, recommendation of contract awards, cost estimating during design and document preparation, administration of contract documents, consultation and on -site inspections during construction, review and recommend approval of contractor invoices, preparation and submittal of permit applications, zoning applications, public presentations and presentations to the County Commission. Architect shall arrange his schedule in order to be available to perform the listed services for one or for several projects if requested by COUNTY and with the understanding that for any individual project the construction costs will not exceed the limits under F.S. 287.055 (2)(g). 2.2 SCHEMATIC DESIGN PHASE 2.2.1 The Architect shall review the County's program, schedule and construction budget furnished by the Owner to ascertain the requirements of the Project and shall arrive at a mutual understanding of such requirements with the Owner. 2.2.2 The Architect shall review with the Owner and Monroe County Project Management Department's proposed site use and improvements, required permits, zoning, selection of materials, building systems and equipment; and method of Project delivery. 3 2.2.3 The Architect shall review with the Owner and Monroe County Project Management Department's alternative approaches to design and construction of the Project. 2.2.4 Based on the mutually agreed -upon program, schedule and construction budget requirements, the Architect shall prepare, for approval by the Owner, Schematic Design Documents consisting of drawings and other documents illustrating the scale and relationship of Project components. 2.2.5 Upon completion of the Schematic Design Phase, the Architect shall provide drawings, outline specifications, estimate of anticipated cost in accordance with the schematic designs, and other documents for the Owner's approval and the Monroe County Project Management Department's information. 2.2.6 The Schematic Design must be approved in writing, by the Owner prior to Architect continuing to the Design Development Phase. 2.3 DESIGN DEVELOPMENT/DOCUMENT PHASE 2.3.1 Upon completion of the Design Development Phase, the Architect shall provide drawings, outline specifications and other documents for the Owner's approval and the Monroe County Project Management Department's information. The Architect shall provide an estimate of anticipated costs in accordance with the design development phase. 2.3.2 The Design Development Documents must be approved in writing, by the Owner prior to Architect continuing to the Construction Documents Phase. 2.4 CONSTRUCTION DOCUMENTS PHASE 2.4.1 The Architect shall provide Drawings and Specifications for the Owner's and the Monroe County Project Management Department's review. 2.4.2 The Architect shall assist the Owner and Monroe County Project Management Department in the preparation of the necessary bidding information, bidding forms, the Conditions of Contracts, and the forms of Agreement between the Owner and the Contractors. 2.4.3 The Architect's construction documents (plans, specifications, etc.) will conform to all written codes and regulations of the federal government, county, state, municipalities, agencies and state departments, in effect at the date of this Agreement, and shall be of such completion as to receive all permits when applied for. If permits are denied, then the Architect will conform the construction documents in such manner to receive permits upon such plans. Work required from the Architect to conform the documents to federal, state, city, county, or agency specifications and permit requirements to allow them to be approved shall be completed at no charge or cost to the Owner. 2.5 BIDDING OR NEGOTIATION PHASE 2.5.1 The Architect, following the Owner's approval of the Construction Documents and the Architect's latest estimate of Construction Cost, shall assist the Monroe County Project Management Department in obtaining bids or negotiated proposals and assist in preparing contracts for construction. 2.5.2 The Architect shall assist the Monroe County Project Management Department in issuing bidding documents to bidders and conducting pre -bid conferences with prospective bidders. The Architect, with the assistance of the Monroe County Project Management Department, shall respond to questions from bidders, and shall issue addenda. 2.6 CONSTRUCTION PHASE - ADMINISTRATION OF THE CONSTRUCTION CONTRACT 2.6.1. The Architect's responsibility to provide Basic Services for the Construction Phase under this Agreement commences with the award of the Contract for construction and terminates with the issuance to the Owner of the final Project Certificate for Payment including the submission of all project close-out documents by the Architect and Contractor. The Architect will administer the Owner's contract as provided for in that document. The Architect agrees to perform a project check prior to the end of the warranty period as a part of the contract. The check shall not exceed one working day unless additional time is approved by the Owner. 2.6.2 The Architect shall at all times have access to the Work whenever it is in preparation or progress. 2.6.3 The Architect shall, as contemplated herein and in the Construction Contract, but not otherwise, act on behalf, and be the agent, of the Owner throughout construction of the Project. Instructions, directions, and other appropriate communications from the Owner to the Contractor shall be given to the Contractor by the Architect or Monroe County Project Management Department. 2.6.4 The Architect shall have authority, after notification to the Monroe County Project Management Department to reject Work, which does not conform to the Contract Documents. 2.6.5 The Architect shall review and sign or take other appropriate action on Change Orders and Construction Change Directives prepared by the Monroe County Project Management Department for the Owner's approval and execution in accordance with the Contract Documents. 2.6.6 The Architect shall promptly provide appropriate interpretations as necessary for the proper execution of the work as long as there is no change in Contract price. 2.6.7 The Architect shall require inspection or re -inspection and testing or retesting of the work, to include architectural/engineering, structural, mechanical and electrical engineering portions of the work, in accordance with the provisions of the Construction Contract whenever appropriate. 2.6.8 The Architect, assisted by the Monroe County Project Management Department, shall conduct inspections to determine the dates of Substantial Completion and the date of Final Completion. 2.6.9 The Architect shall interpret and decide matters concerning performance of the Contractor under the requirements of the Contract Documents upon written request. 2.6.10 Interpretations and decisions of the Architects shall be consistent with the intent of and reasonably inferable from the Contract Documents and shall be in writing or in the form of drawings and submitted on proper Construction Change Directives. 2.6.11 The Architect shall render written decisions within a reasonable time on all claims, disputes or other matters in question between Owner and Contractors relating to the execution or progress of the Work as provided in the Contract Documents. 2.6.12 Duties, responsibilities and limitations of authority of the Architect shall not be restricted, modified or extended without written agreement of the Owner and Architect. 2.6.13 The Architect shall be a representative of and shall advise and consult with the Owner (1) during construction until final payment to the Contractor is due and (2) as a Basic Service at the Owner's direction from time to time during the correction period described in the Contract for Construction. 2.6.14 The Architect shall transmit to the Owner all manuals, operating instructions, as - built plans, warranties, guarantees and other documents and things required by the Construction Contract and submitted by the Contractor. 2.6.15 The Architect shall not have control over or charge of and shall not be responsible for construction means, methods, techniques, sequences or procedures, or for safety precautions and programs in connection with the Work, since these are solely the Contractor's responsibility under the Contract for Construction. The Architect shall not be responsible for the Contractor's schedules or failure to carry out the work in accordance with the contract documents. The Architect shall not have control over or charge of acts or omissions of the Contractor, Subcontractors, or their agents or employees, or of any other persons performing portions of the work. 2.6.16 The Architect shall make available to the Owner any personnel or consultants employed or retained by the Architect for the purpose of reviewing, studying, analyzing or investigating any claims, contentions, allegations, or legal actions relating to, or arising out of, the design or construction of the project. 2.6.17 The Architect shall review any as -built drawings furnished by the Contractor and shall certify to the Owner that same are adequate and complete. 2.6.18 The Architect shall, without additional compensation, promptly correct any errors, omissions, deficiencies, or conflicts in the work product of the Architect or its consultants, or both. 2.6.19 The Architect must reimburse the Owner for any added costs paid by the Owner during construction that were incurred as the result of any omission, deficiency, or conflict in the work product of the Architect, its consultants, or both. This added expense is defined as the difference in cost from that which the Owner would have paid if the work was included in the bid, and the actual cost presented by the Contractor. ARTICLE III ADDITIONAL SERVICES 3.1 GENERAL 3.1.1 The services described in this Article III are not included in Basic Services. They shall be paid for by the Owner as provided in this agreement as an addition to the compensation paid for the Basic Services but only if approved by the Owner before commencement, and as follows: A. Providing services of Architect for other than the previously listed consulting scope of Project provided as a part of Basic Services. B. Providing any other services not otherwise included in this Agreement or not customarily furnished in accordance with generally accepted consulting practice. C. Providing representation before public bodies in connection with the Project, upon approval by the Owner. 3.2 If Additional Services are required, such as those listed above, the Owner shall issue a letter requesting and describing the requested services to the Architect. The Architect shall respond with fee proposal to perform the requested services. Only after receiving an amendment to the Agreement and a notice to proceed from the Owner proceed with the Additional Services. ARTICLE IV OWNER'S RESPONSIBILITIES 4.1 The Owner shall designate Monroe County Project Management Department to act on the Owner's behalf with respects to the Project. The Owner or Monroe County Project Management Department shall render decisions in a timely manner pertaining to documents submitted by the Architect in order to avoid unreasonable delay in the orderly and sequential progress of the Architect's services. However, the parties acknowledge that due to Monroe County Policy, Ordinances or State or Federal Statute there may be times when a decision must be made by the BOCC, in which case any delay shall not be attributed to Monroe County or its representative. 4.2 Prompt written notice shall be given by the Owner and Monroe County Project Management Department to the Architect if they become aware of any fault or defect in the Project or non-conformance with the Contract Documents. 4.3 The Owner shall furnish the required information and services and shall render approvals and decisions as expeditiously as necessary for the orderly progress of the Architect's services and work of the contractors. 4.4 The Owner's review of any documents prepared by the Architect or its consultants shall be solely for the purpose of determining whether such documents are generally consistent with the Owner's criteria, as and if, modified. No review of such documents shall relieve the Architect of responsibility for the accuracy, adequacy, fitness, suitability or coordination of its work product. ARTICLE V CONSTRUCTION COST 5.1 The Construction Cost, if applicable, shall be defined in a contract for the specific Project. ARTICLE VI INDEMNIFICATION AND HOLD HARMLESS 6.1 The Architect covenants and agrees to indemnify and hold harmless Owner/Monroe County and Monroe County Board of County Commissioners from any and all claims for bodily injury, including death, personal injury, and property damage, including property owned by Monroe County, and any other losses, damages, and expenses, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the Architect or its Subcontractor(s), occasioned by the negligence, errors, or other wrongful act or omission of the Architect, their employees, or agents. 6.2 The first ten dollars ($10.00) of remuneration paid to the Architect is for the indemnification provided for above. Should any claims be asserted against the County by virtue of any deficiency or ambiguity in the plans and specifications provided by the Architect, the Architect agrees and warrants that he shall hold the County harmless and shall indemnify him from all losses occurring thereby and shall further defend any claim or action on the County's behalf. 6.3 In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the Architect's failure to purchase or maintain the required insurance, the Architect shall indemnify County from any and all increased expenses resulting from such delays. Should any claims be asserted against County by virtue of any deficiencies or ambiguity in the plans and specifications provide by the Architect the Architect agrees and warrants that Architect hold the County harmless and shall indemnify it from all losses occurring thereby and shall further defend any claims or action on the County's behalf. 6.4 The extent of liability is in no way limited to, reduced or lessened by the insurance requirements contained elsewhere within the Agreement. 6.5 This indemnification shall survive the expiration or early termination of the Agreement. ARTICLE VII 7.1 PERSONNEL The Architect shall assign only qualified personnel to perform any service concerning the project. ARTICLE VIII 8.1 PAYMENT Terms of payment will be governed by state guidelines and/or hourly rates to be approved by the County. Hourly rates are provided in Exhibit A and are subject to annual affirmation. Details of payment will be set out in the specific separate contract. 8.2 REIMBURSABLE EXPENSES Shall be negotiated and agreed to prior to award of the separate contract, but only to the extent and the amounts authorized by Section 112.061, Florida Statutes; however prior to incurring any expense written approval for any reimbursable expense must be obtained from the County. 8.3 BUDGET 8.3.1 The Architect may not be entitled to receive, and the County is not obligated to pay, any fees or expenses in excess of the amount budgeted for this Agreement in each fiscal year (October 1- September 30) by County's Board of County Commissioners. The budgeted amount may only be modified by an affirmative act of the County's Board of County Commissioners. 8.3.2 AVAILABILITY OF FUNDS. If funding cannot be obtained or cannot be continued at a level sufficient to allow for continued reimbursement of expenditures for services specified in this Contract or in the separate contracts for individual projects, the agreement may be terminated immediately at the option of the County by written notice of termination delivered to the Architect. The County shall not be obligated to pay for any services provided by the Architect after the Architect has received written notice of termination, unless otherwise required by law. 8.3.3 The County does not guarantee Architect any specific amount of work or contracts under this agreement. The parties shall enter into a separate contract for each project awarded to the Architect by the County. The specific services to be performed under these separate contracts will be determined by the County and agreed to by the Architect. Each separate contract will contain specific scope of work, time schedule, charges and payment conditions, and additional terms and conditions applicable to that specific contract. Architect will be chosen pursuant to County policy and work will be distributed among all contractors who have signed a continuing contract. 8.3.4 Monroe County's performance and obligation to pay under this contract is contingent upon an annual appropriation by the Board of County Commissioners and the approval of the Board members at the time of contract initiation and its duration. ARTICLE IX 9.1 APPLICABLE LAW This contract is governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and performed entirely in the State. Venue for any mediation, dispute conferences or litigation arising under this contract must be in Monroe County, Florida. The Parties waive their rights to a trial by jury. ARTICLE X 10.1 OWNERSHIP OF THE PRELIMINARY DESIGN AND THE DESIGN FOR CONSTRUCTION 10.1 The Drawings, Specifications and other documents prepared by the Architect for a specific project are instruments of the Architect's service for use solely with respect to that project, and the Architect shall be deemed the author of these documents and shall retain all common law, statutory and other reserved rights, including reproducible copies, of the Architect's Drawings, Specifications and other documents shall not be used by the Owner or others on other projects except by agreement in writing and with appropriate compensation to the Architect. 10.1.2 Submission or distribution of documents to meet official regulatory requirements or for similar purposes in connection with the project is not to be construed as publication in derogation of the Architect's reserved rights. I[© 10.1.3 The As -Built drawings and specifications may be furnished by the Architect to the Owner in electronic format in addition to the original As -Built documents. 10.1.4 The Owner may utilize the construction documents, As -Built documents, etc. as required for reference on any necessary future work on the site, and for constructing, using and maintaining the Project. ARTICLE XI 11.1 SUCCESSORS AND ASSIGNS The Architect shall not assign its right hereunder, excepting its right to payment, nor shall it delegate any of its duties hereunder without the written consent of the Owner. The Owner and Architect, respectively, bind themselves, their partners, successors, assigns and legal representatives to the other party to this Agreement and to the partners, successors, assigns and legal representatives of such other party with respect to all covenants of this Agreement. ARTICLE XH NO THIRD PARTY BENEFICIARIES AND INDEPENDENT CONTRACTOR RELATIONSHIP 12.1 NO THIRD PARTY BENEFICIARIES Nothing contained herein shall create any relationship, contractual or otherwise, between the parties which creates or gives rise to any rights in favor of, any third party. 12.2 INDEPENDENT CONTRACTOR RELATIONSHIP The Architect is and shall be an independent contractor in the performance of all work, services, and activities under this Agreement and is not an employee, agent or servant of the County. The Architect shall exercise control over the means and manner in which it and its employees perform the work and in all respects the Architect's relationship and the relationship of its employees to the County shall be that of an independent contractor and not as employees or agents of the County. The Architect does not have the power or authority to bind the County in any promise, agreement or representation other than such power and authority that is specifically provided for in this Agreement. ARTICLE XIII 13.1 INSURANCE 13.1.1 The Architect shall obtain insurance as specified and maintain the required insurance at all times that this Agreement is in effect. Professional Liability Insurance shall also be maintained as specified. In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the Architect's failure to M purchase or maintain the required insurance, the Architect shall indemnify the County from any and all increased expenses resulting from such delay. 13.1.2 The coverage provided herein shall be provided by an insurer with an A.M. Best Rating of VI or better, that is licensed to do business in the State of Florida and that has an agent for service of process within the State of Florida. The insurance certificate shall contain an endorsement providing thirty (30) days notice to the County prior to any cancellation of said coverage. Said coverage shall be written by an insurer acceptable to the County and shall be in a form acceptable to the County. 13.1.3 Architect shall obtain and maintain the following policies: A. Workers' Compensation insurance as required by the State of Florida. B. Employers Liability Insurance with limits of $100,000 per Accident, $500,000 Disease, policy limits, $100,000 Disease each employee. C. Comprehensive business automobile and vehicle liability insurance covering claims for injuries to members of the public and/or damages to property of others arising from use of motor vehicles, including onsite and offsite operations, and owned, hired or non -owned vehicles, with One Hundred Thousand Dollars ($100,000.00) combined single limit and One Hundred Thousand Dollars ($100,000.00) annual aggregate. D. Commercial general liability covering claims for injuries to members of the public or damage to property of others arising out of any covered act or omission of the Architect or any of its employees, agents or subcontractors or subconsultants, including Premises and/or Operations, Independent Contractors; Broad Form Property Damage and a Contractual Liability Endorsement with Five Hundred Thousand Dollars ($500,000.00) per occurrence and annual aggregate. E. Professional liability insurance of Five Hundred Thousand Dollars ($500,000.00) per claim and One Million Dollars ($1,000,000.00) annual aggregate. If the policy is a "claims made" policy, Architect shall maintain coverage or purchase a "tail" to cover claims made after completion of the project to cover the statutory time limits in Chapter 95 of the Florida Statutes. F. County shall be named as an additional insured with respect to Architect's liabilities hereunder in insurance coverage identified in Paragraphs C and D. G. Architect shall require its subconsultants to be adequately insured at least to the limits prescribed above, and to any increased limits of Architect if so required by County during the term of this Agreement. County will not pay for increased limits of insurance for subconsultants. 12 H. Architect shall provide to the County certificates of insurance or a copy of all insurance policies including those naming the County as an additional insured by including any subsection thereunder. The County reserves the right to require a certified copy of such policies upon request. ARTICLE XIV TERMINATION 14.1 Either party hereto may terminate this contract prior to expiration upon giving seven (7) days written notice to the other in the event that such other party negligently or for any reason substantially fails to perform its material obligations set forth herein. No termination expenses shall be paid by the Owner after the date of notice of termination. 14.2 The Owner may terminate this Contract without cause by giving the other party sixty (60) days written notice of its intention to do so. Termination expenses shall include expenses available under the contract through the date on the notice of termination and shall not include any additional services required in order to stop performance of services, unless agreed to in writing by the County and subject to audit for the purpose of verification. ARTICLE XV ENTIRE AGREEMENT 15.1 This contract constitutes of the form of agreement, the exhibits that are attached and made a part of the contract, and the documents referred to in the form of agreement as a part of this contract. In the event any conflict between any of those contract documents, the one imposing the greater burden on the Architect will control. 15.2 A person or affiliate who has been place on the convicted vendor list following a conviction for public entity crime may not submit a bid on contract to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the property to public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017 of the Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list. ARTICLE XVI DISPUTE RESOLUTION 16.1 County and Architect agree that all disputes and disagreements shall first be attempted to be resolved by meet and confer sessions between representatives of each of the parties. If no resolution can be agreed upon within 30 days after the first meet and confer session, the issue or issues shall be submitted to mediation before a mediator 13 mutually agreed to by the parties. The cost of mediation shall be shared equally. The parties agree that mediation is a condition precedent to the institution of legal or equitable proceedings by either party. Request for mediation shall be in writing and sent to the other party. The parties shall agree on a mediator to hear the dispute. 16.2 Mediation shall be held in Monroe County Florida in a location in Key West; the location may be moved only by mutual agreement of the parties. 16.3 Agreements reached in mediation shall be reduced to writing and signed by the representative of each party; however agreements must be approved by the Board of County Commissioners to be enforceable. Agreements reached in mediation shall be enforceable as settlement agreements in any court having jurisdiction in Monroe County. 16.4 Nothing in this Agreement shall be construed to interfere with a subsequent order from any court of competent jurisdiction ordering the parties to enter into mediation after institution of legal or equitable proceedings. 16.5 Arbitration is specifically rejected by the parties as a method of settling disputes which arise under this agreement; neither of the parties shall be compelled by the other to arbitrate a dispute which may arise under this Agreement. ARTICLE XVII Additional Requirements 17.1 The following items are part of this contract: a) Architect shall maintain all books, records, and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. Each party to this Agreement or their authorized representatives shall have reasonable and timely access to such records of each other party to this Agreement for public records purposes during the term of the Agreement and for four years following the termination of this Agreement. If an auditor employed by the County or Clerk determines that monies paid to Architect pursuant to this Agreement were spent for purposes not authorized by this Agreement, the Architect shall repay the monies together with interest calculated pursuant to F.S. Sec. 55.03, running from the date the monies were paid to County. b) Governing Law, Venue, Interpretation, Costs, and Fees: This Agreement shall be governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Agreement, the County and Architect agree that venue will lie in the appropriate court or before the appropriate administrative body in Monroe County, Florida. The Parties waive their rights to a trial by jury. The County and Architect agree that, in the event of conflicting interpretations of the terms or a term of this Agreement by or between any of them the issue shall be submitted to mediation prior to the institution 14 of any other administrative or legal proceeding, pursuant to Section XVI of this agreement. c) Severability. If any term, covenant, condition or provision of this Agreement (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Agreement, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Agreement shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Agreement would prevent the accomplishment of the original intent of this Agreement. The County and Architect agree to reform the Agreement to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. d) Attorney's Fees and Costs. The County and Architect agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees and court costs expenses, as an award against the non -prevailing party, and shall include attorney's fees and courts costs expenses in appellate proceedings. e) Binding Effect. The terms, covenants, conditions, and provisions of this Agreement shall bind and inure to the benefit of the County and Architect and their respective legal representatives, successors, and assigns. f) Authority. Each party represents and warrants to the other that the execution, delivery and performance of this Agreement have been duly authorized by all necessary County and corporate action, as required by law. Each party agrees that it has had ample opportunity to submit this Contract to legal counsel of its choice and enters into this agreement freely, voluntarily and with advise of counsel. g) Claims for Federal or State Aid. Architect and County agree that each shall be, and is, empowered to apply for, seek, and obtain federal and state funds to further the purpose of this Agreement; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission. h) Adjudication of Disputes or Disagreements. County and Architect agree that all disputes and disagreements shall be attempted to be resolved under Section XVI of this agreement. If no resolution can be agreed upon within 30 days after mediation, then any party shall have the right to seek such relief or remedy as may be provided by this Agreement or by Florida law. i) Cooperation. In the event any administrative or legal proceeding is instituted against either parry relating to the formation, execution, performance, or breach of this Agreement, County and Architect agree to participate, to the extent required by the 15 other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Agreement or provision of the services under this Agreement. County and Architect specifically agree that no parry to this Agreement shall be required to enter into any arbitration proceedings related to this Agreement. j) Nondiscrimination. Architect and County agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent jurisdiction that discrimination has occurred, this Agreement automatically terminates without any further action on the part of any party, effective the date of the court order. Architect or County agree to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss. 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975, as amended (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91- 616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patent records; 8) Title VIII of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. 1201 Note), as maybe amended from time to time, relating to nondiscrimination on the basis of disability; 10) Any other nondiscrimination provisions in any Federal or state statutes which may apply to the parties to, or the subject matter of, this Agreement. k) Covenant of No Interest. Architect and County covenant that neither presently has any interest, and shall not acquire any interest, which would conflict in any manner or degree with its performance under this Agreement, and that only interest of each is to perform and receive benefits as recited in this Agreement. 1) Code of Ethics. County agrees that officers and employees of the County recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112.313, Florida Statutes, regarding, but not limited to, solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. m) No Solicitation/Payment. The Architect and County warrant that, in respect to itself, it has neither employed nor retained any company or person, other than a bona fide employee working solely for it, to solicit or secure this Agreement and that it 16 has not paid or agreed to pay any person, company, corporation, individual, or firm, other than a bona fide employee working solely for it, any fee, commission, percentage, gift, or other consideration contingent upon or resulting from the award or making of this Agreement. For the breach or violation of the provision, the Architect agrees that the County shall have the right to terminate this Agreement without liability and, at its discretion, to offset from monies owed, or otherwise recover, the full amount of such fee, commission, percentage, gift, or consideration. n) Public Access. The Architect and County shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the Architect and County in conjunction with this Agreement; and the Architect shall have the right to unilaterally cancel this Agreement upon violation of this provision by County. o) Non -Waiver of Immunity. Notwithstanding he provisions of Sec. 286.28, Florida Statutes, the participation of the Architect and the County in this Agreement and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government liability insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any contract entered into by the County be required to contain any provision for waiver. p) Privileges and Immunities. All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the County, when performing their respective functions under this Agreement within the territorial limits of the County shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the County. q) Legal Obligations and Responsibilities: Non -Delegation of Constitutional or Statutory Duties. This Agreement is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the County, except to the extent permitted by the Florida constitution, state statute, and case law. r) Non -Reliance by Non -Parties. No person or entity shall be entitled to rely upon the terms, or any of them, of this Agreement to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the Architect and the County agree that neither the Architect nor the County or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity 17 or entities, have entitlements or benefits under this Agreement separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Agreement. s) Attestations. Architect agrees to execute such documents as the County may reasonably require including a Public Entity Crime Statement, an Ethics Statement, and a Drug -Free Workplace Statement. t) No Personal Liability. No covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Agreement or be subject to any personal liability or accountability by reason of the execution of this Agreement. u) Americans with Disabilities Act of 1990 (ADA). The Architect will comply with all the requirements as imposed by the ADA, the regulations of the Federal government issued thereunder, and the assurance by the Architect pursuant thereto. v) Disadvantaged Business Enterprise (DBE) Policy And Obligation. It is the policy of the County that DBE's, as defined in C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole or in part with County funds under this Agreement. The DBE requirements of applicable federal and state laws and regulations apply to this Agreement. The County and its Architect agree to ensure that DBE's have the opportunity to participate in the performance of the Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with applicable federal and state laws and regulations to ensure that DBE's have the opportunity to compete and perform contracts. The County and the Architect and subcontractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts, entered pursuant to this Agreement. w) Execution in Counterparts. This Agreement may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken together shall constitute one and the same instrument and any of the parties hereto may execute this Agreement by singing any such counterpart. 18 x) Section Headings. Section headings have been inserted in this Agreement as a matter of convenience of reference only, and it is agreed that such section headings are not a part of this Agreement and will not be used in the interpretation of any provision of this Agreement. IN WITNESS WHEREOF, each party caused this Agreement to be executed by its duly authorized representative on the day and year first above written. (SEAL) BOARD OF COUNTY COMMISSIONERS Attest: DANNY L. KOLHAGE, Clerk OF MONROE COUNTY, FLORIDA By: Deputy Clerk E; j JCn.OE COUNTY ATTGP"*,::Y PROVED AS TO FOB-�',�'' G5 NATILEENE W. ASSISTANT COGINTY AT T O, Date /12 - / % _ WITNESS TO Architect's Signature: By: ITNESS Signature a?Q ( ram -I- "; Print Witness Name Date:-'- ,-c— 9, 2. >c q Mayor/Chairman Date: (INSERT NAME f Architect) By: Signature of Corporate Agent Print Name of Corporate Agent Date: END OF AGREEMENT J lug ACORD CERTIFICATE OF LIABILITY INSURANCE DATE (MMl OrMY) BENDS 1 01 04 10 PRODUCER THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE The Fullers, Inc HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR 1432 Kennedy Drive ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. Rey west FL 33040 Phones 305-294-6677 Paxs305-292-4641 INSURERS AFFORDING COVERAGE NAIC# INSURED INSURER A: Progressive Commercial Div INSURER B: Bert L. 3jender INSURERC: 410 Angola St. INSURERD: Key West FL 33040 INSURER H: COVERAGES THE POLICIES OF INSURANCE LISTED BELOW HAVE SEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. LTR IN3Rd TYPE OF INSURANCE POLICY NUYtBIER DA TE M&VD LIMITS GENERAL LIABILITY COMMERCIAL GENERAL LIABILITY CLAIMS MADE OCCUR EACH OCCURRENCE S PREMISES Es owxwwe MED EXP (Any one pemon) i PERSONAL& AOV INJURY S GENERAL AGGREGATE t rGEML AGGREGATE LIMIT APPLIES PER: POLICY JECT LOC PRODUCTS - COMPIOP AGO ; A X AUTOMOBILE LU►BIL(TY ANY AUTO ALL OWNED AUTOS X SCHEDULED AUTOS HIRED AUTOS NON -OWNED AUTOS 04557974-9 06/27/09 06/27/10 COMBINED SINGLE LIMIT (Ea cdefN) :1000000 BODILY INJURY (Pwpwsw) ; BODILY tWURY (Par ems) _ PROPERTY DAMAGE (Peratuidwk) f GARAGE LIABILITY ANY AUTO AUTO ONLY -EA ACCIDENT $ OTHER THAN EA ACC AUTOONLY: AGG S EXCESSJUMBRELLA LIABILITY OCCUR CLAIMS MADE DEDUCTIBLE RETENTION $ (X ( 1 / 1 EACH OCCURRENCE � AGGREGATE t { S WORKERS COMPENSATION AND EMPLOYERS' I'ABILITY ANY PROPRIETOR1PRTNER*AKUTIVE A OFFICEPJMEMBER EXCLUDED? K QeecrtW trader s�cuu. PRovISIONs below ITWLMT ER E L EACH ACCIDENT i E.L. DISEASE - EA EMPLOYCI S E.L. DISEASE • POLICY uart I x OTHER DESCRIPTION OF OPERATIONS I LOCATIONS / VEHICLES I EXCLUSIONS ADDED BY ENDORSEMENT I SPECIAL PROVISIONS CERTIFICATE HOLDER CANCELLATION moxRCON SHOULD ANY OF THE ABOVE DESCRIBED POLlpE3 BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING IN3URIER YNLL ENDEAVOR TO MAUL 10 DAYS WRITTEN Monroe County Board of County NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO $O SHALL Commissioners IMPOSE NO OBLIGATION OR LIABILITY OF ANY KKK UPON THE INSURER, ITS AGENTS OR 1100 Simonton Street Rm 268 Rey Nest FL 33040 REPRESENTATIVES. ACORD 26 (2001/08) 'r / v y 0 ACORD CORPORATION 1988 �COR� CERTIFICATE OF LIABILITY INSURANCE OP ID IG DATE(MWDD/YYYY) �•••� BENDERD 12 16 0 9 PRODUCER CMI INTERNATIONAL, INC. THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE UNIVERSITY PLACE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR 5220 S. UNIVERSITY DR, C-203 ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. DAVIE FL 33328 Phone:954-680-0900 Fax:954-680-5600 INSURERS AFFORDING COVERAGE NAIC# INSURED INSURER A: EVANSTON INSURANCE COMPANY INSURER B: FLORIDA RETAIL FEDERATION INSURERC: WRSTZRN WORLD MSURANCZ M. Bender & Associates Architects 410 Angela Street Key West FL 33040 INSURER D: INSURER E: t.UVtKAUt:b THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES, AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INS LTR NSR TYPE OF INSURANCE POLICY NUMBER '0 EFFECTIVE DATE MM/DD POLICY EXPIRATION DATE MWDD LIMITS t3ENERAL LIABILITY EACH OCCURRENCE $ 1,000,000 C X X COMMERCIAL GENERAL LIABILITY CLAIMS MADE Fx_1 OCCUR NPP1134934 10/25/09 10/25/10 PREMISES Eaoccurence $50,000 MED EXP (Any one person) $ 5,000 PERSONAL & ADV INJURY $1,000,000 GENERAL AGGREGATE s2,000,000 GENT AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP/OP AGG $ Excluded POLICY PRO- JECT LOC AUTOMOBILE LIABILITY ANY AUTO COMBINED SINGLE LIMIT (Ea accident) $ BODILY INJURY (Per person) $ ALL OWNED AUTOS SCHEDULED AUTOS I (` �/ VVV��`VVV BODILY INJURY (Per accident) $ HIRED AUTOS NON -OWNED AUTOS f PROPERTY DAMAGE (Per accident) $ GARAGE LIABILITY AUTO ONLY - EA ACCIDENT $ ANY AUTO OTHER THAN EA ACC $ $ AUTO ONLY: AGG EXCESS / UMBRELLA LIABILITY OCCUR CLAIMS MADE EACH OCCURRENCE $ AGGREGATE $ $ DEDUCTIBLE $ RETENTION $ $ B WORKERS COMPENSATION AND EMPLOYERS' LIABILITY ANY PROPRIETOR/PARTNER/EXECUTIVEL] OFFICERIMEMBER EXCLUDED? 0520150560000 01/01/09 12/31/09 - x TORY LIMITS ER E.L. EACH ACCIDENT _ $ 100,000 E.L. DISEASE - EA EMPLOYEE $ 100 , 0 0 0 (Mandatory In NH) SPECIAL PROVISIONS below SXECALPRe PROVISIONS E.L. DISEASE -POLICY LIMIT $ 500,000 OTHER A Professional AE-816840 02/10/09 02/10/10 Ea. Claim $1,000,000 Liability Aggregate $1,000,000 DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES / EXCLUSIONS ADDED BY ENDORSEMENT / SPECIAL PROVISIONS PROFESSIONAL LIABILITY POLICY IS A CLAIMS MADE POLICY. COVERAGE APPLIES ONLY TO THOSE CLAIMS WHICH FIRST OCCUR AND ARE FIRST REPORTED TO THE COMPANY vunj."%x Ina rv.I.,1.L:x "I'Zxm. Kl,.rAUAt.T1VS DATE 115193. CERTIFICATE HOLDER COUNTY OF MONROE PROJECT MANAGEMENT 1100 SIMONTON STREET ROOM 2216 KEY WEST FL 33040 MONROEC CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATIO DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL 3 0 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE INSURER, ITS AGENTS OR REPRESENTATIVES. Leigh W. McCreary ACORD 25 (2009/01) ©1988-2009 ACC The ACORD name and logo are registered marks of ACORD rights reserved. SECTION FIVE INSURANCE REQUIREMENTS AND INDEMNIFICATION STATEMENT Insurance Requirement Worker's Compensation Employer's Liability General Liability Vehicle Liability Architects Errors and Omissions Liability Required Limits Statutory Limits $100,0001$500,0001$100,000 $100,000 Combined Single Limit $100,000 Combined Single Limit per Occurrence/$1,000,000 Aggregate $500,000 per occurrence/ $1,000,000 Aggregate IDEMNIFICATION AND HOLD HARMLESS FOR CONSULTANTS AND SUBCONSULTANTS The Architect/Consultant covenants and agrees to indemnify, hold harmless and defend Monroe County, its commissioners, officers, employees, agents and servants from any and all claims for bodily injury, including death, personal injury, and property damage, including property owned by Monroe County, and any other losses, damages, and expenses of any kind, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the Architect or Consultant or any of its Subcontractor(s) in any tier, occasioned by the negligence, errors, or other wrongful act or omission of the Architect/Consultant, including its Subcontractor(s) in any tier, their officers, employees, servants or agents. In the event that the completion of the project (to include the work of others) is delayed or suspended as a result of the Architect/Consultant's failure to purchase or maintain the required insurance, the Architect/Consultant shall indemnify the County from any and all increased expenses resulting from such delay. Should any claims be asserted against the COUNTY by virtue of any deficiency or ambiguity in the plans and specifications provided by the Architect/Consultant, the Architect/Consultant agrees and warrants that Architect/Consultant shall hold the County harmless and shall indemnify it from all losses occurring thereby and shall further defend any claim or action on the County's behalf. The first ten dollars ($10.00) of remuneration paid to the Architect/Consultant is consideration for the indemnification provided for above. 20 The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. This indemnification shall survive the expiration or earlier termination of the Agreement. RESPONDENT'S STATEMENT I understand the insurance that will be mandatory if awarded the contract and will comply in full with all the requirements. Respondent Signature 21 INSURANCE AGENT'S STATEMENT I have reviewed the above requirements with the Architect named below. The following deductibles apply to the corresponding policy. POLICY GENERAL LIABILITY WORKERS COMPENSATION PROFESSIONAL LIABILITY DEDUCTIBLES NONE NONE $20,000 Liability policies are X Occurrence Claims Made hkol Insurance Agency Signature Print Name: Leigh W. McCreary CMI INTERNATIONAL, INC. University Place 5220 So. University Dr., Suite 203 Davie, Florida 33328 22 SECTION SIX COUNTY RESPONSE FORMS RESPOND TO: MONROE COUNTY BOARD OF COUNTY COMMISSIONERS c/o PURCHASING DEPARTMENT GATO BUILDING, ROOM 1-213 1100 SIMONTON STREET KEY WEST, FLORIDA 33040 I acknowledge receipt of Addenda No.(s) 1 J� 7 I have included: o The Response Form ra- Lobbying and Conflict of Interest Clause o Non -Collusion Affidavit ,! o Drug Free Workplace Form o Respondent's Insurance and Indemnification Statement ✓ o Insurance Agent's Statement ✓ o Professional and Occupational Licenses I have included a current copy of the following professional and occupational licenses: ?jibfESSlbNgL,: $7*TEaFLcVdVA, JORCHI-rEC'r lq�p01lb Z Jfol�P, 19494do?c7Ztt 0&t/P)1%7GNRL . CITY u A kf Y w'CST 0$e410.9sG2 t1vA)RoE' CTY. /qR ooUv82_ Check mark items above as a reminder that they are included.) Mailing Address: 4' / 0 ^ -,[ Gi �L *Q / Telephone: 3o5 2'7' G l 5 4 7 Fax: 3o -5 2,y6 2 7 2- 7 Date: hr= c • 2-�09 Signed: Witness: r ' (Seal) (Name) ( Title) 23 LOBBYING AND CONFLICT OF INTEREST CLAUSE SWORN STATEMENT UNDER ORDINANCE NO.010-1990 MONROE COUNTY, FLORIDA ETHICS CLAUSE f�4,, (Company) warrants that he/it has not employed, retained or otherwise had act on his/its behalf any former County officer or employee in violation of Section 2 of Ordinance No. 010-1990 or any County officer or employee in violation of Section 3 of Ordinance No. 010-1990. For breach or violation of this provision the County may, in its discretion, terminate this Agreement without liability and may also, in its discretion, deduct from the Agreement or purchase price, or otherwise recover, the full amount of any fee. commission, percentage, gift, or consideration paid to the former County officer or employee". (Signature) Date: 8 � � � -z STATE OF: rLc,ic , -P A COUNTY OF: h oN Ft© Subscribed and sworn to (or affirmed) before me on J�.�c . Q> (% (date) by � - r r"A" -9 C n cC e r (name of affiant) personally known to me or has produced as i entification. (type of identification) Pay P1, Daina D Katubi ° Commission # DN,�5411 Expires February 5 201' NOTARY j FOF P.O rwo-a Trey F.. mstuartv tK �ClrsP,`..>.:� PUBLIC My commission expires: He/She is 24 DRUG -FREE WORKPLACE FORM The undersigned vendor in accordance with Florida Statute 287.087 hereby certifies that: CSC/f� .� �>�c-Ff ( T�,c-'ice ?7p" (Name of Business) 1. Publish a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace and specifying the actions that will be taken against employees for violations of such prohibition. 2. Inform employees about the dangers of drug abuse in the workplace, the business's policy of maintaining a drug -free workplace, any available drug counseling, rehabilitation, and employee assistance programs, and the penalties that may be imposed upon employees for drug abuse violations. 3. Give each employee engaged in providing the commodities or contractual services that are under bid a copy of the statement specified in subsection (1). 4. In the statement specified in subsection (1), notify the employees that, as a condition of working on the commodities or contractual services that are under bid, the employee will abide by the terms of the statement and will notify the employer of any conviction of, or plea of guilty or nolo contendere to, any violation of Chapter 893 (Florida Statutes) or of any controlled substance law of the United States or any state, for a violation occurring in the workplace no later than five (5) days after such conviction. 5. Impose a sanction on, or require the satisfactory participation in a drug abuse assistance or rehabilitation program if such is available in the employee's community, or any employee who is so convicted. 6. Make a good faith effort to continue to maintain a drug -free workplace through implementation of this section. As the person authorized to sign the statement, I certify that this firm complies fully with the above requirements. Respondent's Signature C, G6c) °) Date 25 NON -COLLUSION AFFIDAVIT I, { F -N D &(�_' - of the city of � `( �/ F-L V 10/44 according to law on my oath, and under penalty of perjury, depose and say that: I am F (?- t77 ( D �_4 1` " of the firm of � Et4 D �(2_ �S O C /ATPS' L��Z C�4 l T _ the bidder making the Proposal for the project described in the Request for Qualifications for: c0r3714(lr,46 5-rF2v1cIE-5 'W- and that I executed the said proposal with full authority to do so: 2. the prices in this bid have been arrived at independently without collusion, consultation, communication or agreement for the purpose of restricting competition, as to any matter relating to such prices with any other bidder or with any competitor; 3. unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the bidder and will not knowingly be disclosed by the bidder prior to bid opening, directly or indirectly, to any other bidder or to any competitor; and 4. no attempt has been made or will be made by the bidder to induce any other person, partnership or corporation to submit, or not to submit, a bid for the purpose of restricting competition; 5. the statements contained in this affidavit are true and correct, and made with full knowledge that Monroe County relies upon the truth of the statements contained in this affidavit in awarding contracts for said project. (Signat re ent) (Date) STATE OF: Ft" ,.;'Q" COUNTY OF: tAon r© ¢ _ PERSONALLY APPEARED BEFORE ME, the undersigned authority, ..---?qo(s,t who, after first being sworn by me, (name of individual signing) affixed his/her signature in the space provided above on this day of m- 2009 �o�Y pOm, Daina D Katubi O�ZCommission # DD495411 NOTARY PUBLIC '5' o7 Expires February 5, 2010 M Commission Expires: 8oraad Troy Fan irbua " tm 39 9dfd �' p 26 IDEMNIFICATION AND HOLD HARMLESS FOR CONSULTANTS AND SUBCONSULTANTS The Architect/Consultant covenants and agrees to indemnify, hold harmless and defend Monroe County, its commissioners, officers, employees, agents and servants from any and all claims for bodily injury, including death, personal injury, and property damage, including property owned by Monroe County, and any other losses, damages, and expenses of any kind, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the Architect or Consultant or any of its Subcontractor(s) in any tier, occasioned by the negligence, errors, or other wrongful act or omission of the Architect/Consultant, including its Subcontractor(s) in any tier, their officers, employees, servants or agents. In the event that the completion of the project (to include the work of others) is delayed or suspended as a result of the Architect/Consultant's failure to purchase or maintain the required insurance, the Architect/Consultant shall indemnify the County from any and all increased expenses resulting from such delay. Should any claims be asserted against the COUNTY by virtue of any deficiency or ambiguity in the plans and specifications provided by the Architect/Consultant, the Architect/Consultant agrees and warrants that Architect/Consultant shall hold the County harmless and shall indemnify it from all losses occurring thereby and shall further defend any claim or action on the County's behalf. The first ten dollars ($10.00) of remuneration paid to the Architect/Consultant is consideration for the indemnification provided for above. The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. This indemnification shall survive the expiration or earlier termination of the Agreement. RESPONDENT'S STATEMENT I understand the insurance that will be mandatory if awarded the contract and will comply in full with all the requirements. espondent §ignature 27 INSURANCE AGENT'S STATEMENT I have reviewed the above requirements with the bidder named below. The following deductibles apply to the corresponding policy. POLICY DEDUCTIBLES GENERAL LIABILITY WORKERS COMPENSATION PROFESSIONAL LIABILITY NONE NONE $20,000 Liability policies are X Occurrence Claims Made Insurance Agency Signature Print Name: Leigh W. McCreary CMI INTERNATIONAL, INC. University Place 5220 So. University Dr., Suite 203 Davie, Florida 33328 28 EXHIBIT A Hourly Rates -4 1,!F�O gi l �Q Avr-( 1 C) -FO i2 `- �Ti4rc1� a . oQ AC# 4263771 STATE OF FLORIDA DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION BOARD OF ARCHITECTURE & INTERIOR DESIGN SEQ#L09021300418 The ARCHITECT CORPORATION Named below IS CERTIFIED Under the provisions of Chapter 481 FS. Expiration date: FEB 28, 2011 BENDER & ASSOCIATES ARCHITECTS,PA 410 ANGELA ST KEY WEST FL 33040 CHARLIE CRIST CHARLES W. DRAGO GOVERNOR DISPLAY AS REQUIRED BY LAW SECRETARY AC# 4263666 STATE OF FLORIDA DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION BOARD OF ARCHITECTURE & INTERIOR DESIGN SEQ#b49021300313 ,. LICENSE NBR `02 13/2009_j080353344 JAR0011082 The ARCHITECT �] Named below IS LICENSED i Under the provisions of Chapter 481 FS. li Expiration date: FEB 28, 2011 j( BENDER, BERT LESLIE 410 ANGELA ST KEY WEST FL 33040 i I CHARLIE CRIST CHARLES W. DRAGO ( GOVERNOR SECRETARY DISPLAY AS REQUIRED BY LAW CITY OF KEY WESTFLORIDA Business Tax Receipt This Document is a business tax receipt Holder must meet all City zoning and use provisions. P.O. Box 1409, Key West, Florida 33040 (305) 809-3955 Business Name BENDER & ASSOCIATES ARCHITECTS Ct1Nbr:0001702 Location Addr 410 ANGELA ST Lic NBR/Class 10-00009562 SERVICE - PROFESSIONAL Issue Date: September 25, 2009 Expiration Date:September 30, 2010 License Fee $309.75 Add. Charges $0.00 Penalty $0.00 Total $309.75 Comments: ARCHITECT This document must be prominently displayed. BENDER, BERT BENDER & ASSOCIATES ARCHITECTS 410 ANGELA ST Doer: KEYWELD Tyne: QC Drawer: i Date: 9/25/09 54 Recej0 no: I16227 2010 9562 KEY WEST FL 33040 OR LIC OCU-ATIONAL 1 $309.75 Trans number: 21%W CK CHECK 54@2 f309.75 2009 / 2010 MONROE COUNTY BUSINESS TAX RECEIPT EXPIRES SEPTEMBER 30, 2010 RECEIPT# 46110-63601 Business Name: BENDER & ASSOCIATES ARCHITECTS PA Owner Name: BERT BENDER Mailing Address:410 ANGELA ST Business Location: 410 ANGELA ST KEY WEST, FL 33040 KEY WEST, FL 33040 Business Phone: 305-296-1347 Business Type: PROFESSIONALS (ARCHITECT #AR0011082) Rooms Seats Employees Machines Stalls STATE LICENSE: AR0011082 EX 2/09 For Vending Business Only umber of Machines : Vendin Type ax Amount[Transfer Fee Sub -Total jPenalty jPrior Years Collection Cost otai Paid $30.00 1 1$30.00 $0.00 1 1$30.00 PAID-117-08-00003789 08/04/2009 30-00 THIS RECEIPT MUST BE POSTED CONSPICUOUSLY IN YOUR PLACE OF BUSINESS 12/15/2009 15:57 FAX 954b8U5bUU UMI IINAL"AIIUINAL C. UUZ/UUa CERTIFICATE OF LIABILITY INSURANCE OP ID IG DATE(MM/DD/YYVY) BENDERD 12 16 09 PRODUCER THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION CMI INTERNATIONAL, INC. ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE UNIVERSITY PLACE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR 5220 S. UNIVERSITY DR, C-203 ALTER THE COVERAGE AFFORDED BY THE POLICIES BELO DAVIE FL 33328 4 a Phone:954-680-0900 Fax:954-680-5600 INSURERS AFFORDING COVERAGE I INSURED INSURER A EVANSTON INSURANCE COMPANY INSURER B: FLORIDA RETAIL FEDERATION Bender &Associates Architects INSURERC: Irssreatl NOALD nravanllcs CO. cs 410 Angela Street INSURER D: Key West FL 33040 -, INSURER E: COVERAGES w THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. LTR NSR TYPE OF INSURANCE POLICY NUMBER DATE MWDD LICY EXPIRATION GATE MWDD/YYYY LIMITS GENERAL LIABILITY EACH OCCURRENCE $1,000,000 C X X COMMERCIAL GENERAL LIABILITY CLAIMS MADE X❑ OCCUR NPP1134934 10/25/09 10/25/10 ED PREMISES Eaoccurance 350,000 MED EXP (Any one person) $5 , 0 0 0 PERSONAL SADVINJURY $1,000,000 GENERAL AGGREGATE s2,000,000 GEML AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP/OP AGO :Excluded POLICY PRO LOC JECT AUTOMOBILE LIABILITY ANY AUTO COMBINED SINGLE LIMB (Ea accident) $ BODILY INJURY (Per person) $ ALL OWNED AUTOS SCHEDULED AUTOS BODILY INJURY (Per accident) S HIRED AUTOS NON -OWNED AUTOS PROPERTY DAMAGE (Per accident) $ GARAGE LIABILITY AUTO ONLY - EA ACCIDENT S OTHER THAN EA ACC $ ANY AUTO $ AUTO ONLY: AGG EXCESS / UMBRELLA LIABILITY EACH OCCURRENCE $ OCCUR CLAIMS MADE AGGREGATE $ S $ DEDUCTIBLE $ RETENTION $ B WORKERS COMPENSATION AND EMPLOYERS' LIABILITY ANY PROPRIETOR/PARTNER/EXECUTN� OFFICERIMEMBER EXCLUDED? l-1 0520150560000 01/01/09 12/31/09 X TORY LIMBS ER_ E.L. EACH ACCIDENT _ $100, 000 E.L. DISEASE - EA EMPLOYEE $10 0 , 00 0 (Mandatory In NH) If es, describe under SPECIAL PROVISIONS below E.L. DISEASE -POLICY LIMIT s500,000 OTHER A Professional AE-816840 02/10/09 02/10/10 Ea. Claim $1,000,000 Liability Aggregate $1,000,000 DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES / EXCLUSIONS ADDED BY ENDORSEMENT / SPECIAL PROVISIONS PROFESSIONAL LIABILITY POLICY IS A CLAIMS MADE POLICY. COVERAGE APPLIES ONLY TO THOSE CLAIMS WHICH FIRST OCCUR AND ARE FIRST REPORTED TO THE COMPANY DURING THE POLICY TERM. RETROACTIVE DATE 1/5/93. CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION MONROEC DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL 30 DAYS WRITTEN NOTICE TO THE CERTMATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE INSURER, ITS AGENTS OR COUNTY OF MONR08 REPRESENTATIVES. PROJECT MANAGEMENT REPRE EN REPRESENTATIVE 1100 SIMONTON STREET ROOM 2216 P—UTHORLeigh DW.R McCreary WEST FL 33040 k w ACORD 25 (2009/01) 01988-2009 AC D CORPORATION, All rights reserved. The ACORD name and logo are registered marks of ACORD 1L/l0/LUUU 10:30 ran Ua4D0V000U tml 1iv1ZJN11A11tJ0 1i W.J-, vas IMPORTANT If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). DISCLAIMER This Certificate of Insurance does not constitute a contract between the issuing insurer(s), authorized representative or producer, and the certificate holder, nor does it affirmatively or negatively amend, extend or alter the coverage afforded by the policies listed thereon. ACORD 26 (2009/01) BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date:_JanuW 20, 2010 Division: CQ4M Administration Bulk Item: Yes X No _ Department: Project Management Staff Contact Person/Phone #: Jerry Barnett X44I6 AGENDA ITEM WORDING: Approval to advertise a Request for Proposals for construction of new exit stairs and the repair of existing interior stairs at the East Martello Towers. ITEM BACKGROUND: The TDC funded this project in F/Y 2004. The design of the stairs were drawn and an RFP was advertised to receive bids on May 20, 2004. No Bids were received and the project was temporarily cancelled. PREVIOUS RELEVANT BOCC ACTION: On July 15, 2009, Public Works advised the Board that funds were received from the Tourist Development Council DAC Boards for the East Martello stair repair - $50,000, West Martello Fencing - $45,000.00, and Harry Harris Park equipment repairs - $6,400.00. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval as stated above. TOTAL COST: App. $700.00 INDIRECT COST: BUDGETED: Yes X No DIFFERENTIAL OF LOCAL PREFERENCE: N/A COST TO COUNTY: App. $700.00 SOURCE OF FUNDS: TDC REVENUE PRODUCING: Yes _ No X AMOUNT PER MONTH Year APPROVED BY: County Atty OMB/Purchasing Risk Management DOCUMENTATION: DISPOSITION: Revised 7/09 Included X Not Required AGENDA ITEM # BOARD OF COUNTY COMIVIISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: County Administration Bulk Item: Yes X No _ Department: Project Management Staff Contact Person/Phone #: Jem Barnett X4416 AGENDA ITEM WORDING: Approval of a continuing contract with Bender & Associates Architects for Construction Administration Services for the East Martello Exit Stair project. ITEM BACKGROUND: Bender & Associates Architects designed the exit stairs in 2004 while under a Continuing Contract with the County. The project did not attract any bidders and was cancelled. The stair project is once again going out for Request for Proposal. Bender & Associates Architects is the local expert on East and West Martello Towers, and on Fort Zachery Taylor. The contract includes modifications to the Drawings to meet current Code requirements. PREVIOUS RELEVANT BOCC ACTION: Bender & Associates Architects is on this January 2010 agenda to be approved as one of the new architects under the 2009 continuing contract. In the past, Bender & Associates Architects were also had a Continuing Contract with the county approved by the BOCC on March 20, 2002, and Renewed on March 19, 2003. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval as stated above TOTAL COST: $7,6 00.00 INDIRECT COST: BUDGETED: Yes X No DIFFERENTIAL OF LOCAL PREFERENCE: N/A COST TO COUNTY: $7,600.00 SOURCE OF FUNDS: TDC REVENUE PRODUCING: Yes _ No X AMOUNT PER MONTH Year APPROVED BY: County Atty v/ hasing Risk Management DOCUMENTATION: Included X Not Required DISPOSITION: AGENDA ITEM # Revised 7/09 MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: Bender & Associates Contract # Effective Date: 01/20/10 Expiration Date: Contract Purpose/Description: Construction Administration Services for the East Martello Exit Stair Project under the Continuing contract for Architects/Engineers Contract Manager: Ann Riger X4549 Project Management/Stop #1 (Name) (Ext.) (Department/Stop #) for BOCC meeting on 01/20/10 Agenda Deadline: 01/05/10 CONTRACT COSTS Total Dollar Value of Contract: $ 7,600.00 Current Year Portion: $ 7,600.00 Budgeted? Yes® No ❑ Account Codes: 117-77040-530340-TMO7456X- Grant: $ NIA - ---- County Match: $ N/A - - - - ADDITIONAL COSTS Estimated Ongoing Costs: $ /yr For: (Not included in dollar value above) (eg. maintenance, utilities, janitorial, sa CONTRACT REVIEW Changes Date Out Date In Division Director Needed Yes❑ NoE, evie e Risk Manag ment ��1� I O.M.B./Pur asmg �`�- i t� Yes❑ No Yes❑ No- _ 1 1 Q County Attorney 14* Yes❑ No Comments: Form Revised 2/27/01 MCP CONTRACT FOR PROFESSIONAL SERVICES BETWEEN MONROE COUNTY AND BENDER & ASSOCIATES ARCHITECTS THIS CONTRACT FOR PROFESSIONAL SERVICES BETWEEN OWNER AND ARCHITECT (the "Contract" or "Agreement") is made and entered into by Monroe County ("Owner" or "County"), a political subdivision of the State of Florida, whose address is 1100 Simonton Street, Key West, Florida 33040, its successors and assigns through the Monroe County Board Of County Commissioners ("BOCC"), and Bender & Associates Architects. the ( "Architect")., whose address is 410 Angela St. Key West, FL 33040, its successors and assigns. This contract shall be effective on the date of execution by the last parry signatory to the contract. This contract is for Construction Administration Services for the East Martello Exit Stair Project (Project) located at 3501 South Roosevelt Blvd., Key West, Florida. Scope of Work: The Architect, using his Existing Drawings and Specifications (Documents) for the Project, shall provide Basic Construction Administration services which include but are not limited to: a) Perform Code Check and revise Documents as required for all Permitting by Authorities having Jurisdiction over the Project. b) Prepare Bid Documents c) Conduct Pre -Bid meeting d) Provide Bid Evaluation and recommendation e) Conduct Pre -Construction meeting f) Review Shop Drawings and Submittals g) Perform a minimum of 4 Site Visits, include Field Log h) Review and provide comment on Contractor's Pay Application i) Provide Closeout Documents NOW, THEREFORE, in consideration of the mutual promises, covenants and agreements stated herein, and for other good and valuable consideration, the sufficiency of which hereby acknowledged, the Owner and the Architect agree: FORM OF AGREEMENT ARTICLE 1 1.1 REPRESENTATIONS AND WARRANTIES By executing this Contract, Architect makes the following express representations and warranties to the Owner: 1.1.1 The Architect is a professional qualified to act as the Architect for the Project and is licensed to practice Architecture by all public entities having jurisdiction over the Architect and the Project; 1.1.2 The Architect shall maintain all necessary licenses, permits or other authorizations necessary to act as Architect for the Project until the Architect's duties hereunder have been fully satisfied; 1.1.3 The Architect shall become familiar with the Project site and the local conditions under which the Project is to be constructed, and operated. 1.1.4 The Architect shall prepare/revise all documents required by this Contract including, but not limited to, all project construction plans and specifications, in such a manner that they shall be in conformity and comply with all applicable law, codes and regulations. The Architect warrants that the documents prepared as a part of this Contract will be adequate and sufficient to accomplish the purposes of the Project, therefore, eliminating any additional construction cost due to missing or incorrect design elements in the contract documents; 1.1.5 The Architect assumes full responsibility to the extent allowed by law with regards to his performance and those directly under his employ as Architect of Record. 1.1.6 The Architect's services shall be performed as expeditiously as is consistent with professional skill and care and the orderly progress of the Work. The Architect shall submit, for the Owner's information, a schedule for the performance of the Architect's services which may be adjusted as the Project proceeds if approved by the Owner, and shall include allowances for periods of time required for the Owner's review, and for approval of submission by authorities having jurisdiction over the Project. Time limits established by this schedule and approved by the Owner may not be exceeded by the Architect except for delay caused by events not within the control of the Architect or foreseeable by him. 1.1.7 In providing all services pursuant to this agreement, the Architect shall abide by all statutes, ordinances, rules and regulations pertaining to, or regulating such services, including those now in effect and hereinafter adopted. Any violation of said statutes, ordinances, rules and regulations shall constitute a material breach of this agreement and shall entitle the COUNTY to terminate this agreement immediately upon delivery of written notice of termination to the Architect. ARTICLE II SCOPE OF ARCHITECT'S BASIC SERVICE 2.1 BASIC SERVICES 2.1.1 Architect's Basic Services consist of those described in Paragraphs 2.2 through 2.4, and other services identified as part of Basic Services. 2.1.2 The Existing Design for Construction provided by Architect shall (upon revision if required) include, but is not necessarily be limited to, plans and specifications which describe all systems, elements, details, components, materials, equipment, and other information necessary for construction. The Design for Construction shall be accurate, coordinated and in all respects adequate for construction and shall be in conformity, and comply, with all applicable law, codes, permits, and regulations. Products, equipment and materials specified for use shall be readily available unless written authorization to the contrary is given by the Owner. 2.1.3 These services shall include, but not be limited to: Preparation and completion of the design space requirements and relationships, preparation of Construction Drawings, contract documents for bids, review of bids and recommendation of contract awards, document preparation, administration of contract documents, consultation and on -site inspections during construction, review and recommend approval of contractor pay applications, and presentations to the County Commission. Architect shall arrange his schedule in order to be available to perform the listed services for the project. 2.2 CONSTRUCTION DOCUMENTS 2.2.1 The Architect shall provide Drawings and Specifications for the Owner's review. 2.2.2 The Architect shall assist the Owner in the preparation of the necessary bidding information and bidding forms. 2.2.3 The Architect's construction documents (plans, specifications, etc.) will conform to all written codes and regulations of the federal government, county, state, municipalities, agencies and state departments, in effect at the date of this Agreement, and shall be of such completion as to receive all permits when applied for. If permits are denied, then the Architect will conform the construction documents in such manner to receive permits upon such plans. Work required from the Architect to conform the documents to federal, state, city, county, or agency specifications and permit requirements to allow them to be approved shall be completed at no additional charge or cost to the Owner. 2.3 BIDDING OR NEGOTIATION PHASE 2.3.1 The Architect, following the Owner's approval of the Construction Documents shall assist the Monroe County Project Management Department in review of bids and provide recommendations for selection of contractor for construction. 2.3.2 The Architect shall assist the Monroe County Project Management Department in issuing bidding documents to bidders and conducting pre -bid conferences with prospective bidders. The Architect, with the assistance of the Monroe County Project 3 Management Department, shall respond to questions from bidders, for the issuing of addenda by Project Management. 2.4 CONSTRUCTION PHASE - ADNIINISTRATION OF THE CONSTRUCTION CONTRACT 2.4.1. The Architect's responsibility to provide Basic Services for the Construction Phase under this Agreement commences with the award of the Contract for construction and terminates with the issuance to the Owner of the final Project Certificate for Payment including the submission of all project close-out documents by the Architect and Contractor. The Architect will administer the Owner's contract as provided for in that document. The Architect agrees to perform a project check prior to the end of the warranty period as a part of the contract. The check shall not exceed one working day unless additional time is approved by the Owner. 2.4.2 The Architect shall at all times have access to the Work whenever it is in preparation or progress. 2.4.3 The Architect shall, as contemplated herein and in the Construction Contract, but not otherwise, act on behalf, and be the agent, of the Owner throughout construction of the Project. Instructions, directions, and other appropriate communications from the Owner to the Contractor shall be given to the Contractor by the Architect or Monroe County Project Management Department. 2.4.4 The Architect shall have authority, after notification to the Monroe County Project Management Department to reject Work, which does not conform to the Contract Documents. 2.4.5 The Architect shall review and sign or take other appropriate action on Change Orders and Construction Change Directives prepared by the Monroe County Project Management Department for the Owner's approval and execution in accordance with the Contract Documents. 2.4.6 The Architect shall promptly provide appropriate interpretations as necessary for the proper execution of the work as long as there is no change in Contract price. 2.4.7 The Architect shall require inspection or re -inspection and testing or retesting of the work, in accordance with the provisions of the Construction Contract whenever appropriate. 2.4.8 The Architect, assisted by the Monroe County Project Management Department, shall conduct inspections to determine the dates of Substantial Completion and the date of Final Completion. 2.4.9 The Architect shall interpret and decide matters concerning performance of the Contractor under the requirements of the Contract Documents upon written request. 4 2.4.10 Interpretations and decisions of the Architects shall be consistent with the intent of and reasonably inferable from the Contract Documents and shall be in writing or in the form of drawings and submitted on proper Construction Change Directives. 2.4.11 The Architect shall render written decisions within a reasonable time on all claims, disputes or other matters in question between Owner and Contractor relating to the execution or progress of the Work as provided in the Contract Documents. 2.4.12 Duties, responsibilities and limitations of authority of the Architect shall not be restricted, modified or extended without written agreement of the Owner and Architect. 2.4.13 The Architect shall be a representative of and shall advise and consult with the Owner (1) during construction until final payment to the Contractor is due and (2) as a Basic Service at the Owner's direction from time to time during the correction period described in the Contract for Construction. 2.4.14 The Architect shall transmit to the Owner all manuals, operating instructions, as - built plans, warranties, guarantees and other documents and things required by the Construction Contract and submitted by the Contractor. 2.4.15 The Architect shall not have control over or charge of and shall not be responsible for construction means, methods, techniques, sequences or procedures, or for safety precautions and programs in connection with the Work, since these are solely the Contractor's responsibility under the Contract for Construction The Architect shall not be responsible for the Contractor's schedules or failure to carry out the work in accordance with the contract documents. The Architect shall not have control over or charge of acts or omissions of the Contractor, Subcontractors, or their agents or employees, or of any other persons performing portions of the work. 2.4.16 The Architect shall make available to the Owner any personnel or consultants employed or retained by the Architect for the purpose of reviewing, studying, analyzing or investigating any claims, contentions, allegations, or legal actions relating to, or arising out of, the design or construction of the project. 2.4.17 The Architect shall review as -built drawings furnished by the Contractor and shall advise the Owner that Drawings are or are not adequate and complete. 2.4.18 The Architect shall, without additional compensation, promptly correct any errors, omissions, deficiencies, or conflicts in the work product of the Architect or its consultants, or both. 2.4.19 The Architect must reimburse the Owner for any added costs paid by the Owner during construction that were incurred as the result of any omission, deficiency, or conflict in the work product of the Architect, its consultants, or both. This added expense is defined as the difference in cost from that which the Owner would have paid if the work was included in the bid, and the actual cost presented by the Contractor. ARTICLE III ADDITIONAL SERVICES 3.1 GENERAL 3.1.1 The services described in this Article III are not included in Basic Services. They shall be paid for by the Owner as provided in this agreement as an addition to the compensation paid for the Basic Services but only if approved by the Owner before commencement, and as follows: A. Providing services of Architect for other than the previously listed consulting scope of Project provided as a part of Basic Services. B. Providing any other services not otherwise included in this Agreement or not customarily furnished in accordance with generally accepted consulting practice. C. Providing representation before public bodies in connection with the Project, upon approval by the Owner. 3.2 If Additional Services are required, such as those listed above, the Owner shall issue a letter requesting and describing the requested services to the Architect. The Architect shall respond with fee proposal to perform the requested services. Only after receiving an amendment to the Agreement and a notice to proceed from the Owner proceed with the Additional Services. ARTICLE IV OWNER'S RESPONSIBILITIES 4.1 The Owner shall designate Monroe County Project Management Department to act on the Owner's behalf with respects to the Project. The Owner or Monroe County Project Management Department shall render decisions in a timely manner pertaining to documents submitted by the Architect in order to avoid unreasonable delay in the orderly and sequential progress of the Architect's services. However, the parties acknowledge that due to Monroe County Policy, Ordinances or State or Federal Statute there may be times when a decision must be made by the BOCC, in which case any delay shall not be attributed to Monroe County or its representative. 4.2 Prompt written notice shall be given by the Owner to the Architect if they become aware of any fault or defect in the Project or non-conformance with the Contract Documents. 4.3 The Owner shall furnish the required information and services and shall render approvals and decisions as expeditiously as necessary for the orderly progress of the Architect's services and work of the contractors. 4.4 The Owner's review of any documents prepared by the Architect or its consultants shall be solely for the purpose of determining whether such documents are generally consistent with the Owner's criteria, as and if, modified. No review of such documents shall relieve the Architect of responsibility for the accuracy, adequacy, fitness, suitability or coordination of its work product. ARTICLE V CONSTRUCTION COST 5.1 The Estimated Construction Cost, if requested by Owner, shall be provided by the Architect. ARTICLE VI INDEMNIFICATION AND HOLD HARMLESS 6.1 The Architect covenants and agrees to indemnify and hold harmless Owner/Monroe County and Monroe County Board of County Commissioners from any and all claims for bodily injury, including death, personal injury, and property damage, including property owned by Monroe County, and any other losses, damages, and expenses, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the Architect or its Subcontractor(s), occasioned by the negligence, errors, or other wrongful act or omission of the Architect, their employees, or agents. 6.2 The first ten dollars ($10.00) of remuneration paid to the Architect is for the indemnification provided for above. Should any claims be asserted against the County by virtue of any deficiency or ambiguity in the plans and specifications provided by the Architect, the Architect agrees and warrants that he shall hold the County harmless and shall indemnify him from all losses occurring thereby and shall further defend any claim or action on the County's behalf. 6.3 In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the Architect's failure to purchase or maintain the required insurance, the Architect shall indemnify County from any and all increased expenses resulting from such delays. Should any claims be asserted against County by virtue of any deficiencies or ambiguity in the plans and specifications provide by the Architect the Architect agrees and warrants that Architect hold the County harmless and shall indemnify it from all losses occurring thereby and shall further defend any claims or action on the County's behalf. 6.4 The extent of liability is in no way limited to, reduced or lessened by the insurance requirements contained elsewhere within the Agreement. 6.5 This indemnification shall survive the expiration or early termination of the Agreement. ARTICLE VII 7.1 PERSONNEL The Architect shall assign only qualified personnel to perform any service concerning the project. ARTICLE VIII 8.1 PAYMENT Terms of payment will be governed by state guidelines and/or hourly rates to be approved by the County. Hourly rates are provided in Exhibit A (Architect's Proposal). 8.2 Contract Sum 8.2.1 The Contract Sum as stated in the Agreement and, including authorized adjustments, is the total amount payable by the Owner to the Architect for performance of the Work under the Contract Documents. 8.2,2 The owner shall pay the Architect in current funds for the Architect's performance of the Contract the Contract Sum not to exceed SEVEN THOUSAND, SIX HUNDRED DOLLARS ($7.600.00), subject to additions and deductions as provided in the Contract Documents. 8.3 Applications for Payment 8.3.1 At least fifteen days before the date established for each progress payment, the Architect shall submit to the County an itemized Application for Payment for Work completed in accordance with the percentage of completion of the project. Such application shall be notarized and supported by such data substantiating the Architect's right to payment as the Owner may require, such as copies of requisitions from Subcontractors, and reflecting retainage if provided for elsewhere in the Contract Documents. .1 Such applications may include request for payment on account of changes in the Work which have been properly authorized by an approved Contract Amendment. .2 Such applications may not include requests for payment of amounts the Architect does not intend to pay to a Subcontractor because of a dispute or other reason. 8.3.2 The Architect warrants that title to all Work covered by an Application for Payment will pass to the Owner no later than the time of payment. The Architect further warrants that upon submittal of an Application for Payment all Work for which approval for payment have been previously issued and payments received from the Owner shall, to the best of the Architect's knowledge, information and belief, be free and clear of liens, claims security interests or encumbrances in favor of the Architect, Subcontractors, or other persons or entities making a claim by reason of having provided labor, materials and equipment relating to the Work. All Subcontractors and Sub - subcontractors shall execute an agreement stating that title will so pass, upon their receipt of payment from the Architect. The warranties are for the administrative convenience of the Owner only and do not create an obligation on the part of the Owner to pay directly any unpaid subcontractor. Such persons must seek payment from the Architect. 8.4 Approval for Payment 8.4.1 The Architect will submit his Application for Payment and certify the amounts due on such application. 8.4.2 After the Architect's receipt of the Application for Payment, Project Management will either approve the Application for Payment, with a copy to the Architect, for such amount as Project Management determine is properly due, or notify the Architect in writing of Project Management's reasons for withholding approval in whole or in part as provided in Subparagraph 8.5.1. 8.4.3 The issuance of an Approval for Payment will constitute representations made by Project Management to the Owner, based on its review of the data comprising the Application for Payment submitted by the Architect, that the Work has progressed to the point indicated and that, to the best of Project Management's knowledge, information and belief, quality of the Work is in accordance with the Contract Documents. The foregoing representations are subject to an evaluation of the Work for conformance with the Contract Documents and minor deviations from the Contract Documents correctable prior to completion and to specific qualifications expressed by Project Management. The issuance of an Approval for Payment will further constitute a representation that the Architect is entitled to payment in the amount approved. However, the issuance of an Approval for Payment will not be a representation that Project Management has (1) made exhaustive or continuous inspections to check the quality or quantity of the Work, (2) reviewed the Architect's means, methods, techniques, sequences or procedures, (3) reviewed copies of requisitions received from Subcontractors and material suppliers and other data requested by the Owner to substantiate the Architect's right to payment or (4) made examination to ascertain how or for what purpose the Architect has used money previously paid on account of the Contract Sum. 8.5 Decisions to Withhold Approval 8.5.1 Project Management may decline to approve an Application for Payment if, in his opinion, the application is not adequately supported. If the Architect and Project Management cannot agree on a revised amount, Project Management shall process the Application for the amount it deems appropriate. Project Management may also decline to approve any Application for Payment because of subsequently discovered evidence or subsequent inspections. It may nullify, in whole or part, any approval previously made to such extent as may be necessary in its opinion because of: (1) defective Work not remedied; (2) third parry claims filed or reasonable evidence indicating probable filing of such claims; (3) failure of the Architect to make payments properly to Subcontractors or for labor, materials, or equipment; (4) reasonable evidence that the Work cannot be completed for the unpaid balance of the Contract Sum; (5) damage to Project Management, the Owner; (6) reasonable evidence that the Work will not be completed within the contract time; (7) persistent failure to carry out the Work in accordance with the Contract Documents. No payment shall be made to the Architect until certificates of insurance or other evidence of compliance by the Architect, with all the insurance requirements of this Contract, have been filed with the Owner. 8.5.2 When the above reasons for withholding approval are removed, approval will be made for amounts previously withheld. 8.6 Progress Payments 8.6.1 After Project Management has issued an Approval for Payment, the Owner shall make payment in the manner and within the time provided in the Contract Documents, and shall so notify Project Management. From the total of the amount determined to be payable on a progress payment, a retainage in accordance with the Florida Local Government Prompt Payment Act, Chapter 218, Florida Statutes will be deducted and retained by the Owner until the final payment is made. The balance of the amount payable, less all previous payments, shall be approved for payment. .1 It is understood and agreed that the Architect shall not be entitled to demand or receive progress payment based on quantities of Work in excess of those provided in the proposal or covered by approved contract amendments, except when such excess quantities have been determined by Project Management to be a part of the final quantity for the item of Work in question. .2 No progress payment shall bind the Owner to the acceptance of any Work completed, as to quality or quantity. All progress payments are subject to correction at the time of final payments. 8.6.2 The Architect shall promptly pay each Subcontractor, upon receipt of payment from the Owner, out of the amount paid to the Architect on account of such Subcontractor's portion of the Work, the amount to which said Subcontractor is entitled, reflecting percentages actually retained from payments to the Architect on account of such Subcontractor's portion of the Work. The Architect shall, by appropriate agreement with each Subcontractor, require each Subcontractor to make payments to Sub - subcontractors in similar manner. 8.6.3 Project Management will, on request, furnish to a Subcontractor, if practicable, information regarding percentages of completion or amounts applied for by the Architect and action taken thereon by the Owner on account of portions of the Work done by such Subcontractor. 8.6.4 Neither the Owner nor Project Management shall have an obligation to pay, or to see to, the payment of money to a Subcontractor except as may otherwise be required by law. 8.6.5 Payment to material suppliers (if applicable) shall be treated in a manner similar to that provided in Subparagraphs 9.6.2, 9.6.3 and 9.6.4. 8.6.6 A progress payment by the Owner shall not constitute acceptance of Work not in accordance with the Contract Documents. 8.6.7 All work covered by partial payments made shall thereupon become the sole property of the Owner, and by this provision shall not be construed as relieving the Architect from the sole responsibility for the Work upon which payments have been 10 made or as a waiver of the right of the Owner or Project Management to require the fulfillment of all the terms of the Contract. 8.6.8 Except in case of bona fide disputes, or where the Architect has some other justifiable reason for delay, the Architect shall pay to each of his Subcontractors, not later than the end of the calendar month in which each payment is made to the Architect, the representative amount allowed the Architect on account of the Work performed by the Subcontractor. The Architect shall, by an appropriate agreement with each Subcontractor, also require each Subcontractor to make payments to his Sub - subcontractors in a similar manner. 8.7 Substantial Completion 8.7.1 Substantial Completion is the stage in the progress of the Work when the Work or designated portion thereof is sufficiently complete in accordance with the Contract Documents so the Owner can utilize the Work for its intended use. 8.7.2 Upon Substantial Completion of the Work and certification by Project Management, the Owner shall make payment to the Architect, reflecting adjustment in retainage, if any, for such Work or portion thereof as provided in the Contract Documents. 8.8 Final Completion and Final Payment 8.8.1 Upon completion of the Work, the Architect shall forward to Project Management a written Notice that the Work is complete and shall forward to Project Management a final Architect's Application for Payment. Upon receipt, Project Management will promptly review the work and when Project Management, finds the Work acceptable under the Contract Documents and the Contract fully performed, Project Management will promptly issue a final Approval for Payment stating that to the best of its knowledge, information and belief, and on the basis of its observations and review, the Work has been completed in accordance with terms and conditions of the Contract Documents and that the entire balance found to be due the Architect and noted in said final Approval is due and payable. Project Management's final Approval for Payment will constitute a further representation that conditions listed in Subparagraph 8.8.2 as precedent to the Architect's being entitled to final payment have been fulfilled. 8.8.2 Neither final payment nor any remaining retained percentage shall become due until the Architect submits to Project Management (1) an affidavit that payrolls, bills for materials and equipment, and other indebtedness connected with the Work for which the Owner or the Owner's property might be responsible or encumbered (less amounts withheld by Owner) have been paid or otherwise satisfied, (2), if required by the Owner, other data establishing payment or satisfaction of obligations, such as receipts, releases and waivers of liens, claims, security interests or encumbrances arising out of the Contract. 8.8.3 Acceptance of final payment by the Architect shall constitute a waiver of claims by that payee except those previously made in writing and identified by that payee as unsettled at the time of final Application for Payment. 8.9 Payment of Subcontractors 8.9.1 Any requirement of this Article 8 that the Architect furnish proof to the Owner or Project Management that the Architects subcontractors have been paid is for the protection and convenience of the Owner only. Unpaid subcontractors may only seek payment from the Architect. The Architect must insert this paragraph 8.9 in all its contracts with subcontractors. 8.10 REIMBURSABLE EXPENSES 8.10.1 Reimbursable Expenses shall be negotiated and agreed to prior to award of the contract, but only to the extent and the amounts authorized by Section 11-2.061, Florida Statutes; however prior to incurring any expense written approval for any reimbursable expense must be obtained from the Owner. 8.11 BUDGET 8.11.1 The Architect may not be entitled to receive, and the County is not obligated to pay, any fees or expenses in excess of the amount budgeted for this Agreement in each fiscal year (October 1- September 30) by County's Board of County Commissioners. The budgeted amount may only be modified by an affirmative act of the County's Board of County Commissioners. 8.12 AVAILABILITY OF FUNDS. 8.12.1 If funding cannot be obtained or cannot be continued at a level sufficient to allow for continued reimbursement of expenditures for services specified in this Contract, the agreement may be terminated immediately at the option of the County by written notice of termination delivered to the Architect. The County shall not be obligated to pay for any services provided by the Architect after the Architect has received written notice of termination, unless otherwise required by law. 8.12.2 Monroe County's performance and obligation to pay under this contract is contingent upon an annual appropriation by the Board of County Commissioners and the approval of the Board members at the time of contract initiation and its duration. ARTICLE IX 9.1 APPLICABLE LAW This contract is governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and performed entirely in the State. Venue for any mediation, dispute conferences or litigation arising under this contract must be in Monroe County, Florida. The Parties waive their rights to a trial by jury. ARTICLE X 12 10.1 OWNERSHIP OF THE DESIGN FOR CONSTRUCTION 10.1.1 The Drawings, Specifications and other documents prepared by the Architect for this project are instruments of the Architect's service for use solely with respect to this project, and the Architect shall be deemed the author of these documents and shall retain all common law, statutory and other reserved rights, including reproducible copies, of the Architect's Drawings, Specifications and other documents shall not be used by the Owner or others on other projects except by agreement in writing and with appropriate compensation to the Architect. 10.1.2 Submission or distribution of documents to meet official regulatory requirements or for similar purposes in connection with the project is not to be construed as publication in derogation of the Architect's reserved rights. 10.1.3 The As -Built drawings and specifications maybe furnished by the Architect to the Owner in electronic format in addition to the original As -Built documents. 10.1.4 The Owner may utilize the construction documents, As -Built documents, etc. as required for reference on any necessary future work on the site, and for constructing, using and maintaining the Project. ARTICLE XI 11.1 SUCCESSORS AND ASSIGNS The Architect shall not assign its right hereunder, excepting its right to payment, nor shall it delegate any of its duties hereunder without the written consent of the Owner. The Owner and Architect, respectively, bind themselves, their partners, successors, assigns and legal representatives to the other party to this Agreement and to the partners, successors, assigns and legal representatives of such other party with respect to all covenants of this Agreement. ARTICLE XII NO THIRD PARTY BENEFICIARIES AND INDEPENDENT CONTRACTOR RELATIONSHIP 12.1 NO THIRD PARTY BENEFICIARIES Nothing contained herein shall create any relationship, contractual or otherwise, between the parties which creates or gives rise to any rights in favor of, any third party. 12.2 INDEPENDENT CONTRACTOR RELATIONSHIP The Architect is and shall be an independent contractor in the performance of all work, services, and activities under this Agreement and is not an employee, agent or servant of 13 the County. The Architect shall exercise control over the means and manner in which it and its employees perform the work and in all respects the Architect's relationship and the relationship of its employees to the County shall be that of an independent contractor and not as employees or agents of the County. The Architect does not have the power or authority to bind the County in any promise, agreement or representation other than such power and authority that is specifically provided for in this Agreement. ARTICLE XIII 13.1 INSURANCE 13.1.1 The Architect shall obtain insurance as specified and maintain the required insurance at all times that this Agreement is in effect. Professional Liability Insurance shall also be maintained as specified. In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the Architect's failure to purchase or maintain the required insurance, the Architect shall indemnify the County from any and all increased expenses resulting from such delay. 13.1.2 The coverage provided herein shall be provided by an insurer with an A.M. Best Rating of VI or better, that is licensed to do business in the State of Florida and that has an agent for service of process within the State of Florida. The insurance certificate shall contain an endorsement providing thirty (30) days notice to the County prior to any cancellation of said coverage. Said coverage shall be written by an insurer acceptable to the County and shall be in a form acceptable to the County. 13.1.3 Architect shall obtain and maintain the following policies: A. Workers' Compensation insurance as required by the State of Florida. B. Employers Liability Insurance with limits of $100,000 per Accident, $500,000 Disease, policy limits, $100,000 Disease each employee. C. Comprehensive business automobile and vehicle liability insurance covering claims for injuries to members of the public and/or damages to property of others arising from use of motor vehicles, including onsite and offsite operations, and owned, hired or non -owned vehicles, with One Hundred Thousand Dollars ($100,000.00) combined single limit and One Hundred Thousand Dollars ($100,000.00) annual aggregate. D. Commercial general liability covering claims for injuries to members of the public or damage to property of others arising out of any covered act or omission of the Architect or any of its employees, agents or subcontractors or subconsultants, including Premises and/or Operations, Independent Contractors; Broad Form Property Damage and a Contractual Liability Endorsement with Five Hundred Thousand Dollars ($500,000.00) per occurrence and annual aggregate. 14 E. Professional liability insurance of Five Hundred Thousand Dollars ($500,000.00) per claim and One Million Dollars ($1,000,000.00) annual aggregate. If the policy is a "claims made" policy, Architect shall maintain coverage or purchase a `'tail" to cover claims made after completion of the project to cover the statutory time limits in Chapter 95 of the Florida Statutes. F. County shall be named as an additional insured with respect to Architect's liabilities hereunder in insurance coverage identified in Paragraphs C and D. G. Architect shall require its subconsultants to be adequately insured at least to the limits prescribed above, and to any increased limits of Architect if so required by County during the term of this Agreement. County will not pay for increased limits of insurance for subconsultants. H. Architect shall provide to the County certificates of insurance or a copy of all insurance policies including those naming the County as an additional insured by including any subsection thereunder. The County reserves the right to require a certified copy of such policies upon request. ARTICLE XIV TERMINATION 14.1 Either party hereto may terminate this contract prior to expiration upon giving seven (7) days written notice to the other in the event that such other party negligently or for any reason substantially fails to perform its material obligations set forth herein. No termination expenses shall be paid by the Owner after the date of notice of termination. 14.2 The Owner may terminate this Contract without cause by giving the other party sixty (60) days written notice of its intention to do so. Termination expenses shall include expenses available under the contract through the date on the notice of termination and shall not include any additional services required in order to stop performance of services, unless agreed to in writing by the County and subject to audit for the purpose of verification. ARTICLE XV ENTIRE AGREEMENT 15.1 This contract constitutes of the form of agreement, the exhibits that are attached and made a part of the contract, and the documents referred to in the form of agreement as a part of this contract. In the event any conflict between any of those contract documents, the one imposing the greater burden on the Architect will control. 15.2 A person or affiliate who has been place on the convicted vendor list following a conviction for public entity crime may not submit a bid on contract to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the property to public entity, may not be awarded or perform work as a contractor, 15 supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017 of the Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list. ARTICLE XVI DISPUTE RESOLUTION 16.1 County and Architect agree that all disputes and disagreements shall first be attempted to be resolved by meet and confer sessions between representatives of each of the parties. If no resolution can be agreed upon within 30 days after the first meet and confer session, the issue or issues shall be submitted to mediation before a mediator mutually agreed to by the parties. The cost of mediation shall be shared equally. The parties agree that mediation is a condition precedent to the institution of legal or equitable proceedings by either party. Request for mediation shall be in writing and sent to the other party. The parties shall agree on a mediator to hear the dispute. 16.2 Mediation shall be held in Monroe County Florida in a location in Key West; the location may be moved only by mutual agreement of the parties. 16.3 Agreements reached in mediation shall be reduced to writing and signed by the representative of each party; however agreements must be approved by the Board of County Commissioners to be enforceable. Agreements reached in mediation shall be enforceable as settlement agreements in any court having jurisdiction in Monroe County. 16.4 Nothing in this Agreement shall be construed to interfere with a subsequent order from any court of competent jurisdiction ordering the parties to enter into mediation after institution of legal or equitable proceedings. 16.5 Arbitration is specifically rejected by the parties as a method of settling disputes which arise under this agreement; neither of the parties shall be compelled by the other to arbitrate a dispute which may arise under this Agreement. ARTICLE XVII Additional Requirements 17.1 The following items are part of this contract: a} Architect shall maintain all books, records, and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. Each party to this Agreement or their authorized representatives shall have reasonable and timely access to such records of each other party to this Agreement for public records purposes during the term of the Agreement and for four years following the termination of this Agreement. If an auditor employed by the County or Clerk determines that monies paid to Architect pursuant to this Agreement were spent for purposes not authorized by this Agreement, the Architect shall repay the 16 monies together with interest calculated pursuant to F.S. Sec. 55.03, running from the date the monies were paid to County. b) Governing Law, Venue, Interpretation, Costs, and Fees: This Agreement shall be governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Agreement, the County and Architect agree that venue will lie in the appropriate court or before the appropriate administrative body in Monroe County, Florida. The Parties waive their rights to a trial by jury. The County and Architect agree that, in the event of conflicting interpretations of the terms or a term of this Agreement by or between any of them the issue shall be submitted to mediation prior to the institution of any other administrative or legal proceeding, pursuant to Section XVI of this agreement. c) Severability. If any term, covenant, condition or provision of this Agreement (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Agreement, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Agreement shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Agreement would prevent the accomplishment of the original intent of this Agreement. The County and Architect agree to reform the Agreement to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. d) Attorney's Fees and Costs. The County and Architect agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees and court costs expenses, as an award against the non -prevailing party, and shall include attorney's fees and courts costs expenses in appellate proceedings. e) Binding Effect. The terms, covenants, conditions, and provisions of this Agreement shall bind and inure to the benefit of the County and Architect and their respective legal representatives, successors, and assigns. f) Authority. Each party represents and warrants to the other that the execution, delivery and performance of this Agreement have been duly authorized by all necessary County and corporate action, as required by law. Each party agrees that it has had ample opportunity to submit this Contract to legal counsel of its choice and enters into this agreement freely, voluntarily and with advise of counsel. g) Claims for Federal or State Aid. Architect and County agree that each shall be, and is, empowered to apply for, seek, and obtain federal and state funds to 17 further the purpose of this Agreement; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission. h) Adjudication of Disputes or Disagreements. County and Architect agree that all disputes and disagreements shall be attempted to be resolved under Section XVI of this agreement. If no resolution can be agreed upon within 30 days after mediation, then any party shall have the right to seek such relief or remedy as may be provided by this Agreement or by Florida law. i) Cooperation. In the event any administrative or legal proceeding is instituted against either party relating to the formation, execution, performance, or breach of this Agreement, County and Architect agree to participate, to the extent required by the other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Agreement or provision of the services under this Agreement. County and Architect specifically agree that no party to this Agreement shall be required to enter into any arbitration proceedings related to this Agreement. D Nondiscrimination. Architect and County agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent jurisdiction that discrimination has occurred, this Agreement automatically terminates without any further action on the part of any party, effective the date of the court order. Architect or County agree to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss. 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975, as amender] (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91- 616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patent records; 8) Title VIII of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. I201 Note), as maybe amended from time to time, relating to nondiscrimination on the basis of disability; 10) Any other nondiscrimination provisions in any Federal or state statutes which may apply to the parties to, or the subject matter of, this Agreement. k) Covenant of No Interest. Architect and County covenant that neither presently has any interest, and shall not acquire any interest, which would conflict in any 18 manner or degree with its performance under this Agreement, and that only interest of each is to perform and receive benefits as recited in this Agreement. 1) Code of Ethics. County agrees that officers and employees of the County recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112.313, Florida Statutes, regarding, but not limited to, solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. m) No Solicitation/Payment. The Architect and County warrant that, in respect to itself, it has neither employed nor retained any company or person, other than a bona fide employee working solely for it, to solicit or secure this Agreement and that it has not paid or agreed to pay any person, company, corporation, individual, or firm, other than a bona fide employee working solely for it, any fee, commission, percentage, gift, or other consideration contingent upon or resulting from the award or making of this Agreement. For the breach or violation of the provision, the Architect agrees that the County shall have the right to terminate this Agreement without liability and, at its discretion, to offset from monies owed, or otherwise recover, the full amount of such fee, commission, percentage, gift, or consideration. n) Public Access. The Architect and County shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the Architect and County in conjunction with this Agreement; and the Architect shall have the right to unilaterally cancel this Agreement upon violation of this provision by County. o) Non -Waiver of Immunity. Notwithstanding the provisions of Sec. 286.28, Florida Statutes, the participation of the Architect and the County in this Agreement and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government liability insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any contract entered into by the County be required to contain any provision for waiver. p) Privileges and Immunities. All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the County, when performing their respective functions under this Agreement within the territorial limits of the County shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the County. q) Legal Obligations and Responsibilities: Non -Delegation of Constitutional or Statutory Duties. This Agreement is not intended to, nor shall it be construed as. relieving any participating entity from any obligation or responsibility imposed upon the 19 entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the County, except to the extent permitted by the Florida constitution, state statute, and case law. r) Non -Reliance by Non -Parties. No person or entity shall be entitled to rely upon the terms, or any of them, of this Agreement to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the Architect and the County agree that neither the Architect nor the County or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity or entities, have entitlements or benefits under this Agreement separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Agreement. s) Attestations. Architect agrees to execute such documents as the County may reasonably require including a Public Entity Crime Statement, an Ethics Statement, and a Drug -Free Workplace Statement. t) No Personal Liability. No covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Agreement or be subject to any personal liability or accountability by reason of the execution of this Agreement. u) Americans with Disabilities Act of 1990 (ADA). The Architect will comply with all the requirements as imposed by the ADA, the regulations of the Federal government issued thereunder, and the assurance by the Architect pursuant thereto. v) Disadvantaged Business Enterprise (DBE) Policy And Obligation. It is the policy of the County that DBE's, as defined in C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole or in part with County funds under this Agreement. The DBE requirements of applicable federal and state laws and regulations apply to this Agreement. The County and its Architect agree to ensure that DBE's have the opportunity to participate in the performance of the Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with applicable federal and state laws and regulations to ensure that DBE's have the opportunity to compete and perform contracts. The County and the Architect and subcontractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts, entered pursuant to this Agreement. w) Execution in Counterparts. This Agreement may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken 20 together shall constitute one and the same instrument and any of the parties hereto may execute this Agreement by singing any such counterpart. x) Section Headings. Section headings have been inserted in this Agreement as a matter of convenience of reference only, and it is agreed that such section headings are not a part of this Agreement and will not be used in the interpretation of any provision of this Agreement. IN WITNESS WHEREOF, each party caused this Agreement to be executed by its duly authorized representative on the day and year first above written. The owner shall pay the Architect in current funds for the Architect's performance of the Contract the Contract Sum of M Dollars ($ ), subject to additions and deductions as provided in the Contract Documents. This Agreement is executed in at least four original copies of which one is to be delivered to the Architect, one to Project Management for use in the administration of the Contract, and the remainder to the Owner. Execution by the Architect must be by a person with authority to bind the entity. SIGNATURE OF THE PERSON EXECUTING THE DOCUMENT MUST BE NOTARIZED AND WITNESSED BY ANOTHER OFFICER OF THE ENTITY. (SEAL) Attest: DANNY L. KOLHAGE, Clerk By: Deputy Clerk Date (SEAL) Attest: By: Print Name: LLJVIo J c,yLA Y Title: A�SOCIAT6- ,.<< COUNTY ATTORNEY APPROVED AS TQ E ,i NATILEENE W. CASSEL ASSISTANT COUNTY ATT09NEY Date __ Az - a �11 p 21 BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA By Mayor/Chairman Architect By Print name: r Date: L"�',i And: By: /Yvl Print Name :12 e (� Title: UtC L- f E S r :T)EN'i Date: Date: STATE OF FLORIDA COUNTY OF 0 �n rG � On this�ay of 2002before me ,the undersigned notary public, Personally appeared _IS_ t= R r I!, a P V e if--, known to me to be the Person whose name is subscribed above erwhv-pradmmd AsidspWeatien, and acknowledged that hefshe is the person who executed the above contract with Monroe County for the CONSTRUCTION ADMINISTRATION for the EAST MARTELLO EXIT STAIR PROJECT for the purposes therein urrposestherein contained. ''f�'O Daina D Katubi Notary Polio'c-1 Commission # DD495411 �/ c� irlcz. q � moo" Expires February 5. 201 Print Name oa�° BorWdTmvFam tr5urance aoaaasmr� My commission expires: Seal END OF AGREEMENT 22 INSURANCE REQUIREMENTS AND INDENINIFICATION STATEMENT Insurance Requirement Worker's Compensation Employer's Liability General Liability Vehicle Liability Architects Errors and Omissions Liability Required Limits Statutory Limits $100,000/$500,000/$100,000 $100,000 Combined Single Limit $100,000 Combined Single Limit per Occurrence/$1,000,000 Aggregate $500,000 per occurrence/ $1,000,000 Aggregate 1DEMNIFICATION AND HOLD HARMLESS FOR CONSULTANTS AND SUBCONSULTANTS The Architect/Consultant covenants and agrees to indemnify, hold harmless and defend Monroe County, its commissioners, officers, employees, agents and servants from any and all claims for bodily injury, including death, personal injury, and property damage, including property owned by Monroe County, and any other losses, damages, and expenses of any kind, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the Architect or Consultant or any of its Subcontractor(s) in any tier, occasioned by the negligence, errors, or other wrongful act or omission of the Architect/Consultant, including its Subcontractor(s) in any tier, their officers, employees, servants or agents. In the event that the completion of the project (to include the work of others) is delayed or suspended as a result of the Architect/Consultant's failure to purchase or maintain the required insurance, the Architect/Consultant shall indemnify the County from any and all increased expenses resulting from such delay. Should any claims be asserted against the COUNTY by virtue of any deficiency or ambiguity in the plans and specifications provided by the Architect/Consultant, the Architect/Consultant agrees and warrants that Architect/Consultant shall hold the County harmless and shall indemnify it from all losses occurring thereby and shall further defend any claim or action on the County's behalf. The first ten dollars ($10.00) of remuneration paid to the Architect/Consultant is consideration for the indemnification provided for above. 23 The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. This indemnification shall survive the expiration or earlier termination of the Agreement. RESPONDENT'S STATEMENT I understand the insurance that will be mandatory if awarded the contract and will comply in full with all the requirements. .fir" - 70=�� Respondent Signature 24 INSURANCE AGENT'S STATEMENT I have reviewed the above requirements with the Architect named below. The following deductibles apply to the corresponding policy. POLICY DEDUCTIBLES GENERAL LIABILITY NONE WORKERS COMPENSATION NONE PROFESSIONAL LIABILITY $20,000 Liability policies are X Occurrence Claims Ma e Insurance Agency Signature Print Name: Leigh W. McCreary CMI INTERNATIONAL, INC. University Place 5220 So. University Dr., Suite 203 Davie, Florida 33328 9-1 ja�?� CERTIFICATE OF LIABILITY INSURANCE OP ID IG DATE(MM/DD/YYYY) BENDERD 12 16 09 PRODUCER THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION CMI INTERNATIONAL, INC. ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE UNIVERSITY PLACE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR 5220 S. UNIVERSITY DR, C-203 ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. DAVIE FL 33328 Phone:954-680-0900 Fax:954-680-5600 INSURERS AFFORDING COVERAGE NAIC# INSURED INSURER A EVANSTON INSURANCE COMPANY INSURER B: 21 ORIDA RETAIL FEDERATION Bender & Associates Architects INSURER WISTZ N WORM ixavaa CM CO. 410 Angela Street INSURER D: Key West FL 33040 INSURER E: COVERAGES THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. LTR NSR TYPE OF INSURANCE POLICY NUMBER DY EFFKME ATE DATE MM/DD LIMITS GENERAL LIABILITY EACH OCCURRENCE_ $ 1, GOO, OOO C X X COMMERCIAL GENERAL LIABILITY CLAIMS MADE OCCUR NPP1134934 10/25/09 10/25/10 PREMISES Ea_rence $ 50,000 MED EXP (Any one person) $ 5 , 0 0 0 PERSONAL&ADVINJURY $ 1, 000, 000 GENERAL AGGREGATE GENT AGGREGATE LIMIT APPLIES PER: POLICY PRO- LOC JECT PRODUCTS -COMP/OP AGG $ Excluded AUTOMOBILE LIABILITY ANY AUTO COMBINED SINGLE LIMIT (Ea accident) $ ALL OWNED AUTOS SCHEDULED AUTOS x �M6 ILY Per per INJURY (Per Person) a HIRED AUTOS j� NON -OWNED AUTOS BODILY INJURY (Per accident) $ PROPERTY DAMAGE (Per accident) $ GARAGE LIABILITY AUTO ONLY - EA ACCIDENT $ HANY AUTO OTHER THAN EA ACC $ AUTO ONLY: AGG $ EXCESS / UMBRELLA UABIUTY OCCUR CLAIMS MADE EACH OCCURRENCE $ AGGREGATE $ $ DEDUCTIBLE $ RETENTION $ WORKERS COMPENSATION $ B AND EMPLOYERS' LIABILITY Y / N ANY PROPRIETOR/PARTNER/EXECUT OFFICER/MEMBER EXCLUDED? u 0520150560000 01/01/09 12/31/09 X TORY LIMITS ER E.L. EACH ACCIDENT $ j 00, O00 In be and Des,(Mandescribe Des, describe under SPECIALPROVISIONSbelow OTHER E.L. DISEASE - EA EMPLOYE $ 10 0 , 0 0 0 E.L. DISEASE - POLICY LIMIT $500,000 A necromw.0 Professional Liabilit na nnes.......e,,...,.-....... ...-...-.--.-.._. AE-816840 .._._.._ 02/10/09 02/10/10 Ea. Claim $1,000,000 Aggregate $1, 000, 000 Jr GNwL rRV V1.7R.7P13 PROFESSIONAL LIABILITY POLICY IS A CLAIMS MADE POLICY. COVERAGE APPLIES ONLY TO THOSE CLAIMS WHICH FIRST OCCUR AND ARE FIRST REPORTED TO THE COMPANY DURING THE POLICY TERM. RETROACTIVE DATE 1/5/93. CERTIFICATE HOLDER COUNTY OF MONROE PROJECT MANAGEMENT 1100 SIMONTON STREET ROOM 2216 KEY WEST FL 33040 MONROEC CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATIO DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL 30 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO 80 SHALL IMPOSE NO OBUGATION OR LIABILITY OF ANY KIND UPON THE INSURER, ITS AGENTS OR REPRESENTATIVES. AUTHORIZED REPRESENTATIVE Leigh W. McCreary n ACORD 25 (2009/01) 01988-2009 AC D CORPORATION. All rlghts reserved. The ACORD name and logo are registered marks of ACORD ACURD_ CERTIFICATE OF LIABILITY INSURANCE Op1D BEN 1 DATE(MMIDDIYYYY) 01 04 10 PRODUCER The Fullers, Inc 1432 Kennedy Drive Key West FL 33040 Phones 305-294-6677 Faxs305-292-4641 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. INSURERS AFFORDING COVERAGE NAICN INSURED Bert L. Bander 410 Angela St. Rey West FL 33040 INSURER A: Progressive Commercial Div INSURER 8: INSURERC: INSURER0: INSURER E COVERAGES THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. LTR NSR TYPE OF INSURANCE POLICY NUMBER DA TE M LIMITS GENERAL LIABILITY COMMERCIAL GENERAL LIABILITY CLAIMS MADE OCCUR EACH OCCURRENCElTU i MEN I ED' PREMISES Ea o0C1YenL'e t '-- MED EXP (My one person) $ PERSONAL 6 ADV INJURY S GENERAL AGGREGATE S GEWL AGGREGATE LIMIT APPLIES PER POLICY jEa LOC PRODUCTS - COMPIOP AGO S A X AUTOMOBILE LIABILITY ANY AUTO ALL OWNED AUTOS X SCHEDULED AUTOS HIRED AUTOS NON -OWNED AUTOS 04557974-9 06/27/09 06/27/10 COMBINED SINGLE LIMIT (Essc6d6I) i 1000000 BODILY INJURY (Par person) = BODILY INJURY (PeraeoldeM) _ PROPERTY DAMAGE (Per*cad&*) S GARAGE LIABILITY ANY AUTO C" AUTO ONLY - EA ACCIDENT $ OTHER THAN EA ACC AUTO ONLY: AGG S _ EXCESS/UMBRELLA LL NUTY OCCUR CLAIMS MADE DEDUCTIBLE RETENTION = 1 1 EACH OCCURRENCE S AGGREGATE f s _ S WORKERS COMPENSATION AND EMPLOYERS' LIABILITY ANY PROPRIETOR/PARTNER/EXECUTNE OFFICER/MEMBER EXCLUDED? rc yes, deWbe under SPECIAL PROVISIONS below I T RY L S ER EL EACH ACCIDENT i E.L. DISEASE - EA EMPLOYE S E.L. DISEASE - POLICY LIMIT $ OTHER DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES I EXCLUSIONS ADDED BY ENDOR30AENT / SPECIAL PROVISIONS CERTIFICATE HOLDER CANCELLATION MONRCON SHOULD ANY OF THE ABOVE DESCRIBED POLK= BE CANCELLED BEFORE THE EXPIRATIO DATE THEREOF, THE ISSUING INSURER VALL ENDEAVOR TO MAIL 10 DAYS WRITTEN Monroe County Board of County NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO $O SHALL Commissioners IMPOSE NO OBLIGATION OR L"UTY OF ANY KIND UPON THE INSURER. ITS AGENTS OR 1100 Simonton Street Itm 268 Rey West FL 33040 REPRESENTATIVES. AUTHORRED REPRESENTATW 25 (2001/08) SECTION SIX COUNTY RESPONSE FORMS RESPOND TO: MONROE COUNTY BOARD OF COUNTY COMMISSIONERS c/o PURCHASING DEPARTMENT GATO BUILDING, ROOM 1-213 1100 SIMONTON STREET KEY WEST, FLORIDA 33040 I acknowledge receipt of Addenda No.(s) None I have included: o The Response Form x o Lobbying and Conflict of Interest Clause x o Non -Collusion Affidavit x o Drug Free Workplace Form x o Respondent's Insurance and Indemnification Statement x o Insurance Agent's Statement x o Professional and Occupational Licenses x I have included a current copy of the following professional and occupational licenses: State of Florida ArchitectAR0011082; Cor orate AA002022 Occupational: City of Key West 0800009562 Monroe County AR 0011082 (Check mark items above, as a reminder that they are included.) Mailing Address: 410 Angela Street, Key West, FL 33040 Telephone: 3 0 5- 2 9 6 -13 4 7 Fax: 305-296-2727 Date: December 22, 2009 --------------- Signed: WitnessD. dZ2�1 Bert Bender (Name) President (Title) 26 (Seal) DRUG -FREE WORKPLACE FORM The undersigned vendor in accordance with Florida Statute 287.087 hereby certifies that: BENDER & ASSOCIATES ARCHITECTS, P.A. (Name of Business) 1. Publish a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace and specifying the actions that will be taken against employees for violations of such prohibition. 2. Inform employees about the dangers of drug abuse in the workplace, the business's policy of maintaining a drug -free workplace, any available drug counseling, rehabilitation, and employee assistance programs, and the penalties that may be imposed upon employees for drug abuse violations. 3. Give each employee engaged in providing the commodities or contractual services that are under bid a copy of the statement specified in subsection (1). 4. In the statement specified in subsection (1), notify the employees that, as a condition of working on the commodities or contractual services that are under bid, the employee will abide by the terms of the statement and will notify the employer of any conviction of, or plea of guilty or nolo contendere to, any violation of Chapter 893 (Florida Statutes) or of any controlled substance law of the United States or any state, for a violation occurring in the workplace no later than five (5) days after such conviction. 5. Impose a sanction on, or require the satisfactory participation in a drug abuse assistance or rehabilitation program if such is available in the employee's community, or any employee who is so convicted. 6. Make a good faith effort to continue to maintain a drug -free workplace through implementation of this section. As the person authorized to sign the statement, I certify that this firm complies fully with the above requirements. Respondent's Signature DECEMBER 22, 2009 Date 28 LOBBYING AND CONFLICT OF INTEREST CLAUSE SWORN STATEMENT UNDER ORDINANCE NO.010-1990 MONROE COUNTY, FLORIDA ETHICS CLAUSE It BENDER & ASSOCIATES ARCHITECTS, P.A. (Company) warrants that he/it has not employed, retained or otherwise had act on his/its behalf any former County officer or employee in violation of Section 2 of Ordinance No. 0 10- 1990 or any County officer or employee in violation of Section 3 of Ordinance No. 010-1990. For breach or violation of this provision the County may, in its discretion, terminate this Agreement without liability and may also, in its discretion, deduct from the Agreement or purchase price, or otherwise recover, the full amount of any fee, commission, percentage, gift, or consideration paid to the former County officer or employee". , A 0- (Signa Date: DEBEMBER 22, 20090 STATE OF: FLORIDA COUNTY OF: MONROE Subscribed and sworn to (or affirmed) before me on DEBEMBER 22, 2009 (date) by BERT BENDER personally known tome oMU4' i MM xxizl�cs type of identification) 81 Daina D Katubi Commission # DD49541, `4 o` Expires February 5, 2010 OF �.BoWed Troy Fam los+xarzE w MC,135-7_', 27 (name of affiant). HeAW is NOTARY PUBLIC My commission expires: DRUG -FREE WORKPLACE FORM The undersigned vendor in accordance with Florida Statute 287.087 hereby certifies that: BENDER & ASSOCIATES ARCHITECTS, P.A. (Name of Business) 1. Publish a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace and specifying the actions that will be taken against employees for violations of such prohibition. 2. Inform employees about the dangers of drug abuse in the workplace, the business's policy of maintaining a drug -free workplace, any available drug counseling, rehabilitation, and employee assistance programs, and the penalties that may be imposed upon employees for drug abuse violations. 3. Give each employee engaged in providing the commodities or contractual services that are under bid a copy of the statement specified in subsection (1). 4. In the statement specified in subsection (1), notify the employees that, as a condition of working on the commodities or contractual services that are under bid, the employee will abide by the terms of the statement and will notify the employer of any conviction of, or plea of guilty or nolo contendere to, any violation of Chapter 893 (Florida Statutes) or of any controlled substance law of the United States or any state, for a violation occurring in the workplace no later than five (5) days after such conviction. 5. Impose a sanction on, or require the satisfactory participation in a drug abuse assistance or rehabilitation program if such is available in the employee's community, or any employee who is so convicted. 6. Make a good faith effort to continue to maintain a drug -free workplace through implementation of this section. As the person authorized to sign the statement, I certify that this firm complies fully with the above requirements. DECEMBER 22, 2009 Date 28 NON -COLLUSION AFFIDAVIT I BERT BENDER of the city of KEY WEST, FLORIDA according to law on my oath, and under penalty of perjury, depose and say that: I am PRESIDENT of the firm of BENDER & ASSOCIATES ARCHITECTS, P.A. the bidder making the Proposal for the project described in the Request for Qualifications for: CONSTRUCTION ADMINISTRATION SERVICES FOR THE EAST MARTELLO EXIT STAIR PROJECT and that I executed the said proposal with full authority to do so: 2. the prices in this bid have been arrived at independently without collusion, consultation, communication or agreement for the purpose of restricting competition, as to any matter relating to such prices with any other bidder or with any competitor; 3. unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the bidder and will not knowingly be disclosed by the bidder prior to bid opening, directly or indirectly, to any other bidder or to any competitor; and 4. no attempt has been made or will be made by the bidder to induce any other person, partnership or corporation to submit, or not to submit, a bid for the purpose of restricting competition; 5. the statements contained in this affidavit are true and correct, and made with full knowledge that Monroe County relies upon the truth of the statements contained ' is affidavit i warding contracts for said project. DE CEMBER 22, 2009 (Signatur es nt) (Date) STATE OF: FLORIDA COUNTY OF: MONROE PERSONALLY APPEARED BEFORE ME, the undersigned authority, BERT BENDER who, after first being sworn by me, (name of individual signing) affixed hisAtersignature in the space provided above on this 22ND day of DECEMBER 20 09 eIL' pia Daina D Katubi Commission # DD495410 o Expires February 5, 2010 OF fl-00 Bontled Troy Fain Irtswance iM dIXJ-sZ�'r�` J NOTARY PUBLIC My Commission Expires: 29 EXHIBT - A ARCHITECT'S PROPOSAL AND/OR HOURLEY RATES 30 November 12, 2009 Mr. Jerry Barnett, Director of Project Management Monroe County Construction Mgmt. The Historic Gato Cigar Factory 1100 Simonton Street Key West, FL 33040 RE: East Martello Exit Stair Dear Jerry: vionroe Cn,.ihr Thank you for asking us to provide contract administration services for the fire stair at East Martello. As discussed, we will modify the documents prepared by us under a previous continuing services contract, our Job Number 0233, dated 2/16/04, to reflect code changes and the current scope. ADA compliant bathroom renovations that were a part of the original scope will not be constructed at this time. I anticipate the following tasks and fees will be rpnnirpri Task Description Project Manager Project Architect Admin. Assistant Code Check, Revise Documents (2 days) 2 14 Prepare Bid Documents, Coordination 0.5 3 Pre -Bid Meeting 2 Bid Evaluation, Recommendation 2 3 Pre -Construction Meeting 2 Shop Drawing Review Submittals 1 4 Site Visits, Field Log (4 @ 4 hours + support 8 8 2 Project Closeout 0.5 1 Total Hours 18 26 9 $/hour $180 $140 $80 Labor cost $3,240 $3,640 $720 TOTAL I or000se to nrovirip the raniiirari cc)nii,-oc nn �m rti.,...a, a..�:. $7 600 _.._ _ _A F• , .- - - - -- -• _ . " ��...�_' _„ o.. -.-NY .,a31a, IIVL w cxceeu ?i,vuu. t here will be no protessional fee added for the use of our documents since we will be providing the contract administration services. Please call if I have misunderstood the scope or if you need any modifications. Sincerely, Bert L. Bender, Architect BLB/ddk fW Angela Street kev %est. Florida i,50�io Telephone (305) 296-I ia7 Facsimile (30i) 296-227 Florrdaticense I.tCoo-2o22 uuu-Benderlrchileos.eom CITY OF KEY WEST, FLORIDA Business Tax Receipt This Document is a business tax receipt Holder must meet all City zoning and use provisions. P.O. Box 1409, Key West, Florida 33040 (305) 809-3955 Business Name BENDER & ASSOCIATES ARCHITECTS Ct1Nbr:0001702 Location Addr 410 ANGELA ST Lic NBR/Class 10-00009562 SERVICE - PROFESSIONAL Issue Date: September 25, 2009 Expiration Date:September 30, 2010 License Fee $309.75 Add. Charges $0.00 Penalty $0.00 Total $309.75 Comments: ARCHITECT This document must be prominently displayed. BENDER, BERT BENDER & ASSOCIATES ARCHITECTS 410 ANGELA ST Over: KEYWBLII Type: QC Drawer: I Date: 9/25/09 54 Receipt na: 116227 2010 9562 KEY WEST FL 33040 OR LIC OCCUPATIONtl. I $'In.75 Trans nuaber: 2394g?�d CK CHECK 9402 3389.75 =.fit Business Type: PROFESSIONALS (ARCHITECT #AR0011082) Rooms Seats Employees Machines Stalls STATE LICENSE: AR0011082 EX 2/09 For Vending Business Only umber of Machines : Vending Tvoe Amount Transfer Fee Sub -Total Penalt Prior Years Collection Cost Total Paid �Tax 0.00 $30.00 1 1$0.00 1$30.00 PAID-117-08-00003789 08/04/2009 30.00 THIS RECEIPT MUST BE POSTED CONSPICUOUSLY IN YOUR PLACE OF BUSINESS AC# STATE OF FLORIDA DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION BOARD OF ARCHITECTURE & INTERIOR DESIGN SEQ# L09021300418 j ,. LICENSE NBR 02 13/2009 080363344 AA0002022 The ARCHITECT CORPORATION Named below IS CERTIFIED Under the provisions of Chapter 481 FS. Expiration date: FEB 28, 2011 BENDER & ASSOCIATES ARCHITECTS,PA 410 ANGELA ST KEY WEST FL 33040 CHARLIE CRIST CHARLES W. DRAGO GOVERNOR DISPLAY AS REQUIRED BY LAW SECRETARY I AU Y D n n STATE OF FLORIDA i DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION BOARD OF ARCHITECTURE & INTERIOR DESIGN SEQ# L09021300313 DATE SATCHMMBER LICENSE NBR 02/13/2009 080363344 AR0011082 The ARCHITECT Named below IS LICENSED Under the provisions of Chapter 481 FS. Expiration date: FEB 28, 2011 BENDER, BERT LESLIE 410 ANGELA ST KEY WEST FL 33040 CHARLIE CRIST CHARLES W. DRAGO GOVERNOR DISPLAY AS REQUIRED BY LAW SECRETARY BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: County Administration Bulk Item: Yes X No _ Department: Project Management Staff Contact Person/Phone #: Jerry Barnett X4416 AGENDA ITEM WORDING: Receipt of monthly report on change orders reviewed by the County Administrator's Office. ITEM BACKGROUND: There were no change orders considered and approved by the County Administrator for the period beginning December 1, 2009 and ending December 31 2009, and no change order requests denied by Project Management or Engineering Services. PREVIOUS RELEVANT BOCC ACTION: On September 9, 1998, Ordinance No. 026-1998 was adopted in order to provide that the County Administrator may approve separate, non -cumulative change orders for construction projects and professional service contracts in amounts not to exceed $25,000.00 or 5% of the original contract price, whichever is greater. The BOCC requested a monthly report of all change orders considered by the County Administrator. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: N/A TOTAL COST: N/A Indirect Costs BUDGETED: Yes N/A No _ DIFFERENTIAL OF LOCAL PREFERENCE: N/A COST TO COUNTY: N/A SOURCE OF FUNDS: N/A REVENUE PRODUCING: Yes _ No X AMOUNT PER MONTH Year APPROVED BY: County Atty _ OMB/Purchasing Risk Management DOCUMENTATION: Included Not Required X_ DISPOSITION: Revised 7/09 AGENDA ITEM # LU ce W V Z Q V LU V W LL ze O N Z N Q Z 0 O U LU H m LU W U) Z O V W U G �p OZ Z G Q U H U O 0 n n O O 414. BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: 1-20-2010 Division: _County Administrator Bulk Item: Yes _X No _ Department: Social Services/In-Home Services_ Staff Contact Person/Phone #: Sheryl Graham/X4510 AGENDA ITEM WORDING: Approval of Amendment 001 to the Older Americans Act (OAA) Contract AA- 1015 between the Alliance for Aging, Inc. (Area Agency on Aging) and the Monroe County Board of County Commissioners (Social Services/In-Home Services) for fiscal year 1/1/10 to 12/31/10. ITEM BACKGROUND: Approval of Amendment 001 will add the following language to the original contract "This contract may be unilaterally terminated by the Alliance for Aging by operation of law or final resolution of any legal or appeal proceedings arising out of the 2009 OAA RFP. By signing this addendum the recipient agrees to assist the Alliance with any transition plan in the event of such termination." PREVIOUS RELEVANT BOCC ACTION: Prior approval granted to OAA contract number AA- 1015 on 12-1-09. CONTRACT/AGREEMENT CHANGES: Contract may be terminated by the Alliance pending a final resolution of any legal or appeal proceedings and Monroe County will assist with any transition plan to another provider should a termination of contract arise. STAFF RECOMMENDATIONS: Approval TOTAL COST: $519,561.00 INDIRECT COST: _-0-_BUDGETED: Yes X No _ COST TO COUNTY: No C/eWMatch required. SOURCE OF FUNDS: Grant In -Kind Match required. REVENUE PRODUCING: Yes No X_ AMOUNT PER MONTH Year APPROVED BY: County Attygw t /Purchasing X Risk Management _X_ DOCUMENTATION: DISPOSITION: Revised 1/09 Included X Not Required AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: Alliance For Aging, Inc. Contract # Amendment #001 for Contract #AA-1015 Effective Date: 1/1/2010 Expiration Date: 12/31/2010 Contract Purpose/Description: Approval of Amendment #001 to the OAA Contract #AA-1015, (1/1/10- 12/31/10) to add the following language to the original contract. "This contract may be unilaterally terminated by the Alliance for Aging by operation of law or final resolution of any legal or appeal proceedings arising out of the 2009 OAA RFP. By singing this addendum the recipient agrees to assist the Alliance with any transition plan in the event of such termination." Contract Manager: Sheryl Graham 4510 Community Services/Stop 1 (Name) (Ext.) (Department/Stop #) For BOCC meeting on 1/20/10 Agenda Deadline: 115110 CONTRACT COSTS Total Dollar Value of Contract: (extension) $519,561.00 Current Year Portion: $ Budgeted? Yes X No Account Codes: _125_-_6153010_-_ Grant: $ 519,561.00 _125_-_6151010 - County Match: $-0- 125-6153210 - Estimated Ongoing Costs: $ (Not included in dollar value above) /yr _125_-6153410 - - ADDITIONAL COSTS For: CONTRACT REVIEW Division Director Date In /,��j� Changes Neede Yes Date Out r Risk Management � � Yes t EIo � C� O.1 &./Purchasing I �b Yes No c County Attorney �'���� Yes No Comments: OMB Form Revised 2/27/01 MCP #2 Addendum 001 CONTRACT AA 1015 Page 1 THIS ADDENDUM modified the original contract between the Alliance for Aging, Inc. and Monroe County Social Services. The purpose of this addendum is to include the following language to the original contract: "This contract may be unilaterally terminated by the Alliance for Aging by operation of law or final resolution of any legal or appeal proceedings arising out of the 2009 OAA RFP. By signing this addendum the recipient agrees to assist the Alliance with any transition plan in the event of such termination". IN WITNESS WHEREOF, the parties hereto have caused this addendum to be executed by their undersigned officials as duly authorized. PROVIDER: Monroe County Social Services. SIGNED BY: Sylvia J. Murphy NAME: Mayor TITLE: 1-20-�669-- DATE: FtL)HU J. ASSISTANT, Date ALLIANCE FOR AGING, INC. Max B. Rothman, JD, LL.M. SIGNED BY: NAME: President & CEO TITLE: DATE: Addendum 001 CONTRACT AA 1015 Page 1 THIS ADDENDUM modified the original contract between the Alliance for Aging, Inc. and Monroe County Social Services. The purpose of this addendum is to include the following language to the original contract: "This contract may be unilaterally terminated by the Alliance for Aging by operation of law or final resolution of any legal or appeal proceedings arising out of the 2009 OAA RFP. By signing this addendum the recipient agrees to assist the Alliance with any transition plan in the event of such termination". IN WITNESS WHEREOF, the parties hereto have caused this addendum to be executed by their undersigned officials as duly authorized. PROVIDER: SIGNED BY: NAME: TITLE: Monroe County Social Services. Sylvia J. Murphy Mayor SIGNED BY: NAME: TITLE: 1-20-2e69 - DATE: act o DATE: 7O,Y,CouwfY Ai"C�?'i;;� , 1 C 4, \t�D AS 0 ANT` i ;^�� y ate ALLIANCE FOR AGING, INC. Max B. Rothman, JD, LL.M. President & CEO Addendum 001 CONTRACT AA 1015 Page 1 THIS ADDENDUM modified the original contract between the Alliance for Aging, Inc. and Monroe County Social Services. The purpose of this addendum is to include the following language to the original contract: "This contract may be unilaterally terminated by the Alliance for Aging by operation of law or final resolution of any legal or appeal proceedings arising out of the 2009 OAA RFP. By signing this addendum the recipient agrees to assist the Alliance with any transition plan in the event of such termination". IN WITNESS WHEREOF, the parties hereto have caused this addendum to be executed by their undersigned officials as duly authorized. 1=103y'AIDI �1 Monroe County Social Services. SIGNED BY: SIGNED BY: Sylvia J. Murphy NAME: NAME: Mayor TITLE: TITLE: 1-20- 2409- DATE: 7-o i o DATE: rJE RCPED AS ALLIANCE FOR AGING, INC. Max B. Rothman, JD, LL.M. President & CEO Addendum 001 CONTRACT AA 1015 Page 1 THIS ADDENDUM modified the original contract between the Alliance for Aging, Inc. and Monroe County Social Services. The purpose of this addendum is to include the following language to the original contract: "This contract may be unilaterally terminated by the Alliance for Aging by operation of law or final resolution of any legal or appeal proceedings arising out of the 2009 OAA RFP. By signing this addendum the recipient agrees to assist the Alliance with any transition plan in the event of such termination". IN WITNESS WHEREOF, the parties hereto have caused this addendum to be executed by their undersigned officials as duly authorized. PROVIDER: SIGNED BY: NAME: TITLE: Monroe County Social Services. Sylvia J. Murphy Mayor SIGNED BY: NAME: TITLE: 1-20-22899-- DATE: 2u i U DATE: rYYJ AS I ASSISTANT CO" ALLIANCE FOR AGING, INC. Max B. Rothman, JD, LL.M. President & CEO Addendum 001 CONTRACT AA 1015 Page 1 THIS ADDENDUM modified the original contract between the Alliance for Aging, Inc. and Monroe County Social Services. The purpose of this addendum is to include the following language to the original contract: "This contract may be unilaterally terminated by the Alliance for Aging by operation of law or final resolution of any legal or appeal proceedings arising out of the 2009 OAA RFP. By signing this addendum the recipient agrees to assist the Alliance with any transition plan in the event of such termination". IN WITNESS WHEREOF, the parties hereto have caused this addendum to be executed by their undersigned officials as duly authorized. PROVIDER: Monroe County Social Services. SIGNED BY: SIGNED BY: Sylvia J. Murphy NAME: Mayor TITLE: I:T 914 TITLE: 1-20-2e6 - DATE: 2c i u DATE: �,,.�r r�r��, r t ALLIANCE FOR AGING, INC. Max B. Rothman, JD, LL.M. President & CEO Addendum 001 CONTRACT AA 1015 Page 1 THIS ADDENDUM modified the original contract between the Alliance for Aging, Inc. and Monroe County Social Services. The purpose of this addendum is to include the following language to the original contract: 'This contract may be unilaterally terminated by the Alliance for Aging by operation of law or final resolution of any legal or appeal proceedings arising out of the 2009 OAA RFP. By signing this addendum the recipient agrees to assist the Alliance with any transition plan in the event of such termination". IN WITNESS WHEREOF, the parties hereto have caused this addendum to be executed by their undersigned officials as duly authorized. PROVIDER: Monroe County Social Services. SIGNED BY: SIGNED BY: Sylvia J. Murphy NAME: NAME: Mayor TITLE: TITLE: 1-20-2e8J- DATE: 2010 DATE: ALLIANCE FOR AGING, INC. Max B. Rothman, JD, LL.M. President & CEO CONTRACT AA-1015 Page 1 THIS AGREEMENT is entered into between the Alliance for Aging, Inc., hereinafter referred to as the "Alliance" and "Monroe County Social Services.", hereinafter referred to as the "contractor." THIS CONTRACT IS SUBJECT TO FURTHER MODIFICATION IN ORDER TO INCORPORATE CERTAIN PASS -THROUGH LANGUAGE REQUIRED BY THE STATE OF FLORIDA DEPARTMENT OF ELDER AFFAIRS. ALL SUBSEQUENT MODIFICATIONS WILL BE MADE THROUGH AMENDMENTS TO THIS CONTRACT. All attachments are an integral part of this agreement and incorporated by reference. The Budget Summary by Title is as follows: Title III B (CFDA/CSFA # 93.044): $ 109,569 Title C1 (CFDA/CSFA # 93.045): $ 142,600 Title C2 (CFDA/CSFA # 93.045): $ 210,832 Title III E (CFDA/CSFA # 93.052): $ 56,560 1. The Alliance shall make payment to the provider for provision of services up to a maximum number of units of service and at the rate(s) stated below: Service(s) to be Provided Service Unit Rate Maximum Units of Service Maximum Dollars Homemaker $34.29 1,734 $59,459 Personal Care $40.07 1,130 $45,274 Screening & Assessment IIIB $42.05 115 $4,836 Congregate Meals $9.56 14,677 $140,311 Nutrition Education C1 $63.58 36 $2,289 Home Delivered Meals $6.13 34,269 $210,068 Nutrition Education C2 $63.67 12 $764 Facility Respite $10.34 5,470 $56,560 Total Contract $519,561 This agreement shall begin on January 1, 2010 or the date it has been signed by both parties, whichever is earlier. IN WITNESS WHEREOF, the parties hereto have caused this amendment to be executed by their undersigned officials as duly authorized. PROVIDER: Monroe County Social Services. SIGNED BY: NAME: TITLE: DATE: ALLIANCE FOR AGING, INC. SIGNED BY: Max B. Rothman, JD, LL.M. NAME: TITLE: President & CEO DATE: 1/48 CONTRACT AA-1015 Page 2 1 Purpose of Contract The purpose of this contract is to provide services in accordance with the terms and conditions specified in this contract including all attachments and exhibits, which constitute the contract document. 2. Incorporation of Documents within the Contract The contract will incorporate attachments, proposal(s), area plan(s), grant agreements, relevant Alliance handbooks, manuals or desk books, as an integral part of the contract, except to the extent that the contract explicitly provides to the contrary. In the event of conflict in language among any of the documents referenced above, the specific provisions and requirements of the contract document(s) shall prevail over inconsistent provisions in the Proposal(s) or other general materials not specific to this contract document and identified attachments. 3. Term of Contract This contract shall begin on lanuary 1, 2010 or on the date on which the contract has been signed by the last party required to sign it, whichever is later. It shall end at midnight, local time in Miami, Florida, on December 31.2010. 4. Contract Amount The Alliance agrees to pay for contracted services according to the terms and conditions of this contract or the rate schedule, subject to the availability of funds. Any costs or services paid for under any other contract or from any other source are not eligible for payment under this contract. 5. Renewals By mutual agreement of the parties, the Alliance may renew the contract for a period not to exceed three years, or the term of the original contract, whichever is longer. The renewal price, or method for determining a renewal price, is set forth in the bid, proposal, or reply. No other costs for the renewal may be charged. Any renewal is subject to the same terms and conditions as the original contract and contingent upon satisfactory performance evaluations by the Alliance and the availability of funds. 6. Compliance with Federal Law 6.1. If this contract contains federal funds the following shall apply: The provider shall comply with the provisions of 45 CFR 74 and/or 45 CFR 92, and other applicable regulations. 6.1.1. If this contract contains federal funds and is over $100,000.00, the contractor shall comply with all applicable standards, orders, or regulations issued under s. 306 of the Clean Air Act as amended (42 U.S.C. 7401, et seq.), s. 508 of the Federal Water Pollution Control Act as amended (33 U.S.C.1251, et seq.), Executive Order 11738, as amended, and where applicable Environmental Protection Agency regulations 40 CFR 30. The contractor shall report any violations of the above to the Alliance. 6.1.2. The contractor, or agent acting for the contractor, may not use any federal funds received in connection with this contract to influence legislation or appropriations pending before the Congress or any State legislature. If this contract contains federal funding in excess of $100,000.00, the contractor must, prior to contract execution, complete the Certification Regarding Lobbying form, ATTACHMENT H All disclosure forms as required by the Certification Regarding Lobbying form must be completed and returned to the Contract Manager, prior to payment under this contract. 6.1.4. That if this contract contains $10,000.00 or more of federal funds, the contractor shall comply with Executive Order 11246, Equal Employment Opportunity, as amended by Executive Order 11375 and others, and as supplemented in Alliance of Labor regulation 41 CFR 60 and 45 CFR 92, if applicable. 2/48 CONTRACT AA-1015 Page 3 6.1.5. That if this contract contains federal funds and provides services to children up to age 18, the contractor shall comply with the Pro -Children Act of 1994 (20 U.S.C. 6081). 6.1.6. That a contract award with an amount expected to equal or exceed $25,000.00 and certain other contract awards shall not be made to parties listed on the government -wide Excluded Parties List System, in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 and 12689, "Debarment and Suspension." The Excluded Parties List System contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. The contractor will comply with these provisions before doing business or entering into subcontracts receiving federal funds pursuant to this contract. The contractor shall complete and sign ATTACHMENT V prior to the execution of this contract. 6.2. The contractor shall not employ an unauthorized alien. The Alliance shall consider the employment of unauthorized aliens a violation of the Immigration and Nationality Act (8 U.S.C. 1324 a) and the hnmigration Reform and Control Act of 1986 (8 U.S.C. 1101). Such violation shall be cause for unilateral cancellation of this contract by the Alliance. 7. Compliance with State Law 7.1. That this contract is executed and entered into in the State of Florida, and shall be construed, performed and enforced in all respects in accordance with the Florida law, including Florida provisions for conflict of laws. 7.2. Requirements of the contract under state law: 7.2.1. The contractor will provide units of deliverables, including reports, findings, and drafts, as specified in this contract, which the Contract Manager must receive and accept in writing prior to payment. 7.2.2. The contractor will submit bills for fees or other compensation for services or expenses in sufficient detail for a proper pre -audit and post -audit. 7.2.3. If itemized payment for travel expenses is permitted in this contract, the contractor will submit bills for any travel expenses in accordance Alliance for Aging travel reimbursement rates., or at such lower rates as may be provided in this contract. 7.2.4. The contractor will allow public access to all documents, papers, letters, or other public records when required by the Alliance, made or received by the contractor in conjunction with this contract except for those records which are made confidential or exempt by law. The contractor's refusal to comply with this provision shall constitute an immediate breach of contract for which the Alliance may unilaterally terminate the contract. 7.3. If clients are to be transported under this contract, the contractor shall comply with the provisions of Chapter 427, F.S.,and Rule 41-2, F. A. C. 7.4. Subcontractors who are on the state's discriminatory vendor list as defined in s. 287.134, F.S., may not transact business with the Alliance. 7.5. The contractor will not expend contract funds for the purpose of lobbying the legislature, judicial branch or a state agency. 8. Grievance Procedures 3/48 CONTRACT AA-1015 Page 4 The contractor shall develop and implement grievance procedures to process and resolve client dissatisfaction with or denial of service(s), and address complaints regarding the termination, suspension or reduction of services, as required for receipt of funds. These procedures, at a minimum, should provide for notice of the grievance procedure and an opportunity for review of the subcontractor's detenninafion(s). 9. Audits, Inspections, Investigations. Public Records and Retention 9.1. To establish and maintain books, records and documents (including electronic storage media) sufficient to reflect all income and expenditures of funds provided by the Alliance under this contract. 9.2. To retain all client records, financial records, supporting documents, statistical records, and any other documents (including electronic storage media) pertinent to this contract for a period of six (6) years after completion of the contract or longer when required by law. In the event an audit is required by this contract, records shall be retained for a minimum period of six (6) years after the audit report is issued or until resolution of any audit findings or litigation based on the terms of this contract, at no additional cost to the Alliance. 9.3. Upon demand, at no additional cost to the Alliance, the contractor will facilitate the duplication and transfer of any records or documents during the required retention period in Paragraph 9.2. 9.4. To assure that the records described in Paragraph 9 shall be subject at all reasonable times to inspection, review, copying, or audit by Federal, State, or other personnel duly authorized by the Alliance. 9.5. At all reasonable times for as long as records are maintained, persons duly authorized by the Alliance and Federal auditors, pursuant to 45 CFR 92.36(i)(10), shall be allowed full access to and the right to examine any of the contractor's contracts and related records and documents pertinent to this specific contract, regardless of the form in which kept. 9.6. To provide a financial and compliance audit to the Alliance as specified in this contract and in ATTACHMENT III and to ensure that all related party transactions are disclosed to the auditor. 9.7. To comply and cooperate immediately with any inspections, reviews, investigations, or audits deemed necessary by the office of the Inspector General of the State of Florida. 10. Nondiscrimination -Civil Rights Compliance 10.1. The contractor will execute assurances in ATTACHMENT VI that it will not discriminate against any person in the provision of services or benefits under this contract or in employment because of age, race, religion, color, disability, national origin, marital status or sex in compliance with state and federal law and regulations. The contractor further assures that all subcontractors, subgrantees, or others with whom it arranges to provide services or benefits in connection with any of its programs and activities are not discriminating against clients or employees because of age, race, religion, color, disability, national origin, marital status or sex. 10.2. The contractor will retain, on file, during the term of this agreement a timely, complete and accurate Civil Rights Compliance Checklist (ATTACHMENT B). 10.3 The contractor agrees to establish procedures pursuant to federal law to handle complaints of discrimination involving services or benefits through this contract. These procedures shall include notifying clients, employees, and participants of the right to file a complaint with the appropriate federal or state entity. 4/48 CONTRACT AA-1015 Page 5 10.4 If this contract contains federal funds, these assurances are a condition of continued receipt of or benefit from federal financial assistance, and are binding upon the contractor, its successors, transferees, and assignees for the period during which such assistance is provided. The contractor further assures that all subcontractors, vendors, or others with whom it arranges to provide services or benefits to participants or employees in connection with any of its programs and activities are not discriminating against those participants or employees in violation of the above statutes, regulations, guidelines, and standards. In the event of failure to comply, the contractor understands that the Alliance may, at its discretion, seek a court order requiring compliance with the terms of this assurance or seek other appropriate judicial or administrative relief, including but not limited to, termination of and denial of further assistance. 11. Provision of Services The contractor will provide services in the manner described in ATTACHMENT I and as per the 2009 Florida Department of Elder Affairs Programs and Services Handbook or any revisions made thereafter. U Monitoring by the Alliance The contractor will permit persons duly authorized by the Alliance to inspect and copy any records, papers, documents, facilities, goods and services of the contractor which are relevant to this contract, and to interview any clients, employees and subcontractor employees of the contractor to assure the Alliance of the satisfactory performance of the terms and conditions of this contract. Following such review, the Alliance will deliver to the contractor a written report of its findings and request for development, by the contractor, of a corrective action plan where appropriate. The contractor hereby agrees to timely correct all deficiencies identified in the corrective action plan. 13. Indemnification 13.1 To the extent allowed by law, each party shall be responsible for any acts, or omissions, of negligence on the part of its employees, agents, contractors, and subcontractors and shall defend, indemnify and hold the other party, its officers and employees, agents and contractors, harmless from all claims demands, causes of action, losses, costs and expenses of whatever type - including investigation and witness costs and expenses and attorneys' fees and costs - that arise out of or are attributable to such actions or omissions. 14. Insurance and Bonding 14.1. To provide continuous adequate liability insurance coverage during the existence of this contract and any renewal(s) and extension(s) of it. By execution of this contract, the contractor accepts full responsibility for identifying and determining the type(s) and extent of liability insurance necessary to provide reasonable financial protections for the contractor and the clients to be served under this contract. The limits of coverage under each policy maintained by the contractor do not limit the contractor's liability and obligations under this contract. The contractor shall ensure that the Alliance has the most current written verification of insurance coverage throughout the term of this contract. The Alliance reserves the right to require additional insurance as specified in this contract. 14.2. Throughout the term of this agreement, the contractor agrees to maintain an insurance bond from a responsible commercial insurance company covering all officers, directors, employees and agents of the contractor authorized to handle funds received or disbursed under all agreements and/or contracts incorporating this contract by reference in an amount commensurate with the funds handled, the degree of risk as determined by the insurance company and consistent with good business practices. 15. Confidentialityof Information The contractor shall not use or disclose any information concerning a recipient of services under this contract for any purpose prohibited by state or federal law or regulations except with the written consent of 5/48 CONTRACT AA-1015 Page 6 a person legally authorized to give that consent or when authorized by law. 16. Health Insurance Portability and Accountability Act Where applicable, the contractor will comply with the Health Insurance Portability and Accountability Act (42 USC 1320d.), as well as all regulations promulgated thereunder (45 CFR 160,162, and 164). 17. Incident Reporting 17.1. The contractor shall notify the Alliance immediately, but no later than forty-eight (48) hours from, the contractor's awareness or discovery of conditions that may materially affect the contractor or subcontractor's ability to perform the services required to be performed under this contract. 17.2. To immediately report knowledge or reasonable suspicion of abuse, neglect, or exploitation of a child, aged person, or disabled adult to the Florida Abuse Hotline on the statewide toll -free telephone number (1-800-96ABUSE). This provision is binding upon both the contractor and its employees. 18. Sponsorship and Publicity 18.1. The contractor shall, in publicizing, advertising, or describing the sponsorship of the program, state: "Sponsored by (contractor's name), the Alliance for Aging and the State of Florida, Department of Elder Affairs." If the sponsorship reference is in written material, the words "Alliance for Aging and State of Florida, Department of Elder Affairs" shall appear in at least the same size letters or type as the name of the organization. 18.2. The contractor shall not use the words "The State of Florida, Department of Elder Affairs" or "Alliance for Aging" to indicate sponsorship of a program otherwise financed, unless, specific authorization has been obtained from the Alliance for Aging prior to use. 19. Assignments 19.1. The contractor shall not assign the rights and responsibilities under this Contract without the prior written approval of the Alliance, which shall not be unreasonably withheld. Any sublicense, assignment, or transfer otherwise occurring without prior written approval of the Alliance will constitute a material breach of the contract. 19.2. This contract shall remain binding upon the successors in interest of either the contractor or the Alliance. 20. Subcontracts 20.1 The contractor is responsible for all work performed and for all commodities produced pursuant to this contract, whether actually furnished by the contractor or its subcontractors. Any subcontracts shall be evidenced by a written document and subject to any conditions of approval the Alliance deems necessary. The contractor further agrees that the Alliance shall not be liable to the subcontractor in any way or for any reason. The contractor, at its expense, will defend the Alliance against any such claims. 20.2. Upon payment by the Alliance, Contractor shall pay any subcontractors in accordance with the Local Government Prompt Payment Act, F.S. 218.73. Any subcontractor balances not paid within the time specified by the Local Government Prompt Payment Act shall be subject to interest pursuant to F.S. 6/48 CONTRACT AA-1015 Page 7 218.74 21. Independent Capacity of Contractor It is the intent and understanding of the parties that the contractor, or any of its subcontractors, are independent contractors and are not employees of the Alliance and shall not hold themselves out as employees or agents of the Alliance without specific authorization from the Alliance. It is the further intent and understanding of the parties that the Alliance does not control the employment practices of the contractor and shall not be liable for any wage and hour, employment discrimination, or other labor and employment claims against the contractor or its subcontractors. All deductions for social security, withholding taxes, income taxes, contributions to unemployment compensation funds and all necessary insurance for the contractor shall be the sole responsibility of the contractor. 22. Payment Payments will be made to the contractor pursuant to s. 215.422, F.S., as services are rendered and invoiced by the contractor. The Alliance's Contract Manager will have final approval of the invoice for payment, and will approve the invoice for payment only if the contractor has met all terms and conditions of the contract, unless the bid specifications, purchase order, or this contract specify otherwise. The approved invoice will be submitted to the Alliance's finance section for budgetary approval and processing. Disputes arising over invoicing and payments will be resolved in accordance with the provisions of s. 215.422 F.S. The recipient is aware and accepts that all units of service not reported after a maximum of ninety (90) days after the date of service will not be honored and paid by the Alliance. These units will be considered forfeited. 23. Return of Funds The contractor will return to the Alliance any overpayments due to unearned funds or funds disallowed and any interest attributable to such funds pursuant to the terms and conditions of this contract that were disbursed to the contractor by the Alliance. In the event that the contractor or its independent auditor discovers that an overpayment has been made, the contractor shall repay said overpayment immediately without prior notification from the Alliance. In the event that the Alliance first discovers an overpayment has been made, the Contract Manager, on behalf of the Alliance, will notify the contractor by letter of such findings. Should repayment not be made forthwith, the contractor may be charged the rate of interest established under F.S.55.03, after Alliance notification or contractor discovery. 24. Data Integrity and Safeguarding Information The contractor shall insure an appropriate level of data security for the information the contractor is collecting or using in the performance of this contract. An appropriate level of security includes approving and tracking all contractor employees that request system or information access and ensuring that user access has been removed from all terminated employees. The contractor, among other requirements, must anticipate and prepare for the loss of information processing capabilities. All data and software must be routinely backed up to insure recovery from losses or outages of the computer system. The security over the backed -up data is to be as stringent as the protection required of the primary systems. The contractor shall insure all subcontractors maintain written procedures for computer system back up and recovery. The contractor shall complete and sign ATTACHMENT IV prior to the execution of this contract. 25. Conflict of Interest The contractor will establish safeguards to prohibit employees, board members, management and subcontractors from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest or personal gain. No employee, officer or agent of the contractor or subcontractor shall participate in selection, or in the award of an agreement supported by State or Federal funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when: (a) the employee, officer or agent; (b) any member of his/her immediate family; (c) his or her partner, or; (d) an organization which employs, or is about to employ, any of the above, has a financial or other 7/48 CONTRACT AA-1015 Page 8 interest in the firm selected for award. The contractor or subcontractor's officers, employees or agents will neither solicit nor accept gratuities, favors or anything of monetary value from contractors, potential contractors, or parties to subcontracts. The contractor's board members and management must disclose to the Alliance any relationship which may be, or may be perceived to be, a conflict of interest within thirty (30) calendar days of an individual's original appointment or placement in that position, or if the individual is serving as an incumbent, within thirty (30) calendar days of the commencement of this contract. The contractor's employees and subcontractors must make the same disclosures described above to the contractor's board of directors. Compliance with this provision will be monitored. 26. Public Entity Crime The following restrictions are placed on the ability of persons convicted of public entity crimes to transact business with the Alliance. A person or affiliate who has been placed on the convicted vendor list following a conviction for a public entity crime may not may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with the Alliance. 27. Purchasing To procure any recycled products or materials, which are the subject of or are required to carry out this contract, in accordance with the provisions of s. 403.7065 and 287.045, F.S. 28. Patents, Copyrights, Royalties If any discovery, invention or copyrightable material is developed or produced in the course of or as a result of work or services performed under this contract, the contractor shall refer the discovery, invention or material to the Alliance for Aging. Any and all patent rights or copyrights accruing under this contract are hereby reserved to the Alliance for Aging. 29. Emergency Preparedness and Continuity of Operations 29.1. If the tasks to be performed pursuant to this contract, include the physical care and control of clients, or the administration and coordination of services necessary for client health, safety or welfare, the contractor shall, within thirty (30) calendar days of the execution of this contract, submit to the Contract Manager verification of an emergency preparedness plan. In the event of an emergency, the contractor shall notify the Alliance of emergency provisions. 29.2. In the event, a situation results in a cessation of services by a subcontractor, the contractor will retain responsibility for performance under this contract and must follow procedures to ensure continuity of operations without interruption. 8/48 CONTRACT AA-1015 Page 9 30. Dispute Resolution Any dispute concerning performance of the contract shall be decided by the Contract Manager, who shall reduce the decision to writing and serve a copy on the contractor. 31. No Waiver of Sovereign Immunity Nothing contained in this agreement is intended to serve as a waiver of sovereign immunity by any entity to which sovereign immunity may be applicable. 32, Venue If any dispute arises out of this contract, the venue of such legal recourse will be Monroe County, Florida. 33. Entire Contract This contract contains all the terms and conditions agreed upon by the parties. No oral agreements or representations shall be valid or binding upon the Alliance or the contractor unless expressly contained herein or by a written amendment to this contract signed by both parties. 34. Force Majeure Neither party shall be liable for any delays or failures in performance due to circumstances beyond its control, provided the party experiencing the force majeure condition provides immediate written notification to the other party and takes all reasonable efforts to cure the condition. 35. Severabiliiy Clause The parties agree that if a court of competent jurisdiction deems any term or condition herein void or unenforceable, the other provisions are severable to that void provision and shall remain in full force and effect. 36. Condition Precedent to Contract. Appropriations The parties agree that the Alliance's performance and obligation to pay under this contract is contingent upon an annual appropriation by the Legislature. 37. Addition/Deletion The parties agree that the Alliance reserves the right to add or to delete any of the services required under this contract when deemed to be in the State's best interest and reduced to a written amendment signed by both parties. The parties shall negotiate compensation for any additional services added. 38. Waiver The delay or failure by the Alliance to exercise or enforce any of its rights under this contract shall not constitute or be deemed a waiver of the Alliance's right thereafter to enforce those rights, nor shall any single or partial exercise of any such right preclude any other or further exercise thereof or the exercise of any other right. 39. Compliance The contractor agrees to abide by all applicable current federal statutes, laws, rules and regulations as well as applicable current State statutes, laws, rules and regulations. The parties agree that failure of the contractor to abide by these laws shall be deemed an event of default of the contractor, and subject the contract to immediate, unilateral cancellation of the contract at the discretion of the Alliance. 40. Final Invoice The contractor shall submit the final invoice for payment to the Alliance as specified in Paragraph 3.3.4. (date for final request for payment) of ATTACHMENT I. If the contractor fails to submit final request for payment by the deadline, then all rights to payment may be forfeited and the Alliance may not honor any requests submitted after the aforesaid time period. Any payment due under the terms of this contract may 9/48 CONTRACT AA-1015 Page 10 be withheld until all reports due from the contractor and necessary adjustments thereto have been approved by the Alliance. 41. Renegotiations or Modifications Modifications of the provisions of this contract shall be valid only when they have been reduced to writing and duly signed by both parties. The rate of payment and the total dollar amount may be adjusted retroactively to reflect price level increases and changes in the rate of payment when these have been established through the appropriations process and subsequently identified in the Alliance's operating budget. 42. Termination 42.1. This contract may be terminated by either party without cause upon no less than thirty (30) calendar days notice in writing to the other party unless a sooner time is mutually agreed upon in writing. Said notice shall be delivered by U.S. Postal Service or any expedited delivery service that provides verification of delivery or by hand delivery to the Contractor or the representative of the contractor responsible for administration of the contract. 42.2. In the event funds for payment pursuant to this contract become unavailable, the Alliance may terminate this contract upon no less than twenty-four (24) hours notice in writing to the contractor. Said notice shall be delivered by U.S. Postal Service or any expedited delivery service that provides verification of delivery or by hand delivery to the Contract Manager or the representative of the contractor responsible for administration of the contract. The Alliance shall be the final authority as to the availability and adequacy of funds. In the event of termination of this contract, the contractor will be compensated for any work satisfactorily completed prior to the date of termination. 42.3. This contract may be terminated for cause upon no less than twenty-four (24) hours notice in writing to the contractor. If applicable, the Alliance may employ the default provisions in Rule 60A-1.006(3), F.A.C. Waiver of breach of any provisions of this contract shall not be deemed to be a waiver of any other breach and shall not be construed to be a modification of the terms and conditions of this contract. The provisions herein do not limit the Alliance's or the contractor's rights to remedies at law or in equity. 42.4. Failure to have performed any contractual obligations with the Alliance in a manner satisfactory to the Alliance will be a sufficient cause for termination. To be terminated as a contractor under this provision, the contractor must have (1) previously failed to satisfactorily perform in a contract with the Alliance, been notified by the Alliance of the unsatisfactory performance and failed to correct the unsatisfactory performance to the satisfaction of the Alliance; or (2) had a contract terminated by the Alliance for cause 43. All Terms and Conditions Included This contract and its Attachments, I - X, A and B, and any exhibits referenced in said attachments, together with any documents incorporated by reference, contain all the terms and conditions agreed upon by the parties. There are no provisions, terms, conditions, or obligations other than those contained herein, and this contract shall supersede all previous communications, representations or agreements, either written or verbal between the parties. 10/48 CONTRACT AA-1015 Page 11 ATTACHMENT ATTACHMENT I ATTACHMENT II ATTACHMENT III ATTACHMENT IV ATTACHMENT V ATTACHMENT VI ATTACHMENT VII ATTACHMENT VIII ATTACHMENT IX -A ATTACHMENT IX-B INDEX TO CONTRACT ATTACHMENTS ATTACHMENT DESCRIPTION STATEMENT OF WORK CERTIFICATION REGARDING LOBBYING FINANCIAL COMPLIANCE AUDIT ATTACHMENT CERTIFICATION REGARDING DATA INTEGRITY COMPLIANCE CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION CONTRACTS / SUBCONTRACTS ASSURANCES - NON -CONSTRUCTION PROGRAMS BLANK CONTRACT REPORT CALENDAR ADVANCE BASIS SCHEDULE RECEIPTS AND EXPENDITURES - TITLE III ADMINISTRATION RECEIPTS AND EXPENDITURES - TITLES IIIB, Cl, C2, D1 AND D2 ATTACHMENT IX-C RECEIPTS AND EXPENDITURES - TITLE IIIE ATTACHMENT X REQUEST FOR PAYMENT ATTACHMENT A DEPARTMENT OF ELDER AFFAIRS PROGRAMS & SERVICES HANDBOOK (ON CD) ATTACHMENT B DEPARTMENT OF ELDER AFFAIRS CIVIL RIGHTS COMPLIANCE CHECKLIST AND INSTRUCTIONS PAGE 11-22 23 24-27 28 29 30-31 32 33 34 35 36 37 39-43 11/48 CONTRACT AA-1015 ATTACHMENT I STATEMENT OF WORK OLDER AMERICANS ACT PROGRAM SECTION I: SERVICES TO BE PROVIDED 1.1. DEFINITIONS OF TERMS AND ACRONYMS 1.1.1. CONTRACT ACRONYMS Activities of Daily Living (ADL) Adult Protective Services (APS) Alliance of Information & Referral Systems (AIRS) Americans with Disabilities Act (ADA) Area Agency on Aging (AAA) Assessed Priority Consumer List (APCL) Client Information and Registration Tracking System (CIRTS) Florida Alliance of Information and Referral Services (FLAIRS) Information and Referral (I&R) Instrumental Activities of Daily Living (IADL) Memorandum of Agreement (MOA) Memorandum of Understanding (MOU) Older Americans Act (OAA) Planning and Service Areas (PSAs) Web -based Database System (WebDB) 1.1.2. PROGRAM SPECIFIC TERMS Area Plan: A plan developed by the area agency on aging outlining a comprehensive and coordinated service delivery system in its planning and service area in accordance with the Section 306 (42 U.S.C. 3026) of the Older Americans Act and Alliance instructions. Area Plan Update: A revision to the area plan wherein the area agency on aging enters OAA specific data in the web -based database system (WebDB). An update may also include other revisions to the area plan as instructed by the Alliance. Child: An individual who is not more than 18 years of age or an individual with disability. Family Caregiver: An adult family member, or another individual, who is an informal provider of in -home and community care to an older individual. Frail: When an older individual is unable to perform at least two activities of daily living (ADL) without substantial human assistance, including verbal reminding, physical cueing or supervision; or due to cognitive or other mental impairment, requires substantial supervision because the individual behaves in a manner that poses a serious health or safety hazard to the individual or to another individual. Grandparent: A grandparent or step -grandparent of a child, or a relative of a child by blood, marriage or adoption and who lives with the child; is the primary caregiver of the child because the biological or adoptive parents are unable or unwilling to serve as the primary caregiver of the child; and has a legal relationship to the child, such as legal custody or guardianship, or is raising the child informally. 12/48 CONTRACT AA-1015 1.2. ALLIANCE MISSION STATEMENT The Alliance's mission is to foster an optimal quality of life for elder Floridians. The Alliance's vision and shared values are to foster a social, economic and intellectual environment for all ages, and especially those age 60 and older, where all can enjoy Florida's unparalleled amenities in order to thrive and prosper. Area agencies, lead agencies and local service providers as partners and stakeholders in Florida's aging services network are expected to support the Alliance's mission, vision, and program priorities. 1.2.1. Older Americans Act Program Mission Statement The Older Americans Act (OAA) Program is a federal program that provides assistance to older persons and caregivers and is the only federal supportive services program directed solely toward improving the lives of older people. The program provides a framework for a partnership among the different levels of government and the public and private sectors with a common objective, improving the quality of life for all older individuals by helping them to remain independent and productive. 1.3. GENERAL DESCRIPTION 1.3.1. General Statement The primary purpose of the OAA program is to foster the development and implementation of comprehensive and coordinated systems to serve older individuals. The OAA program uses these systems to assist older individuals to attain and maintain maximum independence and dignity in a home environment and allows for the capability of self -care with appropriate supportive services. 1.3.2. Authority The relevant references authority governing the OAA program are: (])Older Americans Act of 2006, as amended; (2)Rule 58A-1, Florida Administrative Code; and (3)Section 430.101, Florida Statutes. 1.3.3. Scope of Service The contractor is responsible for the programmatic, fiscal, and operational management of the Title IIIB, IIIC1 and 2, HID and HIE programs of the Older Americans Act within its designated Planning and Service Areas (PSAs). The scope of service includes planning, coordinating and assessing the needs of older persons, and assuring the availability and quality of services. The services shall be provided in a manner consistent with and described in the current contractor's area plan update and the current Alliance Programs and Services Handbook, (ATTACHMENT A). 1.3.4. Major Program Goals The major goals of the OAA program are to improve the quality of life for older individuals, preserve their independence and prevent or delay more costly institutional care. These goals are achieved through the implementation of a comprehensive and coordinated service system that provides a continuum of service alternatives that meet the diverse needs of elders and their caregivers. 1.4. INDIVIDUALS TO BE SERVED 1.4.1. Eligibility (Title III Programs) 1.4.1.1. OAA Title III, General Consumers shall not be dually enrolled in an OAA program and a Medicaid capitated long-term care program. 13/48 CONTRACT AA-1015 1.4.1.2. OAA Title IIIB, Supportive Services (] )Individuals age 60 or older; and (2)Information and Referral/Assistance services are provided to individuals regardless of age. 1.4.1.3. OAA Title IIIC1 and C2, Nutrition Services, General General factors that should be considered in establishing priority for Nutrition Services, both C1 and C2, include those older persons who: (])Cannot afford to eat adequately; (2)Lack the skills or knowledge to select and prepare nourishing and well-balanced meals; (3)Have limited mobility which may impair their capacity to shop and cook for themselves; or (4)Have a disabling illness or physical condition requiring nutritional support or have been screened at a high nutritional risk. 1.4.1.3.1. OAA Title IIIC1, Congregate Nutrition Services In addition to meeting the general nutrition services eligibility requirements listed in ATTACHMENT I, Paragraph 1.4.1.3., individuals must be mobile, not homebound and physically, mentally and medically able to attend a congregate nutrition program. Individuals eligible to receive congregate meals include: (1)Individuals age 60 or older; and (2)Any spouse (regardless of age) who attends the dining center with his/her eligible spouse; (3)Persons with a disability, regardless of age, who reside in a housing facility occupied primarily by older individuals where congregate nutrition services are provided; (4)Disabled persons who reside at home with and accompany an eligible person to the dining center; and (5)Volunteers, regardless of age, who provide essential services on a regular basis during meal hours. 1.4.1.3.2. OAA Title IIIC2, Home Delivered Nutrition Services In addition to meeting the general nutrition services eligibility requirements listed in ATTACHMENT I, Paragraph 1.4.1.3., individuals must be homebound and physically, mentally or medically unable to attend a congregate nutrition program. Individuals eligible to receive home delivered meals include: (])Individuals age 60 or older who are also frail and homebound by reason of illness, disability or isolation; (2)The spouse of a homebound eligible individual, regardless of age, if the provision of the collateral meal supports maintaining the person at home; (3)Individuals with disabilities, regardless of age, who reside at home with eligible individuals and are dependent on them for care; and (4)Persons at nutritional risk who have physical, emotional or behavioral conditions, which would make their presence at the congregate site inappropriate; and persons at nutritional risk who are socially or otherwise isolated and unable to attend a congregate nutrition site. 1.4.1.4. OAA Title IIIE, Caregiver Support Services (I)Family caregivers of individuals age 60 or older; (2)Grandparents (age 55 or older) or older individuals (age 55 or older) who are relative caregivers; 14/48 CONTRACT AA-1015 (3)Priority will be given to family caregivers who provide care for individuals with Alzheimer's disease and related disorders with neurological and organic brain dysfunction and for grandparents or older individuals who are relative caregivers who provide care for children with severe disabilities; and (4)For respite and supplemental services, a family caregiver must be providing care for an older individual who meets the definition of the term "frail" in OAA, Section 102 Paragraph 22. 1.4.2. Targeted Groups Preference shall be given to those with the greatest economic and social need, with particular attention to low-income older individuals, including those that are low-income minorities, have limited English proficiency, and older individuals residing in rural areas. SECTION II - MANNER OF SERVICE PROVISION 2.1. SERVICE TASKS In order to achieve the goals of the OAA program, the contractor shall ensure the following tasks are performed: (1)Client eligibility determination as listed in ATTACHMENT I, Paragraph 1.4; (2)Targeting and screening of service delivery for new clients; (3)Delivery of services to eligible clients; (4)Use of volunteers to expand the provision of available services; and (5)Monitoring the performance of its contractors. 2.1.1. Targeting and Screening of Service Delivery for New Clients The contractor shall develop and implement policies and procedures consistent with OAA targeting and screening criteria. 2.1.2. Delivery of Services to Eligible Clients The contractor shall provide a continuum of services that meets the diverse needs of elders and their caregivers. The contractor shall perform and report performance of the following services in accordance with ATTACHMENT A. The services funded pursuant to this contract are in accordance with the OAA, Title III, sections 321, 331, 336, 361 and 373 as follows: (1)Section 321, Title IIIB Supportive Services; (2)Section 331, Title IIIC1 Congregate Nutrition Services; (3)Section 336, Title IIIC2 Home Delivered Nutrition Services; (4)Section 373, Title IIIE Caregiver Support Services; and (5)Sections 321 and 373 - Information and Referral/Assistance Access Services (Elder Helplines) 2.1.2.1. Supportive Services Supportive services include a variety of community -based and home -delivered services that support the quality of life for older individuals by helping them remain independent and productive. Services include the following: (I)Adult Day Care/Adult Day Health Care; (2)Caregiver Training/Support; (3)Case Aid/Case Management; (4)Chore Services; (5)Companionship; (6)Counseling (Gerontological and Mental Health); (7 )Education / Training; (8)Emergency Alert Response; (9)Escort; (I O)Health Support; 15/48 CONTRACT AA-1015 (I ] )Home Health Aid; (I 2)Homemaker; (I 3)Housing Improvement; (14)Information; (15)Intake; (I 6)Interpreter/ Translating; (I 7)Legal Assistance; (I 8)Material Aid; (19)Occupational Therapy; (20)Outreach; (21)Personal Care; (22)Physical Therapy; (23)Recreation; (24)Referral/Assistance; (25)Respite Services; (26)Screening/Assessment; (27)Shopping Assistance; (28)Skilled Nursing; (29)Specialized Medical Equipment, Services and Supplies; (30)Speech Therapy; (31)Telephone Reassurance; and (32)Transportation. 2.1.2.2.1. Congregate Nutrition Services Nutrition services are provided in congregate settings and are designed to reduce hunger and food insecurity, promote socialization and the health and well being of older individuals by assisting them to gain access to nutrition and other disease prevention and health promotion services. Services include: (])Congregate meals; (2)Congregate meals screening; (3)Nutrition education and nutrition counseling; and (4)Outreach. 2.1.2.2.2. Home Delivered Nutrition Services In -home nutrition services are provided to reduce hunger and food insecurity; promote socialization and the health and well being of older individuals by assisting such individuals to gain access to nutrition and other disease prevention and health promotion services. Services include: (I)Home delivered meals; (2)Nutrition education and counseling; and (3)0utreach. 2.1.2.3. Caregiver Support Services Program The Caregiver Support Services Program components are designated in the Client Information and Registration Tracking System (CIRTS) as follows: (1)Caregiver Support Services (IIIE Program); (2)Caregiver Supplemental Services (IIIES Program); and (3)Grandparent Support Services (IIIEG Program) 16/48 CONTRACT AA-1015 2.1.2.4. Caregiver Support Services (IIIE Program) The following services are intended to provide direct help to caregivers, assist in the areas of health, nutrition and financial literacy and assist caregivers in making decisions and problem solving related to their caregiving roles and responsibilities: (1) Adult Day Care/Adult Day Health Care; (2) Caregiver Training/Support; (3) Counseling (Gerontological and Mental Health); Education/Training; (4) Financial Risk Reduction (Assessment and Maintenance); (5) Information; (6) Intake; (7) Outreach; (8) Referral/Assistance; (9) Respite; (10) Screening and assessment; (11) Transportation. 2.1.2.5. Caregiver Support Supplemental Services (IIIES Program): At least 10 percent, but no more than 20 percent, of the total Title IIIE funds shall be used to provide supplemental support services. The following services are provided to complement the care provided by caregivers. (1)Chore Services; (2)Housing Improvement; (3)Legal Assistance; (4)Material Aid; and (5)Specialized Medical Equipment, Services and Supplies. 2.1.2.6. Caregiver Support Grandparent Services (IIIEG Program): At least 5 percent, but no more than 10 percent, of the total Title IIIE funds shall be used to provide support services to grandparents and older individuals who are relative caregivers. Services for grandparents or older individuals who are relative caregivers designed to help meet their caregiving obligations include: (1)Caregiver Training/Support; (2)Child Day Care; (3)Counseling (Gerontological and Mental Health); (4)Education / Training; (5)Information (6)Legal Assistance (7) Outreach; (8) Referral/Assistance (9) Screening/Assessment; (10) Sitter; and (11) Transportation 2.1.3. Monitoring the Performance of Subcontractors The contractor shall conduct at least one monitoring per year of each subcontractor. The contractor shall perform fiscal, administrative and programmatic monitoring of each subcontractors to ensure contractual compliance, fiscal accountability, programmatic performance, and compliance with applicable state and federal laws and regulations. 2.2. SERVICE LOCATION AND EQUIPMENT 2.2.1. Service Times The contractor shall ensure the provision of the services listed in the contract during normal business hours unless other times are more appropriate to meet the performance requirements of the contract, and it shall monitor its subcontractors to ensure they are available to provide services during hours responsive to client needs and during those times which best meet the needs of the relevant service community. 2.3. Equipment 2.3.1. Equipment means: (a) an article of nonexpendable, tangible personal property having a useful life 17/48 CONTRACT AA-1015 of more than one year and an acquisition cost which equals or exceeds the lesser of the capitalization level established by the organization for the financial statement purposes, or $5,000.00 [for federal funds], or (b); nonexpendable, tangible personal property of a nonconsumable nature with an acquisition cost of $1,000.00 or more per unit, and expected useful life of at least one year; and hardback bound books not circulated to students or the general public, with a value or cost of $250.00 or more [for state funds]. 2.3.2. Contractors and sub -contractors who are Institutions of Higher Education, Hospitals, and Other Non -Profit Organizations shall have written property management standards in compliance with 2 CFR Part 215 Administrative Requirements (formerly OMB Circular A-1 10) that include: (a) a property list with all the elements identified in the circular; and, (b) a procedure for conducting a physical inventory of equipment at least once every two years. The property records must be maintained on file and shall be provided to the Alliance upon request. 2.3.3. The contractor's property management standards for equipment acquired with Federal funds and federally -owned equipment shall include accurately maintained equipment records with the following information: (1) A description of the equipment; (2) Manufacturer's serial number, model number, Federal stock number, national stock number, or other identification number; (3) Source of the equipment, including the award number; (4) Whether title vests in the contractor or the Federal Government; (5) Acquisition date (or date received, if the equipment was furnished by the Federal Government) and cost; (6) Information from which one can calculate the percentage of Federal participation in the cost of the equipment (not applicable to equipment furnished by the Federal Government); (7) Location and condition of the equipment and the date the information was reported; (8) Unit acquisition cost; and (9) Ultimate disposition data, including date of disposal and sales price or the method used to determine current fair market value where a contractor compensates the Federal awarding agency for its share. 2.3.4. Equipment purchased with federal funds with an acquisition cost over $5,000.00 and equipment purchased with state funds with an acquisition cost over $1,000.00 that is specifically identified in the area plan approved by the Alliance is part of the cost of carrying out the activities and functions of the grant awards and Title (ownership) will vest in the contractor, subject to the conditions of 2 CFR Part 215 Administrative Requirements (formerly OMB Circular A-1 10), Subpart C, Paragraph 34. Equipment purchased under these thresholds is considered supplies and is not subject to property standards. Equipment purchased with funds identified in the budget attachments to agreements covered by this contract, or identified in the sub - agreements with sub -contractors (not included in a cost methodology), is subject to the conditions of section 273, F. S. and 60A-1.0017, F. A. C. or Title 45 CFR Part 74. 2.3.5. The contractor shall not dispose of any equipment or materials provided by the Alliance, or purchased with funds provided through this contract without first obtaining the approval of the Alliance's Contract Manager. When disposing of property or equipment the contractor must submit a written request for disposition instructions to the respective Contract Manager. The request should include a brief description of the property, purchase price, funding source, 18/48 CONTRACT AA-1015 percentage of state or federal participation, acquisition date and condition of the property. The request should also indicate the contractor's proposed disposition (i.e., transfer or donation to another agency that administers federal programs, offer the items for sale, destroy the items, etc.). 2.3.6. The Alliance's Contract Manager will issue disposition instructions. If disposition instructions are not received within 120 days of the written request for disposition, the contractor is authorized to proceed as directed in 2 CFR Part 215 Administrative Requirements (formerly OMB Circular A-1 10). 2.3.7. Real property means land (including land improvements), buildings, structures and appurtenances thereto, but excludes movable machinery and equipment. Real property may not be purchased with state or federal funds through agreements covered under this contract without the prior approval of the Alliance. Real property purchases from Older Americans Act funds are subject to the provisions of Title 42, Chapter 35, Subchapter III, Part A., Sec. 3030b United States Code (USC). Real property purchases from state funds can only be made through a fixed capital outlay grants and aids appropriation and therefore are subject to the provisions of s. 216.348, F. S. 2.3.8. Any permanent storage devices (e.g.: hard drives, removable storage media) must be reformatted and tested prior to disposal to ensure no confidential information remains. 2.4. DELIVERABLES 2.4.1 Service Unit The contractor shall provide the services described in the contract in accordance with ATTACHMENT A. The chart below lists the services that can be performed and the unit of measurement. 19/48 CONTRACT AA-1015 SERVICE UNIT OF SERVICE Adult Day Care/Adult Day Health Interpreter/Translating Care Legal Assistance Caregiver Training/Support Medication Management Case Aid/Case Management Mental Health Child Day Care Counseling/Screening Chore Services Nutrition Counseling Companionship Occupational Therapy Congregate Meals Screening Personal Care Counseling Services Physical Fitness Hour Escort Physical Therapy Recreation Financial Risk Reduction Services Respite Services Health Support Screening/Assessment Home Health Aide Sitter Homemaker Skilled Nursing Services Housing Improvement Speech Therapy Intake Emergency Alert Response Day Education / Training Information Material Aid Medication Management Nutrition Education Outreach Referral/Assistance Specialized Medical Equipment, Services and Supplies Telephone Reassurance Episode Escort Shopping Assistance Transportation One -Way Trip Congregate and Home Delivered Meals Meal 20/48 CONTRACT AA-1015 2.5 REPORTS 2.5.1 The contractor is responsible for responding in a timely fashion to additional routine and/or special requests for information and reports required by the Alliance. The contractor must establish due dates for any subcontractors that permit the contractor to meet the Alliance's reporting requirements. 2.5.2. Service Costs Reports The contractors shall submit to the Alliance semi-annual service cost reports, which reflect actual costs of providing each service by program. This report provides information for planning and negotiating unit rates. 2.5.3. Surplus/Deficit Report The contractor will submit a consolidated surplus/deficit report in a format provided by the Alliance to the Alliance's Contract Manager by the 25th of each month. This report is for all agreements and/or contracts between the contractor and the Alliance. The report shall include the following: (1)A list of all subcontractors and their current status regarding surplus/deficit; (2)The contractor's detailed plan on how the surplus/deficit spending exceeding the threshold specified by the Alliance will be resolved; (3)Recommendations to transfer funds to resolve surplus/deficit spending; (4)Input from the contractor's Board of Directors on resolution of spending issues, if applicable (5)Number of clients currently on Assessed Priority Consumer List (APCL) that receive a priority ranking score of 4 or 5. 2.5.4. Disease Prevention and Health Promotion Services Reports The contractor shall submit detailed reports of health and wellness promotion, disease prevention and self -management activities in accordance with the requirements of the Alliance. 2.5.5. OAA Annual Report The contractor will provide the Alliance with the data needed to complete the Older American's Act Annual Report. 2.6. RECORDS AND DOCUMENTATION The contractor will ensure the collection and maintenance of client and service information on a monthly basis from the CIRTS or any such system designated by the Alliance. Maintenance includes valid exports and backups of all data and systems according to Alliance standards. 2.6.1. Each contractor and subcontractor, among other requirements, must anticipate and prepare for the loss of information processing capabilities. The contractor shall maintain written policies and procedures for computer system backup and recovery and shall have the same requirement in its contracts and/or agreements with subcontractors. These policies and procedures shall be made available to the Alliance upon request. 2.7. PERFORMANCE SPECIFICATIONS 2.7.1. Outcomes (1) The contractor shall timely submit to the Alliance all reports described in ATTACHMENT I, Paragraph 2.5. REPORTS; 21/48 CONTRACT AA-1015 (2) The contractor shall timely submit to the Alliance all information described in ATTACHMENT I, Paragraph 2.6. RECORDS AND DOCUMENTATION; (3) The contractor shall ensure services in this contract are in accordance with ATTACHMENT A. 2.7.2. The performance of the contractor in providing the services described in this contract shall be measured by the current Area Plan strategies for the following criteria: (1)Percent of most frail elders who remain at home or in the community instead of going into a nursing home; (2)Percent of Adult Protective Services (APS) referrals who are in need of immediate services to prevent further harm who are served within 72 hours; (3)Average monthly savings per consumer for home and community -based care versus nursing home care for comparable client groups; (4)Percent of elders assessed with high or moderate risk environments who improved their environment score; (5)Percent of new service recipients with high -risk nutrition scores whose nutritional status improved; (6)Percent of new service recipients whose ADL assessment score has been maintained or improved; (7)Percent of new service recipients whose IADL assessment score has been maintained or improved; (8)Percent of family and family -assisted caregivers who self -report they are very likely to provide care; (9)Percent of caregivers whose ability to continue to provide care is maintained or improved after one year of service intervention (as determined by the caregiver and the assessor); and (10)Percent of customers who are at imminent risk of nursing home placement who are served with community based services. 2.7.3. Monitoring and Evaluation Methodology The Alliance will review and evaluate the performance of the contractor under the terms of this contract. Monitoring shall be conducted through direct contact with the contractor through telephone, in writing, or an on -site visit. The Alliance's determination of acceptable performance shall be conclusive. The contractor agrees to cooperate with the Alliance in monitoring the progress of completion of the service tasks and deliverables. 2.8. CONTRACTOR'S FINANCIAL OBLIGATIONS 2.8.1. Matching, Level of Effort, and Earmarking Requirements The contractor will provide match of at least 10 percent of the federal administrative funds received. The contractor's match will be made in the form of cash, general revenue administrative funds and/or in -kind resources. The contractor will assure, through a provision in subcontracts, a match requirement of at least 10 percent of the cost for all services funded through this contract except Title IIID. The subcontractor's match will be made in the form of cash and/or in -kind resources. Match must be reported by title each month. At the end of the contract period, all OAA funds must be properly matched. 2.8.2. Consumer Contributions (1)The contractor assures compliance with Section 315 of the Older Americans Act as amended in 2006, in regard to consumer contributions; 22/48 CONTRACT AA-1015 (2)Voluntary contributions are not to be used for cost sharing or matching; (3)Accumulated voluntary contributions are to be used prior to requesting federal reimbursement; and (4)Voluntary contributions are to be used only to expand services. 2.8.3. Use of Service Dollars The contractor is expected to spend all federal, state and other funds provided by the Alliance for the purpose specified in the contract. The contractor must manage the service dollars in such a manner so as to avoid having a wait list and a surplus of funds at the end of the contract period, for each program managed by the contractor. If the Alliance determines that the contractor is not spending service funds accordingly, the Alliance may transfer funds to other PSAs during the contract period and/or adjust subsequent funding allocations accordingly, as allowable under state and federal law. 2.9. ALLIANCE RESPONSIBILITIES 2.9.1. Program Guidance and Technical Assistance The Alliance will provide to the contractor guidance and technical assistance as needed to ensure the successful fulfillment of the contract by the contractor. 2.9.2. Contract Monitoring The Alliance shall, at its own discretion, conduct monitoring concerning any aspect of the contractor's performance of this contract. SECTION III: METHOD OF PAYMENT 3.1. General Statement of Method of Payment The method of payment for this contract includes advances, cost reimbursement for administration costs, and fixed rate for services. The contractor shall ensure fixed rates for services include only those costs that are in accordance with all applicable state and federal statutes and regulations and are based on audited historical costs in instances where an independent audit is required. The contractor shall consolidate all requests for payment from subcontractors and expenditure reports that support requests for payment and shall submit to the Alliance on forms 106A (ATTACHMENT X), 105AA (ATTACHMENT IX -A), 105AS (ATTACHMENT IX-B) and 105AE (ATTACHMENT IXC). 3.2. Advance Payments 3.2.1. The contractor may request up to two months of advances at the start of the contract period, if available, to cover program administrative and service costs. The payment of an advance will be contingent upon the sufficiency and amount of funds released to the Alliance by the State of Florida ("budget release"). The contractor shall provide the Alliance's Contract Manager documentation justifying the need for an advance and describing how the funds will be distributed. 3.2.2. The contractor's requests for advance require the approval of the Alliance's. If sufficient budget is available, the Alliance will issue approved advance payments after January 1, 2010. 3.2.3. Requests for the third through the twelfth months shall be based on the submission of actual monthly expenditure reports beginning with the first month of the contract. The schedule for submission of advance requests, if available is shown on ATTACHMENT 23/48 CONTRACT AA-1015 VIII of this contract. 3.2.4. All advance payments made to the contractor shall be recouped in accordance with the Reporting Schedule, ATTACHMENT VIII of this contract. 3.2.5. Interest earned on advances must be identified separately by source of funds, state or federal. Contractors shall maintain advances of federal funds in interest bearing accounts unless otherwise excepted in accordance with 45 CFR 74.22(k). 3.3. Invoice Submittal and Requests for Payment All requests for payment and expenditure reports submitted to support requests for payment shall be on DOEA forms 106A (ATTACHMENT X), 105AA (ATTACHMENT IVA), 105AS (ATTACHMENT IX-B) and 105AE (ATTACHMENT IX-C). Duplication or replication of both forms via data processing equipment is permissible, provided all data elements are in the same format as included on Alliance forms. 3.3.1. All payment requests shall be based on the submission of actual monthly expenditure reports beginning with the first month of the contract. The schedule for submission of advance requests (when available) and invoices is ATTACHMENT VIII to this contract. 3.3.2. Any payment due by the Alliance under the terms of this contract may be withheld pending the receipt and approval of all financial and programmatic reports due from the contractor and any adjustments thereto, including any disallowance not resolved as outlined in Paragraph 22 of this contract. 3.4. Documentation for Payment The contractor shall maintain documentation to support payment requests that shall be available to the Alliance or authorized individuals, such as Alliance of Financial Services, upon request. 3.4.1. The contractor shall ensure subcontractors enter all required data per the Alliance's CIRTS Policy Guidelines for clients and services in the CIRTS database. Data must be entered into CIRTS before the subcontractors submit their request for payment and expenditure reports to the contractor. The contractor shall establish time frames to assure compliance with due dates for the requests for payment and expenditure reports to the Alliance. 3.4.2. The contractor will require subcontractors to run monthly CIRTS reports and verify that client and service data in CIRTS is accurate. This report must be submitted to the contractor with the monthly request for payment and expenditure report and must be reviewed by the contractor before the subcontractor's request can be approved by the contractor. 24/48 CONTRACT AA-1015 ATTACHMENT II CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS, GRANTS, LOANS AND AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: (1)No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any state or federal agency, a member of congress, an officer or employee of congress, an employee of a member of congress, or an officer or employee of the state legislator, in connection with the awarding 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 sub -awards at all tiers (including subcontracts, sub -grants, and contracts under grants, loans and cooperative agreements) and that all subcontractors 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 $10,000.00 and not more than $100,000.00 for each such failure. Signature Date Name of Authorized Individual Application or Agreement Number Name and Address of Organization DOEA Form 103 (Revised Nov 2002) 25/48 CONTRACT AA-1015 ATTACHMENT III FINANCIAL AND COMPLIANCE AUDIT The administration of resources awarded by the Alliance to the provider may be subject to audits and/or monitoring by the Alliance, as described in this section. MONITORING In addition to reviews of audits conducted in accordance with OMB Circular A-133, as revised, and Section 215.97, F.S., (see "AUDITS" below), monitoring procedures may include, but not be limited to, on -site visits by the Alliance staff, limited scope audits as defined by OMB Circular A-133, as revised, and/or other procedures. By entering into this agreement, the provider agrees to comply and cooperate with any monitoring procedures/processes deemed appropriate by the Alliance for Aging. In the event the Alliance for Aging determines that a limited scope audit of the provider is appropriate, the provider agrees to comply with any additional instructions provided by the Alliance to the provider regarding such audit. The provider further agrees to comply and cooperate with any inspections, reviews, investigations, or audits deemed necessary by any level of government. AUDITS PART I: FEDERALLY FUNDED This part is applicable if the provider is a State or local government or a non-profit organization as defined in OMB Circular A-133, as revised. In the event that the provider expends $500,000.00 or more in Federal awards during its fiscal year, the provider must have a single or program -specific audit conducted in accordance with the provisions of OMB Circular A- 133, as revised. EXHIBIT 1 to this agreement indicates Federal resources awarded through the Alliance by this agreement. In determining the Federal awards expended in its fiscal year, the provider shall consider all sources of Federal awards, including Federal resources received from the Alliance. The determination of amounts of Federal awards expended should be in accordance with the guidelines established by OMB Circular A-133, as revised. An audit of the provider conducted by the Auditor General in accordance with the provisions of OMB Circular A-133, as revised, will meet the requirements of this part. In connection with the audit requirements addressed in Part I, paragraph 1, the provider shall fulfill the requirements relative to auditee responsibilities as provided in Subpart C of OMB Circular A-133, as revised. If the provider expends less than $500,000.00 in Federal awards in its fiscal year, an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, is not required. In the event that the provider expends less than $500,000.00 in Federal awards in its fiscal year and elects to have an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, the cost of the audit must be paid from non - Federal resources (i.e., the cost of such audit must be paid from provider resources obtained from other than Federal entities.) An audit conducted in accordance with this part shall cover the entire organization for the organization's fiscal year. Compliance findings related to agreements with the Alliance shall be based on the agreement's requirements, including any rules, regulations, or statutes referenced in the agreement. The financial statements shall disclose whether or not the matching requirement was met for each applicable agreement. All questioned costs and liabilities due to the Alliance shall be fully disclosed in the audit report with reference to the Alliance agreement involved. If not otherwise disclosed as required by Section .310(b)(2) of OMB Circular A-133, as revised, the schedule of expenditures of Federal awards shall identify expenditures by agreement number for each agreement with the Alliance in effect during the audit period. Financial reporting packages required under this 26/48 CONTRACT AA-1015 part must be submitted within the earlier of 30 days after receipt of the audit report or 9 months after the end of the provider's fiscal year end. As an Alliance requirement the Statement of Functional Expenses need to be part of the Financial and Compliance Audit Report. PART II: STATE FUNDED This part is applicable if the provider is a nonstate entity as defined by Section 215.97(2), Florida Statutes. In the event that the provider expends a total amount of state financial assistance equal to or in excess of $500,000.00 in any fiscal year of such provider (for fiscal years ending September 30, 2004 or thereafter), the provider must have a State single or project -specific audit for such fiscal year in accordance with Section 215.97, Florida Statutes; applicable rules of the Alliance of Financial Services; and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General. EXHIBIT I to this agreement indicates state financial assistance awarded through the Alliance by this agreement. In determining the state financial assistance expended in its fiscal year, the provider shall consider all sources of state financial assistance, including state financial assistance received from the Alliance, other state agencies, and other nonstate entities. State financial assistance does not include Federal direct or pass -through awards and resources received by a nonstate entity for Federal program matching requirements. In connection with the audit requirements addressed in Part Il, paragraph 1, the provider shall ensure that the audit complies with the requirements of Section 215.97(8), Florida Statutes. This includes submission of a financial reporting package as defined by Section 215.97(2), Florida Statutes, and Chapter 10.550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General. If the provider expends less than $500,000.00 in state financial assistance in its fiscal year (for fiscal years ending September 30, 2004 or thereafter), an audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, is not required. In the event that the provider expends less than $500,000.00 in state financial assistance in its fiscal year and elects to have an audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, the cost of the audit must be paid from the nonstate entity's resources (i.e., the cost of such an audit must be paid from the provider resources obtained from other than State entities). An audit conducted in accordance with this part shall cover the entire organization for the organization's fiscal year. Compliance findings related to agreements with the Alliance shall be based on the agreement's requirements, including any applicable rules, regulations, or statutes. The financial statements shall disclose whether or not the matching requirement was met for each applicable agreement. All questioned costs and liabilities due to the Alliance shall be fully disclosed in the audit report with reference to the Alliance agreement involved. If not otherwise disclosed as required by Rule 691-5.003, Fla. Admire. Code, the schedule of expenditures of state financial assistance shall identify expenditures by agreement number for each agreement with the Alliance in effect during the audit period. Financial reporting packages required under this part must be submitted within 45 days after delivery of the audit report, but no later than 12 months after the provider's fiscal year end for local governmental entities. Non-profit or for -profit organizations are required to be submitted within 45 days after delivery of the audit report, but no later than 9 months after the provider's fiscal year end. Notwithstanding the applicability of this portion, the Alliance retains all right and obligation to monitor and oversee the performance of this agreement as outlined throughout this document and pursuant to law. As an Alliance requirement the Statement of Functional Expenses need to be part of the Financial and Compliance Audit Report. 27/48 CONTRACT AA-1015 PART III: REPORT SUBMISSION Copies of reporting packages for audits conducted in accordance with OMB Circular A-133, as revised, and required by PART I of this agreement shall be submitted, when required by Section .320 (d), OMB Circular A-133, as revised, by or on behalf of the provider directly to each of the following: The Alliance for Aging, Inc. at the following address: Alliance for Aging, Inc. Attn: Carlos Lahitte 9500 South Dadeland Boulevard, Suite 400 Miami, FL 33156-2867 28/48 CONTRACT AA-1015 ATTACHMENT III EXHIBIT-2 PART I: AUDIT RELATIONSHIP DETERMINATION Providers who receive state or federal resources may or may not be subject to the audit requirements of OMB Circular A-133, as revised, and/or Section 215.97, Fla. Stat. Providers who are determined to be recipients or subrecipients of federal awards and/or state financial assistance may be subject to the audit requirements if the audit threshold requirements set forth in Part I and/or Part II of Exhibit 1 are met. Providers who have been determined to be vendors are not subject to the audit requirements of OMB Circular A-133, as revised, and/or Section 215.97, Fla. Stat. Regardless of whether the audit requirements are met, providers who have been determined to be recipients or subrecipients of Federal awards and/or state financial assistance, must comply with applicable programmatic and fiscal compliance requirements. In accordance with Sec. 210 of OMB Circular A-133 and/or Rule 691-5.006, FAC, provider has been determined to be: _ Vendor or exempt entity and not subject to OMB Circular A-133 and/or Section 215.97, F.S. X Recipient/subrecipient subject to OMB Circular A-133 and/or Section 215.97, F.S. NOTE: If a provider is determined to be a recipient /subrecipient of federal and or state financial assistance and has been approved by the Alliance to subcontract, they must comply with Section 215.97(7), F.S., and Rule 69I- .006(2), FAC [state financial assistance] and Section _ .400 OMB Circular A-133 [federal awards]. PART II: FISCAL COMPLIANCE REQUIREMENTS FEDERAL AWARDS OR STATE MATCHING FUNDS ON FEDERAL AWARDS. Providers who receive Federal awards or state matching funds on Federal awards and who are determined to be a subrecipient, must comply with the following fiscal laws, rules and regulations: STATES, LOCAL GOVERNMENTS AND INDIAN TRIBES MUST FOLLOW: 2 CFR Part 225 Cost Principles for State, Local and Indian Tribal Governments (Formerly OMB Circular A-87)* OMB Circular A-102 — Administrative Requirements OMB Circular A-133 — Audit Requirements Reference Guide for State Expenditures Other fiscal requirements set forth in program laws, rules and regulations NON-PROFIT ORGANIZATIONS MUST FOLLOW: 2 CFR Part 230 Cost Principles for Non -Profit Organizations (Formerly OMB Circular A-122 - Cost Principles)* 2 CFR Part 215 Administrative Requirements (Formerly OMB Circular A-110 - Administrative Requirements) Requirements) OMB Circular A-133 - Audit Requirements Reference Guide for State Expenditures Other fiscal requirements set forth in program laws, rules and regulations EDUCATIONAL INSTITUTIONS (EVEN IF A PART OF A STATE OR LOCAL GOVERNMENT) MUST FOLLOW: 2 CFR Part 220 Cost Principles for Educational Institutions OMB (Formerly Circular A-21- Cost Principles)* 29/48 CONTRACT AA-1015 2 CFR Part 215 Administrative Requirements (Formerly OMB Circular A-110 - Administrative Requirements) OMB Circular A-133 — Audit Requirements Reference Guide for State Expenditures Other fiscal requirements set forth in program laws, rules and regulations *Some Federal programs may be exempted from compliance with the Cost Principles Circulars as noted in the OMB Circular A-133 Compliance Supplement, Appendix 1. STATE FINANCIAL ASSISTANCE. Providers who receive state financial assistance and who are determined to be a recipient/subrecipient, must comply with the following fiscal laws, rules and regulations: Section 215.97, Fla. Stat. Chapter 691-5, Fla. Admin. Code State Projects Compliance Supplement Reference Guide for State Expenditures Other fiscal requirements set forth in program laws, rules and regulations 30/48 CONTRACT AA-1015 ATTACHMENT IV CERTIFICATION REGARDING DATA INTEGRITY COMPLIANCE FOR AGREEMENTS, GRANTS, LOANS AND COOPERATIVE AGREEMENTS The undersigned, an authorized representative of the contractor named in the contract or agreement to which this form is an attachment, hereby certifies that: (1)The contractor and any sub -contractors of services under this contract have financial management systems capable of providing certain information, including: (1) accurate, current, and complete disclosure of the financial results of each grant- funded project or program in accordance with the prescribed reporting requirements; (2) the source and application of funds for all agreement supported activities; and (3) the comparison of outlays with budgeted amounts for each award. The inability to process information in accordance with these requirements could result in a return of grant funds that have not been accounted for properly. (2)Management Information Systems used by the contractor, sub-contractor(s), or any outside entity on which the contractor is dependent for data that is to be reported, transmitted or calculated, have been assessed and verified to be capable of processing data accurately, including year -date dependent data. For those systems identified to be non -compliant, contractor(s) will take immediate action to assure data integrity. (3)If this contract includes the provision of hardware, software, firmware, microcode or imbedded chip technology, the undersigned warrants that these products are capable of processing year -date dependent data accurately. All versions of these products offered by the contractor (represented by the undersigned) and purchased by the State will be verified for accuracy and integrity of data prior to transfer. In the event of any decrease in functionality related to time and date related codes and internal subroutines that impede the hardware or software programs from operating properly, the contractor agrees to immediately make required corrections to restore hardware and software programs to the same level of functionality as warranted herein, at no charge to the State, and without interruption to the ongoing business of the state, time being of the essence. (4) The contractor and any sub-contractor(s) of services under this contract warrant their policies and procedures include a disaster plan to provide for service delivery to continue in case of an emergency including emergencies arising from data integrity compliance issues. The contractor shall require that the language of this certification be included in all subagreements, subgrants, and other agreements and that all sub -contractors shall certify compliance 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 OMB Circulars A-102 and 2 CFR Part 215 (formerly OMB Circular A-1 10). Name and Address of Contractor Signature Title Name of Authorized Signer (Revised June 2008) Date 31/48 CONTRACT AA-1015 ATTACHMENT V CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION FOR LOWER TIER COVERED TRANSACTIONS (1)The prospective contractor certifies, by signing this certification, neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal Alliance or agency. (2)Where the prospective contractor is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this certification. Signature Date Title Agency/Organization (Certification signature should be same as Contract signature.) Instructions for Certification 1.The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "person," "primary covered transaction," and 'voluntarily excluded," as used herein, have the meanings set out in the sections of rules implementing Executive Order 12549. (2 CFR 180.5- 180.1020, as supplemented by 2 CFR 376.10-376.995). You may contact the Contract Manager for assistance in obtaining a copy of those regulations. 2.This certification is a material representation of facts upon which reliance was placed when the parties entered into this transaction. If it is later determined that the contractor knowingly rendered an erroneous certification, in addition to other remedies available to the federal government, the Alliance may pursue available remedies, including suspension and/or debarment. 3.The contractor will provide immediate written notice to the Contract Manager if at any time the contractor learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. The contractor may decide the method and frequency by which it determines the eligibility of its principals. Each participant to a lower tier covered transaction may, but is not required to, check the Excluded Parties List System (EPLS). 4.The contractor will include a "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction" in all its lower tier covered transactions and in all solicitations for lower tier covered transactions. 5.The contractor agrees that it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, determined ineligible or voluntarily excluded from participation, unless otherwise authorized by the federal government. 6.If the contractor knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the federal government, the Alliance may pursue available remedies, including suspension, and/or debarment. .The contractor may rely upon a certification of a prospective participant hi a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. (Revised June 2008) 32/48 CONTRACT AA-1015 ATTACHMENT VI ASSURANCES —NON -CONSTRUCTION PROGRAMS Public reporting burden for this collection of information is estimated to average 45 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget. Paperwork Reduction Project (0348-0043), Washington, DC 20503. PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY. Note: Certain of these assurances may not be applicable to your project or program. If you have questions please contact the awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be notified. l .Has the legal authority to apply for Federal assistance, and the institutional, managerial and financial capability (including funds sufficient to pay the non -Federal share of project cost) to ensure proper planning, management, and completion of the project described in this application. 2.Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. 3.Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4.Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5.Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C.. 47284763) relating to prescribed standards for merit systems for programs funded under one of the 19 statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F). 6.Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C.. 1681-1683, and 1685- 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C.794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C.. 6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g). 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C.. 290 dd-3 and 290 ee 3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title V1II of the Civil Rights Act of 1968 (42 U.S.C.. 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) the requirements of any other nondiscrimination statute(s) which may apply to the application. 7.Will comply, or has already complied, with the requirements of Titles Il and III of the uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. 8. Will comply, as applicable, with the provisions of the Hatch Act (5 U.S.C..1501-1508 and 7324-7328), which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9.Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C.276a to 276a-7), the Copeland Act (40 U.S.C. 276c and 18 U.S.C. 874) and the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333), regarding labor standards for federally assisted construction subagreements. 33/48 CONTRACT AA-1015 10.Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000.00 or more. 11.Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO)11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C..1451 et seq.); (f) conformity of Federal actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93-205). 12 Will comply with the Wild and Scenic Rivers Act of 1968 components of the national wild and scenic rivers system. (16 U.S.C..1721 et seq.) related to protecting components or potential 13.Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C..470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C..469a-1 et seq.). 14.Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. 15.Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C..2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance. 16.Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C..4801 et seq.), which prohibits the use of lead- based paint in construction or rehabilitation of residence structures. 17.Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and OMB Circular No. A-133, Audits of States, Local Governments, and Non -Profit Organizations. 18.Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program. SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE APPLICANT ORGANIZATION DATE SUBMITTED 34/48 CONTRACT AA-1015 ATTACHMENT VII BLANK 35/48 CONTRACT AA-1015 ATTACHMENT VIII CONTRACT REPORT CALENDAR ADVANCE BASIS CONTRACT Report Based On Submit to the Alliance on this Date 1 January Advance* January 1 2 February Advance* January 1 3 January Expenditure Report February 5 4 February Expenditure Report March 5 5 March Expenditure Report Aril 5 6 Aril Expenditure Report May 5 7 May Expenditure Report June 5 8 June Expenditure Report July 5 9 July Ex enditure Report August 5 10 August Expenditure Report September 5 11 September Expenditure Report October 5 12 October Expenditure Report November 5 13 November Expenditure Report/Jan. Adv. December 5 14 December Expenditure Report/Feb. Adv. January 5 15 Final Expenditure and Request for Payment Report February 14 16 Closeout Report February 28 Legend: * Advance based on projected cash need. ** Submission of expenditure reports may or may not generate a payment request. If final expenditure report reflects funds due back to the Alliance, payment is to accompany the report. Note#1: Report #1 for Advance Basis Agreements cannot be submitted to the State Comptroller prior to January 1 or until the agreement with the Alliance has been executed and a copy sent to the Comptroller. Actual submission of the vouchers to the State Comptroller is dependent on the accuracy of the expenditure report. Note # 2: The last two months of the recipient's fiscal reports covering actual expenditures shall reflect an adjustment repaying advances for the first two months of the agreement, if advances have not been recouped. 36/48 CONTRACT AA-1015 January 2010 Contract #KA009 ATTACHMENT IX -A RECEIPTS AND EXPENDITURE REPORT OLDER AMERICAN ACT PROVIDER NAME, ADDRESS, PHONES AND FEID# THIS REPORT PERIOD FROM: TO: Program Funding Source: CONTRACT PERIOD: CONTRACT# REPORT* PSA# CERTIFICATION: 1 certify to the best of my knowledge and belief that this report is complete and all outlays herein are for purposes set forth in the contract. Prepared bv: Date: Approved bv: Date: 1. Approved Budget 2. Actual Receipts For 3. Total Receipts Year 4. Percent of PART A: BUDGETED INCOME/ RECEIPTS $0.00 This Report $0.00 to Date $0.00 Approved Budget 2. State Funds $0.00 $0.00 $0.00 3. Program Income $0.00 $0.00 $0.00 4. Cash Match (CCE, LICE and Other) $0.00 $0.00 $0.00 / 5. SUBTOTAL: CASH RECEIPTS $0.00 $0.00 $0.00 6. Local In -Kind Match $0.00 $0.00 $0.00 7. TOTAL RECEIPTS $0.00 $0.00 $0.00 1. Approved Budget 2. Expenditures For 3. Expenditures Year 4. Percent of PART B : EXPENDITURES 1. $0.00 This Report $0.00 to Date $0.00 Approved Budget 2. Travel $0.00 $0.00 $0.00 3. TOTAL EXPENDITURES $0.00 $0.00 $0.00 PART C : OTHER EXPENDITURES $0.00 $0.00 $0.00 (For tracking purposes only) $0.00 $0.00 $0.00 1. Match: CCE/GR HCE/GR $0.00 $0.00 $0.00 Other and In -Kind 2. Local Match $0.00 $0.00 $0.00 3. TOTAL S0.00 $0.00 $0.00 PART D : Other Revenue and Expenditures 1. II. Addition Cost Alternative Program Income III. Interest 1. Earned on GR a.OAA Unbudgeted PI Receipts YTD 2. Received YTD $ 2. Return of GR Advance $ $ 3. Expenditures $ 3. Other Earned $ DOEA FORM 105aa revised 10/08 37/48 CONTRACT AA-1015 January 2010 Contract # ATTACHMENT IX-B RECEIPTS AND EXPENDITURE REPORT OLDER AMERICAN ACT PROVIDER NAME, ADDRESS, PHONES AND FEID# Program Funding Source: IIIB HIC1 THIS REPORT PERIOD FROM: TO: CONTRACT nvnrnn. CONTRACT# REPORTS PSA# IRC2 CERTIFICATION: I certify to the best of my knowledge and belief that this report is complete and all outlays herein are for purposes set forth in the contract. Prepared bv: Date: Approved bv: Date: PART A: BUDGETED INCOME/ RECEIPTS 1. Federal Funds 2 Rtata Funds 3. Program Income 4. 1-al Cash Match WCF. HC'F and Other) 5. SUBTOTAL: CASH RECEIPTS 6. Local In -Kind Match 7. TOTAL RECEIPTS 1. Approved Budget $0.00 0 00 $0.00 $n 00 $0.00 $0.00 $0.00 2. Actual Receipts For This Report $0.00 �g0 on $0.00 R0 00 $0.00 $0.00 $0.00 3. Total Receipts Year to Date $0.00 Inm $0.00 In M 50.00 $0.00 $0_00 4. Percent of Approved Budget � PART B : EXPENDITURES 1. Meals / Meal Agreements 2. Service Subcontractor Ofhar 4. Indirect Cost 5. TOTAL EXPENDITURES 1. Approved Budget $0.00 $0.00 1;0 on R100 $0.00 2. Expenditures For This Report $0.00 $0.00 In 00 $0.00 $0.00 3. Expenditures Year to Date $0.00 $0.00 $0.00 $0.00 4. Percent of Approved Budget PART C : OTHER EXPENDITURES (For Tracking Purposes only) 1. Match a. Other and In -Kind h Inral Match 2. USDA Cash Received 3. TOTAL OTHER $0.00 In on $0.00 $0.00 $0.00 140 w $0.00 $0.00 $0.00 low $o.00 $0.00 PART D : OTHER REVENUE AND EXPENDITURES 1. Program Income (PI) a. OAA Unbudgeted PI Receipts YTD $ 2. Addition Cost Alternative Program Income a. Approved Budqet $ b. Received YTD $ c. Expenditures $ 3.Interest a. Earned on GR Advances $ b. Return of GR Adva nee $ c. Other Earned 38/48 CONTRACT AA-1015 January 2009 Contract # RFCF1PTSANTDFXPFNr)MTRF RFP()RTOT I)FR A ARFRICANT A C-r ATTA1-LTA4"Tr TV. PROVIDER NAME, ADDRESS, PHONES AND FEIDS THIS REPORT PERIOD FROM: TO: Program Funding Source: CONTRACT PERIOD: CONTRACTS REPORTS PSAS CERTIFICATION: 1 certify to the best of my knowledge and belief that this report is complete and all set forth outlays in the contract Prepared bv: Date: Approved bv: lerein are for purposes 1. Approved Budget 2. Actual Receipts For 3. Total Receipts Year 4. Percent of PART A: BUDGETED INCOME/ RECEIPTS $0.00 This Report $0.00 to Date $0.00 Approved Budget 2. State Funds $0.00 $0.00 $0.00 3. Program Income $0.00 $0.00 $0.00 4. Local Cash Match $0.00 $0.00 $0.00 5. SUBTOTAL: CASH RECEIPTS $0.00 $0.00 $0.00 6. Local In -Kind Match $0.00 $0,00 50.00 7. TOTAL RECEIPTS $0.00 $0,00 $0.00 PART B : EXPENDITURES 1. Approved Budget 2. Expenditures For 3. $0.00 4. Percent of A: Direct Services 1. $0.00 This Report Expenditures Approved Budget Personnel $0.00 Year to Date 2. Travel $0.00 $0.00 $0.00 3. Building Space $0.00 $0.00 $0.00 4. Communication / Utilities %00 $0.00 $0.00 5. Printing / Supplies $0.00 $0DO $0,00 6. Equipment 7. $0.00 $0.00 $0.00 Other $0.00 $0.00 $0.00 B : Agreement Services 8. $0.00 $0.00 $0.00 Services Subcontracted 9, TOTAL EXPENDITURES $0.00 $0.00 $0.00 10. DEDUCTIONS a. $ 0.00 $0.00 $0.00 Total Local Match b. Program Income Used $0.00 $0.00 $0.00 c. TOTAL DEDUCTIONS $0.00 $0.00 $0.00 11. NET EXPENDITURES $0.00 $0.00 $0.00 PART C :EXPENDITURES ANALYSIS A. Expenditures by 2. Units of Services Year to Date .............. I............. $0.00 3. Number of People Served Year to Date 0.00 Services Year to Date: ................ .......... $0.00 ......................................... $0.00 ....... ......... ......... 0.00 ........................................ 0.00 1. Information ................................. $0.00 ............................... $0.00 .......................................... N fl 2. Assistance ........... $0.00 ........... I................ so.00 ..... .............. I.............. t(x) 3. Counseling ......... -- ..................... $0.00 4. Respite.. $0.00 5. Supplemental Services $0 00 6. TOTAL.. ................ $0.00 Part B Line 11, column 3 should be equal to this total. FFY $ PART D : GRANDPARENT SERVICES (reported by Federal Fiscal Year) w>vA 1-01'CM IUSAh revised IU/U6 39/48 CONTRACT AA-1015 January 2010 REQUEST FOR PAYMENTOLDER AMERICANS ACT Contract # ATTACHMENT X PROVIDER NAME, ADDRESS, PHONE AND FED IDNUMBER TYPE OF REPORT: THIS REQUEST PERIOD: Advance Reimbursement Report# Agreement #: Agreement Period: PSA: CERTIFICATION: 1 hereby certify to the he stof my knowledge that this request conforms with the terms and the purposes set forth in the above agnbement. Prepared By: Daw: Approved By: Date: PART A: (2) (3) (4) (5) (6) (7)Tide (6) BUDGET SUMMARY ADMIN. lIIB lBCI IIIC2 ME TOTAL 1. Approved Agreement 00) 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Amount. 2. Previous Funds 0.00 0.0() O.W 0.00 0.00 0,00 0.00 OW RECEWED for Agreement period. 3. Agreement Balance 0.00 0.00 0.W 0.00 0.00 0.00 O.OD 0.00 4. Previous Funds 0.00 0.00 0.00 00) 0.00 O.W 0.0() 0.00 REQUESTED for Agreement period. 5. Agreement 0.00 O.W 0.00 0.00 0.00 QW 0tx) 0.00 Balance PART B: FUNDS REQUESTED 11st-2nd Months RW 0.00 0.00 0.00 0.W 0.00 0JX) 0.00 Request Only 2. Net Expenditures O.W O.W 0.00 0.00 0.00 0.00 0.00 0.00 For Month 3. Additional Cash Needs 0.00 0.00 0.00 O.W 0.00 0.00 0.W 0.00 (Attach Doc.) 4. Total 0.00 O.W 0.00 0.00 0.W O.On 0,00 0.00 PART C: NET FUNDS REQUESTED: 1. Less: Over -Advance 0.00 0.00 0.00 0.00 0.00 O.W 0.00 O.W 2. Agreement Funds are 00) 0.00 0.00, 0tX) 0.00 00) 0tx) 0.00 Hereby Requested For D0T,AK)RMI0b4m✓ziaJ0l107 3 DATE STAMP 40/48 CONTRACT AA-1015 January 2010 Contract # ATTACHMENT A Department of Elder Affairs Programs & Services Handbook, provided on CD. Also, available at the Alliance's Intranet site under, "Publications". 41/48 CONTRACT AA-1015 ATTACHMENT B STATE OF FLORIDA ALLIANCE CIVIL RIGHTS COMPLIANCE CHECKLIST Program/Facility Name County Contractor Address Completed By City, State, Zip Code Date Telephone PART I. READ THE ATTACHED INSTRUCTIONS FOR ILLUSTRATIVE INFORMATION WHICH WILL HELP YOU IN THE COMPLETION OF THIS FORM. 1. Briefly describe the geographic area served by the program/facility and the type of service provided: 2. POPULATION OF AREA SERVED. Source of data: Total# % White % Black % Hispanic % Other % Female 3. STAFF CURRENTLY EMPLOYED. Effective date: Total# % White % Black % Hispanic % Other % Female % Disabled 4. CLIENTS CURRENTLY ENROLLED OR REGISTERED Effective date: Total# % White % Black I % Hispanic % Other % Female % Disabled % Over 40 5. ADVISORY OR GOVERNING BOARD, IF APPLICABLE. Total # % White :E % Black % Hispanic % Other % Female % Disabled PART H. USE A SEPARATE SHEET OF PAPER FOR ANY EXPLANATIONS REQUIRING MORE SPACE. 6. Is an Assurance of Compliance on file with the Alliance? If NA or NO explain NA YES NO 7. Compare the staff composition to the population. Is staff representative of the population? If NA or NO, explain. NA YES NO 8. Compare the client composition to the population. Are race and sex characteristics representative of the Population? If NA or NO, explain. NA YES NO 9. Are eligibility requirements for services applied to clients and applicants without regard to race, color, national origin, sex, age, religion or disability? If NA or NO, explain. NA YES NO 42/48 CONTRACT AA-1015 10. Are all benefits, services and facilities available to applicants and participants in an equally effective manner regardless of race, sex, color, age, national origin, religion or disability? If NA or NO, explain. NA YES NO 11. For in -patient services, are room assignments made without regard to race, color, national origin or disability? If NA or NO, explain. NA YES NO 12. Is the program/facility accessible to non-English speaking clients? If NA or NO, explain. NA YES NO 13. Are employees, applicants and participants informed of their protection against discrimination? If yes, how? Verbal • Written • Poster • If NA or NO, explain. • 14. Give the number and current status of any discrimination complaints regarding services or employment filed against the program/facility. 15. Is the program/facility physically accessible to mobility, hearing, and sight -impaired individuals? If NA or NO, explain. NA YES NO PART III. THE FOLLOWING QUESTIONS APPLY TO PROGRAMS AND FACILITIES WITH 15 OR MORE EMPLOYEES 16. Hasa self -evaluation been conducted to identify any barriers to serving disabled individuals, and to make YES NO any necessary modifications? If NO, explain. • • 43/48 17. Is there and established grievance procedure that incorporates due process in the resolution of complaints? If NO, explain. YES ijin 18. Has a person been designated to coordinate Section 504 compliance activities? If NO, explain. YES NO ❑ ❑ 19. Do recruitment and notification materials advise applicants, employees and participants of nondiscrimination on the basis of disability? If NO, explain. YES NO 20. Are auxiliary aids available to assure accessibility of services to hearing and sight impaired individuals? If NO, explain. YES NO PART IV. FOR PROGRAMS OR FACILITIES WITH 50 OR MORE EMPLOYEES AND FEDERAL CONTRACTS OF $50,000 OR MORE. 21. Do you have a written affirmative action plan? If NO, explain. DOEA USE ONLY Reviewed By Incompliance: YES • NO* • Program Office --j-Telephone *Notice of Corrective Action Sent Date Response Due On -Site n Desk Review n Response Received DOEA Form 101-A, Revised May 2008 Page 2 of 2 44/48 CONTRACT AA-1015 45/48 CONTRACT AA-1015 ATTACHMENT B INSTRUCTIONS FOR THE CIVIL RIGHTS COMPLIANCE CHECKLIST 1.Describe the geographic service area such as a district, county, city or other locality. If the program/facility serves a specific target population such as adolescents, describe the target population. Also, define the type of service provided. 2.Enter the percent of the population served by race and sex. The population served includes persons in the geographical area for which services are provided such as a city, county or other regional area. Population statistics can be obtained from local chambers of commerce, libraries, or any publication from the 1980 Census containing Florida population statistics. Include the source of your population statistics. ("Other" races include Asian/Pacific Islanders and American Indian/Alaskan Natives.) 3.Enter the total number of full-time staff and their percent by race, sex and disability. Include the effective date of your summary. 4.Enter the total number of clients who are enrolled, registered or currently served by the program or facility, and list their percent by race, sex and disability. Include the date that enrollment was counted. 5.Enter the total number of advisory board members and their percent by race, sex, and disability. If there is no advisory or governing board, leave this section blank. 6.Each recipient of federal financial assistance must have on file an assurance that the program will be conducted in compliance with all nondiscriminatory provisions as required in 45 CFR 80. This is usually a standard part of the contract language for DOEA recipients and their sub -grantees, 45 CFR 80.4 (a). Us the race, sex, and national origin of the staff reflective of the general population? For example, if 10% of the population is Hispanic, is there a comparable percentage of Hispanic staff? 8.Where there is a significant variation between the race, sex or ethnic composition of the clients and their availability in the population, the program/facility has the responsibility to determine the reasons for such variation and take whatever action may be necessary to correct any discrimination. Some legitimate disparities may exist when programs are sanctioned to serve target populations such as elderly or disabled persons, 45 CFR 80.3 (b) (6). 9. Do eligibility requirements unlawfully exclude persons in protected groups from the provision of services or employment? Evidence of such may be indicated in staff and client representation (Questions 3 and 4) and also through on -site record analysis of persons who applied but were denied services or employment, 45 CFR 80.3 (a) and45CFR80.1 (b) (2). 1 O.Participants or clients must be provided services such as medical, nursing and dental care, laboratory services, physical and recreational therapies, counseling and social services without regard to race, sex, color, national origin, religion, age or disability. Courtesy titles, appointment scheduling and accuracy of record keeping must be applied uniformly and without regard to race, sex, color, national origin, religion, age or disability. Entrances, waiting rooms, reception areas, restrooms and other facilities must also be equally available to all clients, 45 CFR 80.3 (b). i 1.For in -patient services, residents must be assigned to rooms, wards, etc., without regard to race, color, national origin or disability. Also, residents must not be asked whether they are willing to share accommodations with persons of a different race, color, national origin, or disability, 45 CFR 80.3 (a). 46/48 CONTRACT AA-1015 12.The program/facility and all services must be accessible to participants and applicants, including those persons who may not speak English. In geographic areas where a significant population of non-English speaking people live, program accessibility may include the employment of bilingual staff. In other areas, it is sufficient to have a policy or plan for service, such as a current list of names and telephone numbers of bilingual individuals who will assist in the provision of services, 45 CFR 80.3 (a). 13.Programs/facilities must make information regarding the nondiscriminatory provisions of Title VI available to their participants, beneficiaries or any other interested parties. This should include information on their right to file a complaint of discrimination with either the Florida Alliance or the U.S. Alliance of HHS. The information may be supplied verbally or in writing to every individual, or may be supplied through the use of an equal opportunity policy poster displayed in a public area of the facility, 45 CFR 80.6 (d). 14.Report number of discrimination complaints filed against the program/facility. Indicate the basis, e.g., race, color, creed, sex, age, national origin, disability, retaliation; the issues involved, e.g., services or employment, placement, termination, etc. Indicate the civil rights law or policy alleged to have been violated along with the name and address of the local, state or federal agency with whom the complaint has been filed. Indicate the current status, e.g., settled, no reasonable cause found, failure to conciliate, failure to cooperate, under review, etc. 15.The program/facility must be physically accessible to disabled individuals. Physical accessibility includes designated parking areas, curb cuts or level approaches, ramps and adequate widths to entrances. The lobby, public telephone, restroom facilities, water fountains, information and admissions offices should be accessible. Door widths and traffic areas of administrative offices, cafeterias, restrooms, recreation areas, counters and serving lines should be observed for accessibility. Elevators should be observed for door width, and Braille or raised numbers. Switches and controls for light, heat, ventilation, fire alarms, and other essentials should be installed at an appropriate height for mobility impaired individuals. 16.Section 504 of the Rehabilitation Act of 1973 requires that a recipient of federal financial assistance conduct a self -evaluation to identify any accessibility barriers. Self -evaluation is a four step process: -With the assistance of a disabled individual/organization, evaluate current practices and policies which do not comply with Section 504. -Modify policies and practices that do not meet Section 504 requirements. -Take remedial steps to eliminate any discrimination that has been identified. -Maintain self -evaluation on file. (This checklist may be used to satisfy this requirement if these four steps have been followed.), 45 CFR 84.6. 17.Programs or facilities that employ 15 or more persons must adopt grievance procedures that incorporate appropriate due process standards and provide for the prompt and equitable resolution of complaints alleging any action prohibited by Section 504.45 CFR 84.7 (b). 18.Programs or facilities that employ 15 or more persons must designate at least one person to coordinate efforts to comply with Section 504.45 CFR 84.7 (a). 19.Continuing steps must be taken to notify employees and the public of the program/facility's policy of nondiscrimination on the basis of disability. This includes recruitment material, notices for hearings, newspaper ads, and other appropriate written communication, 45 CFR 84.8 (a). 20.Programs/facilities that employ 15 or more persons must provide appropriate auxiliary aids to 47/48 CONTRACT AA-1015 persons with impaired sensory, manual or speaking skills where necessary. Auxiliary aids may include, but are not limited to, interpreters for hearing impaired individuals, taped or Braille materials, or any alternative resources that can be used to provide equally effective services, (45 CFR 84.52 (d). 21.Programs/facilities with 50 or more employees and $50,000 in federal contracts must develop, implement and maintain a written affirmative action compliance program in accordance with Executive Order 11246.41 CFR 60 and Title VI of the Civil Rights Act of 1964, as amended. 48/48 i BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: 1-20-2010 Bulk Item: Yes X No Division: Social Services Department: Social Services/Transportation (MCT) Staff Contact Person/Phone #: Sheryl Graham, 4510 AGENDA ITEM WORDING: Request approval to apply for a Florida Department of Transportation (FDOT) Section 5310 Capital Assistance Grant to cover the cost of replacing one MCT para-transit bus. ITEM BACKGROUND: This grant is applied for on an annual basis. The application deadline for this grant is January 19, 2010. This grant is generally applied for by MCT on an annual basis. PREVIOUS RELEVANT BOCC ACTION: Approved on 09/17/2008 CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval TOTAL COST: $100,000 (,maximum) BUDGETED: Yes X No COST TO COUNTY:10% match = $10,000 (maximum) SOURCE OF FUNDS: General Fund REVENUE PRODUCING: Yes o APPROVED BY: County At, DOCUMENTATION: Included DISPOSITTION: Revised 11 /06 AMOUNT PER MONTH Year turchasing Not Required. Risk Management AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: FDOT Contract Effective Date: Expiration Date: Contract Purpose/Description: Approval to apply for a Florida Department of Transportation (FDOT) Section 5310 Capital Assistance Grant to cover the cost of replacing one MCT para-transit bus Contract Manager: Sheryl Graham 4510 Social Services/Stop I (Name) (Ext.) (Department/Stop #) For BOCC meeting on 01/20/2010 Agenda Deadline: 01/05/2010 CONTRACT COSTS Total Dollar Value of Contract: $100,000 maximum Current Year Portion: $ 0 Budgeted? Yes X No Account Codes: Grant: $100,000 maximum County Match: 10% = $10,000 maximum ADDITIONAL COSTS Estimated Ongoing Costs: $ 0 /yr For: (Not included in dollar value above) (e . Maintenance, utilities, janitorial, salaries etc CONTRACT REVIEW Division Director Date In /��j"�/G Changes �5 ip Date Out Needed Yes ❑ No Risk Man ement ff-M.B./PurchIng County Attorney �'� �-�� 1 151 10 I ;���`b �� Yes ❑ Na� 1 Yes ❑ No ❑ Yes ❑ No)K3 I/ - Z Comments: virtu rurw ICCVISeU L1L//Vl iVll.r ffA Org Code Expenditure Detail Item Budget grouped by Business Center, Business Unit Monroe County Board of County Commissioners Fiscal Year 201( Service FY 2010 FY 2011 FY 2012 FY 2013 FY 2014 Expenditure Detail Item Description Level Issue # Budget Budget Budget Budget Budget 21 Social Services 615 Social Services 61525 Social Service Transuort 530451 Risk Management Charges Risk Management Billing 1 29,681 29,681 29,681 29,681 29,681 530460 Repair And Maintenance Trapeze system annual cost 1 13,000 13,000 13,000 13,000 13,000 Notes: Trapeze's annual maintenance cost is $13,000 per year. Trapeze is the reservation/booking/manifest software that is used by our office staff and drivers to schedule and keep track of trips for clients throughout Monroe County. 530510 Office Supplies Office supplies for all 3 offices throughout the Keys 1 500 500 500 500 500 Notes: Office supplies include toner, paper, pens, paper, batteries, bus/driver supplies, etc. 530520 Operating Supplies Bus, Special Needs, and Evacuation supplies 1 1,000 1,000 1,000 1,000 1,000 Notes: The primary vendor is Wart with typical items being: paper towels, cleaning supplies, airfresheners, hoses, brushes, etc. These items are used to maintain the buses and their clean and professional appearance. 530528 Internal Fuel Internal Fuel is used to fuel the buses for all MCT trips 1 55,000 55,000 55,000 55,000 55,000 Notes: At the current price of fuel, the amount budgeted should be enough to cover the basic internal fuel costs for one year. Any fluctuation in fuel costs will drive that amount up or down, depending upon the nature of the fluctuation. This is a decreased fuel allocation when historical figures are reviewed. 560641 Capital Outlay Vehicles FDOT 531 ff Grant, 10% match required 1 8,000 8;000 8;000 8,000 8,000 Variance: $1000 has been reduced from this line item (560641) and moved to Overtime (510140) to cover anticipated OT costs. This is a reduction from one line item, and movement of same funds into another line item. Notes: FDOT's 5310 grant requires a 10% County match in order to purchase a new bus. We have applied for, and been granted, the FDOT 5310 grant and at some point in 2010 will replace one of our older buses with a newer bus. 61525 Social Service Transport 769,949 776,611 776,885 777,169 777,462 615 Social Services 769,949 776,611 776,885 777,169 777,462 21 Social Services 769,949 776,611 776,885 777,169 777,462 Report Grand Total 769,949 776,611 776,885 777,169 777,462 GovMax 3 1/5/2010 Grant Application Instructions The standard Application for Federal Assistance (Form 424) must be filled out in its entirety for the Section 5310 application and for the local clearinghouse submission. The standard form is located on the next page of this manual. An interactive Adobe file of Form 424 can also be found on the Internet at hllp://www.dot.state.fl.us/transit/P'll, s/Forni 424 ndf. No pre -application process is used in this program; therefore, all submissions are applications. The code assigned to the Section 5310 Program in the Catalog of Federal Domestic Assistance is 20.513. This code should be shown in Section 10 of the form followed by the title: "Elderly and Persons with Disabilities Program." Executive Order 12372 requires a review of all Federal grants to ensure compliance with the local and state planning process. Therefore, prior to submission of an application to the FDOT District Office, copies of the application must be submitted to the appropriate local Clearinghouse/Regional Planning Council (see Appendix). The appropriate clearinghouse agency should be contacted to determine the number of copies required for local review. Approval letters from the local clearinghouse must be submitted to the District Office before a Section 5310 Award can be made. NOTE: Applicants for Section 5310 Grants should send their application to the LOCAL CLEARINGHOUSE; NOT TO THE STATE CLEARINGHOUSE. Form 424 try: Item Entry: ct Type of Submission. 11. Enter a brief descriptive title of the project. If more than one program is involved, you should append an explanation on a separate sheet. if appropriate (e.g., construction or real property projects), attach a map showing project location. For preappiications, use a separate sheet to ;I provide a summary description of this project able) and applicant's control number {if appli application submitted to Federal agency (or S9the 12. List only the largest political entities affected (e.g., State, counties, cities). use only (if applicable). 13 Enter the proposed start date and end date of the project. Date Received by Federal Agency ral identifier number. If this application is a 14, List the applicant's Congressional District and any District(s) affected by the uation or revision to an existing award, enter program or project nt Federal Identifier number. If for a new proj ---LI��I. aa�V YIQI11�. 5. Enter Legal name of applicant, name of primary 15 organizational unit (including division, if applicable), which Amount requested or to be contributed during the first funding/budget period by will undertake the assistance activity, enter the each contributor. Value of in kind contributions should be included on appropriate lines as applicable. If the action will result in a dollar organization's DUNS number (received from Dun and Bradstreet), enter the complete address of the applicant change to an existing award, indicate only the amount of the change. For decreases, (including country), and name, telephone number, e-mail fax enclose the amounts in parentheses. if both basic and supplemental amounts are included, show breakdown on an attached sheet For multiple and of the person to contact on matters related to this application. program funding, use totals and show breakdown using same categories as item 15. 6. Enter Employer Identification Number (EIN) as assigned by 16. the Internal Revenue Service, Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process. 7. Select the appropriate letter in the 17. space provided. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of debt include delinquent audit A. State I. State Controlled disallowances, loans and taxes. Institution of Higher B. Co ming �-- y Learning C. Municipal J. Private University D. Township K. Indian Tribe E. Interstate L. Individual F. Intermunicipal M. Profit G. Special District Organization H. Independent School District N. Other (Specify) O. Not for Profit Organization 8. Select the type from the following List 18 be signed by the authorized representative of the applicant. A copy of the • "New" means a new assistance award. go governing bodys authorization for you to sign this application as official representative must be on file in the applicant's office. (Certain Federal • "Continuation" means an extension for an additional agencies may require that this authorization be submitted as part of the application.) funding/budget period for a project with a projected completion date. • "Revision" means any change in the Federal Government's financial obligation or contingent liability from an existing obligation. If a revision enter the appropriate letter. A. Increase Award B. Decrease Award C. Increase Duration D. Decrease Duration 9. Eassistance Name of Federal agency from which assistance is being requested with this application. 10. Use the Catalog of Federal Domestic Assistance number and title of the Program under which is requested. E Transportation -Related Operating and Administrative Expenses & Revenues Information regarding the applicant's transportation -related operating and administrative expenses and revenues must be provided with the application. A form for this purpose is included on the next page of this manual. The form should provide information about operating and administrative expenses of the vehicles or service operated/provided by the applicant, as described in Exhibits A and B of the application, and information about the sources of revenue used to pay for these expenses. The budget line items shown on the forms were originally defined in the Transportation Accounting Consortium's Model Uniform Accounting System for Rural and Specialized Transportation Providers (TAC manual). The account numbers in parentheses are the object code numbers for these line items in the TAC manual and in FTA National Transit Data Reports (NTD). Defmitions for expense and revenue line items are included in the Appendix of this manual. Applicants should show the transportation -related operating and administrative expenses and revenues of their agency as projected for the year the Section 5310 Grant award is requested. For example, the projected expense and revenue budgets for year FY 2010/2011 should be used if a Section 5310 Grant award is requested by the Agency for use in FY 2010/2011. 12 Current Vehicle and Transportation Equipment Inventory Form Applicants must provide a fully completed and dated "Current Vehicle and Transportation Equipment Inventory" form, as shown in this manual. The form must include a current list of all vehicles and equipment used by the applicant to transport individuals, including those bought in previous years with Federal funds; those bought with other than Federal funds; those now on order; and those to be ordered with grant awards made in previous years. All columns of the form must be completed. An asterisk (*) should be placed next to the model year of vehicles to be replaced with the grant being applied for with this application. Vehicles operated by the applicant's contractor or lessee should also be identified, and the name of the contractor/lessee shown in Exhibit B of the application. Capital Request Applicants must complete the "Capital Request" form provided in this manual. The upper part of the form (vehicle requests) covers vehicles; the lower part (equipment requests), covers other capital equipment such as radios, computer software, computer hardware, etc. The applicant should not complete the "GMIS Code" (far left column) on the form but should provide enough information about the desired vehicle(s)/equipment to enable FDOT to complete the Code in accordance with FTA requirements. NOTE; In the case of vehicles, applicants should be sure to indicate whether the vehicle is to replace (R) an older vehicle or expand (E) the fleet by buying a new vehicle. The length of the vehicle, the number of passenger seats & wheelchair positions, lift or ramp, and the type of fuel is also important because this affects the cost (applicants shall be required to pay the difference if diesel vehicles are requested). The make of the vehicle should not be shown oil the form. Applicants should refer to "What's on the Market", located in the Appendix of this manual, to identify the most appropriate vehicle type for its needs, and the estimated cost. The appropriate FDOT District Office or the Center for Urban Transportation Research (See "What on the Market") may be contacted for assistance. NOTE. Some FDOT District Offices may restrict or prioritize the use of Section 5310 funds to purchase vehicles instead of other equipment. Applicants may contact the appropriate District Office to determine their policy. 14 CAPITAL REQUEST FORM VEHICLE REQUEST GMIS Code R or Number Description @) (c) Estimated (This column E requested Cost for FDOT use (a) ONLY) 11. 11. . 11. 11. . Sub -total EOUIPMENT REOIFF,ST lel (a) Replacement (R) or Expansion (E). (b) Provide a brief description including the length and type vehicle, type of fuel, lift or ramp, number of seats and wheelchair positions. Do not show the Make. For example, 22' gasoline bus with lift,12 amb. seats, 2 w/c positions (due to the higher cost of diesel vehicles the applicant shall be required to pay the difference in cost over that of a gasoline vehicle). (c) Show mobile radios and identify the type of radio (i.e. two way radio or stereo radio), computer hardware/software, etc. under "Equipment Request." VEHICLE SUBTOTAL $ + EQUIPMENT SUBTOTAL$ = $ (x). (x) X 80% = $ [Show this amount on Form 424 in block 15(a)] iNl EXHIBIT A - Not to exceed two pages Current System Description Applicaltts must submit Exhibit A as part of their application. Exhibit A should provide a short description of who the applicant is and what services they provide. The following information shall be included in the narrative in a detailed manner: • An overview of the organization including its mission, program goals and objectives • Organizational structure, type of operation, number of employees, and other pertinent organizational information • Who is responsible for insurance, training and management, and administration of the agencies transportation programs • Who provides maintenance • Number of transportation related employees • Who will drive the vehicle, number of drivers, CDL certifications, etc. • A detailed description of service routes and ridership numbers • Exhibit A-1 (below) If the applicant is a Community Transportation Coordinator (CTC), relevant pages of a Transportation Disadvantaged Service Plan (TDSP) and Annual Operating Report (AOR) containing the above information may be provided. Evaluators will relyheavily on an applicant's narrative in determining the amount offunds/vehicles/equipment awarded. GRANT WRITING TIP: Refer to the Evaluation Criteria in the General Program Information Section of This manual. An applicant's narrative should cover the points that will be evaluated 18 EXHIBIT B Proposed Project Description Applicants must submit Exhibit B as part of their application. The proposed project description should be thorough as evaluators will rely heavily on the narrative in reviewing and ranking a -grant =application. The project description should not repeat the current_ system description shown in -Exhibit A. Exhibit -B shall include, but not be limited to: 1. Is the project to continue the existing level of services, to expand present service, or to provide new service? How will a grant award be used? More hours? Service in a larger geographic area? Shorter headways? More trips? Please explain in detail. - 2. If a grant award will be used to maintain services as described in Exhibit A, specifically explain how it will be used in the context of total service. 3. Give a detailed explanation of the need for the vehicle and provide evidence of the need. 4. Will a grant award be used to replace existing equipment or purchase additional vehicles/equipment? Provide details. 5. Identify vehicles/equipment being replaced and list them on the "Current Vehicle and Transportation Equipment Inventory" form, provided elsewhere in this manual. 5. Describe how vehicles will be maintained without interruptions in service (who, what, where, and when). 7. If vehicles/equipment are proposed to be used by a lessee or private operator under contract to the applicant, identify the proposed lessee/operator. a. Include an equitable plan for distribution of vehicles/equipment to lessees and/or private operators. 8. Each applicant shall indicate whether they are a government authority or a private non-profit agency, provide a brief description of the project which includes the counties served, whether the applicant shall service minority populations and whether the applicant is minority -owned. New Agencies: 9. Fully explain Your Transportation Program a. Service hours, planned service, routes and trip types b. Staffing — include plan for training on vehicle equipment such as wheelchair lifts, etc. C. Records maintenance d. Vehicle maintenance — who, what, when and where e. CDL requirements f. System safety plan g. Drug free work place 10. Have you met with the CTC and, if so, how are you providing a service that they cannot? Provide detailed information supporting this requirement. GRANT WRITING TIP. Refer to the Evaluation Criteria in the General Program Information Section of this manual, and be sure Exhibit B covers the points that will be evaluated 20 EXHIBIT F Federal Certifications and Assurances The last page (Appendix A) of the annual Federal Register Notice that applies to Federal Certifications and Assurances provides applicants with a single signature page on which an applicant and its attorney must certify compliance with the requirements of the various Federal Transit Administration grants or cooperative agreements. The Federal Register Notice is revised annually and is usually available around January 1 of each year. Applicants may obtain a copy of the current year document through the internet at httn://www.fta.dot.eov/funding/2mnts financing 93 html (then, follow instructions on where to proceed.) If unable to access the form, applicants may contact their FDOT District Office for assistance. The appropriate signed Federal certification/assurance form must be included in the application when it is submitted to the FDOT District Office. GRANT WRITING TIP: All applicants must use the current year form and it must be the actual form from the Federal TransitAdminWratron FTA . This form cannot bean edited version of a prior ear's &Lms or a recreation of the form. The signature page for Federal Certifications and Assurances should be signed by an individual authorized by the applicant's governing board to sign and submit applications, and its attorney. Blue ink is required as it distinguishes an original signature from a photocopied signature. Federal Certifications and Assurances Required of Each Applicant: • Authority of applicant and its representative • Standard Assurances • Debarment and Suspension, and other Responsibility Matters (httn://www.fta.dot.goy/funding/thirdpartmrocuremenybppm/grants financing 6195 html#BM22) • Drug Free Workplace Certification (httn://www.fta.dot.gov/fundingJthirdpartrocurement/bppm/ rg_ants financing 6195 html#BM31) • Intergovernmental Review Assurance • Federal Transit Administration Master Agreement (hLtp://www.fta.dot.goy/funding/at)i)lv/o-rants financing 3162 html) • Nondiscrimination Assurance • Assurance of Nondiscrimination on the Basis of Disability Procurement Compliance A. Applicants for Federal Assistance may signify compliance with the above certifications and assurances by placing an "X" at the top of Appendix A next to the statement that reads: "The Applicant agrees to comply with applicable requirements of Categories I-XV". If an applicant chooses to do this, no additional notation is necessary, except for the signature on the reverse. OR B. The applicant may signify compliance with certifications and assurances applicable only to the Section 5310 Program, specifically, Category X111, by placing an "X" in Category I, "Certifications and Assurances required of each applicant" (to cover the above -noted items), as well as an "X" in Category XI1I. A description of the certifications required by the Section 5310 Program is provided in the annual Federal Register Notice. 22 -� A ► EXHIBIT H Applicant Certification and Assurance to MOT To be completed and signed by an individual authorized by the governing board of the applicant agency and submitted with the grant application. The certifies and assures to the Florida Department of Transportation in regard to its Application for Assistance under U.S.C. Section 5310 dated 1) It shall adhere to all Certifications and Assurances made to the federal government in its Application. 2) It shall comply with Section 341.051 Florida Statutes and Chapter 14-73 Florida Administrative Code. 3) It has the fiscal and managerial capability and legal authority to file the application. 4) Local matching funds will be available to purchase vehicles/equipment at the time an order is placed. 5) It will carry adequate insurance to maintain, repair, or replace project vehicles/equipment in the event of loss or damage due to an accident or casualty. 6) It will maintain project vehicles/equipment in good working order for the useful life of the vehicles/equipment. 7) It will return project vehicles/equipment to the Department if, for any reason, they are no longer needed or used for the purpose intended. 8) It recognizes the Department's authority to remove vehicles/equipment from its premises, at no cost to the Department, if the Department determines the vehicles/equipment are not used for the purpose intended, improperly maintained, uninsured, or operated unsafely. 9) It will not enter into any lease of project vehicles/equipment or contract for transportation services with any third party without prior written approval of the Department. 10) It will notify the Department within 24 hours of any accident or casualty involving project vehicles/equipment, and submit related reports as required by the Department. 11) It will submit an annual financial audit report to the Department, if required by the Department. Date: Signature: Typed name and title 24 49 U.S.C. 5335, Definitions - Operating and Administrative Expenses (National Transit Data Report - NTD) hqp://www.ntd=gram.aov/ntdRrogmm/Glossarv.htm (501) labor - The pay and allowances due employees in exchange for the labor services they render in behalf of the transit system. ,(502) fringe and benefits - Payments or accruals to others (insurance companies, governments, etc.) on behalf of an employee and payments or accruals direct to an employee arising from something other than his performance of a piece of work. (503) services - Labor and other work provided by outside organizations for fees and related expenses. (504) materials and supplies - Tangible products obtained from outside suppliers or manufactured internally. (504.01) vehicle maintenance - Cost of fuel and lubricants, tires and tubes, vehicle maintenance parts. (505) utilities - Payments made to various utilities for utilization of their resources (e.g., electric, gas, water, telephone, etc.) (506) insurance - Cost elements covering protection of the transit system from loss through insurance programs; compensation of others for their losses due to acts for which the transit system is liable; and recognition of the cost of a miscellaneous category of corporate losses. (507) license and taxes - Taxes and fees levied against the transit system by Federal, state; and local governments. - (508) purchased transit service - The payment or accrual to other transit systems for providing transportation service. (509) miscellaneous - Those expenses which cannot be attributed to any of the other major expense categories. (512) leases and rentals - Payments for the use of capital assets not owned by the transit system. (513) depreciation - Charges that reflect the loss in service value of the transit system's assets. 26 WHAT'S ON THE MARKET Once you have determined the type vehicle that best suits your operation, take a look at what's available. Further information on the TRIPS Program's contracts can be found at their website (www.tripsflorida.com). The Auto and Light Truck contract can be found at The Florida Department of Management Services (DMS) website htty://dms-mvflorida.com/business operations/state vurchas' vendor informatiori/state contracts agreements and price lists/stat e term contracts. Some new types of vehicles have entered the community transportation market in the last few years. They generally fall into the following categories: FDOT Minimum Service Life — 4 years and/or 100,000 miles: Sedan/Station Wagon/Van (Formally Tyne F) Standard vehicle supplied by the Original Equipment Manufacturer (OEM) only. Vehicle shall not be modified by aftermarket GVWR Seating Capacity Price 41µWheelchair Positions Contract # 6,050# 5-12 $13,000 - $26,000 DMS State Contract FDOT Minimum Service Life — 5 years and/or 200,000 miles: Minivans (Formally Tyne E) Chrysler Dodge Grand Caravan 19' length fi 050# GVWR The Extended low floor minivans with mobility ramp intended use is as a paratransit or a supervisor vehicle, providing public transportation for a maximum capacity of six (6) ambulatory passengers or a maximum of two (2) wheelchair passengers and three-(3) ambulatory, passengers. These configurations exclude the driver. Pricing does not rejlect att options available with tj11P rnHtrnnt GVWR Seating Cavacitv Price - -- Wheelchair I Positions Contract # 6,050# 3-6 $36 300-$42 400 2 FVPP-08-MV-FTS 6,050# 3-6 $37,500-$41,300 2 FVPP-08-MV-GM Commuter Van 9-Passenger Center Aisle Vehicles Chevrolet or GMC 2500135" WB 8 600# Chassis Ford E-25013$" WB-9.000# Chassis The commuter vans intended use is as a pool vehicle for commuters or a special purpose vehicle for public transit systems and/or other governmental agencies. No mobility lift or ramp available. Optional stretcher securement system with limited passenger seating. is available GVWR - - - -- Seating Price -- u-iluuie sroua Wheelchair tars cuntracr. Contract # Capacity a aci Positions4 8,600# 2-9 $34,700438,000 TRIPS-09-CV-GM - Che 9,000# 2-9 $33,900-$38,000 TRIPS-09-CV-GM -Ford 28 WHAT'S ON THE MARKET FDOT Minimum Service Life — 7 years and/or 250,000 miles: Standard Cutaways (Formally Type 0 International Low Floor 22.500# GVWR Chassis and 23.500# GVWR Standard Floor Built on the heaviest cutaway chassis under contract and available in standard and low floor chassis with a hybrid drive train option by Champion Bus and Transit Plus dealership. Pricing does not reflect all options available. ( 1 - indiratnc mamt— ..f —+. ,..16-1 GVWR/Length Ambulatory Price Wheelchair Contract # Seating Positions Capacity $101,900 - FVPP-05-CA-3 23,500#/29'-3F 0 — 36 (45) $103,000 0 - 10 Optional Hybrid Parallel Drive Hybrid +$106,700 System available. 22,500#129'-31' 0 — 36 (45) $143,200 - 0 - 10 FVPP-05-CA-3LF Low Floor Chassis $145,500 - Medium Dutv Medium duty chassis built by Champion and offered through Transit Plus, Inc. The Champion CTS is a 31'and 34' high level floor rear engine city -type coach for light duty faced route service. Pricing does not reflect all options available. GVWR/Length Ambulatory — -- Price Wheelchair JiaivuJ. Contract # Seating Positions Capacity 26, 500#/3 i' 0 —18 (27) $173,000 - . 0-7 181, $181 ooa TRIPS-09-MD-TP 31,000#/34' 0 - 28 (33) $ 80,1 - 0-9 $18 0000 FDOT Minimum Service Life —10 years and/or 350,000 miles: Medium Duty Medium duty chassis built by ElDorado and offered through Florida Transportation Systems. The E-Z Rider 31' low floor rear engine city -type coach designed for moderate duty fixed route service. Pricing does not reflect all options available. ( 1 - ind:rat..a n..r.,l,o -f ...1-. 1 GVWR/Length Ambulatory --- Price Wheelchair vJiiavuJ. Contract # Seating Positions Capacity 34,000#/3 V 0 - 28 (39) $280,100 - $290,000 0-9 TRIPS-09-MD-FTS 30 COVER LETTER STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION GRANT APPLICATION (agency name) submits this Application for the Section 5310 Program Grant and agrees to comply with all assurances and exhibits attached hereto and by this reference made a part thereof, as itemized in the Checklist for Application Completeness. (agency name) further agrees, to the extent provided by law (in case of a government agency in accordance withSections129.07 and 768.28, Florida Statutes) to indemnify, defend and hold harmless the Department and all of its officers, agents and employees from any claim, loss, damage, cost, charge, or expense arising out of the non-compliance by the Agency, its officers, agents or employees, with any of the assurances stated in this Application. This Application is submitted on this day of , 20 _ with two (2) original resolutions or certified copies of the original resolution authorizing (Name & Title) to sign this Application. Agency Name By Date Title 32 Sample NOTICE OF GRANT AWARD (To be completed, signed, and sent to the Applicant/Recipient by the FDOT District Office) Based on the Agency's Application for Federal Assistance under U.S.C. Section 5310 dated on Mein the Department, the Florida Department of Transportation hereby makes the fallowing grant award to: (Name and Address of Recipient) Award Year Description Estimated Value Estimated matching funds required Please contact the FDOT Contractor, Cindy Wooten, at either 813-974-9771 or Wooten( cptr.usf edu to arrange purchase of the above Items. See FDOT Section 5310 Procedure 725-030-010-4 page 10 at http://www2.dot.state.fl.us/i)roceduraldocuments/procedures/bin/725030010 udf. Date FLORIDA DEPARTMENT OF TRANSPORTATION Award Approved by (Signature) Typed Name and Title ACCEPTANCE OF GRANT AWARD (To be completed and signed by the recipient.and returned to the FDOT District Office) The undersigned accepts the above -described award and: (Check all appropriate) Date a. Reaffirms its assurances to FTA and FDOT as stated in Exhibits F, G, and H of its application. b. Requests purchase of the vehicles/equipment in (month/vear.) AGENCY: (Name) Accepted by (Signature) Typed Name and Title Agency vendor number as registered in My Florida Marketplace: 34 Local Clearinghouses / Regional Planning Councils (continued) Southwest Florida RPC Charlotte, Collier, Glades; Hendry, 1926 Victoria Avenue Lee, Sarasota Fort Myers, FL 33901 239-338-2550 ext 232 Contact: Ms. Nicole Gwinnett Email: ngwinnettOswfrpc.org Treasure Coast RPC Indian River, Martin, Palm Beach, 301 East Ocean Blvd., Suite 300 Saint Lucie Stuart, Florida 34994 772-2214060 Contact: Mr. Greg Vaday Email: Rvaday(cra)tcrpc.ors South Florida. RPC Broward, Miami -Dade, Monroe-��----�____ _y w- 3440 Hollywood Blvd. Ste 140 Hollywood, FL 33021 954-985-4416 Contact: Ms. Carolyn A. Dekle Email: cdekle@,sfWc.com 36 6 Counties Covered FDOT District Office Contacts (continued) Alanager. Carl Filer (305) 470-5295 Transit Unit Contact. Edward Carson Miami -Dade, Monroe 1000 NW 111 m Ave., Room 6114 Miami, FL 33172 (305) 470-5255 7 Manager: Elba Lopez 11201 N. McKinley Dr. (MS-7500) (813) 975-6403 Tampa, FL 33612 Transit Unit Contact: Nicole Mathis (813) 975-6195 Counties Covered: Citrus, Hernando, Hillsborough, Pasco, Pinellas To send e-mail to any of the above: first name.last name(Wudot.state fl.us 38 equipment, wheelchair lifts and restraints, vehicle rehabilitation, passenger shelters, intermodal facility projects (see above), bus stop signs and similar passenger amenities, data processing hardware/software, other durable goods such as spare components with a useful life of more than one year, initial installation costs, vehicle procurement/testing, inspection and acceptance costs, and costs_ associated with pre -award and post delivery audits. eligible expenses, operating - For the Section 5311 program (formerly Section 18), eligible operating expenses include the total administrative, management, and operation costs directly incident to the provision of public transportation services less operating revenues. The federal share for net eligible operating costs may not exceed 50%. eligible recipient, 5310 — Federal Transit Administration Section 5310 funds may be awarded only to private nonprofit organizations providing transportation to elderly persons and person with disabilities, and to public bodies approved by the State of Florida to coordinate services for elderly persons and persons with disabilities (i.e., the Community Transportation Coordinator). Recipients must be either the Community Transportation Coordinator (CTC) orproviding service under the terms of a coordination or transportation operator contract with the CTC. Agencies must keep their CTC Agreements current and in force at all times when in possession of a vehicle purchased through the Section 5310 Program eligible recipient, 5311 and 5311(1) - For the Section 5311 program (formerly Section 18), political subdivisions of the State of Florida and agencies thereof, Indian Tribes and private'nonprofit agencies designated as CTCs, per Chapter 427, F.S., who provide public transportation in non -urbanized areas, are eligible recipients for the Section 5311 program. Private for -profit agencies may receive funds through contractual arrangements with eligible recipients. eligible service, 5310 — Transit service provided to transportation disadvantaged persons and to elderly and disabled social service client groups when public transit services are unavailable, insufficient or inappropriate for eiderlypersons and persons with disabilities. Although all transportation disadvantaged persons may benefit from the program, services should be designed for the maximum benefit of elderly persons and persons with disabilities. Vehicles maybe used in public transit service on an incidental basis (after services have been provided in accordance with the terms of the application and/or the Joint Participation Agreement for specified clientele.) eligible service, 5311— Public transit service provided in non -urbanized areas on a regular and continuing basis and service provided to non -sponsored transportation disadvantaged persons and to social service clients is eligible. Services maybe designed to maximize usage by transportation disadvantaged persons in general, as long as there is no restriction on public use ofthe service. Services may not be designed exclusively to serve the transportation requirements of social service agencies without regard for the mobility needs of the community as a whole. Charter, sightseeing, and exclusive school bus services are not eligible services. Since the goal of Section 5311 is to enhance access of people living in non - urbanized areas to activities, Section 5311 projects may include the transportation ofnon-urbanized area residents to and from urbanized areas. eligible service — 5311(f) (intercity bus service) — Regularly scheduled service for the general public which operates with limited stops over fixed routes connecting two or more urban areas not in close proximity, which has the capacity for transporting baggage carried by passengers, and which makes meaningful connection with scheduled service to more distant points, if such service is available. Package express service may also be included, if incidental to passenger transportation. expanded service - Adding a new service to an already existing system. FDOT control number - Is assigned by the District once the vehicle has been purchased, received and titled to the recipient with the Department of Transportation as the first lienholder. human service transportation - means transportation services provided by or on behalf of a human service agency to provide access to agency services and/or to meet the basic, day -today mobility needs of transportation -disadvantaged populations, especially individuals with disabilities, older adults, and people with low incomes. incurred - Commitment or obligation to spend funds for goods to be"received or services to be rendered. individual with a disability — means in individual who, because of illness, injury, age, congenital malfunction, or other incapacity or temporary orpermanent disability (including an individual who is a wheelchair user or has semi -ambulatory capability), cannot use effectively, without special facilities, planning or design, public transportation service or a public 40 other than urbanized (non -urbanized area) — means any area outside of an urbanized area. The term "nonurbanized areas" includes rural areas and urban areas under 50,000 in population not included in an urbanized area. private organization — means a non-public organizations, bodies which are not municipalities or other political subdivisions of the State of Florida; are not public agencies or instrumentalities of one or more states; are not Indian Tubes (except private nonprofit corporations formed by Indian Tribes); are not public corporations, boards or commissions established under the law of any state; or are not subj ect to direct control bypublic authority, Federal, State, county, or municipal. program of projects — means a list of projects to be funded in a grant application submitted to the Federal Transportation by the Florida Department of Transportation. The program ofprejects (POP) lists the subrecipients and indicates whether they are private non-profit agencies or local governmental authorities, designates the areas served (including rural areas), and identifies any tribal entities. In addition, the POP includes a brief description of the projects, total project cost and Federal share for each project, and the amount of funds used for program administration from the ten percent (10°/o) allowed. public agency - An authority, commission, committee, council, department, division, bureau, board, section or any other unit or entity of the state or of a town, city, municipality, county or other local governing body. public transit - The transporting of people by. conveyances or systems of conveyances, traveling on land or water; local or regional in nature, and available for use by the general public. Public transit specifically includes those forms of transportation commonly known as "paratransit" characterized -by their non-scheduled, non -fixed route nature. recipient — means the Florida Department of Transportation, a State Agency designed by the Governor to receive funds apportioned by formula to the States under Section 5310(b)(1), or a local government authority when Federal Highway Administration (FHWA) funds are flexed to Section 5310 to support services for individuals with disabilities. recurring applicant - An applicant for Section 53,10, 5311, and/or 53.1-1(f) Federal Assistance who applies every year. subrecipient — means a private non-profit organization, if the public transportation service provided is unavailable, insufficient, or inappropriate; or a governmental authority that is approved by the State to coordinate services for elderly individuals and individuals with disabilities or certifies that there are non any non-profit organizations readily available in the area to provide the services. transit development plan (TDP) - A locally adopted document, addressing a minimum five-year time frame. It is prepared by the public transit provider, in cooperation with the appropriate Metropolitan Planning Organization. It is consistent with the applicable approved local government comprehensive plan. The TDP includes an assessment of the need for transit services in the local area, identifies the local transit policies, existing services and proposed service improvements, capital and operating costs of the proposed services, existing and proposed sources of funding and a staged implementation plan. A TDP is updated annually. transportation disadvantaged - Those persons who because of physical or mental disability, income status, or age, or who for other reasons, are unable to transport themselves or to purchase transportation and are, therefore, dependent upon others to obtain access to health care, employment, education, shopping, social activities, or other life -sustaining activities, or children who are handicapped or high -risk as defined in Chapter 411.202 F.S. transportation disadvantaged service plan (TDSP) -- a plan developed by the CTC and approved by the Local Coordinating Board that identifies service gaps and provides recommended strategies to provide service in areas of need. The TDSP may serve as the Local Coordinated Human Services Transportation Plan. The TDSP is updated annually but includes a five year planning window. transportation improvement program (TiP) — means a continuing, cooperative and comprehensive planning process that delineates transportation improvements recommended for federal and state funding during the program period The MPO submits the TIP to the Florida Department of Transportation as required by Chapter 339, Florida Statutes. transportation operator contract— a written contract between the CTC and the transportation operator prepared at the local level that outlines the terms and conditions for any services to be performed. 42 J Florida Department of Transportation CHARLIE CRIST 1000 NW 111 th Avenue GOVERNOR Miami, Florida 33172 November 12, 2009 RE: FTA Section 5310 Year 35 — 2010/11 Grant Application Manual Dear Applicant: Please note: STEPHANIE C. KOPELOUSOS SECRETARY The Section 5310 application manual, FTA Certifications/Assurances and Evaluation Criteria are included. 2. In order to receive Section 5310 funds, your agency will need to execute a written coordination agreement with the local Community Transportation Coordinator (see Exhibit "D" of the application). To initiate this agreement, kindly contact the CTC for your area: - Monroe County - Ms. Maureen Grynewicz Guidance Clinic of the Middle Keys 3000 4-ls Street Ocean Marathon, Florida 33050 TeL No. (305) 289-6150 Email: mo grynewicz@gcm&org 3. The South Florida Regional Planning Council (SFRPC) requires ga (1) copy of your Federal Application for Assistance (SF 424 — 1 page), plus a description of the vehicle(s) requested to complete their review. Send to: Ms. Carolyn A. Dekle South Florida Regional Planning Council 3440 Hollywood Boulevard, Suite 140 Hollywood, Florida 33021 TeL No. 1-954-985-4416 Email: sfadmin@sfrpc�com Please provide the Department with a copy of the cover letter sent to SFRPC. www. d at. state. fl . u s @ RECYCLED PAPER November 12, 2009 Page Two 4. Evaluation Criteria - For your information, the enclosed ranking sheet has been developed by this office and will be used to rank each application. 5. Pricing Schedule - Price ranges for available vehicles are on Page 28 of the application package. Until firm prices are known, please use mid -range amounts in your request. 6. Submission - Your complete grant application must be received in our office no later than 5:00 P.M., Tuesday, January 19, 2010. The original application must be accompanied by a cover letter and two fully -executed resolution forms (see grant application appendix for sample), which includes minimum required language, from the applicant's Governing Board. Please submit original and four copies of your application. Your application is not considered complete unless all fla requested copies are received. 7. Single Audit - Please submits copies of the most recently completed agency audit reports with the Grant Application. If you need further assistance or information, please contact this office at (305) 470-5295. Sincerely, Ed Carson. Transit Programs Administrator Enclosures - Application, FTA Certification/Assurances, Ranking Sheet, Att. l & 2 P: programs\carol\s53I Oappllet►nonroe PTA SECTION 5310 GRANT PROGRAM DISTRICT VI EVALUATION CRITERIA AGENCY: POINTS T CATEGORY SCORE 1. SERVICE EFFICIENCY & EFFECTIVENESS 0-2 HOURS & DAYS OF SERVICE 0-10 RIDERSHIP/BY NUMBER OF SEATS 0-8 TOTAL EXPENSES/TOTAL ONE WAY TRIPS 0-8 TOTAL EXPENSES/TOTAL MILEAGE 0-28 (SUBTOTAL) 2. EXTENT TO WHICH THE COMMUNITY IS SERVED 0-5 PROJECT & SYSTEM DESCRIPTION 0-10 ONE WAY PASSENGER TRIPS X CLIENTS SERVED 0-2 COORDINATION EFFORTS 0-2 SERVICE AREA 0-19 (SUBTOTAL) 3. NEED 0-7 NUMBER OF CLIENTS SERVED BY EXPANSION 0-8 REPLACEMENT OF HIGH MILEAGE VEHICLES 0-15 FINANCIAL NEED 0-5 NUMBER OF CLIENTS TRANSPORTED/NUMBER OF SEATS 0-35 (SUBTOTAL) 4. FISCAL & MANAGERIAL CAPABILITY 0-5 AUDIT REVIEW 0-5 APPLICATION COMPLETENESS & ACCURACY 0-3 DOCUMENT SUBMITTAL - PAST PERFORMANCE 0-5 MAINTENANCE RECORDS 0-18 (SUBTOTAL) 0-100 TOTAL Evaluator: J:\Programs\carol\5310®valuationcriteria Date: EXHIBIT A-1 -- FACT SHEET CURRENTLY IF GRANT IS AWARDED (Estimates are acceptable.) 1. Number of one-way trips provided to elderly and persons with disabilities (E&D) PER YEAR 2. Number of individual Elderly and Disabled unduplicated riders (count each person once -no matter how many trips taken) PER YEAR 3. Percentage of Elderly and Disabled needing wheelchair positions ACTUAL 4. Number of vehicles used to provide service to Elderly and Disabled ACTUAL 5. Number of ambulatory seats (Total number of ambulatory seats in the fleet used to serve the E & D 6. Number of wheelchair positions (Total number of wheelchair positions in the fleet used to serve the E &D) 7.Vehicle miles traveled for entire fleet PER YEAR 8. Average vehicle miles traveled for entire fleet PER DAY 9. Normal number of days that vehicles are in operation PER WEEK 1O.Normal hours of vehicle operation PER DAY 11. Trip length (Roundtrip) AVERAGE 19 ON YOUR AGENCY S LETTER HEAD ATTACHMENT 1 RE: ANNUAL CERTIFICATION OF USE This is to certify that: 1. The vehicle(s) and equipment acquired under the FTA Section 5310 Program continue(s) to be used for the purpose for which the grant was approved. 2. The vehicle(s) and equipment do not exceed that which is needed for operations. 3. None of the vehicle(s) and equipment has/have been sold, damaged or otherwise taken out of service. 4. There has not been a reduction in local support made to the program operating the vehicle(s). Signature: Name: VEHICLE LIST Date: Title: FDOT NO. VIN NO. MILEAGE DATE `,OTE: THE ANTANUAL CERTIFICATION OF USE SHALL BE SUBMITTED TO FDOT BY JANUARY 15 EACH YEAR FOR VEHICLES PROVIDED THROUGH THE FTA 5310 PROGRAM. JXAROU S53I OANNU ALCERTIFICATIONOFUSEREPORT ON YOUR AGENCY'S LETTERHEAD ATTACHMENT Z FTA SECTION 5310 MONTHLY OPERATING REPORT AGENCY: MONTH: YEAR: FDOT VEHICLE CONTROL NUMBER: VIN # TOTAL ONE-WAY PASSENGER TRIPS: AMBULATORY: NON -AMBULATORY: TOTAL VEHICLES MILES: ODOMETER READING: TOTAL DAYS VEHICLE OPERATED: DAYS IDLE: DAYS IN REPAIRS: A'OTE: THIS MONTHLY OPERATING REPORT IS DUE BY THE LAST DAYOF THE !MONTH FOLLOWING THE REPORTED MONTH !: S3310:NONTHL FOPER4 TINGREPORT BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: 01-20-10 Division: Community Services _ Bulk Item: Yes X No Department: Social Services Staff Contact Person: Sheryl Graham x4592 AGENDA ITEM WORDING: Approval of an agreement between the Monroe County Community Transportation Coordinator/Guidance Clinic of the Middle Keys and Monroe County Board of County Commissioners for contract period of 01/01/2010 through 12/31/2010. ITEM BACKGROUND: This agreement is funded by Medicaid allocated by the State of Florida Commission for the Transportation Disadvantaged to the County's CTC to pay Monroe County Transit for providing Medicaid trips. PREVIOUS RELEVANT BOCC ACTION: Amendment #2 approved 12/16/2009 17WCC . CONTRACTIAGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval TOTAL COST: $0 BUDGETED: Yes X No COST TO COUNTY: $0 SOURCE OF FUNDS: Medicaid No Cash Ma 7reuired. REVENUE PR UCING: Yes X No AMOUNT PER MONTH SK- 7K Year $70,000 Max APPROVED BY: County Atty rchasing _ Risk Management DOCUMENTATION: DISPOSITION: Revised 8/06 Included X Not Required AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: CTC Contract Effective Date: 01-01-2010 Expiration Date: 12-31-2010 Contract Purpose/Description: The Agreement with the State of Florida Commission for the Transportation Disadvantaged/CTC will allow Monroe County Transit payment for the transit services rendered to Monroe County's Medicaid population for their medical trips. Contract Manager: Sheryl Graham 4510 Social Services/Stop 1 (Name) A"A4*-- (Ext.) (Department/Stop #) For BOCC meeting on 01/20/2010 Agenda Deadline: 01/05/2010 CONTRACT COSTS Total Dollar Value of Contract: $0 Current Year Portion: $ 0 Budgeted? Yes X No Account Codes: N/A - - - Grant: $0 - - - - County Match: $0 - - - - ADDITIONAL COSTS -Estimated Ongoing Costs. $ 0 /yr For: (Not included in dollar value above) (e . Maintenance, utilities, janitorial, salaries, etc) CONTRACT REVIEW Changes Date Out Division Director Da e In /1�] 6 Needed Yes ❑ No R iewei Risk Management ���'` Yes ❑ No O.M.F ./Purchasing } Yes ❑ No ['!r' County Attorney N `�.� YesV�j No ❑ t Comments: ►'t'l - rul 41 L - Aj Pt " 2 OMB Form Revised 2/27/01 MCP #2 BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY 2/1 /09 Division: Social Services Meeting Date: 1 6 Bulk Item: Yes X No _ Department: Transportation Staff Contact Person: Sheryl Graham x4510 AGENDA ITEM WORDING: Approval of Amendment 42 to the agreement between the Monroe County Community Transportation Coordinator/Guidance Clinic of the Middle -Keys and Monroe County Board of County Commissioners for contract period of OU01/2009 through 12/31/2009. ITEM BACKGROUND: This agreement is funded by Medicaid allocated by the State of Florida Commission for the Transportation Disadvantaged to the County's CTC to pay Monroe County Transit for providing Medicaid trips. PREVIOUS RELEVANT BOCC ACTION: Original agreement approved 09/19/2007; Amendment # 1 approved 01 /28/2009 (see attached) CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval TOTAL COST: $0 BUDGETED: Yes N/A No _ COST TO COUNTY: $0 SOURCE OF FUNDS: Medicaid No Cash Mate quired. REVENUE PR D—UCING: Yes X No AMOUNT PER MONTH %-7K Year $70.000 Max APPROVED BY: County Atty /Purchasing Risk Management DOCUMENTATION: Included DISPOSITION: Revised S,'06 Not Required_ AGENDA ITEM # i vIONROE COUNTY BOARD OF COUNTY COMMISSIONERS�� CONTRACT SUMMARY Contract with: CTC Contract i#AA-929 Effective Date: 01 /01/2009 Expiration Date:12/31/2009 Contract Purpose/Description: The Agreement with the State of Florida Commission for the Transportation Disadvantaged/CTC will allow Monroe County Transit payment for the transit services rendered to Monroe County's Medicaid population for their medical trips. Contract Manager: Sheryl -Graham 4510 Social Services/Stop I (Name) (Ext.) (Department/Stop #) . For BOCC meeting on 12/16/2009 Agenda Deadline: 12/01/2009 CONTRACT COSTS Total Dollar Value of Contract: $© Budgeted? Yes X No Account Codes: Grant: $0 County Match: $0 Current Year Portion: $ 0 N/A - - - - ADDITIONAL COSTS For: (eg, Maintenance, utilities, janitorial, salaries, etc CONTRACT REVIEW Changes Date Out Date In Needed Reviewer Division Director Yes C No ❑ Risk Management Yes ❑ No ❑ O.M.B./Purchasing Yes 0 No 0 County Attorney \")-56V' °� Yes 0 No D Comments: OMB Form Revised 2/27/01 NICP ##2 STATE OF FLORIDA �� COMMISSION FOR THE TRANSPORTATION DISADVANTAGED MEDICAID NON -EMERGENCY TRANSPORTATION (NET) PROGRAM SUBCONTRACTED TRANSPORTATION PROVIDER AGREEMENT AMENDMENT NO;L This amendment entered into on January 1, 2009, by and between the Guidance Clinic of the Middle Keys, hereinafter called "Coordinator and Monroe County Board of County Commissioners, hereinafter called "Subcontracted Transportation Provider". WITNESSETH: WHEREAS, the Coordinator and the Subcontracted Transportation Provider heretofore on July 1, 2007, entered into an Agreement, hereinafter called the Original Agreement; WHEREAS, the Coordinator desires to participate in all eligible items of development for this Meet as outlined in the attached amended Exhibit B. WHEREAS, this amendment is necessitated by the amendment of the contract between the Coordinator, and the, Commission for Transportation Disadvantaged. NOW, THEREFORE, THIS INDENTURE WITNESSETH; that for and in consideration of the mutual benefits to flow from each to the other, the parties hereto agree that the above described Agreement is to be amended as follows_ 1. Purpose of Agreement: The purpose of the agreement is not changed. 2. Accomplishment of the Agreement: The accomplishment of the agreement is not changed. 1 Expiration of Agreement: Paragraph 2, TERM of said agreement is amended to be December 31, 2009. 4. Amount: The reimbursement amount for this amendment has not changed. The Provider shall be paid up to a maximum amount of $70,000. The Provider shall submit monthly trip data in a format acceptable to the Coordinator. The Provider will be paid, after the Coordinator has received payment from the Commission in the amount of $3.00 per mile with a 5 mile minimum, $2.00 per mile for preauthorized out -of -County trips and $3.00 flat rate per client per mulitload for Medicaid eligible trips. 5. Exhibit B of said Agreement is replaced by Amended Exhibit B and is attached hereto and made a part hereof. EXCEPT as hereby modified, amended, or changed, all other terms of the Agreement dated January 1, 2007, shall remain in full force and effect. This amendment cannot be executed unless all previous amendments to this Agreement have been fully executed. Fj`eC0P` AGREEMENT AMENDMENT DATE: January 1, 2009 EXHIBIT B AMENDMENT #2, METHOD OF COMPENSATION For the satisfactory performance of the services and the submittal of Encounter Data as outlined in Exhibit A, Scope of Services, the Subcontracted Transportation Provider payments shall be paid up to a maximum amount of $70,000. The Provider shall submit monthly trip data in a format acceptable to the Coordinator. The Provider will be paid, after the Coordinator has received payment from the Commission in the amount of $3.00 per mile with a 5 mile minimum, $2.00 per mile for preauthorized out -of -County trips and $3.00 flat rate per client per mulitload for Medicaid eligible trips, The Subcontracted Transportation Provider shall submit invoices in a format acceptable to the Coordinator. The Subcontracted Transportation Provider will be paid after the Coordinator has received payment from the Commission. 1. Project Cost: The Subcontracted Transportation Provider shall request payment through submission of a properly completed invoice to the Coordinator. Once the Coordinator has signed the invoice for approval, the Coordinator shall submit the approved invoice to the Commission for Transportation Disadvantaged. County: Monroe 2. Disbursement Schedule of Funds Januay 1, 2009 — December 31, 2009: not to exceed $70,000.00 In witness' whereof, the parties hereto have caused these presents to be executed, the day and year first above written. Guidance Clinic of the Middle Keys, Inc. —SIGNATURE Transportation Director TITLE Maureen Grynewicz PRINTED NAME Board of County Commissioners, Monroe County SIGNATURE _MAYOR TITLE SYLVIA M LIRPHY PRINTED NAME NON -EMERGENCY TRANSPORTATION (NM PROGRAM SUBCONTRACTED TRANSPORTATION PROVIDER AGREEMENT BY THIS AGREEMENT, made and entered into this 1 day of January , 2010, by and between the Guidance/Care Center, Inc., hereinafter called "CTC" and Monroe County Board Of County Commissioners, hereinafter called "Provider": 1. SERVICES AND PERFORMANCE A. In connection with the delivery of Medicaid Non -Emergency Transportation Services, the CTC does hereby retain the PROVIDER to furnish certain services, information, and items as described in Exhibits A and B and Attachments, attached hereto and made a part hereof. B. Before making any additions or deletions to the work described in this Agreement, and before undertaking any changes or revisions to such work, the parties shall negotiate any necessary cost changes and shall enter into an Amendment covering such work and -compensation. Reference herein to this Agreement shall include any amendment(s). C. All plans, maps, computer files, and/or reports: prepared or obtained under this Agreement, as well as all data collected, together with summaries and charts derived there from, shall become the property of the Commission for Transportation Disadvantaged, (CTD), without restriction or limitation on their use and shall be made available upon request, to the CTD at any time during the performance of such services and/or upon completion or termination of this Agreement, Upon delivery to the CTD of said -document(s} the CTD shall become the custodian 5 thereof in accordance with Chapter 119, Florida Statutes. The PROVIDER shall not copyright any material and products or patent any invention developed under this Agreement. The CTC shall have the right to visit the site for inspection of the work and the products of the PROVIDER at any time. The CTC shall have the right to use, disclose, or duplicate all information and data developed, derived, documented, or furnished by the PROVIDER resulting from this Contract. Nothing herein shall entitle the CTC to disclose to third parties data or information that is otherwise protected from disclosure by State or federal law. D. The PROVIDER agrees to provide reports in a format acceptable to the CTC and at intervals established by the CTC. The CTC shall be entitled at all times to be advised, at its request, as to the status of work being done by the PROVIDER and of the details thereof. Coordination shall be maintained by the PROVIDER with representatives of the CTC, or of other agencies interested in the project on behalf of the CTC. Either party to the Agreement may request and be granted a conference. E. All services shall be performed by the PROVIDER to the satisfaction of the Director who shall decide all questions, difficulties, and disputes of any nature whatsoever that may arise under or by reason of this Agreement, the prosecution and fulfillment of the services hereunder and the character, quality, amount of value thereof, and the decision upon all claims, questions, and disputes shall be final and binding upon the parties hereto. Adjustments of compensation and contract time because of any major changes in the work that may become necessary or desirable as the work progresses shall be subject to mutual agreement of the parties, and amendment(s) shall be entered into by t\120-sav0l\redirection$4maureen.g ynewictlMy DocumentslCntrcts_Gmts Licns APes\Transpaftafionllvledicaid\BOCC BOCC Medicaid 2010.doc -1- the parties in accordance herewith. Reference herein to the Director shall mean the Executive Director of the CTD for the Transportation Disadvantaged. 2. TERM A. INITIAL TERM. This Agreement shall begin on 3anuary 1, 2010 and shall remain in full force and effect through completion of all services required on December 31, 2010. B. RENEWALS: This Agreement may be renewed for a period that may not exceed three (3) years or the term of the original Agreement, whichever period is longer. Renewals shall be contingent upon satisfactory performance evaluations by the CTC and subject to the availability of funds. Any renewal or extension shall be in writing and executed by both parties, and shall be subject to the same terms and conditions set forth in this Agreement. C. EXTENSIONS. In the event that circumstances arise which make performance by the PROVIDER impracticable or impossible within the time allowed or. which prevent a new Agreement from being executed, the CTC, in its discretion, may .grant an extension of this Agreement. Extension of this Agreement shall be in writing for a period not to exceed six (6) months and shall be subject to the same terms and conditions set forth in this Agreement; provided the CTC may, in its discretion, grant a proportional increase in the total dollar amount based on the method and rate established herein. There shall be only one extension of this Agreement unless the failure to meet the criteria set forth in this Agreement for completion of this Agreement is due to events beyond the control of the PROVIDER. 3. COMPENSATION AND PAYMENT A. Payment shall not be made until funds from Agency for Health Care Administration have been received and deposited by the CTC. Payment shall be made only after receipt and approval of goods and services unless advanced payments are authorized by the Chief Financial Officer of the State of Florida under Section 215.422 (14), Florida Statutes. B. This Agreement involves units of deliverables and they must be received and accepted in writing by the CTD's Contract Manager prior to payments. C. The CTD has eleven (11) working days to inspect and approve the deliverables, unless otherwise specified herein. The CTD has 20 days to deliver a request for payment (voucher) to the Department of Financial Services. The 20 days are measured from the latter of the date the invoice is received or the goods or services are received, inspected and approved. D. If a payment is not available within 40 days, a separate interest penalty pursuant to Section 215.422(3)(b), F.S., shall be due and payable, in addition to the invoice amount, to the PROVIDER. Invoices which have to be retumed to a PROVIDER because of PROVIDER preparation errors shall result in a delay in the payment. The invoice payment requirements do not start until payment for Agency for Health Care Administration has been received by the CTD and until a properly completed invoice is provided to the CTD. E. The State of Florida, through the Department of Management Services, has instituted \\120-sav01\redirection$\nmreen.g ynewicz\My Documents\Cntrcts_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -2- MyFloridaMarketPlace, a statewide eProcurement system. All PROVIDERs must be registered in the My Florida Market Place. Pursuant to Section 287.057(23), Florida Statutes, all payments shall be assessed a transaction fee of one percent (1%), which shall be paid to the State. Services provided under this Contract are exempt pursuant to Rule 50A-1.032(h), Florida Administrative Code, F. A Vendor Ombudsman has been established within the Department of Financial Services. The duties of this individual include acting as an advocate for vendors who may be experiencing problems in obtaining timely payment(s) from the CTD. The Vendor Ombudsman may be contacted at (850) 410-9724 or by calling the Consumer Hotline, 1-800-848-3792. G. Records of costs incurred under terms of this Agreement shall be maintained and made available upon request to the CTC at all times during the period of this Agreement and for five (5) years after final payment for the work pursuant to this Agreement is made. Copies of these documents and records shall be furnished to the CTC upon request. Records of costs incurred shall include the PROVIDER's general accounting records and the project records, together with supporting documents and records, of the PROVIDER and all subcontractors performing work, as provided in Exhibit A, Scope of Work and all other records of the PROVIDER and subcontractors considered necessary by the CTC for a proper audit of project costs. H. The CTC, during any fiscal year, shall not expend money, incur any liability, or enter into any contract which, by its terms, involves the expenditure of money in excess of the amounts budgeted as available for expenditure during such fiscal year. Any contract, verbal or written, made in violation of this subsection is null and void, and no money may be paid on such contract. The CTC shall require a statement from the CTD that funds are available prior to entering into any such contract or other binding commitment of funds. Nothing herein contained shall prevent the making of contracts for periods exceeding one year, but any contract so made shall be executory only for the value of the services to be rendered or agreed to be paid for in succeeding fiscal years. Accordingly, the CTC's performance and obligation to pay under this Agreement is contingent upon an annual appropriation by the Legislature. I. For the satisfactory performance of the services and the submittal of Encounter Data as outlined in Exhibit A, Scope of Services, the PROVIDER shall be paid up to a maximum amount of $ 70.DU0 . The PROVIDER shall not provide services that exceed the limiting amount(s) without an approved amendment from the CTC. The total amount of this contract is expected to be funded by multiple appropriations and the State of Florida's performance and obligation to pay under this contract is contingent upon annual appropriations by the Legislature. The PROVIDER shall submit invoices in a format acceptable to the CTC. The PROVIDER will be paid, after the CTC has received payment from Agency for Health Care Administration. The PROVIDER shall request payment through submission of a properly completed invoice to the CTC in accordance with Exhibit B, Method of Compensation. J. The PROVIDER must submit the final invoice for payment to the CTC no more than thirty (30) days after the Agreement ends or is terminated. If the PROVIDER fails to do so, all right to payment is forfeited and the CTC will not honor any requests submitted after the aforesaid time period. Any payment due under the terms of this Agreement 11120-sav01\redirection$\maureen.grynewicz\My Documents\cntrcts_Gmts Liens AppstTransportation\MedicaiMOCCXBOCC Medicaid 2010.doc -3- may be withheld until all reports due from the PROVIDER and necessary adjustments thereto have been approved by the CTC. K. The State of Florida's (OTC's) performance and obligation to pay under this Agreement is contingent upon an annual appropriation by the Legislature and nothing herein shall be construed to violate the provisions of Section 339.135(6)(a), Florida Statutes, which provides the CTC, during any fiscal year, shall not expend money, incur any liability, or enter into any contract which, by its terms, involves the expenditure of money in excess of the amounts budgeted as available for expenditure during such fiscal year. Any contract, verbal or written, made in violation is null and void and no money may be paid on such contract. 4. INDEMNITY, PAYMENT FOR CLAIMS AND INSURANCE A. INDEMNITY: The Provider, as a political sub -division of the State of Florida, as defined in Section 768.28, Florida Statutes, agrees to be fully responsible to the limits set forth in such statute for its own negligent acts or omissions, or intentional tortuous acts, which result in claims or suits against either the Provider or CTC, and agrees to be liable to the statutory limits for any damages proximately caused by said acts or omissions, or intentional tortuous acts. Nothing contained in this Section shall be construed to be a waiver by either party of any protections under sovereign immunity, Section 768.28 Florida Statutes, or any other similar provision of law. Nothing contained herein shall be construed to be a consent by either party to be sued by third parties in any matter arising out of this or any other Agreement. B. PAYMENT FOR CLAIMS: The CTC guaranties the payment of all just claims against the PROVIDER or any subcontractor, in connection with the Agreement. The CTC's final acceptance and payment does not release the PROVIDER's responsibilities until all such claims are paid or released. C. LIABILITY INSURANCE: The PROVIDER shall carry and keep in force during the period of this Agreement a general liability insurance policy or policies with a company or companies authorized to do business in Florida, affording public liability insurance in accordance with Rule Chapter 41-2.006, Florida Administrative Code. If the PROVIDER is a political subdivision of the State of Florida and is self -insured in accordance with the terms and provisions of Section 768.28, Florida Statutes regarding waiver of sovereign immunity in tort actions, the PROVIDER shall provide to the CTC a Certificate of Self - Insurance upon execution of this Agreement. Any lapse in coverage shall be reported in writing to the CTC. D. WORKERS' COMPENSATION. The PROVIDER shall cant' and keep in force Workers' Compensation Insurance as required for the State of Florida under the Worker's Compensation Law during the term of this Agreement. E. CERTIFICATION. With respect to any insurance policy required pursuant to this Agreement, all such policies shall be issued by companies licensed to do business in the State -of Florida. The PROVIDER shall provide to the CTC certificates showing the required coverage to be in effect and showing the CTC to be an additional certificate holder. Such policies shall provide that the insurance is not cancelable except upon thirty (30) days prior written notice to the CTC. \1120-sav011redireedon$\maareen.grynewicz\My DocumentstCntrcts_Gnts_Licns AppstTransportation\MedicaimOCC\BOCC Medicaid 2010.doc -4- 5. COMPLIANCE WITH LAWS AND REGULATIONS A. The PROVIDER agrees to comply with all applicable federal and State laws, rules and regulations including but not limited to: Title 42 CFR Chapter IV, Subchapter C; Tide 45 CFR Part 74, General Grants Administration Requirements; Chapters 409 and 641, F.S.; Part I of Chapter 427, F.S., Rule 41-2, F.A.C., the Electronics Accessibility Act, all applicable standards, orders, or regulations issued pursuant to the Clean Air Act of 1970 as amended (42 USC 1857, et seq.); Title VI of the Civil Rights Act of 1964 (42 USC 2000d) in regard to persons served; Title DC of the education amendments of 1972 (regarding education programs and activities); 42 CFR 431, Subpart F; Section 409.907(3)(d), F.S., and Rule 59G 8.100 (24)(b), F.A.C. in regard to the contractor safeguarding information about Medicaid Beneficiaries; Title VII of the Civil Rights Act of 1964 (42 USC 2000e) in regard to employees or applicants for employment; Rule 59G- 8.100, F.A.C.; Section 504 of the Rehabilitation Act of 1973, as amended, 29 USC 794 (which prohibits discrimination on the basis of handicap in programs and activities receiving or benefiting from federal financial assistance); the Age Discrimination Act of 1975, as amended, 42 USC 6101 et. seq. (which prohibits discrimination on the basis of age in programs or activities receiving or benefiting from federal financial assistance); the Omnibus Budget Reconciliation Act of 1981, P.L. 97-35, which prohibits discrimination on the basis of sex and religion in programs and activities receiving or benefiting from federal financial assistance; Medicare - Medicaid Fraud and Abuse Act of 1978; the federal Omnibus Budget Reconciliation Acts; Americans with Disabilities Act (42 USC 12101, et seq.); the Newborns' and Mothers' Health Protection Act of 1996, the Balanced Budget Act of 1997, and the Health Insurance Portability and Accountability Act of 1996. The PROVIDER is subject to any changes in federal and state law, rules, or regulations. B. The PROVIDER shall allow public access to all documents, papers, letters, or other material subject to the provisions of Chapter 119, Florida Statutes, and made or received by the PROVIDER in conjunction with this Agreement. Failure by the PROVIDER to grant such public access shall be grounds for immediate unilateral cancellation of this Agreement by the CTC. C. The PROVIDER agrees that it shall make no statements, press releases or publicity releases concerning this Agreement or its subject matter or otherwise disclose or permit to be disclosed any of the data or other information obtained or furnished in compliance with this Agreement, or any particulars thereof, during the period of the Agreement, without first notifying the CTDC's Contract Manager and securing prior written consent. The PROVIDER also agrees that it shall not publish, copyright, or patent any of the data developed under this Agreement, it being understood that such data or information are works made for hire and the property of the CTC. D. The PROVIDER shall comply with all federal, state, and local laws and ordinances applicable to the work or payment for work thereof, and will not discriminate on the grounds of race, color, religion, sex, national origin, age, or disability in the performance of work under this Agreement. E. If the PROVIDER is licensed by the Department of Business and Professional Regulation to perform the services herein contracted, then Section 337.162, Florida Statutes, applies as follows: 1k120-sav0l\redirection$Vnaureen.g ynewicz\My DocumentstCntrcts_Gmts_Licns Apps\Transportation\Medicaid\BOCC1BOCC Medicaid 2010.doc -5- 1) If the CTC has knowledge or reason to believe that any person has violated the provisions of the state professional licensing laws or rules, it shall submit a complaint regarding the violations to the Department of Business and Professional Regulation. The complaint shall be confidential. 2) Any person who is employed by the CTD and who is licensed by the Department of Business and Professional Regulation and who, through the course of the person's employment, has knowledge to believe that any person has violated the provisions of state professional licensing laws or rules shall submit a complaint regarding the violations to the Department of Business and Professional Regulation. failure to submit a complaint about the violations may be grounds for disciplinary action pursuant to Chapter 455, Florida Statutes, and the state licensing law applicable to that license. The complaint shall be confidential. 3) Any complaints submitted to the Department of Business and Professional Regulation are confidential and exempt from Section 119.07(1), Florida Statutes, pursuant to Chapter 455, Florida Statutes, and applicable state law. F. A person or affiliate who has been placed on the convicted vendor list following a conviction for a public entity crime may not submit a bid, proposal or reply on a contract to provide any goods or services to a public entity, may not submit a bid, proposal or reply on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids, proposals or replies on leases of real property to a public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017, Florida Statutes, for CATEGORY TWO for a period of 36 months from the -date of being placed on the -convicted- Vendor- list: G. An entity or affiliate who has been placed on the discriminatory Vendor list may not submit a bid, proposal or reply on a contract to provide any goods or services to a public entity, may not submit a bid, proposal or reply on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids, proposals or replies on leases of real property to a public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with a public entity, and may not transact business with any public entity. H. The CTC shall consider the employment by any PROVIDER of unauthorized aliens a violation of Section 274A(e) of the Immigration and Nationality Act. if the PROVIDER knowingly employs unauthorized aliens, such violation shall be cause for unilateral cancellation of this Agreement. 1. Pursuant to Section 216.347, Florida Statutes, the PROVIDER may not expend any State funds for the purpose of lobbying the Legislature, the judicial branch, or state agency. This Contract contains federal funding, therefore, the PROVIDER shall, upon Contract execution, complete the Certification regarding Lobbying Form, Attachment 2. 6. CONTRACT MANAGEMENT A. The CTC shall be responsible for the management of this Contract. The CTD shall make all statewide policy decision -making or Contract interpretation. In addition, the CTD shall be responsible for the interpretation of all federal and State laws, rules and regulations governing, or in any way affecting, this Contract. The CTC shall conduct the management of this Contract in good faith, with the best interest of the State and the ti120-savOl\redirection$\rnaureen.grynewiez\My Docunients\Cimcts_Gmts_Licns AppsiTransportation\Medicai&BOCCIBOCC Medicaid 2010.doc -6- Medicaid Beneficiaries it serves being the prime consideration. The CTC shall consult with the CTD and Agency for Health Care Administration to provide final interpretation of general Medicaid policy. When interpretations are required, the PROVIDER shall submit written requests to the CTC. B. The terms of this contract do not limit or waive the ability, authority or obligation of the Office of Inspector General, the Bureau of Medicaid Program Integrity, its contractors, or other duly constituted government units (State or federal) to audit or investigate matters related to, or arising out of this Contract. C. The parties shall amend the Contract only as follows: 1) The parties cannot amend or alter the terms of this Contract without a written amendment. 2) Only a person authorized by the CTC and a person authorized by the PROVIDER may amend or alter the terms of this Contract. D. Contract Variation. If any provision of the Contract (including items incorporated by reference) is declared or found to be illegal, unenforceable, or void, then both the CTC and the PROVIDER shall be relieved of all obligations arising under such provisions. If the remainder of the Contract is capable of performance, it shall not be affected by such declaration or finding and shall be fully performed. In addition, if the laws or regulations governing this Contract should be amended or judicially interpreted so as to render the fulfillment of the Contract impossible or economically infeasible, both the CTC and the PROVIDER shall be discharged from further obligations created under the terms of the Contract. However, such declaration or finding shall not affect any rights or obligations of either, party to the extent that such rights or obligations arise from acts performed or events occurring prior to the effective date. of such declaration or finding. E. Representation of Entire Contract. This Contract with exhibits and numbered attachments represents the entire agreement between the PROVIDER and the CTC with respect to the subject matter in it and supersedes all other contracts between the parties when the duly authorized representatives of the CTC and the PROVIDER signed the Contract. Correspondence and memoranda of understanding do not constitute part of this Contract. In the event of a conflict of language between the Contract and the exhibits and attachments, the provisions of the Contract shall govern. However, the CTC reserves the right to clarify any contractual relationship in writing with the concurrence of the PROVIDER and such clarification shall govern. Pending final deten-nination of any dispute over a CTC decision, the PROVIDER shall proceed diligently with the performance of the Contract. 7. ASSIGNMENT AND TRANSFER The PROVIDER shall maintain an adequate and competent staff so as to enable the PROVIDER to timely perform under this Agreement. 8. CONFLICT OF INTEREST This Contract is subject to the provisions of Chapter 112, F.S. If applicable, the PROVIDER shall disclose the name of any officer, director, or agent who is an employee of the State of Florida, or any of its agencies. Further, the PROVIDER shall disclose the name of any State employee who owns, directly or indirectly, an interest of five percent (5%) or more in the PROVIDER's firm or any of its branches. The PROVIDER covenants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with \1120-savOlVedirection$tmaureen.grynewicz\My DocumentslCntrcts_Gmts_Licns Apps\TransportationlMedicai&BOCC\BOCC Medicaid 2010.doc -7- the performance of the services hereunder. The PROVIDER further covenants that it will not employ any such person known to have such interests in the performance of the terms of this Contract. No official or employee of the CTD or the CTC and no other public official of the State of Florida or the federal government who exercises any functions or responsibilities in the review or approval of the undertaking or carrying out the Contract shall, prior to completion of this Contract, voluntarily acquire any personal interest, direct or indirect, in this Contractor proposed Contract. 9. TERMINATION AND DEFAULT PROCEDURES A. This Agreement may be canceled by the CTC in whole or in part at any time the interest of the CTC requires such termination. The CTC reserves the right to terminate or -cancel this Agreement in the event an assignment is made for the benefit of creditors. B. If the CTC determines that the performance of the PROVIDER is not satisfactory, the CTC shall have the option of (a) immediately terminating the Agreement, or (b) notifying the PROVIDER of the deficiency with a requirement that the deficiency be corrected within a-specifiedtime, otherwise the Agreement will be terminated at the end of such time, or (c) taking whatever action is deemed appropriate by the CTC. C. If the CTC requires termination of the Agreement for reasons other than unsatisfactory performance of the PROVIDER, the CTC shall notify the PROVIDER of such termination, with instructions as to the effective date of termination or specify the stage of work at which the Agreement is to be terminated. D. The PROVIDER shall submit a notice of withdrawal from the Transportation Provider network at least ninety {90) calendar days- prior to the effective date of such withdrawal. E. In the event funds to finance this Contract become unavailable, the CTC may terminate the Contract upon no less than twenty-four (24) hours written notice to the PROVIDER. Said notice shall be delivered by certified mail, return receipt requested, or in person with proof of delivery. The CTC shall be the final authority as to the availability of funds. F. Termination for Breach. Unless the PROVIDER's breach is waived by the CTC in writing, the CTC may, by written notice to the PROVIDER, terminate this Contract upon no less than twenty-four (24) hours written notice. Said notice shall be delivered by certified mail, return receipt requested, or in person with proof of delivery. If applicable, the CTC may employ the default provisions in Chapter 60A-1006(4), Florida Administrative Code. Waiver of breach of any provisions of this Contract shall not be deemed_ to be a waiver of any other breach and shall not be construed to be a modification of the terms of this Contract. The provisions herein do not limit the CTC's right to remedies at law or to damages. In accordance with 1932(e)(4), Social Security Act, the CTC shall provide the PROVIDER with an opportunity for a hearing prior to termination for breach. This does not preclude the CTC from terminating without breach. G. Upon receipt of final notice of termination, on the date and to the extent specified in the notice of termination, the PROVIDER shall: 1) Stop work under the Contract, but not before the termination date; \\120-sav0l\redirectionS\maureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -8- 2) Take such action as may be necessary, or as the CTC may direct, for the protection of property related to the Contract that is in the possession of the PROVIDER and in which the CTC has been granted, or may acquire, an interest; and 3) Not accept any payment after the Contract ends, unless the payment is for services rendered before the Contract's termination effective date. The CTC may withhold any payments due under the terms of this Contract until it receives all written and properly executed documents from the PROVIDER as required by written instructions from the CTC. 10, DAMAGES FOR FAILURE TO MEET CONTRACT REQUIREMENTS In addition to any remedies available through this Contract, in law or equity, the PROVIDER shall reimburse the CTC and/or AHCA for any federal disallowances or sanctions imposed on the PROVIDER as a result of the PROVIDER's failure to abide by the terms of this Contract. 11. WAIVER The parties shall not waive any covenant, condition, duty, obligation, or undertaking contained in or made a part of this Contract except by written agreement of the parties, and forbearance or indulgence in any other form or manner by either party in any regard whatsoever shall not constitute a waiver of the covenant, condition, duty, obligation, or undertaking to be kept, performed, or discharged by the party to which the same may apply. Until complete performance or satisfaction of all such covenants, conditions, duties, obligations, or undertakings, the other party shall have the right to invoke any remedy available under law or equity not withstanding any such forbearance or indulgence. 12. INDEPENDENT PROVIDER The parties expressly agree that the PROVIDER and any agents, officers, and/or employees of the PROVIDER, in the performance of this Contract shall act in an independent capacity and not as officers and/or employees of the CTC or the State of Florida. Furthermore, the parties expressly agree that they shall not construe this Contract as having formed a partnership or joint venture between the PROVIDER and the CTC and/or the State of Florida. 13. MISCELLANEOUS A. ATTORNEYS FEES. In the event of a dispute, each party to the Contract shall be responsible for its own attorney's fees, except as otherwise provided by law. B. COURT OF JURISDICTION OR VENUE For purposes of any legal action occurring as a result of, or under, this Contract, between the CTC and the PROVIDER, the place of proper venue shall be Monroe County. C. FORCE MAJEURE. The CTC shall not be liable for any excess cost to the PROVIDER if the CTC's failure to perform the Contract arises out of causes beyond the control and without the result of fault or negligence on the part of the CTC. In all cases, the failure to perform must be beyond the control without the fault or negligence of the CTC. The PROVIDER shall not be liable for performance of the duties and responsibilities of the Contract when its ability to perform is prevented by causes beyond its control. These acts must occur without the fault or negligence of the PROVIDER. These include destruction to the facilities due to hurricanes, fires, war, riots, and other similar acts. D. LEGAL ACTION NOTIFICATION. The PROVIDER shall give the CTC, by certified mail, immediate written notification (no later than thirty (30) Calendar Days after service of \\120-sav0l\redirection$\maureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\TranspartaUiontMedicaid\BOCC\BOCC Medicaid 2010.doc -9- process) of any action or suit filed or of any claim made against the PROVIDER by any Transportation Provider, or any other party which results in litigation related to this Contract for disputes or damages exceeding the amount of $50,000. In addition, the PROVIDER shall immediately advise the CTC of the Insolvency of the PROVIDER and/or Transportation Provider or of the filing of a petition in bankruptcy by or against a principal PROVIDER. E. MISUSE OF SYMBOLS, EMBLEMS, OR NAMES IN REFERENCE TO MEDICAID. Neither the PROVIDER nor any person may use, in connection with any item constituting an advertisement, solicitation, circular, book, pamphlet or other communication, or a broadcast, telecast, or other production, alone or with other words, letters, symbols or emblems, the words "Medicaid," or "Agency for Health Care Administration," unless the AHCA provides prior written approval. The PROVIDER must obtain specific written authorization from the CTD in order to reproduce, reprint, or distribute any AHCA form, application, or publication for a fee. State and local governments are exempt from this prohibition. A disclaimer that accompanies the inappropriate use of program or AHCA terms does not provide a defense. Each piece of mail or information constitutes a Violation and is subject to sanctions. F. OFFER OF GRATUITIES. By signing this Contract, the PROVIDER signifies. that, if applicable, no member of, or a delegate of, Congress, nor any elected or appointed official or employee of the State of Florida, the General Accounting Office, Department of Health and Human Services, CMS, or any other federal agency has or shall benefit financially or materially from this procurement. The CTC may terminate this Contract if it is determined that gratuities of any kind were offered to, or received by, any officials or employees from the State, -its agents,--or-employees. G. EMERGENCY MANAGEMENT PLAN. The PROVIDER shall submit its plans describing procedures ensuring the continuation of appropriate services during an emergency, including but not limited to localized acts of nature, accidents, and technological and/or attack -related emergencies, both natural and manmade. The PROVIDER shall provide a copy of its disaster plan for written approval no later than thirty (30) days after the effective date of this Contract and on June 1 of each year of this Contract, or at the request of the CTC. H. CULTURAL COMPETENCY PLAN, The PROVIDER shall comply with the Cultural Competency Plan as developed by the CTC. I. The PROVIDER and its employees, agents, representatives are not employees of the CTC and are not entitled to the benefits of State of Florida employees. Except to the extent expressly authorized herein, PROVIDER and its employees, agents, representatives are not agents of the CTC or the State for any purpose or authority such as to bind or represent the interests thereof, and shall not represent that .it is an agent or that it is acting on the behalf of the CTC or the State. The CTC shall not be bound by any unauthorized acts or conduct of the PROVIDER or its employees, agents, representatives. J. All words used herein in the singular form shall extend to and include the plural. All words used in the plural form shall extend to and include the singular. All words used in any gender shall extend to and include all genders. \1120-sav01\reditection$\maureen.grynewica\My Documents\Cntrcts_Gmts_Licns Apps\Tnmsportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -10- K. This Agreement embodies the whole agreement of the parties. There are no promises, terms, conditions, or obligations other than those contained herein, and this Agreement shall supersede all previous communications, representations, or agreements, either verbal or written, between the parties hereto. The State of Florida terms and conditions, whether general or specific, shall take precedence over and supersede any inconsistent or conflicting provision in any attached terms and conditions of the PROVIDER. L. It is understood and agreed by the parties hereto that if any part, term or provision of this Agreement is by the courts held to be illegal or in conflict with any law of the State of Florida, the validity of the remaining portions or provisions shall not be affected, and the rights and obligations of the parties shall be construed and enforced as if the Agreement did not contain the particular part, term, or provision held to be invalid. M. This Agreement shall be governed by and construed in accordance with the laws of the State of Florida. N. If this Agreement is the result of a formal solicitation (Invitation to Bid, Request for Proposal or Invitation to Negotiate), the Department of Management Services Forms PUR1000 and PUR1001, included in the solicitation, are incorporated herein by reference and made a part of this Agreement. 0. Time is of the essence as to each and every obligation under this Agreement. P. The following Exhibits and Attachments are incorporated and made a part of this Agreement: Exhibit A Scope of Services Exhibit B Method of Compensation Attachment 1 Business Associate Agreement Attachment 2 Special Audit Requirements Attachment 3 Quarterly Grievance System Summary Report Attachment 4 Trip Travel Expense Report Attachment 5 Business Disruption Notification Report Attachment 6 Critical Incident Report Attachment 7 Definitions and Acronyms IN WITNESS WHEREOF, the parties have executed this Agreement by their duly authorized officers on the day, month and year set forth above. Guidance/Care Center, Inc. Auth 'zed Signature Maureen Grynewicz Print/Type/Name and Date Transportation Director Title Monroe County Board of County Commissioners Authorized Signature Print/Type/Name and Date Tit \\124-sav01\redirectionS\maureen.grynewicz\My Documents\Cntcts_Gmts_Liens EXHIBIT A SCOPE OF SERVICES Medicaid Non -Emergency Transportation Services I. GENERAL OVERVIEW A. Purpose This Agreement between the CTC and the PROVIDER is for the provision of Medicaid Non - Emergency Transportation (NET) services. B. General Responsibilities of the State of Florida (State) and the CTC: The CTD will be responsible for setting policy relating to the Medicaid NET program. 2 The CTC will administer the Agreement with the PROVIDER, monitor PROVIDER performance, and provide oversight in all aspects of the PROVIDER's operations. 3 The State has sole authority for determining Medicaid eligibility. 4 Except for Medically Needy Medicaid Beneficiaries, eligibility for Transportation Services provided by the Recipient is effective at 12:01 a.m. on the first (1st) Calendar Day of the month. 5 The CTC will conduct periodic monitoring of the PROVIDER's operations for compliance with the provisions of the Agreement and applicable federal, State, and local laws and regulations. 6 The CTC has final authority in interpreting the terms and conditions of the Agreement and analyzing all policies relating to the Agreement. 7 Unless otherwise specified in this Agreement, the CTC shall respond to all PROVIDER requests for a response within ten (10) Business Days of receipt of said request. 8 The CTC shall ensure that the PROVIDER is Cost Effective (see Section 409.912(44), F.S.). The CTC may not renew this Agreement if it is not Cost Effective. C. General Responsibilities of the PROVIDER 1 The PROVIDER shall comply with all provisions of this Agreement and its amendments, if any, and shall act in good faith in the performance of the Agreement's provisions. The PROVIDER shall comply with all written policies and procedures developed by the CTC to implement all provisions of this Agreement. The PROVIDER agrees that failure to comply with any provision of this Agreement shall result in the assessment of sanctions as identified in this agreement. 2 The PROVIDER shall comply with all requirements of Section 6032 (Employee Education About False Claims Recovery) of the federal Deficit Reduction Act of 2005 if the Recipient receives or earns five million dollars or more, annually, under the Medicaid State plan. \\120-sav0l\redirectionS\maureen.grynewicz\My Documents\Cntrc ts_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -12- 3 The PROVIDER shall comply with all pertinent CTC rules in effect throughout the duration of the Agreement. 4 The PROVIDER shall comply with all current Florida Medicaid Handbooks as noticed in the Florida Administrative Weekly ("FAW'), or incorporated by reference in rules relating to the provision of Transportation Services set forth in this agreement, except where the provisions of the Agreement expressly alter the requirements set forth in the Florida Medicaid Handbooks promulgated pursuant to the Florida Administrative Code (FAC). In addition, the PROVIDER shall comply with the limitations and exclusions in the Medicaid Handbooks, unless otherwise specified by this Agreement. In no instance may the PROVIDER's limitations or exclusions imposed be more stringent than those specified in the Medicaid Handbooks. The PROVIDER shall furnish Transportation Services in an amount, duration, and scope that the PROVIDER may reasonably expect to achieve the purpose for which the Transportation Services are furnished. The PROVIDER shall not arbitrarily deny or reduce the amount, duration, or scope of Transportation Services solely because of a Medicaid Beneficiary's diagnosis, type of illness, or condition. 5 This Agreement, including all attachments and exhibits, represents the entire agreement between the PROVIDER and the CTC and supersedes all other contracts, agreements, or understandings between the parties when it is executed by duly authorized signatures of the PROVIDER and the CTC. Correspondence and memoranda of understanding do not constitute part of this Agreement. In the event of a conflict of language between the Agreement and the exhibits and attachments, the provisions of the Agreement shall -govern. - 6 The CTC reserves the right to clarify any terms and conditions in question in regards to the Agreement between the CTC and the PROVIDER, in its sole discretion, in writing; such clarification shall govern. Upon final determination of any dispute over any CTC decision, the PROVIDER shall proceed diligently with the performance of its duties as specified under the Agreement and in accordance with the direction of the Agency's Division of Medicaid. 7. The PROVIDER shall comply with the CTC's Quality Improvement Program (QIP) to ensure enhancement of quality of Transportation Services and emphasize the goals of improving the quality of Transportation Services provided to Medicaid Beneficiaries. The CTC may sanction the PROVIDER, if the PROVIDER does not meet acceptable Quality Improvement (QI) and Performance Measures (PMs), based on the CTC's reports and other outcome measures. 8. The PROVIDER must meet all requirements for doing business in the State of Florida. 9. The CTC may require the PROVIDER to provide to the CTC, or its Agent, information or data that is not specified under this Agreement. In such instances, and at the direction of the CTC, the PROVIDER shall fully cooperate with such requests and furnish all information in a timely manner, in the format in which the CTC requested. The PROVIDER shall have at least thirty (30) Calendar Days to fulfill such ad hoc requests. 10. The PROVIDER shall monitor utilization of Transportation Services by Medicaid Beneficiaries through the Prior Authorization of claims for Covered Services and the \1120-sav0l\mdirection$\mameen.grynewicz\My Documents\Cntrcts_Gmts_Licns APes\Transportation\Medicaidl30CC\BOCC Medicaid 20I0.doc -13- reports specified in this agreement. 11. The PROVIDER shall collect and submit Encounter Data for each Agreement Year in the format set forth in the Reporting Requirements section of this agreement, or as required by the CTC, and within the time frames specified by the CTC. All Covered Services rendered to Medicaid Beneficiaries shall result in the creation of an encounter record. 12. The PROVIDER shall not: a. Use Fee -for -Service ambulance transport in lieu of Cost Effective and appropriate Transportation Services; b. Limit Medicaid Beneficiaries to a specific number of medical Trips for any specific time period; and/or, C. Limit Medicaid Beneficiaries to specific Licensed Health Care Professionals or use similar limitations that restrict the distance required for a Medicaid Beneficiary to receive Transportation Services, or limit the number of Trips provided to Medicaid Beneficiaries. 13. Use of Funding for Lobbying or Advocacy Purposes a. The CTC shall ensure that neither the CTC nor the PROVIDER use Medicaid funding to lobby, advocate, or encourage other parties to lobby or advocate legislators or other political leaders in violation of State and federal law. If the CTC determines that the PROVIDER has violated this requirement against lobbying or advocating, 'th� C`X may sanction the PROVIDER. - - b. The Recipient shall ensure that the Providers execute a Certificate Regarding Lobbying no less than thirty (30) Calendar Days before the effective date of the Agreement and maintain copies of said Certificates in the Recipient's files. C. All of the lobbying and advocating requirements set forth_ in this Agreement apply to staff, Subcontractors, Transportation Providers, Recipient volunteers, employees, independent contractors, and all persons acting for, or on behalf of, the Recipient. The requirements set forth in this Section shall govern the development of all materials. Additionally, the Recipient is vicariously liable for any Violations of its Subcontractors, Transportation Providers, agents, employees, staff, and/or independent contractors. II. BENEFICIARY ELIGIBILITY A. Eligibility 1. Eligible Populations a. The PROVIDER shall provide Medicaid Transportation Services only to Medicaid Beneficiaries who are included in the eligible population. b. The categories of eligible Medicaid Beneficiaries authorized to receive services from the Recipient include, but are not limited to, the following: \\120-sav01\redirectionS\naureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -14- (1) Low Income Families and Children; (2) Foster Care Children; (3) Sixth Omnibus Budget Reconciliation Act (SOBRA) Children and pregnant women; (4) Supplemental Security Income (SSI) Medicaid only Medicaid Beneficiaries; (5) SSI Medicare, Part B only Medicaid Beneficiaries; (6) SSI Medicare, Parts A and B Medicaid Beneficiaries; (7) Medicaid Beneficiaries who are residents in ALFs; (8) The MEDS Aged/Disabled (AD) population; (9) Individuals with Medicare coverage (e.g., dual eligible individuals) who are not enrolled in a Medicare -funded Managed Care Organization (MCO); (10) Institutional Care Program (ICP) Residents: Beneficiaries who are eligible for transportation services for placement in a facility while their eligibility determination is being processed (e.g., nursing home residents, etc.); (11) Presumptively Eligible Pregnant Women: This program allows staff at County Health Departments,- Regionat Prenatal Intensive Care Centers, and other qualified medical facilities to make a presumptive determination of Medicaid eligibility for low-income pregnant women. This presumptive determination allows a woman to access prenatal care while Department of Children and Families eligibility staff make a regular determination of eligibility. Outpatient or office services related to the pregnancy are reimbursed by this program; transportation services are available to support these visits; (12) Medicaid Beneficiaries who are receiving services through: (a) A hospice program; (b) A Prescribed Pediatric Extended Care (PPEC) center; (c) The Aged/Disabled Adult Waiver; (d) The Alzheimer's Disease Waiver; (e) The Assisted Living for the Elderly Waiver; (f) The Channeling Waiver; (g) The Familial Dysautonomia Waiver, (h) The Florida Senior Care Waiver; (i) The Model Waiver; 0) The Nursing Home Diversion Waiver; (k) The Project AIDS Care Waiver; or (1) The Traumatic Brain Injury/Spinal Cord Injury (TBI/SCI) Waiver. (13) Title )W MediKids: A Title )W health insurance program that provides certain children, who are not Medicaid eligible, with Medicaid benefits; and \\120-sav0l\redirection$Vnaureen.gynewicz\ 4y Documents\Cntrcts_Gmts_Licns AppslTrwiWrtation\Medicaid\BOCC1BOCC Medicaid 2010.doc -is- (14) Medically Needy: A Medically Needy beneficiary is an individual who would qualify for Medicaid but has income or resources that exceed normal Medicaid guidelines. On a month -by -month basis, the individual's medical expenses are subtracted from income; if the remainder falls below Medicaid's income limits, the individual may qualify for Medicaid through the end of the month. 2. Ineligible Populations a. The following categories describe Medicaid Beneficiaries who are not eligible to receive Transportation Services from the Recipient: (1) Medicaid MCO enrollees — Medicaid Beneficiaries who are enrolled with a Medicaid MCO that provides Transportation; (2) Medicaid Beneficiaries who have their own means of Transportation; (3) Medicaid Beneficiaries who, at the time of application for enrollment and/or at the time of enrollment, are domiciled or residing in an institution, including: (a) Statewide inpatient psychiatric program (SIPP) facilities; (b) Intermediate care facility for persons with developmental disabilities (ICF-DD); (c) State Hospitals; or (d) Correctional institutions. (4) Qualified Medicare Beneficiaries ("QMBs'), Special Low Income Medicare Beneficiaries C'SLMBs'), Qualified Medicare Beneficiaries Renal Dialysis ("QMBRs'), or Qualified Individuals at Level 1 (" QIIs'); (5) Medicaid Beneficiaries who reside in the following: (a) Residential commitment programs/facilities operated through the Department of Juvenile .justice (D33); (b) Residential group care operated by the Family Safety & Preservation Program of the Department of Children and Families (DCF); (c) Children's residential treatment facilities purchased through the Substance Abuse & Mental Health District (SAMH) Offices of the DCF (also referred to as Purchased Residential Treatment Services — PRTS); (d) SAMH residential treatment facilities Licensed as Level I and Level II facilities; and (e) Residential Level I and Level II substance abuse treatment programs. See Sections 65D-3O.007(2)(a) and (b), F.A.C. (6) Legal aliens; (7) Medicaid Beneficiaries who are also members of a Medicare -funded Managed Care Organizations (MCOs); 1\120-savOlVedirectionS\tnaureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\Transportation\Me-dicaid\BOCCtBOCC Medicaid 20I0.doc -16- (8) Medicaid Beneficiaries who are enrolled in the Family Planning Waiver; and/or (9) Medicaid Beneficiaries who are enrolled in the Program of All-inclusive Care for the Elderly (PACE). b. The following waivers' services are not eligible for Transportation Services: (1) The Developmentally Disabled Waiver (Tier 1); (2) The Developmentally Disabled Waiver (Tier 2); (3) The Developmentally Disabled Waiver (Tier 3); (4) The Family and Supported Living Waiver (Tier 4); and (5) The Adult Cystic Fibrosis Waiver. B. Gate Keeping Medicaid Compensable Trips a. Neither the CTC or the PROVIDER shall not require written verification from the Medicaid Beneficiary as to the need for an Urgent Trip or Medically Necessary Trip. b. The CTC, and the Provider in its efforts to ensure proper Gate Keeping, may: (1) Contact the Medicaid Beneficiary's provider's/Licensed Health Care Professional's office and ask if the medical care is Medicaid compensable. If the Trip is not Medicaid compensable, the PROVIDER shall deny the Trip request. (2) Contact the Medicaid Beneficiary's provider's/Licensed Health Care Professional's office and ask if the Medicaid Beneficiary has an appointment. If the Medicaid Beneficiary does not have an appointment, the PROVIDER shall deny the Trip request. (3) Contact the Medicaid Beneficiary's provider's/Licensed Health Care Professional's office and ask if the medical care is considered Urgent Care as defined In this Agreement. If the PROVIDER is able to confirm that the Trip is not considered Urgent Care, the PROVIDER may require that the Medicaid Beneficiary reschedule the requested Medicaid compensable Trip. c. The PROVIDER can require that a Medicaid Beneficiary seek Medicaid compensable services from a physician/Licensed Health Care Professional doing business in the Medicaid Beneficiary's city/community of residence unless: (1) There is not a physician/Licensed Health Care Professional in the Medicaid Beneficiary's city/community of residence that can or will provide services to the Medicaid Beneficiary; \\120-sav011red reetion$Vnaurwn.grynewicz\My DGcumentstCntrcts_Gmts_Licns AppskTransporMon\Medicaid\BOCC\BOCC Medicaid 2010.doe -17- (2) The Medicaid Beneficiary has started a course of treatment for an Acute Condition in one county of residence and subsequently changes his county of residence to an adjacent county of residence. Upon completion of a course of treatment for an Acute Condition, the Recipient may require the Medicaid Beneficiary utilize the services of a provider/Licensed Health Care Professional located in the Medicaid Beneficiary's city/community of residence; or (3) The Medicaid Beneficiary's provider/Licensed Health Care Professional is located in an adjacent city/community and is at a distance no further from the Medicaid Beneficiary's home than a similar physician/Licensed Health Care Professional in the Medicaid Beneficiary's city/community of residence. d. The PROVIDER shall not limit the number of Medicaid compensable Trips that a Medicaid Beneficiary receives. e. In order to manage the coordination of Transportation Services, the PROVIDERs may request that a Medicaid Beneficiary reschedule a Medicaid compensable Trip that is not an Urgent Trip, but in no event may the PROVIDERs and/or Transportation Providers delay the Medicaid Beneficiary's appointment by more than fifteen (15) Business Days. 2. Neither the Agency for Health Care Administration, the CTC, nor -the PROVIDER shall limit the following types of Trips. The PROVIDER shall provide the foilowing-'types of Trips in addition to the PROVIDERS daily Trip allocation: a. Urgent Trips b. Trips to the following types of services: (1) Dialysis; �2) Chemotherapy; (3) Wound treatment, (4) Behavioral Health Care; (5) Prescribed Pediatric Extended Care centers (PPECs); or, (6) Any other Trip not specifically set forth above, but that the Agency for Health Care Administration determines, after consultation with the CTC, is in the best interests of the Medicaid Beneficiary population. 3. The PROVIDERS shall comply with the following gate keeper responsibilities: a. Accept requests for Transportation Services directly from Medicaid Beneficiaries, adult family members on behalf of minor Medicaid Beneficiaries, guardians responsible for Medicaid Beneficiaries, and providers/Licensed Health Care Professionals on behalf of Medicaid Beneficiaries. b. Assure that the Medicaid Beneficiary is a resident of Florida and is currently Medicaid eligible. Medicaid eligibility shall be obtained by contacting a MEVS vendor or similar provider, including the PROVIDERS eligibilityverification program, through FAXBACK with the Medicaid Fiscal Agent where a fax is sent \\120-sav0ltredirection$\maumm.grynewiczNy Documents\Cntrcts_Gmts_Licns APes\Traosporta6onXMedicaidUWC\BOCC Medicaid 2010.doc -18- through an automated system and a report is transmitted back containing Beneficiary eligibility information. C. Determine if transportation resources exist within the Medicaid Beneficiary's Household regularly and/or specifically for the Trip requested, and may deny a Trip request if the Medicaid Beneficiary has appropriate transportation resources in his/her Household. d. Determine if there is a reason why the Medicaid Beneficiary cannot utilize his/her own transportation (such as the vehicle is broken, out of gas, etc.). If the Beneficiary is unable to utilize his/her transportation, the PROVIDER may assist the Medicaid Beneficiary in utilizing his/her own means of transport (fix vehicle, supply gas, etc.). e. Determine whether any person who does not reside in the Medicaid Beneficiary's household can reasonably provide transportation. "Reasonably" is defined to mean both willing and able. The PROVIDER shall not demand the use of transportation resources available through any party residing outside the Medicaid Beneficiary's household. f. Require the use of public transportation, where available and appropriate, for Medicaid Beneficiaries who are able to understand common signs and directions. g. Determine if the Medicaid Beneficiary is ambulatory, requires a mobility device, or requires a stretcher for transport. The PROVIDER shall transport Medicaid Beneficiaries who must use a mobility device for ambulation or must remain in a lying position in vehicles appropriate to their level of need. h. Provide Transportation Services only to a Medicaid compensable service. Refuse to reimburse the cost of transportation provided for a Medicaid Beneficiary by any relative or member of the same household, exclusive of foster parents. Some nursing facilities, group homes, and personal care homes have one or more vehicles, which are intended to facilitate the general administration of the facility and not necessarily to provide for resident transportation. The PROVIDER cannot deny Transportation Services based on the mere existence of a vehicle. The availability of a vehicle for resident transportation must be determined on a case by case basis. If the vehicle is not available for resident transportation at the time required, as represented by the nursing facility manager or director of nursing, as applicable, the PROVIDER shall exclude such vehicle as an alternate form of available transportation. k. Consider information presented by or on behalf of a Medicaid Beneficiary relative to the need for Transportation Services upon each such request for transportation, notwithstanding previous denials of service. I. Except as otherwise specified below, require that a Medicaid Beneficiary and associated Attendant/Escort be picked up from, and returned to, a common \\120-sav01\redirection$\maureen.gynewiczWy Documents\Cntrcts_Gmts_Licns Apps\TransportationNedicaid\BOCC\BOCC Medicaid 2010.doc -19- address. M. Ensure that Medicaid is the payor of last resort and that the Medicaid Beneficiary does not have access to any other form of transportation service to a Medicaid compensable service. 5. If the PROVIDER requires an application process to determine eligibility for Transportation Services, the PROVIDER shall provide Transportation Services to all Medicaid Beneficiaries requiring Urgent Trips pending the PROVIDER's final eligibility determination. III. MEDICAID BENEFICIARY SERVICES A. Medicaid Beneficiary Services 1. General Provisions a. The PROVIDER shall have written policies and procedures for the provision of Transportation Services, as specified in this Agreement b. The PROVIDER shall ensure that Medicaid Beneficiaries are aware of their rights and responsibilities, how to obtain Transportation Services, what to do in an Emergency or Urgent Care situation, how to file a Complaint, Grievance, Appeal, or Medicaid Fair Hearing, how to report suspected Fraud and Abuse_, and all other requirements and Covered Services: The PROVIDER shall have the capability to answer Medicaid Beneficiary inquiries via written materials, telephone, electronic transmission, and face-to-face communication. d. The PROVIDER shall not charge the CTC, CTD or Agency for Health Care Administration or Medicaid Beneficiaries for printing written materials. e. The PROVIDER must make oral interpretation services available free of charge to non-English speaking Medicaid Beneficiaries. This applies to all non-English languages, not just those that the State identifies as prevalent. The PROVIDER shall not charge the CTC, CTD or Agency for Health Care Administration or the Medicaid Beneficiary for interpretation services. The PROVIDER shall notify all Medicaid Beneficiaries that oral interpretation is available for any language and written information is available in prevalent languages, and how to access those services. 2. Medicaid Beneficiary Communications a. Requirements for all Communications (1) The CTD and the AHCA must approve, in writing, all written, website and verbal communications developed by the PROVIDER for distribution/transmission to Medicaid Beneficiaries before communication. \\120-sav01\red rection$\maureen.gynewicz\My Documents\CnbW_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -20- (2) The PROVIDER shall make all written communications available in alternative formats and in a manner that takes into consideration the Medicaid Beneficiary's special needs, including those who are visually impaired or have limited reading proficiency (e.g., Braille, large print format, etc.). The PROVIDER shall notify all Medicaid Beneficiaries that information is available in alternative formats and how to access those formats. (3) The PROVIDER shall make all written communications available in English, Spanish, and all other foreign languages in a county spoken by five percent (5%) or more of the total county population. (4) The PROVIDER shall provide Medicaid Beneficiary information in accordance with 42 CFR 438.10, which addresses information requirements related to written and oral communications provided to Medicaid Beneficiaries, including: languages, format, Transportation Services, Service Area, and the Grievance System. The PROVIDER shall notify Medicaid Beneficiaries on at least an annual basis of their right to request and obtain information in accordance with the above regulations. (5) All written materials shall be at or near the fourth (4th) grade reading comprehension level. Suggested reference materials to determine whether the PROVIDER's written materials meet this requirement are: (6) The PROVIDER shall provide written notice to the CTC of any changes to any correspondences, templates for mass mailings, and/or written materials provided to Medicaid Beneficiaries. The CTC shall review and shall submit all written materials to the AHCA at least forty-five (45) Calendar Days before the effective date of the change. The PROVIDER shall provide written notice of changes to the Medicaid Beneficiary Transportation Handbook and any policy changes to Medicaid Beneficiaries at least thirty(30) Calendar Days before the effective date of the change, but not before the CTC and the AHCA approves, in writing, the PROVIDER's written notice. b. The PROVIDER shall mail any other mutually agreed upon notices at a date and time agreed to by the Agency for Health Care Administration and the CTC. C. The PROVIDER shall not mail or give any written communications to Medicaid Beneficiaries without first obtaining AHCA's written approval of the communication via the CTC. d. The CTC shall sanction the PROVIDER, in accordance with the contract, for any failure on the part of the PROVIDER to obtain the CTC's written approval before disseminating written materials to Medicaid Beneficiaries. 3. Notice of Eligibility and Medicaid Beneficiary Transportation Services Handbook a. Within seven (7) Calendar Days following the PROVIDER's determination of a Medicaid Beneficiary's eligibility to receive Transportation Services, the \\120-sav0l\redirection$\maureen.grynewicz\My Documents\Cntrets_Grnts_Liens Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 20I0.doc -21- PROVIDER shall mail each Medicaid Beneficiary a copy of its Medicaid Beneficiary Transportation Services Handbook. b. The Medicaid Beneficiary Transportation Services Handbook shall include the following information: (1) A Table of Contents; (2) The PROVIDER's toll -free Trip scheduling telephone number; (3) Information to explain the different types of coverage available and the time frames for requesting and receiving Transportation Services; (4) Directions on the use of Transportation Services offered by the PROVIDER; (5) The extent to which, and how, the PROVIDER provides non -business hour, inpatient delivery/return, Urgent Care delivery/return, and Emergency Room discharge Transportation Services; (b) An explanation of the Grievance System, including the address, telephone number, and office hours of the PROVIDER's Grievance staff and the CTC's Ombudsman. The PROVIDER shall specify phone numbers for a grievant to call to present a Complaint, Grievance, or Appeal. Each phone number shall be toll -free within the grievants geographic area and provide reasonable access to the PROVIDER and/or CTC without undue delays; (7) Medicaid Beneficiary rights and responsibilities; (8) Information on Emergency Transportation and how to access those services; - - - (9) Information on oral interpretation services for all languages and alternative communication formats are available, free of charge, and how to access these services; (10) Information that the Medicaid Beneficiary's Transportation Services can continue if the Medicaid Beneficiary files a Complaint, Grievance, or Appeal of a denied authorization and that the Medicaid Beneficiary may have to pay in case of an adverse ruling; (11) Co -payments for the Medicaid Beneficiary; (12) Instructions explaining how Medicaid Beneficiaries may obtain information from the CTC regarding the Quality Improvement Plan and Performance Measure indicators, including Medicaid Beneficiary information; (13) Procedures for reporting Fraud, Abuse, and Overpayment, (14) Information regarding HIPAA relative to the Medicaid Beneficiary's personal health information; and, (15) Information relating to the PROVIDER's Medicaid Beneficiary No Show Policy. C. The Medicaid Beneficiary Handbook must clearly specify all necessary procedural steps for filing Complaints, Grievances, Appeals, and Medicaid Fair Hearings, including: (1) Medicaid Beneficiary rights to file Complaints, Grievances, and Appeals and all requirements and time frames for filing Complaints, Grievances, and Appeals. (2) The CTC's and PROVIDER"s Grievances and Appeals Coordinator's address, toll -free telephone number and office hours. \\120-sav0l\redirection$Vnaurecn.grynewicz\My Docutnents\Cntrcts_Gmts_Licns Apps\Transportation\MedkakmOCC\BOCC Medicaid 2010.doc -22- (3) The availability of assistance to Medicaid Beneficiaries in filing Grievances, Appeals, and Medicaid Fair Hearings. (4) The rules that govern representation at the Medicaid Fair Hearing. (5) A statement explaining the Medicaid Beneficiary's right to request a continuation of Transportation Services during an Appeal and/or Medicaid Fair Hearing and a statement that if the Medicaid Fair Hearing upholds the PROVIDER's Action, the PROVIDER may hold the Medicaid Beneficiary liable for the cost of any continued Transportation Services. (6) A detailed explanation of the proper procedure for a Medicaid Beneficiary to request a continuation of Transportation Services during an Appeal and/or Medicaid Fair Hearing. B. No Show Beneficiary Education 1 If a Medicaid Beneficiary fails to provide notice of a cancellation to the PROVIDER at least twenty-four (24) hours in advance of a scheduled Trip, or the Medicaid Beneficiary is not available, or has decided he/she does not require Transportation Services, then the PROVIDER shall classify the Medicaid Beneficiary as a No Show. The PROVIDER shall provide the CTC a monthly report listing it's No Show Medicaid Beneficiaries. The No Show Medicaid Beneficiary report shall include the Medicaid Beneficiary's name, phone number, date and time scheduled for transport, and Trip destination. 2 The PROVIDER shall contact the Medicaid Beneficiaries who are identified as No Shows and counsel them on the proper usage of NET services and provide technical assistance. The PROVIDER shall track the Medicaid Beneficiaries it counseled regarding the No Show policy and keep a record of the technical assistance provided. The PROVIDER shall take no action to "lock -in" a Medicaid Beneficiary without written approval provided by the Agency for Health Care Administration's Project Manager, The CTC shall maintain a copy of the AHCA written approval in the PROVIDER's contract file. 3 If the No Show Medicaid Beneficiary provides acceptable, verifiable evidence to the PROVIDER that the No Show was due to unforeseen and unavoidable circumstances, the PROVIDER shall not count the missed Trip as a No Show, unless such evidence does not prove the Medicaid Beneficiary was unable to meet the scheduled pick-up time due to said unforeseen and unavoidable circumstances. C. Co -Payments 1 The PROVIDER may charge a co -payment from Medicaid Beneficiaries that is not greater than one dollar ($1.00) for each Trip or two dollars ($2.00) per each round Trip. The PROVIDER must explain the PROVIDER's co -payment plan as part of the PROVIDER's co -payment plan in the Medicaid Beneficiary Transportation Services Handbook. 2. The following categories of Medicaid Beneficiaries are not required to pay a copayment: a. Medicaid Beneficiaries under twenty-one (21) years of age; b. Pregnant women when the Transportation Services relate to: (1) The pregnancy; (2) To any medical condition that may complicate the pregnancy; or (3) Conditions or complications of the pregnancy extending through the end of the month in which the sixty (60) day period following termination of \\120-sav0l\redirection$\maureen.grynewicz\My Docun=ts\Cntrcts_Gmts_Licns Apps\TransportationNedicaid\BOCC\BOCC Medicaid 2010.doc -23- pregnancy ends. C. Institutional Care Program (ICP) Medicaid Beneficiaries who are required to spend all of their income for medical care costs (except for a minimal amount that is required for personal needs) as a condition of receiving services in an institution and who are inpatients in long-term care facilities, Hospitals, or other medical institutions; d. Medicaid Beneficiaries when Transportation Services relate to family planning services; and, e. Medicaid Beneficiaries who are receiving hospice services. 3. A PROVIDER cannot deny Transportation Services to a Medicaid Beneficiary based solely on the Medicaid Beneficiary's inability to pay a Medicaid co -payment. If the Medicaid Beneficiary is unable to pay for Transportation Services at the time the Transportation Provider renders Transportation Services, the PROVIDER may bill the Medicaid Beneficiary for the unpaid charge. D. Cultural Competency 1. The PROVIDER shall comply with the CTC's written Cultural Competency Plan, in accordance with 42 CFR 438.206, to ensure Transportation Services are provided in a culturally competent manner to all Medicaid Beneficiaries, including those with limited English proficiency. The Cultural Competency Plan explains that PROVIDERs and PROVIDER employees will provide effective Transportation Services to people of all cultures, races, ethnic backgrounds, and religions in a manner that recognizes, values, affirms, and respects the worth of the individual Medicaid Beneficiaries and protects and preserves the dignity of each Medicaid Beneficiary. A. Covered Services The PROVIDER shall ensure the provision of Transportation Services in sufficient amount, duration, and scope reasonably expected to achieve the purpose for which the Transportation Services are furnished and shall ensure the provision of the following Covered Services as defined and specified in this Agreement. The PROVIDER shall not arbitrarily deny or reduce the amount, duration, or scope of Transportation Services solely because of a Medicaid Beneficiary's diagnosis, type of illness, or condition. 2 The PROVIDER is responsible for ensuring that it incorporates all Transportation Provider, service, and product standards specified in the Agency's Non -Emergency Transportation Services Coverage & Limitations Handbooks and the CTC's handbooks into the PROVIDER's Transportation Provider Agreement by reference. 3 Medicaid Beneficiaries who have begun self-administered home oxygen before transport may continue administration during transport. However, a Medicaid Beneficiary cannot begin a new regimen of oxygen therapy during transport, nor may the attendant employed by the Transportation Provider administer oxygen. \t120-sav0l\redirection$\maureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -24- 4. Escort Services — An Attendant/Escort is an individual whose presence is required to assist a Medicaid Beneficiary during transport and at the place of treatment. The Attendant/Escort leaves the vehicle at its destination and remains with the Medicaid Beneficiary. An Attendant/Escort must be of an age of legal majority recognized under Florida law. a. The PROVIDER must allow, without charge to the Escort or Medicaid Beneficiary, one (1) Attendant/Escort to accompany a Medicaid Beneficiary or group of Medicaid Beneficiaries who are blind, deaf, mentally disabled, or under twenty- one (21) years of age, when the Medicaid Beneficiaries are transported to receive Medicaid compensable services. b. Upon the request of a Prescribed Pediatric Extended Care (PPEC) Center, the PROVIDER shall pick up Escorts for children attending said PPEC at a mutually agreed upon location from the Medicaid Beneficiary before picking up the Medicaid Beneficiary who is traveling to the PPEC. The PROVIDER shall not drop off the Escort until after the PROVIDER has dropped off the PPEC Medicaid Beneficiary. 5. Special Covered Services — The PROVIDER must supply Transportation for Medicaid Beneficiaries when: a. The Agency for Health Care Administration has begun a closure or decertification of a Nursing Facility and Medi"caidBeneficiaries require Transportation -from one Nursing Facility to another or to an alternate living arrangement; or, b. A Medicaid Beneficiary has a change in level of care that results in the facility not being certified or equipped to provide medically required or specialized services and the Medicaid Beneficiary requires Transportation from one Nursing Facility to another Nursing Facility or to an alternative living arrangement. 6. The PROVIDER shall provide Transportation Services for the following Covered Services: a. The PROVIDER must provide Transportation Services to eligible Medicaid Beneficiaries for Medicaid compensable services by using the most appropriate mode of Transportation, including, but not limited to, the following types: (1) Multiload Vehicles — A multiload vehicle is a multiple passenger vehicle, typically used for Transportation Services. It is appropriate only for ambulatory or non -ambulatory persons who can enter and exit a vehicle with minimal to no assistance. Assistance means that additional equipment and time are required. Multiload vehicles may include buses, vans, sedans, and taxis. (2) Wheelchair Vehicle — A wheelchair vehicle is a motorized vehicle equipped specifically with certified wheelchair lifts, or other equipment designed to carry persons in wheelchairs and scooters, or with mobility impairments. The PROVIDER may use wheelchair vehicles for the provision of ambulatory transportation services to maximize capacity. \\120-savOl Vedirecfion$\maureen.grynewicz\My Documents\CnM_Grnts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -25- (a) The PROVIDER must use wheelchair vehicles in the following NET situations: (i) Medicaid Beneficiaries who are continually confined to a wheelchair; (ii) Medicaid Beneficiaries with severe mobility handicaps that prevent them from using private or public transportation or taxis; (iii) Medicaid Beneficiaries who are semi -ambulatory or homebound, and can accomplish limited ambulatory movement with the assistance of a special ambulatory aid (like a walker or cane); or, (iv) Medicaid Beneficiaries who use a mobility device. (b) In questionable cases, the PROVIDER may contact the office of the Medicaid Beneficiary's Health Care Professional to verify the Medicaid Beneficiary's need for transport by a wheelchair vehicle. (3) Public Transportation (where available) — In some areas of Florida, public transportation may be a viable and Cost Effective alternative to more traditional and expensive forms of Non -Emergency Transportation. For purposes of this Agreement, public transportation is any fixed -route transportation service that is available to the general public. (a) Transit companies, county or city governments, or federally funded transportation authorities may provide public transportation. (b) The PROVIDER may use public transportation to provide a full Trip, or portion of a Trip, to or from a Medicaid compensable service. (c) The intent of this section is to maximize the use of fixed -route services. (4) Private Volunteer Transportation (where available) — Private volunteer transportation is provided by individuals or agencies that receive no compensation or payment other than minimal reimbursement for Mileage for the provision of private volunteer transportation services. (a) The PROVIDER shall ensure that Medicaid Beneficiaries receive Transportation Services from a volunteer organization, including, if applicable, scheduling appointments, and notifying Medicaid Beneficiaries of arrangements. (b) The PROVIDER is responsible for all necessary payments (excluding co -payments, if any) to the private volunteer Transportation Provider. (c) Use of volunteer transportation does not alleviate the PROVIDER's responsibility to assure the safety, comfort, and appropriate mode of Transportation consistent with the Medicaid Beneficiary's health care status. The PROVIDER must ensure that all volunteers and vehicles used to provide private volunteer transportation are 1t120-sav0l\redirectionSlmaureen.grynewicz\My DocumentstCntrcts_Gmts_Licns AppslTramportafion\Medicaidl30CC13OCC Medicaid 2010.doc -26- properly Licensed and insured. B. Excluded Services 1. The PROVIDER is not required to provide the following excluded services: a. Stretcher Vehicle Oxygen Administration (1) Stretcher Vehicle Transportation Providers are not required to be equipped to maintain a ventilator or care for a Medicaid Beneficiary who is ventilator -dependent during a transport. b. Ground Ambulance Transportation (1) The PROVIDER is excluded from providing ground ambulance transportation if a local governmental ordinance mandates non -emergency stretcher transportation services be provided in a ground ambulance vehicle. C. Air Ambulance Transportation d. Basic Life Support (BLS) and Advance Life Support (ALS) Transportation C. Special Exclusions 1. The PROVIDER is not responsible for the coverage of: a. The cost of transporting a Medicaid Beneficiary back to Florida when the Medicaid Beneficiary voluntarily traveled outside of Florida and requires hospitalization and/or subsequent Nursing_ Facility cage, unless a Medicaid Beneficiary received prior authorization to travel out of State for the purpose of receiving a Medicaid compensable service; b. Transportation for therapeutic home visits to or from a Hospital, hospice, nursing home, ICF/DD, State, or other private or public institution; C. Transportation of a Medicaid Beneficiary from one Hospital to another, one Nursing Facility to another, or from a Hospital to a Nursing Facility, solely based on the preference of the Medicaid Beneficiary or a member of the Medicaid Beneficiary's family, except as otherwise set forth in this Agreement; d. Transportation of deceased Medicaid .Beneficiaries; e. Transportation of family members to visit a hospitalized or institutionalized Medicaid Beneficiary; f. Transportation of a Medicaid Beneficiary to receive medical training; g. Transportation of Medicaid Beneficiaries to a pharmacy for the purpose of having a prescription filled; h. Transportation of a Medicaid Beneficiary to a medical facility or physician's office for the sole purpose of obtaining a medical recommendation or to pick up Medical Records, i. Transportation of a Medicaid Beneficiary for socialization and/or therapeutic field visits to locations other than the facility where such services are received; j. Transportation Services available to the general public free of charge; k. Transportation Services that are already covered by a per diem rate and included in a corresponding cost report. Transportation Services are included in an ICF/DD's per diem; I. Unless otherwise provided by State or federal law, the Recipient shall not pay salaries, fees, or other compensation for professional health care Attendants/Escorts; \1120-sav0llredirection$\ntaureen.grynewicztMy Documcnts\Cntrcts_Gmts_Licns AppstTrwzportation\MedicaidV3OCC1BOCC Medicaid 2010.doc -27- M. Transportation of a Medicaid Beneficiary to a service covered by a Home and Community -Based Service (HCBS) waiver if transportation can be billed to the waiver or is included in the reimbursement for the waiver service; or n. Transportation Services to or from an Adult Day Care center. V. TRANSPORTATION PROVIDER NETWORK A. General Provisions 1. The CTC shall maintain a Subcontractor List for each county in which it provides services. The list shall include, at a minimum, the following information for each Subcontractor: a. Name; b. Mailing address (including street number, city, state, and zip code); C. Main contact's name; d. Main contact's telephone number; e. Main customer service telephone number; f. Main fax telephone number; and, g. E-mail address. B. PROVIDERS/Subcontractors 1. Service Standards a. The following standards are for all vehicles and drivers, excluding volunteer - owned vehicles: (1) Drug and Alcohol Testing — The PROVIDER and/or Transportation Providers shall in compliance with the Federal Transit Administration's (FTA) drug and alcohol regulations, and the Federal Highway Administration's drug and alcohol regulations, where applicable. (2) The FTA determines mandatory transportation safety standards based on the size and nature of the Transportation Provider. The PROVIDER can obtain full details of the Fl`A's safety standards from the Federal Transit Administration, Office of Safety and Security, 400 7th Street, S.W., Washington D.C., 20590. While the CTD strongly recommends using the Fi'A's guidelines, it is the CTC's responsibility to ensure that it and any transportation providers are in compliance with all applicable federal, State, and local regulations. (3) Driver Accountability — The PROVIDER shall ensure that all drivers have a valid driver's license and are covered by the CTC's, or Transportation Provider's insurance plan, as required by law, before starting to provide Transportation Services. The PROVIDER shall ensure that all drivers meet the locally determined driver background screening standard before providing Transportation Services to Medicaid Beneficiaries. The PROVIDER must have ready access_ to all documentation of the above listed requirements. \\120-sav01\rcdirectionS\maureen.gWnevAcz\My Documents\Cntrcts_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -28- (a) If a particular driver is not properly licensed or insured, the PROVIDER shall remove the driver from all routes transporting Medicaid Beneficiaries. (4) Driver Conduct — The PROVIDER shall ensure that drivers act in a professional manner at all times and shall perform the minimum levels of service as explained in all Subcontracts. (a) If the CTC and/or PROVIDER receive Complaints and/or Grievances regarding a particular driver, and it is determined that the driver is not conducting himself/herself in a manner consistent with the minimum levels of service, and corrective action has not resulted in improved performance, the PROVIDER shall remove the driver from all routes transporting Medicaid Beneficiaries. (5) The PROVIDER shall use child safety restraints, if applicable, where the use of such devices would not interfere with the safety of a child (e.g., a child is in a wheelchair). (6) Where applicable, shall follow the rules and regulations of the Americans with Disabilities Act. 2. Standards for Commercial and Volunteer Drivers: a. Drivers and/or attendants sh l_ a 1 not engage in activities including, but not limited to, the following: (1) Make sexually explicit comments towards, solicit"sexual favors from, or engage in sexual activity with Medicaid beneficiaries; (2) Solicit or accept controlled substances, alcohol, or medications from Medicaid beneficiaries; (3) Solicit or accept money from Medicaid Beneficiaries other than authorized co -payments; (4) Use alcohol, narcotics, or controlled substances, or be under their influence, while on duty. A driver/attendant may use prescription medication so long as he/she can still perform his/her duties in a safe manner and the PROVIDER has written documentation that the driver`s/attendant's medication will not impact his/her ability; (5) Eat or consume any beverage while operating the vehicle or while providing Transportation Services to Medicaid Beneficiaries; {6) Smoke or use smokeless tobacco products in the vehicle; (7) Wear any type of headphones while on duty; and/or, (8) Be responsible for passenger's personal items. \1120-sav0l\redircction$tmaureen.grynewicz\My Documents\Cntrcts_Gmts_Licns AppstTransportationlMedicaid\BOCCIHOCC Medicaid 2010.doc -29- b. At a minimum, drivers/attendants shall: (1) Wear, or have visible, easy to read identification that identifies the driver/attendant as an employee of the PROVIDER; (2) Unless the vehicle has a mechanism by which it can open and close the door from the inside of the vehicle, exit the vehicle to open and close vehicle doors when passengers enter or exit the vehicle; (3) Properly identify and announce their presence at the entrance of the buildings, or with attending facility staff, at the specified pick-up location if a curbside pick-up is not appropriate; (4) Assist Medicaid beneficiaries in seating, including the fastening of the seat belt when necessitated by a Medicaid Beneficiary's condition; (5) Confirm, prior to allowing any vehicle to proceed, that wheelchairs and wheelchair passengers are properly secured; and that, when appropriate, passengers are properly secured in their seat belts; (6) Provide an appropriate level of assistance to Medicaid Beneficiaries when requested or as needed due to a Medicaid Beneficiary's condition. Such assistance shall also apply to the movement of wheelchairs and persons with limited mobility as they enter or exit the vehicle using the wheelchair lift and shall include the driver stowing any mobility aids and folding wheelchairs; and, (7) Be clean and maintain an appearance while transporting Medicaid Beneficiaries. 3. Vehicle Requirements a. Maintenance — The PROVIDER shall maintain vehicles and equipment to meet the requirements of the Agreement, (1) Vehicles and all components shall meet or exceed the manufacturer, state, and federal safety and mechanical operating and maintenance standards for any and all vehicles and models used for transportation of Medicaid Beneficiaries under the terms of the Contract. (2) The PROVIDER shall comply with all applicable state and federal laws including, but not limited to, the Americans with Disabilities Act (ADA) and the Federal Transit Administration (FTA) regulations. (3) The PROVIDER shall immediately remove from service any vehicle that does not meet or exceed the Florida Department of Highway Safety and Motor Vehicles (DHSMV) licensing requirements, safety standards, ADA regulations, or Agreement requirements and shall re -inspect such vehicle before using it to provide Transportation Services to Medicaid \\120-sav01\redirection$\maureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\Transportation\MedicaidtBOCC\$oCC Medicaid 2010.doc -30- beneficiaries. (4) The PROVIDER shall not allow vehicles to transport more passengers than the vehicle was designed to carry. (5) All lift -equipped vehicles shall comply with ADA regulations. 4. Vehicle Inspections a. The PROVIDER shall submit annual documentation certifying that all vehicles meet the regulatory requirements. If it is determined during an inspection, filed Complaint and/or Grievance, or other means, that a vehicle does not meet the regulatory requirements, the PROVIDER or Transportation Provider, as applicable, must immediately remove the vehicle from service. The PROVIDER must provide documentation to the CTC ensuring that the manufacturer or a mechanic, certified by the National Institute for Automotive Service Excellence (ASE), has corrected all deficiencies before the PROVIDER or Transportation Provider can use the vehicle to transport Medicaid Beneficiaries. b. All commercial vehicles shall meet or exceed the following requirements; (1) All commercial Transportation Providers shall use a two-way communication system linking all vehicles used in delivering Transportation Services to -Medicaid -Beneficiaries with the Transportation Provider's major place of business (dispatcher). (2) The Transportation Provider shall use the two-way communication system in such a manner as to facilitate communication and to minimize the time in which it can replace or repair out -of -service vehicles. (3) Pagers are not an acceptable substitute for a two-way communication system. Transportation Providers shall immediately remove from service any vehicle with an inoperative two-way communication system until it repairs or replaces the two-way communication system. (4) The PROVIDER shall ensure that; (a) All vehicles are equipped with climate control systems adequate for the heating and ventilation needs of both driver and passengers. The PROVIDER shall remove from service immediately any vehicle with a non-functioning climate control system until it repairs or replaces the system; (b) All vehicles have functioning, clean, and accessible seat belts, where applicable, for each passenger seat position and that the seat belts are stored off the floor when not in use; (c) Each vehicle utilizes child safety seats, where applicable, that meet all State and federal guidelines. Each PROVIDER must show proof that it has trained its drivers in the proper installation and \\120-sav0l\redirection$\maureen.gr3,newicz\My Documents\Cntrcts_Gmts Lions Apps\Transportation\tvledicaid\BOCCMOCC Medicaid 2010.doc -31- use of child safety seats; (d) All vehicles shall have functional door handles on all doors; (e) All vehicles shall have an accurate speedometer and odometer, (f) All vehicles shall have functioning interior light(s) within the passenger compartment; (g) All vehicles shall have adequate sidewall padding and ceiling covering; (h) All vehicles shall have two (2) exterior rear view mirrors, one (1) on each side of the vehicle; (i) All vehicles shall have at least one (1) interior mirror for monitoring the passenger compartment; (j) All vehicle interiors and exteriors are clean and free of broken mirrors or windows, excessive grime, rust, chipped paint, or major dents that detract from the overall appearance of the vehicle; (k) All vehicles have passenger compartments that are clean, free from torn upholstery or floor coverings, damaged or broken seats, . or protruding sharp edges and shall also be free of dirt, oil, grease, or litter. C. Minimum Standards Access for Persons with Disabilities —All transportation facilities open to the public have access for persons with disabilities. 2 Health, Cleanliness, and Safety AII transportation facilities (or services) owned, operator and/or provided by the PROVIDER shall adequate space, supplies, proper sanitation, and smoke -free transportation facilities with proper fire and safety procedures in operation, D. Coverage Provisions 1. Transportation Services shall be available on a tamely basis, as follows: a. Routine Trips (1) Unless as otherwise set forth in this Contract, a Medicaid Beneficiary must contact the PROVIDER before the close of business at least three (3) Business Days before the Medicaid Beneficiary needs to receive Transportation Services. The three (3) Business Days includes the day the Medicaid Beneficiary calls the PROVIDERS, but not the day of the Medicaid Beneficiary's medical appointment. b. Nursing Home and Behavioral Health Facility Transportation Services \\120-savOI Vedirection$\maween.grynewicz\My Documents\Cntrcts Gmts_Licns Apps\Tramportation\McdicaidU)OCMOCC Medicaid 201 O.doc -32- (1) The PROVIDER shall provide the appropriate level of Transportation Services to Medicaid compensable services for Medicaid Beneficiaries who are residents of nursing facilities, group homes, behavioral health facilities, or assisted living facilities. (2). If the Medicaid Beneficiary's facility provides free Transportation Services for its residents to receive medical services, the facility must provide the same. Transportation Services at no charge to Medicaid Beneficiaries who reside at the facility. If the Medicaid Beneficiary's facility provides free Transportation Services for its residents to receive medical services, the PROVIDER is not required to supply Transportation Services to the Medicaid Beneficiary. (3) The PROVIDER shall provide Medicaid Beneficiaries who are residents of nursing facilities, group homes, behavioral health facilities, or assisted living facilities Transportation Services that are appropriate to the needs and condition of the Medicaid Beneficiary. The PROVIDER shall coordinate pick-up and return times for Medicaid Beneficiaries, especially those who have physical conditions or limitations that may be exacerbated by lengthy waiting periods, as verified by the facility. 2 The PROVIDER shall have written procedures in place for the provision of transportation services during inclement weather conditions and/or declared emergencies as determined by State, federal, or local officials. a. Service Area (1) Transportation Services under this contract will be provided within Monroe County and shall be provided to all eligible Medicaid Beneficiaries regardless of their county of residence. E. Medicaid Beneficiaries Needing Transportation Following Exercise of Baker Act 1 Transportation Services shall not be provided to transport a Medicaid Beneficiary from a Hospital/facility to a Behavioral Health Care facility if the Medicaid Beneficiary is receiving services pursuant to the Baker Act. A. Quality Improvement The CTC shall have a Quality Improvement Program to monitor and evaluate the quality and appropriateness of Transportation Services rendered to Medicaid Beneficiaries. 1. General Requirements a. PROVIDER will attend annual "best practices" seminars to learn how best to coordinate Transportation Services and meet the needs of this Agreement. \\120-sav0l\redirection$\maureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -33- b. The PROVIDER shall participate in Quality Improvement activities by the CTC to enhance the Quality of Transportation Services provided to Medicaid Beneficiaries. B. Performance Measures In order to develop appropriate benchmarks, the PROVIDER shall report the following performance measures by the start date established in the chart below: 2. For the Performance Measures that must begin reporting via Encounter Data on January 1, 2010, the CTC shall collect a sample of the data manually, as described below, from those PROVIDERs that are not able to submit the information electronically upon the date of commencement of Encounter Data submission. a. Upon the start date of this Contract, the PROVIDER shall require all drivers to record Performance Measure information on all driver manifests. b. Upon the start date of this Contract, PROVIDERs shall monitor the driver manifests on a monthly basis by examining a statistically significant sample of driver manifests to determine the timeliness of reporting. The PROVIDERs shall submit their on -time pickup and delivery report either directly to the CTC using the Medicaid Encounter Data System (MEDS System).The PROVIDER shall submit the on time pickup and delivery reports using the MEDS System by January 1, 2010. C. Until the PROVIDER begins submitting Performance Measure information via the MEDS System, PROVIDERs shall submit all Performance Measure information to the CTC for review to be submitted to the AHCA. (1) If it is determined that a PROVIDER is excessively late in picking up and/or delivering Medicaid Beneficiaries to their destinations, the CTC or the AHCA shall require the PROVIDER to initiate a Corrective Action Plan (CAP) to explain how the PROVIDER will pick up and/or deliver Medicaid Beneficiaries in a timely manner. (2) If the PROVIDER is unable to meet the requirements set forth in the CAP to pick up or deliver Medicaid Beneficiaries on time, the CTC shall require the PROVIDER to begin electronic submission of Performance Measure information using the Encounter Data System, within sixty (60) Calendar Days of the determination or by January 1, 2010, whichever comes first. (2) Those PROVIDERS are to submit the Performance Measure information upon the start date of this contract shall not be required to submit sampling reports as described above. 1\120-sav0l\redirection$\maureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -34- Start Date PM Description Source Methodology (Where Applicable) Start Date of Agreement The number of accidents per Subcontractor Logs N/A 100,000 miles, broken down by county. Start Date of Agreement The number of Road Calls per Subcontractor Logs N/A 10,000 miles, broken down by county. Start Date of Agreement Average Medicaid Beneficiary call Recipient N/A hold times on a county by county Survey/Monitoring basis and as measured throughout I j the year and at different times of the day. Starts upon Commencement The number of Medicaid Encounter Data Found by Subtracting of Submission of Encounter Beneficiaries delivered to "Reservation Appointment Data appointments later than the Time" by "Trip scheduled appointment time, Destination Drop Off broken down by county. Time" Starts upon Commencement The number of Medicaid Encounter Data Found by Counting Each of Submission of Encounter Beneficiary No Shows, broken "No Show" in the "Trip Data down by county. Indicator" Field 01/01/2010 The average waiting time for a Encounter Data Found by Subtracting scheduled pickup, broken down "Trip Actual Pickup Time" by county. by "Reservation Pick Up Time" 01/01/2010 The average travel time that a Encounter Data Found by Subtracting Medicaid Beneficiary must "Trip Actual Pickup Time" remain in a vehicle from the by "Trip Destination Drop point of pick up to the Off Time" destination, broken down by transportation mode and county. VII. GPJEVANCE SYSTEM A. Overview 1. Description a. Complaint process — The Complaint process is the CTC's and the PROVIDER's procedure for addressing Medicaid Beneficiary Complaints, which are expressions of dissatisfaction about any matter other than an Action that are resolved at the Point of Contact rather than through filing a formal Grievance. b. Grievance process — The Grievance process is the CTC's and the PROVIDER's procedure for addressing Medicaid Beneficiary Grievances, which are expressions of dissatisfaction about any matter other than an Action. \1120-sav0l\redirection$lmaureen.grynewicz\My DocumentACntrcts_Gmts_Licns Apps\Transportation\Medicaid\BOCCIBOCC Medicaid 2010.doc -35- C. Appeal process — The Appeal process is the CTC's and the PROVIDER's procedure for addressing Medicaid Beneficiary Appeals, which are requests for review of an Action. d. Medicaid Fair Hearing process — The Medicaid Fair Hearing process is the administrative process which allows a Medicaid Beneficiary to request the State to reconsider an adverse decision made by the CTC or the PROVIDER. 2. General Requirements a. The CTC and the PROVIDER shall have a Grievance System in place that includes a Complaint process, a Grievance process, an Appeal process, and access to the Medicaid Fair Hearing system. The Grievance System shall comply with the requirements set forth in Section 641.511, F.S., if applicable and with all applicable federal and State laws and regulations, including 42 CFR 431.200 and 42 CFR 438, Subpart F, "Grievance System." b. The PROVIDER must develop and maintain written policies and procedures relating to the Grievance System. Before implementation, the CTC must give the PROVIDER written approval of the PROVIDER's Grievance System policies and procedures C. The PROVIDER shall refer all Medicaid Beneficiaries who are dissatisfied with the PROVIDER or its Actions to the PROVIDER's Grievance/Appeal Coordinator for processing and documentation in accordance with this Contract and established policies and procedures. d. The PROVIDER shall provide reasonable assistance to Medicaid Beneficiaries in completing forms and other procedural steps, including, but not limited to, providing interpreter services and toll -free numbers with TTY/TDD and interpreter capability. e. The PROVIDER shall acknowledge, in writing, the receipt of a Grievance or a request for an Appeal, unless the Medicaid Beneficiary requests an expedited resolution f. The PROVIDER shall not allow any of the decision makers on a Grievance or Appeal were involved in any of the previous levels of review or decision -making when deciding any of the following; (1) An Appeal of a denial that is based on lack of Medical Necessity; and, (2) A Grievance regarding the denial of an expedited resolution of an Appeal. g. The Medicaid Beneficiary, and/or the Medicaid Beneficiary's representative, shall be allowed an opportunity to examine the Medicaid Beneficiary's case file before and during the Grievance or Appeal process, including all Medical Records and any other documents and records h. The Medicaid Beneficiary and/or the Medicaid Beneficiary's representative or the representative of a deceased Medicaid Beneficiary's estate shall be considered as !\120-sav0l\redittction$\rnaureen.grynewiczXMy DocumentslCntrcfs_Gmts_Licns AppstTransportation\Medicaid1110CC\BOCC Medicaid 2010.doc -36- parties to the Grievance/Appeal. The PROVIDER shall maintain, monitor, and review a record/log of all Complaints, Grievances, and Appeals in accordance with the terms of this Contract and to fulfill the reporting requirements as set forth in this Contract. j. The PROVIDER shall work with the CTC to resolve all grievance related issues. k. Notice of Action (1) The PROVIDER shall notify the Medicaid Beneficiary, in writing, using language at, or below the fourth (4th) grade reading level, of any Action taken by the PROVIDER to deny a Transportation Service request, or limit Transportation Services in an amount, duration, or scope that is less than requested. (2) The PROVIDER shall provide notice to the Medicaid Beneficiary as set forth below (see 42 CFR 438.404(a) and (c) and 42 CFR 438.210(b) and (c)) : (a) The Action the Recipient has taken or intends to take; (b) The reasons for the Action, customized for the circumstances of the Medicaid Beneficiary; (c) The Medicaid Beneficiary's or the Health Care Professional's (with written permission of the Medicaid Beneficiary) right to file an Appeal; (d) The procedures for filing an Appeal; (e) The circumstances under which expedited resolution is available and how to request it; and, (f) The Medicaid Beneficiary's rights to request that Transportation Services continue pending the resolution of the Appeal, how to request the continuation of Transportation Services, and the circumstances under which the Medicaid Beneficiary may be required to pay the costs of these services. (3) The PROVIDER must provide the notice of Action within the following time frames (a) At least ten (10) Calendar Days before the date of the Action or fifteen (15) Calendar Days if the notice is sent by Surface Mail (five [5] Calendar Days if the Recipient suspects Fraud on the part of the Medicaid Beneficiary). See 42 CFR 431.211, 42 CFR 431.213 and 42 CFR 431.214. (b) For denial of the Trip request, at the time of any Action affecting \\120-sav011redirection$\maureen.grynewicz\My Documents\Cntrcts_Gmts Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -37- the Trip request. (c) For standard Service Authorization decisions that deny or limit Transportation Services, as quickly as the Medicaid Beneficiary's health condition requires, but no later than fourteen (14) Calendar Days following receipt of the request for service (see 42 CFR 438.210(d)(1)). (d) If the PROVIDER extends the time frame for notification, it must: (i) Give the Medicaid Beneficiary written notice of the reason for the extension and inform the Medicaid Beneficiary of the right to file a Grievance if the Medicaid Beneficiary disagrees with the Recipient's decision to extend the time frame; and, (ii) Carry out its determination as quickly as the Medicaid Beneficiary's health condition requires, but in no case later than the date upon which the fourteen (14) Calendar Day extension period expires (see 42 CFR 438.210(d)(1)). (e) If the PROVIDER fails to reach a decision within the time frames described above, the Medicaid Beneficiary can consider such failure on the part of the PROVIDER a denial and, therefore, an Action adverse to the Medicaid Beneficiary (See 42 CFR 438210(d)). (f) For expedited Service Authorization decisions, within three (3) Business Days (with the possibility of a fourteen (14) Calendar Day extension). See 42 CFR 438.210(d)(2). B. The Complaint Process 1 A Medicaid Beneficiary may file a Complaint, or a representative of the Medicaid Beneficiary, acting on behalf of the Medicaid Beneficiary and with the Medicaid Beneficiary's written consent, may file a Complaint. 2. General Duties a. The PROVIDER must: (1) Resolve each Complaint within fifteen (15) Business Days from the day the PROVIDER received the initial Complaint, be it oral or in writing; (a) The PROVIDER may extend the Complaint resolution time frame by up to ten (10) Business Days if the Medicaid Beneficiary requests an extension, or documents that there is a need for additional information and that the delay is in the Medicaid Beneficiary's best interest. (b) If the PROVIDER requests the extension, they must give the Medicaid Beneficiary written notice of the reason for the delay. \\120-savOlVedirection$\maureen.grynewicz\My Bocuments\Cntrcts_Gmts_Liens Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doe -38- (2) Notify the Medicaid Beneficiary, in writing, within five (5) Business Days of the resolution of the Complaint if the Medicaid Beneficiary is not satisfied with the PROVIDER's resolution. The notice of disposition shall include the results and date of the resolution of the Complaint, and shall include: (a) A notice of the right to request a Grievance or Appeal, whichever is the most appropriate to the nature of the objection; and, (b) Information necessary to allow the Medicaid Beneficiary to request a Medicaid Fair Hearing, if appropriate, including the contact information necessary to pursue a Medicaid Fair Hearing (see Medicaid Fair Hearing System Section). (3) Provide the CTC with a report detailing the total number of Complaints received, pursuant to Reporting Requirements of this contract; and, (4) The PROVIDER shall not take any punitive action against a physician or other Health Care Provider who files a Complaint on behalf of a Medicaid Beneficiary, or supports a Medicaid Beneficiary's Complaint. b. Filing Requirements (1) The Medicaid Beneficiary or a representative of the Medicaid Beneficiary, acting on behalf of the Medicaid Beneficiary and with the Medicaid Beneficiary's written consent must file a Complaint within fifteen (15) Calendar Days after the date of occurrence that initiated the Complaint. (2) The Medicaid Beneficiary or his/her representative may file a Complaint either orally or in writing. The Medicaid Beneficiary or his/her representative may follow up an oral request with a written request, however the timeframe for resolution Begins the date the PROVIDER receives the oral request. C. The Grievance Process 1 A Medicaid Beneficiary may file a Grievance, or a representative of the Medicaid Beneficiary, acting on behalf of the Medicaid Beneficiary and with the Medicaid Beneficiary's written consent, may file a Grievance. 2. General Duties a. The PROVIDER must: (1) Resolve each Grievance within ninety (90) Calendar Days from the day the PROVIDER received the initial Grievance request, be it oral or in writing; (2) Notify the Medicaid Beneficiary, in writing, within thirty (30) Calendar Days of the resolution of the Grievance. The notice of disposition shall include the results and date of the resolution of the Grievance, and for decisions not wholly in the Medicaid Beneficiary's favor, the notice of \\120-sav011rcdirectionS\maureen.grynewicz\My Documents\Cntrcts_Gmts_Licns APes\Transportarion\Medicaid\BOCC\BOCC Medicaid 2010.doc -39- disposition shall include: (a) Notice of the right to request a Medicaid Fair Hearing, if applicable; and, (b) Information necessary to allow the Medicaid Beneficiary to request a Medicaid Fair Hearing, including the contact information necessary to pursue a Medicaid Fair Hearing (see Medicaid Fair Hearing System Section, below); (3) Provide the CTC with a copy of the written notice of disposition upon request; (4) The PROVIDER shall not take any punitive action against a physician or other health care provider who files a Grievance on behalf of a Medicaid Beneficiary, or supports a Medicaid Beneficiary's Grievance; and, (5) Provide the CTC with a report detailing the total number of Grievances received, pursuant to the Reporting Requirements Section of this Contract. b. The PROVIDER may extend the Grievance resolution time frame by up to fourteen (14) Calendar Days if the Medicaid Beneficiary requests an extension, or the PROVIDER documents that there is a need for additional information and that the delay is -'in the Medicaid Beneficiary's best interest.- (1) If the PROVIDER requests the extension, the PROVIDER must give the Medicaid Beneficiary written notice of the reason for the delay. C. Filing Requirements (1) The Medicaid Beneficiary or provider must file a Grievance within one (1) year after the date of occurrence that initiated the Grievance. (2) The Medicaid Beneficiary or provider may file a Grievance either orally or in writing. The Medicaid Beneficiary may follow up an oral request with a written request, however the timeframe for resolution begins the date the PROVIDER receives the oral request. D. The Appeal Process A Medicaid Beneficiary may file an Appeal, or a representative of the Medicaid Beneficiary, acting on behalf of the Medicaid Beneficiary and with the Medicaid Beneficiary's written consent, may file an Appeal. 2 General Duties a. The PROVIDER shall: (1) Confirm in writing all oral inquiries seeking an Appeal, unless the 11120-sav0ltredirectionS'vnaureen.grynewicztMy DocumentstCntrcts_Grnts_Licns Apes\Transportation\MedicaidBOCCIBOCC Medicaid 2010.doc -40- Medicaid Beneficiary or provider requests an expedited resolution; (2) If the resolution is in favor of the Medicaid Beneficiary, provide the services as quickly as the Medicaid Beneficiary's health condition requires; (3) Provide the Medicaid. Beneficiary or provider with a reasonable opportunity to present evidence and allegations of fact or law, in person and/or in writing; (4) Allow the Medicaid Beneficiary, and/or the Medicaid Beneficiary's representative, an opportunity, before and during the Appeal process, to examine the Medicaid Beneficiary's case file, including all documents and records; (5) Consider the Medicaid Beneficiary, the Medicaid Beneficiary's representative or the representative of a deceased Medicaid Beneficiary's estate as parties to the Appeal; (b) Continue the Medicaid Beneficiary's Transportation Services if: (a) The Medicaid Beneficiary files the Appeal in a timely manner, meaning on or before the later of the following: (i) Within ten (10) Business Days of the date on the notice of Action (_add five [5] Business Days if the notice is sent via Surface" -'Mail); or, (ii) The intended effective date of the PROVIDER's proposed Action. (b) The Appeal involves the termination, suspension, or reduction of a previously authorized Transportation service; (c) The Transportation was for a Medicaid compensable service ordered; (d) The authorization period has not expired; and/or, (e) The Medicaid Beneficiary requests extension of Transportation Services. (7) Provide written notice of the resolution of the Appeal, including the results and date of the resolution within two (2) Business Days after the resolution. For decisions not wholly in the Medicaid Beneficiary's favor, the notice of resolution shall include. (a) Notice of the right to request a Medicaid Fair Hearing; (b) Information about how to request a Medicaid Fair Hearing, including the DCF address necessary for pursuing a Medicaid Fair Hearing, as set forth in Medicaid Fair Hearing System Section, below; (c) Notice of the right to continue to receive Transportation Services pending a Medicaid Fair Hearing; \\120-sav0l\redirection$lmaureen.grynewicz\My DocumentsXCntrcts_Gmts_Licns Apps\Transportation\MedicaidBOCCIBOCC Medicaid 2010.doc -41- (d) Information about how to request the continuation of Transportation Services; and (e) Notice that if the PROVIDER's Action is upheld in a Medicaid Fair Hearing, the Medicaid Beneficiary may be liable for the cost of any continued Transportation Services. (8) Provide the CTC with a copy of the written notice of disposition upon request, (9) Transportation Providers shall not take any punitive action against a physician or other health care provider who files an Appeal on behalf of a Medicaid Beneficiary or supports a Medicaid Beneficiary's Appeal; and, (10) Provide the CTC with a report detailing the total number of Appeals received, pursuant to Reporting Requirements of this Contract. b. The PROVIDER shall continue or reinstate the Medicaid Beneficiary's Transportation Services while the Appeal is pending, the PROVIDER must continue providing the Transportation Services until one (1) of the following occurs: (1) The Medicaid Beneficiary withdraws the Appeal; (2) Ten (10) Business Days pass from the date of the PROVIDER's notice of resolution of the Appeal if the resolution is adverse_ to the Medicaid Beneficiary and if the Medicaid Beneficiary has not requested a Medicaid Fair Hearing with continuation of Transportation Services until a Medicaid Fair Hearing decision is reached; (3) The Medicaid Fair Hearing panel's decision is adverse to the Medicaid Beneficiary; or, (4) The authorization to provide services expires, or the Medicaid Beneficiary meets the authorized service limits. C. If the final resolution of the Appeal is adverse to the Medicaid Beneficiary, the PROVIDER may recover the costs of the services furnished from the Medicaid Beneficiary while the Appeal was pending, to the extent that the PROVIDER furnished the services solely because of the requirements of this Section. d. If the PROVIDER did not furnish services while the Appeal was pending and the Appeal panel reverses the PROVIDER's decision to deny, limit or delay services, the PROVIDER must authorize or provide the disputed services promptly and as quickly as the Medicaid Beneficiary's health condition requires. e. If the PROVIDER furnished services while the Appeal was pending and the Appeal panel reverses the PROVIDER's decision to deny, limit or delay services, the PROVIDER must pay for disputed services in accordance with State policy and regulations. 3. Filing Requirements a. The Medicaid Beneficiary or his/her representative must file an Appeal within \\120-sav0l\redirection$lmaureen.grynewicz\My Documents\Cntrets_Gmts_Licns Apps\Transportation\MedicaidWOCCU30CC Medicaid 2010.doc -42- thirty (30) Calendar Days of receipt of the notice of the PROVIDER's Action. b. The Medicaid Beneficiary may file an Appeal either orally or in writing. If the filing is oral, the Medicaid Beneficiary must also.file a written, signed Appeal within thirty (30) Calendar Days of the oral filing. The PROVIDER shall notify the requesting party that it must file the written request within ten (10) Business Days after receipt of the oral request. For oral filings, time frames for resolution of the Appeal begin on the date the PROVIDER receives the oral filing. C. The PROVIDER shall resolve each Appeal within State -established time frames not to exceed forty-five (45) Calendar Days from the day the PROVIDER received the initial Appeal request, whether oral or in writing. d. If the resolution is in favor of the Medicaid Beneficiary, the PROVIDER shall provide the services as quickly as the Medicaid Beneficiary's health condition requires. e. The PROVIDER may extend the resolution time frames by up to fourteen (14) Calendar Days if the Medicaid Beneficiary requests an extension, or the PROVIDER documents that there is a need for additional information and that the delay is in the Medicaid Beneficiary's best interest. (1) If the PROVIDER requests the extension, the PROVIDER must give the Medicaid Beneficiary written notice of the reason for the delay. (2) The PROVIDER must provide written notice of the extension to the Medicaid Beneficiary within five (5) Business Days of determining the need for an extension. 4. Expedited Process a. The PROVIDER shall establish and maintain an expedited review process for Appeals when the PROVIDER determines, the Medicaid Beneficiary requests or the provider indicates (in making the request on the Medicaid Beneficiary's behalf or supporting the Medicaid Beneficiary's request) that taking the time for a standard resolution could seriously jeopardize the Medicaid Beneficiary's life, health or ability to attain, maintain or regain maximum function. b. The Medicaid Beneficiary may file an expedited Appeal either orally or in writing. No additional written follow-up on the part of the Medicaid Beneficiary is required for an oral request for an expedited Appeal. C. The PROVIDER must: (1) Inform the Medicaid Beneficiary of the limited time available for the Medicaid Beneficiary to present evidence and allegations of fact or law, in person and in writing; (2) Resolve each expedited Appeal and provide notice to the Medicaid Beneficiary, as quickly as the Medicaid Beneficiary's health condition requires, within State established time frames not to exceed seventy-two (72) hours after the Recipient/Subcontractor receives the Appeal request, whether the Appeal was made orally or in writing; \\120-sav01\redirectiord\maareen.grynewicz\My DocumentsTntm Gents Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doe -43- (3) Provide written notice of the resolution in accordance with the Appeal Process Section, of the expedited Appeal to the Medicaid Beneficiary; (4) Make reasonable efforts to provide oral notice of disposition to the Medicaid Beneficiary immediately after the Appeal panel renders a decision; and, (5) The PROVIDER shall take any punitive action against a physician or other health care provider who requests an expedited resolution on the Medicaid Beneficiary's behalf or supports a Medicaid Beneficiary's request for expedited resolution of an Appeal If the PROVIDER denies a request for an expedited resolution of an Appeal, the PROVIDER must: (1) Transfer the Appeal to the standard time frame of no longer than forty- five (45) Calendar Days from the day the Recipient/Subcontractor received the request for Appeal (with a possible fourteen [14] day extension); (2) Make all reasonable efforts to provide immediate oral notification of the Recipient's/Subcontractor's denial for expedited resolution of the Appeal; (3) Provide written notice of the denial of the expedited Appeal within two (2) Calendar Days; and, (4) Fulfill all requirements set forth in the Appeal Process Section above. E. Medicaid Fair Hearing System As set forth in Rule 65-2.042, FAC, the Recipient's/Subcontractor's Grievance Procedure and Appeal and Grievance processes shall state that the Medicaid Beneficiary has the right to request a Medicaid Fair Hearing, in addition to, and at the same time as, pursuing resolution through the Recipient's/Subcontractor's Grievance and Appeal processes. a. A physician or other health care provider must have a Medicaid Beneficiary's written consent before requesting a Medicaid Fair Hearing on behalf of a Medicaid Beneficiary. b. The parties to a Medicaid Fair Hearing include the PROVIDER, as well as the Medicaid Beneficiary, his/her representative or the representative of a deceased Medicaid Beneficiary's estate. 2. Filing Requirements a. The Medicaid Beneficiary may request a Medicaid Fair Hearing within ninety (90) days of the date of the notice of the PROVIDER's resolution of the Medicaid Beneficiary's Grievance/Appeal by contacting DCF at: The Office of Appeal Hearings1317 Winewood Boulevard, Building 5, Room 203 Tallahassee, Florida 32399-0700 3. General Duties a. The PROVIDER must: \\120-sav0l\redirection$\maureen.grynewicz\My DocumenMCntrcts_Gmts_Licns Rpps\Transportation\Medicaid\BOCCtBOCC Medicaid 2010.doc -44- (1) Continue the Medicaid Beneficiary's Transportation Services while the Medicaid Fair Hearing is pending if: (a) The Medicaid Beneficiary filed for the Medicaid Fair Hearing in a timely manner, meaning on or before the later of the following: (i) Within ten (10) Business Days of the date on the notice of Action (add five [5] Business Days if the notice is sent via_ Surface Mail); (ii) The intended effective date of the PROVIDER's proposed Action. (b) The Medicaid Fair Hearing involves the termination, suspension, or reduction of a previously authorized course of treatment; (c) The authorization period has not expired; and/or, (d) The Medic -aid Beneficiary requests extension of Transportation Services. (2) The PROVIDER shall take any punitive action against a physician or other health care provider who requests a Medicaid Fair Hearing on a Medicaid Beneficiary's behalf or supports a Medicaid Beneficiary's request for a Medicaid Fair Hearing. b. If the PROVIDER continues or reinstates Medicaid Beneficiary Transportation Services while the Medicaid .Fair Hearing is pending, the PROVIDER must continue said Transportation Services until one (1) of the following occurs. (1) The Medicaid Beneficiary withdraws the request for a Medicaid Fair Hearing; (2) Ten (10) Business Days pass from the date of the PROVIDER's notice of resolution of the Appeal if the resolution is adverse to the Medicaid Beneficiary and the Medicaid Beneficiary has not requested a Medicaid Fair Hearing with continuation of Transportation Services until a Medicaid Fair Hearing decision is reached (add five [5] Business Days if the Recipient/Subcontractor sends the notice of Action by Surface Mail); (3) The Medicaid Fair Hearing officer renders a decision that is adverse to the Medicaid Beneficiary; and/or, (4) The Medicaid Beneficiary's authorization expires or the Medicaid Beneficiary reaches his/her authorized service limits. If the final resolution of the Medicaid Fair Hearing is adverse to the Medicaid Beneficiary, the PROVIDER may recover the costs of the services furnished while the Medicaid Fair Hearing was pending, to the extent that the PROVIDER furnished said services solely because of the requirements of this Section. 2 If the PROVIDER did not furnish services while the Medicaid Fair Hearing was pending, and the Medicaid Fair Hearing resolution reverses the PROVIDER's decision to deny, limit or delay services, the PROVIDER must authorize or provide the disputed services as quickly as the Medicaid Beneficiary's health condition requires. 3 If the PROVIDER did furnish services while the Medicaid Fair Hearing was pending, and _\N120-sav0l\redirection$Vnaureen.grynewic2AMy Documents\Cntrcts Cams Licns Apps\Transportation\MedicaidlBOCCtBOCC Medicaid 2010.doc -45- the Medicaid Fair Hearing resolution reverses the PROVIDER's decision to deny, limit or delay services, the PROVIDER must pay for the disputed services in accordance with State policy and regulations. Type Time Frame to File Provide Time Frame to Extension Time Frame to Next Step Transportation Resolve Time Frame Send (if any) Services During Notification of Review Resolution Complaint Ninety (90) Calendar Yes Fifteen (15) Ten (10) Five (5) File a Days From the Date of Business Days Business Days Business Days Grievance the Incident That From the Date Precipitated the of the Complaint Complaint Grievance Ninety (90) Calendar Yes Ninety (90) Fourteen (14) Thirty (30) Medicaid Fair Days From the Date of Calendar Days Calendar Days Calendar Days Hearing the Action that from the Date Precipitated of the Resolution of the Grievance VIII. ADMINISTRAUQN AN13 MANAGEMENT A. General Provisions The PROVIDER's governing body shall set forth policy and has overall responsibility for the organization of the PROVIDER. The PROVIDER shall be responsible for the administration and management of all aspects of this Agreement, including all Subcontracts, employees, agents, and services performed by anyone acting for or on behalf of the PROVIDER. The PROVIDER shall have a centralized executive administration, which shall serve as the contact point for the CTC, except as otherwise specified in this Agreement. 2 The PROVIDER shall be responsible for the administration and management of all aspects of this Agreement, such as, but not limited to the delivery of Transportation Services. If the PROVIDER Subcontracts any of Its administrative and management duties under this Agreement, the CTC shall hold the PROVIDER responsible for ensuring that the Subcontractor(s) maintain the same standards as the PROVIDER in administering and managing all aspects of the Subcontract. If the Subcontractor fails to maintain the same administration and management standards as the PROVIDER, the CTC shall sanction the PROVIDER in accordance with this Contract. 3 The PROVIDER shall not provide incentives to its Subcontractors to deny, limit, or discontinue Transportation Services to any Medicaid Beneficiary inappropriately. B. Staffing 1. The PROVIDER shall maintain an adequate and competent staff so as to enable the PROVIDER to timely perform under this Agreement \\120-sav0ltred rection$\maurcen.grynewicz\My Documents\Cntrcts_Grnts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -46- C. Subcontract Requirements 1. The PROVIDER shall comply with all CTC procedures for Subcontracts review and approval submission. a. All Subcontracts must comply with 42 CFR 438.230. b. The PROVIDER shall be eligible for participation in the Medicaid program. If Medicaid involuntarily terminated a PROVIDER from the Florida Medicaid program, other than for purposes of inactivity, that PROVIDER is not an eligible Medicaid provider. C. The PROVIDER shall not employ or contract with individuals on the State or federal exclusions list available from the Department of Management Services' List of Excluded Vendors and the federal List of Excluded Individuals and Entities. d. No Subcontract that the PROVIDER enters into with respect to performance under this Agreement shall in any way relieve the PROVIDER of any responsibility for the provision of Transportation Services and other duties set forth in this Agreement. The PROVIDER shall assure that Transportation Providers perform all services and tasks related to the Subcontract in accordance with the terms of this Agreement. e. The PROVIDER shall include its Grievance System in its Subcontracts to ensure uniformity of its Grievance System statewide. 2. All Subcontracts and amendments executed by the PROVIDER must be in writing and signed by the Recipient and the Subcontractor. All model and executed Subcontracts and amendments entered into as a result of this Agreement shall meet the following requirements: a. Prohibit the Subcontractor from seeking payment from the Medicaid. Beneficiary for any Covered Services provided to the Medicaid Beneficiary within the terms of the Agreement. b. Require the Subcontractor to look solely to the PROVIDER for compensation for services rendered, with the exception of co -payments, pursuant to the State Medicaid Plan and the Non -Emergency Transportation Services Coverage & Limitations Handbook (Handbook). C. The Subcontract shall not contain an incentive plan that, in any way, acts as an inducement to reduce or limit Transportation Services to a Medicaid Beneficiary inappropriately. d. Specify that any contracts, agreements, or Subcontracts entered into by the Subcontractor for the purposes of carrying out any aspect of this Agreement must include assurances that the individuals who are signing the contract, agreement or Subcontract are so authorized and that it includes all the requirements of this Agreement. e. Require the Subcontractor to cooperate with the PROVIDER's Grievance and Appeal policies and procedures and provide for monitoring and oversight, including monitoring of Transportation Services rendered to Medicaid Beneficiaries, by the PROVIDER and for the Subcontractor to provide proof annually, or at the request of the PROVIDER, the CTC, or its agent, that f. Not prohibit a Subcontractor from advocating on behalf of a Medicaid Beneficiary in any Grievance System or UM process, or individual authorization process to obtain necessary Transportation Services. \\120-sav01\redirection$Vnaureen.grynewicz\My Documents\Cntrcts_Gmts Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -47- g. Prohibit discrimination with respect to participation, reimbursement, or indemnification of any Subcontractor who is acting within the scope of his or her license or Certification under applicable State law, solely on the basis of such licensa or Certification. The PROVIDER should not construe this provision as a willing provider law, as it does not prohibit the PROVIDER from limiting provider participation to the extent necessary to meet the needs of the Medicaid Beneficiaries. This provision does not interfere with measures established by the PROVIDER designed to maintain quality and control costs h. Prohibit discrimination against Subcontractors serving Medicaid Beneficiaries in high -risk populations or Subcontractors that specialize in conditions requiring costly transport. i. Require the Subcontractor to maintain an adequate record system for recording services, charges, dates and all other commonly accepted information elements for services rendered to the Recipient. j. Require that the Subcontractor maintain records related to this Agreement for a period not less than five (5) years from the close of the Agreement, and retained further if the records are under review or audit until the review or audit is complete k. Specify that the United States Department of Health & Human Services (DHHS) and the Agency or its Agents shall have the right to inspect; evaluate, and audit any records pertinent to the Agreement, including, but not limited to, the following: (1) Pertinent books; (2) Financial records; and, (3) Documents, papers, and records of any Transportation Provider involving financial transactions I. Specify Covered Services and populations that the Subcontractor will serve under the Subcontract. M. Require that Subcontractors comply with the Recipients Cultural Competency Plan n. Require that any materials related to this Agreement that the Subcontractor distributes are submitted to the CTC for written approval before use o. Provide for submission of all reports and information required by the Recipient. P. Require Subcontractors to submit notice of withdrawal from the Recipient's Transportation Provider network at least ninety (90) Calendar Days prior to the effective date of such withdrawal. q. Require all Subcontractors to notify_ the Recipient in the event of a lapse in general liability or other applicable insurance. r. Require safeguarding of information according to 42 CFR, Part 438.224. about Medicaid Beneficiaries S. Require compliance with HIPAA privacy and security provisions t. Require an exculpatory clause, which survives termination of the Subcontract, including breach_ of Subcontract due to Insolvency, that assures that the Subcontractor's creditors cannot hold either Medicaid Beneficiaries or the AHCA or the CTC liable for any debts of the Subcontractors U. Contain a clause indemnifying, defending, and holding the AHCA, the CTC and the PROVIDER's Medicaid Beneficiaries harmless from and against all claims, damages, causes of action, costs or expense, including court costs and reasonable attorney fees, to the extent proximately caused by any negligent act or other wrongful conduct arising from the Subcontract: \\120-sav01\redirection$\maureen.grynewicz\My Documents\Cnvcts_&ts_Licns Apps\Transpartadon\Medicaid\BOCC\BOCC Medicaid 2010.doc -48- (1) This clause must survive the termination of the Subcontract, including breach due to Insolvency; and, (2) The CTD and/or AHCA may waive this requirement for itself, but not Medicaid Beneficiaries, for damages in excess of the statutory cap on damages for public entities if the Subcontractor is a public health entity with statutory immunity (the AHCA must approve all such waivers in writing). V. Where applicable, require that all Subcontractors secure and maintain, during the life of the Subcontract, worker's compensation insurance (complying with the Florida's Worker's Compensation Law) for all of its employees/independent contractors connected with the work under this Agreement unless such employees/independent contractors are covered by the protection afforded by the Recipient or Subcontractor. W. Make provisions for a waiver of those terms of the Subcontract, which, as they pertain to Medicaid Beneficiaries, are in conflict with the specifications of this Agreement. X. Contain no provision that in any way prohibits or restricts the Subcontractor from entering into a contract with any other Vendor. Y. Contain no provision requiring the Subcontractor to contract for more than one (1) transportation agreement or otherwise be excluded. Z. Require Subcontractors to cooperate fully in any investigation by the AHCA or the Attorney General's Medicaid Fraud Control Unit (MFCU), or any subsequent legal action that may result from such an investigation. aa. Provide that the CTC, AHCA and DHHS may evaluate, through inspection or other means, the quality, appropriateness, and timeliness of the Transportation Services performed. bb. Provide the PROVIDER and the CTC with the ability to monitor the Subcontractor to ensure that all Transportation Providers are properly Licensed and inspected pursuant to State, county, and local statute and regulations. CC. Provide the CTC and PROVIDER with the ability to monitor and oversee all Transportation Services provided by Subcontractors to Medicaid Beneficiaries. dd. Identification of conditions and method of payment: (1) The PROVIDER agrees to make payment to all Subcontractors pursuant to all State and federal laws, rules, and regulations, specifically, Section 641.3155, FS., 42 CFR 447.46, and 42 CFR 447.45(d)(2), (d)(3), (d)(5), and (d)(6); and, (2) Provide for prompt submission by the Subcontractor of all information and encounter data needed to make payment. ee. Specify that if the Subcontractor delegates or Subcontracts any functions of the PROVIDER, that the Subcontract or delegation includes all requirements of this Agreement. ff. Provide for revoking a previously Subcontracted delegation, or imposing other sanctions, if the Subcontractor's performance is inadequate. 3. PROVIDER/Transportation Provider Termination a. The PROVIDER shall comply with all State and federal laws regarding Transportation Provider termination. In its Transportation Provider Agreements, the Recipient shall: (1) In addition to any other right to terminate the PROVIDER Agreement, and \1120-sav0l\redirection$\maureen.grynewicz\My Documents\Cntrets_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -49- not withstanding any other provision of this Contract, the CTC may request immediate termination of a PROVIDER Agreement if, as determined by the CTC, a PROVIDER fails to abide by the terms and conditions of the PROVIDER Agreement, or in the sole discretion of the CTC, the PROVIDER fails to come into compliance with the PROVIDER contract within fifteen (15) Calendar Days after receipt of notice from the CTC specifying such failure and requesting such PROVIDER abide by the terms and conditions thereof; and, (2) If the CTC terminates a PROVIDER pursuant to any provision of the PROVIDER Contract, the PROVIDER shall use the applicable appeals procedures outlined in the PROVIDER Contract. There is no additional or separate right of appeal to the AHCA or the CTC as a result of the CTC's act of terminating, or decision to terminate any PROVIDER under this Contract. (3) The CTC shall provide sixty (60) Calendar Days' advance written notice to the PROVIDER before canceling, without cause, a PROVIDER Contract D. Transportation Provider Services 1. General Provisions a. The PROVIDER shall provide sufficient information to all Transportation Providers in order to operate in full compliance with this Contract and all applicable federal, State, and local laws and regulations. b. The PROVIDED shall -monitoreach Transportation Provider to ensure that each Transportation Provider complies with the requirements of this Contract and all applicable federal, State, and local laws and regulations and shall take or require corrective actions to ensure compliance with such requirements. C. The Transportation Provider Agreements shall incorporate all provisions of the PROVIDERS agreement with the CTC (Subcontract), unless otherwise set forth below. 2. Transportation Provider Handbooks a. The CTC shall develop and issue a Transportation Provider Handbook. All Transportation Provider Handbooks and bulletins shall be in compliance with State and federal laws. The Transportation Provider Handbook shall serve as a source of information regarding Covered Services, policies and procedures, statutes, regulations, telephone access, and special requirements to ensure that all contract requirements are met. At a minimum, the Transportation Provider Handbook shall include the following information: (1) Description of the Non -Emergency Transportation program; (2) Covered Services; (3) Information about the Grievance System, the timeframes and requirements, the availability of assistance in filing, the toll -free numbers and the Medicaid Beneficiary's right to request continuation of Transportation Services while utilizing the Grievance System; (4) Routine, Hospital/facility discharges, Urgent Care, Emergency room/facility discharges, and will call policies and procedures; \\120-sav011redirectionS\maureen.grynewicz\kly Documents\Cntrcts_Gmts Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -so- (5) The Cultural Competency Plan; (6) Medicaid Beneficiary rights and responsibilities (see 42 CFR 438.100 for guidance as to a Medicaid Beneficiary's rights and responsibilities); and, (7) Other Transportation Provider responsibilities. b. Bulletins shall be disseminated as needed to incorporate any changes or updates to the Transportation Provider Handbook. 3. Education and Training a. PROVIDERS shall attend and/or participate in training and educational workshops when scheduled by the CTC. E. Medicaid Beneficiary Eligibility Records Requirements 1. The PROVIDER shall maintain records, either electronically or by hard copy, for each Medicaid Beneficiary in accordance with this Section. The PROVIDER's Medicaid Beneficiary eligibility records must include all Encounter Data elements as set forth in the Encounter Data Section. At a minimum, the PROVIDER's Medicaid Beneficiary eligibility records must include the following: (1) Each record must be legible and maintained in detail; (2) All record entries must be dated; (3) All records must reflect the primary language spoken by the Medicaid Beneficiary and any translation needs of the Medicaid Beneficiary; (4) All records must identify Medicaid Beneficiaries needing communication assistance in the delivery of Transportation Services; (5) All records must show whether the Medicaid Beneficiary has any specific needs that require special equipment or services (e.g., dementia, uses a walker, etc.); and, (6) All records must show whether the Medicaid Beneficiary requires a medical Attendant/Escort or assistance in accessing medical services (e.g., door-to-door delivery, etc.). b. Confidentiality of Medicaid Beneficiary Eligibility Records (1) The PROVIDER shall ensure_ the confidentiality of Medicaid Beneficiary eligibility records in accordance with 42 CFR, Part 431, Subpart F and the Privacy and Security provisions of the Health Insurance Portability and Accountability Act (HIPAA). F. Invoice Payment 1 An invoice is considered received when the CTC receives the invoice in its Offices. 2 The CTC has eleven (11) business days to inspect and approve goods and services. If payment is not available within forty (40) calendar days, measured from the latter of the date the invoice is received or the goods or services are received, inspected and approved, a separate interest penalty set by the Comptroller pursuant to Section 55.03, F. S., will be due and payable in addition to the invoice amount. To obtain the applicable interest rate, please contact the CTC's Fiscal Section at (850) 410-5700. \\120-sav01\rodirection$Vnaureen.grynewicz\My Documents\Cntrcts_Grnts_Licns APes\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -51- Invoices returned to a PROVIDER due to preparation errors will result in a payment delay. Invoice payment requirements do not start until a properly completed invoice is provided to the CTC. A Vendor Ombudsman, whose duties include acting as an advocate for Vendors who may be experiencing problems in obtaining timely payment(s) from a State Agency, may be contacted at (850) 410-9724 or by calling the State Comptroller's Hotline, 1-800-848-3792. G. Encounter Data The PROVIDER shall collect and submit Encounter Data to the CTC. The PROVIDER shall have a comprehensive automated and integrated Encounter Data system that is capable of meeting the requirements as defined by the CTD. The required data elements are provided in Attachment 3. The attach chart is the Draft Batch File Layout for the new Medicaid system. There will be an additional one alpha character identifier for any record that contains a Social Security Number consisting of all 9's (the only acceptable entry other than a valid SSN), that's not shown in this File Layout. This field must be occupied with either an I for Infant or A for Alien (not case -sensitive) if the value is all 9's (999-99-9999). In the case of a valid SSN, this field will be left blank. The exact File Layout, including the location of this new data element, will be provided by the CTC as soon as it is finalized. 2. The PROVIDER is responsible for errors or noncompliance resulting from its own actions or the actions of an agent authorized to act on its behalf. The PROVIDER shall resolve any errors or noncompliance and resubmit the Encounter Data. a. The CTC shall monitor the PROVIDER's submissions and provide error reports for the PROVIDER to resolve and resubmit. 1 The PROVIDER shall implement review procedures to validate_ their own Encounter Data. 2 The PROVIDER will designate sufficient information technology and staffing resources to perform these functions as set forth in this Agreement. 3 The PROVIDER shall have a unique Florida Medicaid provider identification number. 4 The PROVIDER must attend and/or participate in training provided by the CTC and/or AHCA regarding: 3. All Encounter Data from submission and resubmission shall be: a. Complete (1) All Trips shall be entered for the reported period. (2) All required data fields shall be populated. b. Accurate (1) One hundred percent (100%) of all fields shall contain valid values. (2) The PROVIDER shall input the fully allocated Cost in the "trip cost" field based on the CTC rate methodology. C. Timely (1) The PROVIDER shall submit Encounter Data no later than thirty (30) \\120-savol\redirection$"jn=ecn.grynewicz\My Documents\Cntm_Gmts_Licns Apps\Transportation\MedicaidkBOCC\BOCC Medicaid 2010.doc -52- Calendar Days after the end of the reporting month. (2) The PROVIDER shall submit all corrected Encounter Data within ninety (90) Calendar Days after the end of the reporting month 4 The PROVIDER shall cooperate with CTC staff and its authorized representatives regarding onsite visits to evaluate the PROVIDER's MEDS operations, which include providing access to Transportation Records and administrative records for review. The PROVIDER shall participate in CTC and/or AHCA sponsored workgroups directed at continuous improvements in Encounter Data quality and operations. 5. The CTC and CTD will monitor and track the quality of the PROVIDER's Encounter Data submissions and provide feedback to the PROVIDER and/or CTC pursuant to the schedule set forth below. a. The CTC shall use seventy-five percent (75%) accuracy as the starting point or benchmark for determining quality of the Encounter Data submissions. b. For purposes of this section, quality means that the Encounter Data for the service rendered conforms to the terms and conditions of this Agreement. 6. If the PROVIDER's Encounter Data reporting is not acceptable, the CTC shall require the PROVIDER to submit a Corrective Action Plan (CAP). If the PROVIDER fails to provide a CAP, or to implement an approved CAP, within the time specified by the CTC, the CTC shall sanction the PROVIDER, in accordance with the Contract. When considering whether to impose sanctions, the CTC may take into account the PROVIDER's cumulative performance on all MEDS activities. H. Fraud Prevention I The PROVIDER shall establish functions and activities governing program integrity in order to reduce the incidence of Fraud and Abuse and shall comply with all State and federal program integrity requirements. 2 The Recipient shall have internal controls and policies and procedures in place that are designed to prevent, detect, and report known or suspected Fraud and Abuse activities. 3 The Recipient shall cooperate fully in any investigation by the AHCA, MPI, MFCU, or any subsequent legal action that may result from such an investigation. 4. Ensure that the Recipient does not retaliate against any individual who reports Violations of the Recipient's Fraud and Abuse policies and procedures or suspected Fraud and Abuse. A. General Provisions I Systems Functions — The PROVIDER shall have Information Management processes and Information Systems that enable it to meet CTC, CTD, AHCA and federal reporting requirements and other Agreement requirements and that are in compliance with this Agreement and all applicable State and federal laws, rules and regulations, including HIPAA. 2 Systems Capacity — The PROVIDER's Systems shall possess capacity sufficient to handle the workload projected for the begin date of operations and will be scalable and flexible \\120-sav41\redirection$\maureen.grynewiczXMy Documents\Cntrcts_Gmts_Licns Apps\Transportation\Medicaidl30CC1BOCC Medicaid 2010.doc -53- so they can be adapted as needed, within negotiated timeframes, in response to changes in Agreement requirements, etc. 3 Participation in Information Systems Work Groups/Committees — The PROVIDER shall meet as requested by the CTC, to coordinate activities and develop cohesive Systems strategies across PROVIDERs and agencies. 4 Sanctions — The PROVIDER shall maintain all Systems and submit all reports as set forth in this Section and the Reporting Requirements Section of this Contract. If the PROVIDER fails to maintain its Systems or submit all reports as set forth, the CTC shall sanction the PROVIDER in accordance with this Contract. B. Data and Document Management Requirements 1. Adherence to Data and Document Reporting Requirements a. The PROVIDER's Systems shall conform to HIPAA standards for data and document management that are currently under development within one hundred twenty (120) Calendar Days of the Agreement's effective date or, if earlier, the date stipulated by CMS or the AHCA. 2. Information Retention — The PROVIDER shall maintain Information in its Systems in electronic form for three (3) years in live Systems and, for audit and reporting purposes, for five (5) years in live and/or archival Systems. 3. Information Ownership — The CTD maintains ownership over all Information, whether data, documents, or reports that contain or make references to said Information " involving or arising out of this Agreement. -" a. If the PROVIDER is required to provide documentation pursuant to a public records request, the PROVIDER shall redact any and all personal health information, in compliance with HIPAA and all other applicable federal and state laws and regulations. b. If the PROVIDER wishes to publish a report, information, or commentary that includes data drawn from the Medicaid population, the CTD and/or the AHCA must first give written approval to the PROVIDEWs interpretation of all data before the PROVIDER can publish said report, information, or commentary. (1) In order to expedite approval of any report, information, or commentary that uses data drawn from the Medicaid population, the PROVIDER must include with its written request for approval all documentation, statistics, tables, graphs, and details that give rise to the PROVIDEWs interpretation and the basis upon which the Recipient uses the data to support its interpretation. C. System and Data Integration Requirements 1. Data and Report Validity and Completeness a. The PROVIDER shall institute processes to ensure that the data is valid and complete; including reports submitted to the CTC pursuant to the Reporting Requirements of this contract. At its discretion, the CTC will conduct general data validity and completeness audits using industry -accepted statistical sampling 11120-sav011redirec6onS\inaureen.grynewicz\My DocumentslCntrds_Gmts Licns AppslTransportation\Medicaid\BOCC1BOCC Medicaid 2010.doc -54- methods. The CTC shall audit specific data elements including, but not limited to: Medicaid Beneficiary ID, date of service, category and sub category (if applicable) of service, procedure codes, revenue codes, date of claim processing, and (if and when applicable) date of claim payment. The CTC shall also review and verify control totals. 2. Data Exchange in Support of the CTC's Program Integrity and Compliance Functions a. The PROVIDER's System(s) shall be capable of generating files in the prescribed formats for upload into CTC Systems used specifically for program integrity and compliance purposes. D. Systems Availability, Performance, and Problem Management Requirements 1. Availability of Critical Systems Functions a. The PROVIDER shall ensure that critical Systems functions available to Medicaid Beneficiaries and Transportation Providers, functions that if unavailable would have an immediate detrimental impact on Medicaid Beneficiaries and Transportation Providers, are available twenty-four (24) hours a day, seven (7) days a week, except during periods of scheduled System Unavailability agreed upon by the CTC and the PROVIDER. Unavailability caused by events outside of a PROVIDER's Span of Control is outside the scope of this requirement. The PROVIDER shall make the CTC aware of the nature and availability of these functions prior to extending access to these functions to Medicaid Beneficiaries and/or Transportation Providers. 2. Availability of Data Exchange Functions a. The PROVIDER shall ensure that the Systems and processes within its Span of Control associated with its data exchanges with the CTC and/or its Agents) are available and operational according to specifications and the data exchange schedule. 3. Problem Notification a. Upon discovery of any problem within its Span of Control that may jeopardize, or is jeopardizing, the availability and performance -of Systems functions and the availability of information in said Systems, including any problems impacting scheduled exchanges of data between the PROVIDER and the CTC and/or its Agent(s), the PROVIDER shall notify the CTC's Project Manager via phone, fax and/or electronic mail within fifteen (15) minutes of such discovery. In its notification, the PROVIDER shall explain in detail the impact to critical path processes such as transportation coordination and claims submission processes. b. The PROVIDER shall provide to appropriate CTC staff, or its Agent's staff, information on System Unavailability events, as well as status updates on problem resolution. At a minimum, the PROVIDER shall provide these updates on an hourly basis via electronic mail or telephone (if electronic mail is unavailable due to the System Unavailability). \1120-sav0llredireefon$\tnaureen.gwneMcz\My DoeumentslCntrcts_Gmts_Licns.AppslTransportation\Medicaidl30CC1BOCC Medicaid 2010.doc -55- 4. Recovery from Unscheduled System Unavailability a. Unscheduled System Unavailability caused by the failure of Systems and telecommunications technologies within the PROVIDER's Span of Control must be resolved, and the restoration of services implemented, within forty-eight (48) hours of the official declaration of System Unavailability. 5. Exceptions to System Availability Requirement a. The PROVIDER shall not be responsible for the availability and performance of Systems and information technology (IT) infrastructure technologies outside of the PROVIDER's Span of Control. E. System Testing and Change Management Requirements 1. Notification and Discussion of Potential System Changes a. The PROVIDER shall notify the CTC Project Manager of the following changes to Systems within its Span of Control within at least ninety (90) Calendar Days of the projected date of the change; if so directed by the CTC, the PROVIDER shall discuss the proposed change with applicable CTC staff: (1) software release updates of core transaction Systems: claims processing, eligibility and Enrollment processing, Service Authorization management, Transportation Provider enrollment and data management; (2) conversions of core transaction management Systems. 2. Response to CTC Reports of Systems Problems not Resulting in System Unavailability a. The PROVIDER shall respond to CTC reports of System problems not resulting in System Unavailability according to the following timeframes: (1) Within seven (2) Calendar Days of receipt, the PROVIDER shall respond in writing to notices of System problems. (2) Within twenty (20) Calendar Days, the PROVIDER shall make a correction to the System or will make a Requirements Analysis and Specifications document. (3) The PROVIDER will correct the deficiency by a date certain as determined by the CTC. 3. Testing a. The PROVIDER shall work with the CTC pertaining to any testing initiative as required by the CTC. b. The PROVIDER shall ensure adequate Information System integrity to capture Encounter Data and, at a minimum, take necessary action to safeguard against System interruptions resulting from network, operating hardware, software, or operational errors that compromise the integrity of transactions that are active in a live system or archived at the time of an outage or causing unscheduled System Unavailability. \\120-sav0l\redirection$\maureen.Vynewicz\My Documents\Cntrds_Gmts_Licns Apps\Transportation\Medicaid\80CC\80CC Medicaid 2010.doc -56- F. Reporting Requirements - Specific to Information Management and Systems Functions and Capabilities - and Technological Capabilities Reporting Requirements a. If the PROVIDER is extending access to "critical systems functions" to providers and Medicaid Beneficiaries as described in the Availability of Critical Systems Functions section, above, it shall submit a monthly Systems Availability and Performance Report to the CTC as described in Reporting Requirements, otherwise this reporting requirement is not applicable. X. REPORTING REQUIREMENTS A. General Reporting Requirements 1. The PROVIDER shall comply with all Reporting Requirements set forth by the CTC in this Contract. a. The PROVIDER is responsible for assuring the accuracy, completeness, and timely submission of each report. b. The PROVIDER shall certify the reports, attesting, based on his/her best knowledge, information, and belief, that all data submitted in conjunction with the reports or all documents requested by the CTC are accurate, truthful, and complete. C. The Certification shall be submitted at the same time the data reports are submitted. The Certification page shall include a Certification that the data submitted has been validated and the quality verified in accordance with this Contract. (1) Deadlines for report submission referred to in this Contract specify the actual time of receipt at the CTC, not the date the PROVIDER postmarks or transmits the file. The CTC shall date stamp a hard copy report or send an email reply to an emailed report. (2) The PROVIDER shall use the timeframes set forth in the table below for submitting all reports. d. Before November 1 of each year, the PROVIDER shall deliver to the CTC a Certification that the PROVIDER has fairly and accurately presented all Performance Measure data for the previous Agreement Year. e. If a reporting due date falls on a weekend or State Holiday, the Agency must receive the report on the following Business Day. f. The PROVIDER shall file all quarterly reports based on a calendar year quarter. Calendar year quarters are defined as the months ending March 31st, .tune 30th, September 30th, and December 31st. 1 The CTC shall furnish the PROVIDER with the appropriate reporting formats, templates, instructions, submission timetables, and technical assistance, as required. 2 The Cl'C reserves the right to modify the reporting requirements, with a sixty (60) Calendar Day notice to allow the PROVIDER to complete implementation, unless otherwise required by law. N12o-sav0llredirection$lntaureen.grynewicz\My DocumentskCntrcts_Grnts_Licns Apps\Transp"fion\MedicaidlBOCC1BOCC Medicaid 2010.dce -57- 3 The CTC shall provide the PROVIDER with written notification of any modifications to the reporting requirements. 4. Unless otherwise specified, the PROVIDER shall record and submit all filings electronically or mail a hard copy to the following address: The Guidance/Care Center Inc., 3000 41st Street, Ocean * Marathon, FL 33050 5. Unless otherwise set forth below, or in a request for an ad hoc report, the PROVIDER shall limit the scope of all reports to operations affecting Medicaid Beneficiaries and shall not include in any report any outside, non -Medicaid or non -Medicaid Beneficiary related information. The PROVIDER shall limit all reports and Performance Measures to Transportation Services provided under this Agreement to Medicaid Beneficiaries and shall not include other, non -Medicaid, services or operations that the PROVIDER provides. 6. The PROVIDER shall grant the CTC, or its representatives, full access to all financial and statistical reports, supporting documents, and any other documents pertinent to this Contract and the Transportation Provider Agreement. The PROVIDER shall provide the documentation requested by the CTC, or its representatives, in a manner that the CTC will provide when notifying the PROVIDER of the on -site surveys and desk reviews 7. The PROVIDER shall notify the CTC's Project Manager within twenty-four (24) hours of discovering a Violation of the protections provided by HIPAA. .'ttt W,. M - _ Sri � •',:.5-':: ':: - _ ". Grievance Covers all . Hardcopy or Quarterly — Due 20 Calendar System - Complaints, electronic format. Days after the end of the reporting Summary Report Grievances, and Template quarter. Contains data for entire Appeals related provided by the reporting quarter. to Medicaid's CTC. NET Services. Audited Financial Audited Hardcopyelectroni Annually -within 180 Calendar Statement Sttatement. c format. Days after end of the Fiscal Year. Financial and Reporting is for each calendar year. Trip Travel Trip Traveiby Hardcopy or Monthly -Due 5 Calendar Days Expense Report Trip. electronic format. after the month in which the Expenses Template PROVIDER provided the Trip. provided by the CTC. Safety Copy of the Self- Hardcopy or Annually -Due January 10 of each Compliance Self- I Certification electronic format. year. Reporting is for each Certification Report (Vehicle calendar year. Report inspections, Driver Safety, Drug and Alcohol and Quality monitoring) \\120-sav0l\redirectionS\maureen.g ynewicz\My Documents\Cnircts_Gmts_Licns Apps\Transportation\Medicaid\BOCC130CC Medicaid 2010.doc -58- Systems Outage Notification of a Email and/or Immediately occurrence. Notification Phone or System Phone call, upon outage affecting followed by a NET Services. summary report. Template provided by the CTC. Hard copy, format, or Suspected fraud Suspected electronic Reporting Report. telephone Immediately upon occurrence. Fraud Critical Incidents Critical Incident Hardcopy or Upon Occurrence — Initial report Report Report. electronic format. due one (1) Business Day after Template learning of the incident. A written provided by the final report shall be submitted to CTC. DCF the CTC within 15 business days template available after the incident. Detailed report from DCF. to include measures to prevent similar occurrences in the future. Performance Performance Hardcopy or Monthly — Due 5 Calendar Days Measures Measure electronic format. after the end of the reporting information — month. See Performance Measure Section for details. B. Reporting Requirement Documents 1. Grievance System a. The Grievance System report shall, include information based on the PROVIDER's helpline and contain information about the number of Complaints, Grievances, and Appeals received by the PROVIDER, its Subcontractors, and its Local. Coordinating Board (LCB) concerning issues related to the provision of Non - Emergency Transportation Services to Medicaid Beneficiaries only. b. Refer to Attachment 4 for a template 2. Annual Financial Audit a. The PROVIDER shall conduct an annual financial audit in accordance with federal and State law, including, but not limited to, OMB Circular A-133 and Section 215.97, F.S., Florida Single Source Audit Act. The goal of the audit is to capture the PROVIDER's financial information in a format for use by the CTC, its Agents, and federal and State auditors. The PROVIDER shall submit the audit annually, along with a copy of the PROVIDER's Certification by hardcopy or in electronic format to the CTC. The PROVIDER shall limit the scope of the audit report it submits to the CTC to Transportation Services provided to Medicaid Beneficiaries. If, at any time, the Recipient is determined to be a Vendor for purposes of OMB Circular A-133 and/or the Florida Single Source Act, the Recipient shall still be \\120-sav0l\redirectionSMaureen.grywwicz\My D©cumcnts\Cntrcu_Grnu Licns AppsNTranspcntation\N"cai&BWC*S CC Medicaid 2010.doc -59- Q required to submit an annual financial audit in accordance with the provisions of OMB Circular A-133 and/or the Florida Single Source Act. b. The CTC does not provide a template for this report. Refer to Attachment 2 for details on Special Audit Requirements. 3. Trip Travel Expense Report a. The purpose of this report is to track the travel expenses incurred by the PROVIDER for each Trip that incurs travel expenses, as set forth in the Covered Services Section of this Contract. b. Refer to Attachment 5 for a template. 4. Safety Compliance Self Certification Report a. Self Certification — Each PROVIDER shall submit an annual safety and security Certification, in accordance with 14-90.10, F.A.C., to the CTC, and shall submit to any and all Safety and Security Inspections and Reviews in accordance with 14- 90.12, F.A.C. Each PROVIDER shall submit the total number of vehicle inspections completed during the previous calendar year (January 1 through December 31) and the results of said inspections by January IV' of each year. b. The Safety Compliance Self Certification Report shall include, at a minimum, a certification that the PROVIDER has instituted and are complying with the following safety and monitoring procedures: (1), Vehicle safety inspection- (2) Drug and alcohol training and monitoring; (3) Quarterly monitoring; and, (4) Operator/driver training and monitoring. C. The CTC does not provide a template for this report. 5. Systems Outage Notification Report a. The PROVIDER shall notify the CTC Project Manager by electronic submission or by telephone of a System outage immediately upon determination of a System outage. b. The PROVIDER shall submit the Business Disruption Notification using the template provided as a guideline. The Business Disruption Notification shall provide the date and time the incident occurred, what event triggered the outage, the plan of action to bring the System back online, the expected date and time of recovery of the full use of the System, and the impact the System outage has on Medicaid Beneficiaries. C. The PROVIDER must submit a Systems Outage Report, in electronic format and hardcopy, to the CTC's Project Manager only if the PROVIDER's Information Systems experience unscheduled downtime. d. Refer to Report #6 for template. 6. Suspected Fraud Reporting a. Upon detection of a potential or suspected Fraudulent encounter or act by a Medicaid Beneficiary, the PROVIDER shall file a report with the CTC. The CTC will \\120-sav01\redirection$\maureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\TransportationWedicaid\BOCC\BOCC Medicaid 2010.doc -60- forward the report to the AHCA's Bureau of Medicaid Program Integrity. b. The report shall contain at a minimum: (1) The name of the Medicaid Beneficiary; (2) The Medicaid Beneficiary's Medicaid identification number; and (3) A description of the suspected Fraudulent act. C. The CTC does not provide a template for this report. 7. Critical Incident Reporting a. The PROVIDER shall notify the CTC within one (1) Business Day that there was a critical incident. b. The critical incident reporting requirements set forth in this Section do not replace the abuse, Neglect, and exploitation reporting system established by the State. C. The definitions of reportable critical incidents are as follows: (1) Death of a Medicaid Beneficiary that occurs while the Medicaid Beneficiary is in a vehicle operated or contracted by the PROVIDER, due to one (1) of the following: (i) Suicide; (ii) Homicide; (iii) Abuse; (iv) Neglect; or, (v) An accident or other incident. (2) Medicaid Beneficiary Injury or Illness - A medical condition that requires medical treatment by a Health Care Professional and which is sustained, or allegedly is sustained, due to an accident, act of Abuse, Neglect or other incident occurring while a Medicaid Beneficiary is in a vehicle operated or contracted by the PROVIDER. (3) Sexual Battery — An allegation of sexual battery, as determined by medical evidence or law enforcement involvement, by: (i) A Medicaid Beneficiary on another Medicaid Beneficiary; (ii) An employee of the PROVIDER, a Subcontractor, or a Transportation Provider on a Medicaid Beneficiary; and/or, (ii!) A Medicaid Beneficiary on an employee of the. PROVIDER, a Subcontractor, or a Transportation Provider. (4) In addition to supplying the Critical Incidents Report, the PROVIDER shall also report critical incidents in the manner prescribed by, and using the template provided by, the appropriate district's DCF Alcohol, Drug Abuse Mentat Health office, using the appropriate DCF reporting forms and procedures. (5) Refer to Report #7 for a template. 8. Minority Participation Report a. The CTC encourages the PROVIDER to use Minority and Certified Minority \\120-sav0l\redirection$\maureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -61- businesses as subcontractors when procuring commodities or services to meet the requirement of the Agreement. The CTC requires information regarding the PROVIDER's use of minority owned businesses as subcontractors for transportation services under this Agreement. This information will be used for assessment and evaluation of the CTC's Minority Business Utilization Plan. During the term of the Agreement, it will be necessary for the PROVIDER to maintain this information monthly. A minority owned business is defined as any business enterprise owned and operated by the following ethnic groups: African American (Certified Minority Code H or Non - Certified Minority Code N), Hispanic American (Certified Minority Code I or Non - Certified Minority 0), Asian American (Certified Minority Code J or Non -Certified Minority Code P), Native American (Certified Minority Code K or Non -Certified Minority Code Q), or American Woman (Certified Minority Code M or Non - Certified Minority Code R). The PROVIDER should retain this information and make it available upon request by the CTC. XI METHOD OF PAYMENT A. Fixed Price Fixed Fee Agreement 1 The CTC shall pay the PROVIDER, upon satisfactory completion of all terms and conditions specified in the Agreement, a total amount included in Exhibit B. 2 The PROVIDER shall request payment through submission of a properly completed invoice to the CTC. Invoices shall be submitted in a format provided by the CTC. 3 The CTC's performance and obligation to pay under this Agreement is contingent upon an annual appropriation by the Legislature. 4 Errors a. If, after preparation and submission of reports and/or invoices, the PROVIDER discovers an error, including, but not limited to, errors resulting in incorrect payments, either by the PROVIDER or the CTC, the PROVIDER has thirty (30) Business Days from its discovery of the error, or thirty (30) Business Days after receipt of notice by the CTC to correct the error and resubmit accurate reports and/or invoices. Failure to respond within the thirty (30) Business Day period shall result in a loss of any money due to the PROVIDER for such errors and/or sanctions against the PROVIDER pursuant to Sanctions Section of this Contract. B. Member Payment Liability Protection Pursuant to Section 1932 (b)(6), Social Security Act (as enacted by Section 4704 of the Balanced Budget Act of 1997), the PROVIDER shall not hold Medicaid Beneficiaries liable for the following: a. For debts of the PROVIDER, in the event of the PROVIDERs Insolvency; b. For payment of Covered Services provided by the PROVIDER if the PROVIDER has not received payment from the CTC for the Covered Services, and/or, C. For payments to a PROVIDER that furnished Covered Services under a contract, or other arrangement with the PROVIDER, that are in excess of the amount that normally would be paid by the Medicaid Beneficiary if the Covered Services had \\120-sav0l\redireedon$\maureen.grynewicz\My Documents\Cntrcts_Gmts_Licns Apps\Transportarion\Medicai&SOCCIBOCC Medicaid 2010.doc -62- been received directly from the PROVIDER. XII. SANCTIONS A. General Provisions 1. The PROVIDER shall comply with all requirements and performance standards set forth in this Contract. In the event the CTC identifies a Violation of this Contract, or other non-compliance with this Contract, the PROVIDER shall submit a Corrective Action Plan (CAP) within three (3) Calendar Days of the date of receiving notification of the Violation or non-compliance from the CTC or within the timeframe specified by the CTC, whichever is later. a. Within five (5) Business Days of receiving the CAP the CTC will either approve or disapprove the CAP. If disapproved, the CTC must cite the specific reasons in a written format for said disapproval. Upon written notice of disapproval, the PROVIDER shall resubmit, within five (5) Business Days, or a date specified by the CTC whichever is later, a new CAP that addresses the concerns identified by the CTC. b. Upon approval of the CAP, whether the initial CAP or the revised CAP, the PROVIDER shall implement the CAP within the time frames specified by the CTC. The PROVIDER shall submit a report to the CTC detailing the implementation of the PROVIDEER's CAP forty-five (45) Business Days following the date of the CTC's approval of the CAP. C. Except where specified below, the CTC shall impose a monetary sanction of $100 per day on the PROVIDER for each Calendar Day that the PROVIDER does not implement the approved CAP to the satisfaction of the CTC, 2. If the CTC determines, in its sole discretion, that a PROVIDER and/or Transportation Provider has violated the terms of this Contract, the CTC can sanction the PROVIDER, can terminate this Contract, or both. If the Agency for Health Care Administration determined, in its sole discretion, that a PROVIDER and/or Transportation Provider has violated the terms of this contract, AHCA can sanction the CTC and request the this contract be terminated or both. 3. Unless the CTC specifies the duration of a sanction, the sanction shall remain in effect Until the CTC is satisfied that the PROVIDER has corrected the basis for imposing the sanction and it is not likely to recur. B. Specific Sanctions 1. The CTC may impose any of the following sanctions against the PROVIDER if the CTC, in its sole discretion, determines that the PROVIDER and/or a Transportation Provider has violated any provision of this Agreement, or any applicable statutes: a. Suspension or revocation of payments to the PROVIDER for Medicaid Beneficiaries during the sanction period; b. For any nonwillful Violation of the Agreement, the CTD shall impose a fine, not to exceed $2,500 per Violation. In no event shall such fine exceed an aggregate amount of $10,000 for all nonwillful Violations arising out of the same action; 11120-sav411redire tionS\immnm.grrmcz\My DocumentsWntrcts_Gmts_Licns Apps\TransportationtMedicaid\BOCC1BOCC Medicaid 2010.doc -63- C. With respect to any knowing and willful Violation of the Agreement, the CTD shall impose a fine upon the PROVIDER in an amount not to exceed $20,000 for such Violation. In no event shall such fine exceed an aggregate amount of $100,000 for all knowing and willful Violations arising out of the same action; d. If the PROVIDER fails to carry out substantive terms of the Agreement, the CTC shall terminate the Agreement. After the CTC notifies the PROVIDER that it intends to terminate the Agreement, the CTC shall give the PROVIDER's Medicaid Beneficiaries written notice of the CTC's intent to terminate the Agreement. e. The CTD may impose intermediate sanctions, including, but not limited to civil monetary penalties in the amounts specified in this Agreement. f. Suspension of payment for Medicaid Beneficiaries after the effective date of the sanction and until the CTD is satisfied that the reason for imposition of the sanction no longer exists and is not likely to recur; and/or g. Before_ imposing any intermediate sanctions, the CTD must give the PROVIDER timely notice. \\120-sav0l\redimetionSknaureen.gryncwicz\My Documents\Carets_Gmts_Licns AppstTransportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -64- EXHIBIT B METHOD OF COMPENSATION This Exhibit defines the limits of compensation to be made to the contractor for the services set forth in Exhibit "A" and the method by which payments shall be made. 1. Project Compensation: For the satisfactory performance of services detailed in Exhibit "A" the PROVIDER shall be paid up to a Maximum Amount of $ 70,000 during the length of the contract. The Provider shall not provide services that exceed the limiting amount(s) without an approved Amendment from the CTC. The total amount of this contract is contingent upon annual appropriation by the Legislature. Currently, $70,000 of the total amount has been approved and encumbered for this contract. Therefore, it is agreed that the PROVIDER will not be obligated to perform services nor incur costs which would result in exceeding the funding currently approved; nor will the CTC be obligated to reimburse the PROVIDER for costs or make payments in excess of currently established funding. The CTC will provide written authorization if and when subsequent funding is approved and encumbered for this contract. The Provider shall request payment through submission of a properly completed invoice to the CTC's Transportation -Director or its designee. Monroe County Transportation: $3.00 per mile/5 mile minimum $2.00 per mile for preauthorized out -of -county trips $3.00 flat rate per client per multiload 41120-sav0l\redirection$\maureen.grynewiczNy DocumenislCarcts_Gmts_Licns Apps\TransportationtMedicaid\BOCCiBO+CC Medicaid 2010.doc -65- ATTACHMENT 1 BUSINESS ASSOCIATE AGREEMENT The parties to this Attachment agree that the following provisions constitute a business associate agreement for purposes of complying with the requirements of the Health Insurance Portability and Accountability Act of 1996 (HIPAA). This Attachment is applicable if the Recipient is a business associate within the meaning of the Privacy and Security Regulations, 45 C.F.R. 160 and 164. The Recipient certifies and agrees as to abide by the following: 1. Definitions. Unless specifically stated in this Attachment, the definition of the terms contained herein shall have the same meaning and effect as defined in 45 C.F.R. 160 and 164. La. Protected Health Information. For purposes of this Attachment, protected health information shall have the same meaning and effect as defined in 45 C.F.R. 160 and 164, limited to the information created, received, maintained or transmitted by the Recipient from, or on behalf of, the Agency. Lb. Security Incident. For purposes of this Attachment, security incident shall mean any event resulting in computer systems, networks, or data being viewed, manipulated, damaged, destroyed or made inaccessible by an unauthorized activity. See National Institute of Standards and Technology (NISI) Special Publication 800-61, "Computer Security Incident Handling Guide," for more information. 2. Use and Disclosure of Protected Health Information. The Recipient shall not use or disclose protected health information other than as permitted by this Agreement or by federal and state law. The Recipient_ will use appropriate. safeguards to prevent the use or disclosure of protected health information for any purpose not in conformity with this Agreement and federal and state law. The Recipient will implement administrative, physical, and technical safeguards that reasonably and appropriately protect the confidentiality, integrity, and availability of electronic protected health information_ the Recipient creates, receives, maintains, or transmits on behalf of the Agency. 3. Use and Disclosure of Information for Management, Administration, and Legal Responsibilities. The Recipient is permitted to use and disclose protected health information received from the Agency for the proper management and administration of the Recipient or to carry out the legal ,responsibilities of the Recipient, in accordance with 45 C.F.R._ 164.504(e)(4). Such disclosure is only permissible where required by law, or where the Recipient obtains reasonable assurances from the person to whom the protected health information is disclosed that: (1) the protected health information will be held confidentially, (2) the protected health information will be used or further disclosed only as required by law or for the purposes for which it was disclosed to the person, and (3) the person notifies the Recipient of any instance of which it is aware in which the confidentiality of the protected health information has been breached. 4. Disclosure to Third Parties. The Recipient will not divulge, disclose, or communicate protected health information to any third party for any purpose not in conformity with this Agreement withoutprior written approval from the Agency. The Recipient shall ensure that any agent, including a subcontractor, to whom it provides protected health information received from, or created or received by the Recipient on behalf of, the Agency agrees to the same terms, conditions, and restrictions that apply to the Recipient with respect to protected health information. 5. Access to Information. The Recipient shall make protected health information available in accordance with federal and state law, including providing a right of access to persons who are the subjects of the protected health information in accordance with 45 C.F.R. 164.524. \\120-sav01\redirection$Vnaureen.grynewicz\My Documents\Cntrets_Gmts_Licns AppsiTransportation\Medicaid\BOCCIBOCC Medicaid 2010.doc -66- 6. Amendment and Incorporation of Amendments. The Recipient shall make protected health information available for amendment and to incorporate any amendments to the protected health information in accordance with 45 C.F.R. § 164.526. 7. Accounting for Disclosures. The Recipient shall make protected health information available as required to provide an accounting of disclosures in accordance with 45 C.F.R. § 164.528. The Recipient shall document all disclosures of protected health information as needed for the Agency to respond to a request for an accounting of disclosures in accordance with 45 C.F.R. § 164.528. 8. Access to Books and Records. The Recipient shall make its internal practices, books, and records relating to the use and disclosure of protected health information received from, or created or received by the Recipient on behalf of the Agency, available to the Secretary of the Department of Health and Human Services or the Secretary's designee for purposes of determining compliance with the Department of Health and Human Services Privacy Regulations. 9. Reporting. The Recipient shall make a good faith effort to identify any use or disclosure of protected health information not provided for in this Agreement. The Recipient will report to the Agency, within ten (10) business days of discovery, any use or disclosure of protected health information not provided for in this Agreement of which the Recipient is aware. The Recipient will report to the Agency, within twenty-four (24) hours of discovery, any security incident of which the Recipient is aware. A violation of this paragraph shall be a material violation of this Agreement. 10. Termination. Upon the Agency's discovery of a material breach of this Attachment, the Agency shall have the right to terminate_ this Agreement. 10.6 . Effect of Termination. At the termination of this Agreement, the Recipient shall return all protected health information that the Recipient still maintains in any form, including any copies or hybrid or merged databases made by the Recipient; or with prior written approval of the Agency, the protected health information may be destroyed by the Recipient after its use. If the protected health information is destroyed pursuant to the Agency's prior written approval, the Recipient must provide a written confirmation of such destruction to the Agency. If return or destruction of the protected health information is determined not feasible by the Agency, the Recipient agrees to protect the protected health information and treat it as strictly confidential. The Recipient has caused this Attachment to be signed and delivered by its duly authorized representative, as of the date set forth below. Agency Name: Signature Date Name and Title of Authorized Signer i_ C UNTY A To' Y O'+I D AS T PEDRO J. M CADo __.. A -ate/{� \\120-sav011redirectionS1maurcen.gtynewicz\My Documents\Cntrcts_Gmts Liens Apps\Tmnspartation\Medieaid\BOCCtBOCC edicaid 2Qld.doc -67- ATTACHMENT 2 SPECIAL AUDIT REQUIREMENTS The administration of resources awarded by the Commission for the Transportation Disadvantaged (which may be referred to as the "Agency" or "Grantor') to the recipient (which may be referred to as the "Vendor". "Facility" or "Recipient) may be subject to audits and/or monitoring by the CTC, as described in this Attachment. MONITORING In addition to reviews of audits conducted in accordance with OMB Circular A-133 and Section 215.97, F.S., as revised (see "AUDITS" below), monitoring procedures may include, but not be limited to, on - site visits by CTC staff, limited scope audits as defined by OMB Circular A-133, as revised, and/or other procedures. By entering into this Agreement, the Recipient agrees to comply and cooperate with any monitoring procedures/processes deemed appropriate by the CTC. In the event the CTC determines that a limited scope audit of the Recipient is appropriate, the Recipient agrees to comply with any additional instructions provided by the CTC staff to the Recipient regarding such audit. The Recipient further agrees to comply and cooperate with any inspections, reviews, investigations, or audits deemed necessary by the Chief Financial Officer (CFO) or Auditor General. AUD PART I: FEDERALLY FUNDED Recipients of federal funds (i.e. state, local government, or non-profit organizations as defined in OMB Circular A-1233, as revised) are to have audits done annually using the following criteria: 1 In the event that the recipient expends $500,000 or more in Federal awards in its -fiscal year,. the Recipient must have a single or program -specific audit conducted in accordance with the provisions of OMB Circular A-133, as revised. EXHIBIT 1 to this agreement indicates Federal resources awarded through the Agency for Health Care Administration by this Agreement. In determining the Federal awards expended in its fiscal year, the Recipient shall consider all sources of Federal awards, including Federal resources received from the CTD. The determination of amounts of Federal awards expended should be in accordance with the guidelines established by OMB Circular A-133, as revised. An audit of the Recipient conducted by the Auditor General in accordance with the provisions OMB Circular A-133, as revised, will meet the requirements of this part. 2 In connection with the audit requirements addressed in Part I, paragraph 1, the Recipient shall fulfill the requirements relative to auditee responsibilities as provided in Subpart C of OMB Circular A 133, as revised. 3 If the Recipient expends less than $500,000 in Federal awards in its fiscal year, an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, is not required. However, if the recipient elects to have an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, the cost of the audit must be paid from non -Federal resources (i.e., the cost of such an audit must be paid from Recipient resources obtained from other than Federal entities). 4 Federal awards are to be identified using the Catalog of Federal Domestic Assistance (CFDA) title and number, award number and year, and name of the awarding federal agency. The Recipient may access information regarding the Catalog of Federal Domestic Assistance (CFDA) via the internet at://12.46.245.173/cfda/cfda.html. PART II: STATE FUNDED Recipients of state funds (i.e. a nonstate entity as defined by Section 215.97(2)(1), Florida Statutes) are \\120-sav01\redirectionSMaureen.grynewicz\My Docu=ntslCntrcts_Gmts_Licns AppslTransportationNedicaid\BOCC\BOCC Medicaid 2010.doc -68- to have audits done annually using the following criteria 1 In the event that the Recipient expends a total amount of state financial assistance equal to or in excess of $500,000 in any fiscal year of such Recipient, the Recipient must have a State single or project -specific audit for such fiscal year in accordance with Section 215.97, Florida Statutes; applicable rules of the Department of Financial Services; and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General. EXHIBIT 1 to this agreement indicates state financial assistance awarded through the CTC by this Agreement. In determining the state financial assistance expended in its fiscal year, the Recipient shall consider all sources of state financial assistance, including state financial assistance received from the CTC, other state agencies, and other nonstate entities. State financial assistance does not include Federal direct or pass -through awards and resources received by a nonstate entity for Federal program matching requirements. 2 In connection with the audit requirements addressed in Part II, paragraph 1, the Recipient shall ensure that the audit complies with the requirements of Section 215.97(8), Florida Statutes. This includes submission of a financial reporting package as defined by Section 215.97(2), Florida Statutes, and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General. 3 If the Recipient expends less than $500,000 in state financial assistance in its fiscal year, an audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, is not required. However, if the recipient elects to have an audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, the cost of the audit must be paid from the nonstate entity's resources (i.e., the cost of such an audit must be paid from the recipient's resources obtained from other than State 4 State awards are to be identified using the Catalog of State Financial Assistance (CSFA) title and number, award number and year, and name of the state agency awarding it. For information regarding the Florida Catalog of State Financial Assistance (CSFA), a Recipient should access the Florida Single Audit Act website located at hops://apps.fldfs.com/fsaa/. PART III: OTHER AUDIT REQUIREMENTS The recipient shall follow up and take corrective action on audit findings. Preparation of a summary schedule of prior year audit findings, including corrective action and current status of the audit findings is required. Current year audit findings require corrective action and status of findings. Records related to unresolved audit findings, appeals, or litigation shall be retained until the action is completed or the dispute is resolved. Access to project records and audit work papers shall be given to the CTD, the Department of Financial Services, and the Auditor General. This section does not limit the authority of the CTC to conductor arrange for the conduct of additional audits or evaluations of state financial assistance or limit the authority of any other state official, (NOTE: This part would be used to specify any additional audit requirements imposed by the State awarding entity that are solely a matter of that State awarding entity's policy (i.e., the audit is not required by Federal or State laws and is not in conflict with other Federal or State audit requirements). Pursuant to Section 215.97(8), Florida Statutes, State agencies may conduct or arrange for audits of state financial assistance that are in addition to audits conducted in accordance with Section 215.97, Florida Statutes. In such an event, the State awarding agency must arrange for funding the full cost of such additional audits.) PART IV: REPORT SUBMISSION 1. Copies of reporting packages for audits conducted in accordance with OMB Circular A-133, as revised, and required by PART I of this agreement shall be submitted, when required by Section 320 (d), OMB Circular A-133, as revised, by or on behalf of the recipient directly to each of the following: \\120-sav411redireetioni$\maureen.grynewicz\My BocumentslCntrcts_Grnts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -69- A. The Department at the following address: Executive Director Commission for the Transportation Disadvantaged 605 Suwannee Street, MS- 49Tallahassee, Florida 32399-0450 B The Federal Audit Clearinghouse designated in OMB Circular A-133, as revised (the number of copies required by Sections .320 (d)(1) and (2), OMB Circular A-133, as revised, should be submitted to the Federal Audit Clearinghouse), at the following address: Federal Audit Clearinghouse Bureau of the Census 1201 East 10th Street Jeffersonville, IN 47132 C. Other Federal agencies and pass -through entities in accordance with Sections .320 (e) and (f), OMB Circular A-133, as revised. 2. In the event that a copy of the reporting package for an audit required by PART I of this agreement and conducted in accordance with OMB Circular A-133, as revised, is not required to be submitted to the CTC for the reasons pursuant to Section .320 (e)(2), OMB Circular A-133, as revised, the recipient shall submit the required written notification pursuant to Section .320 (e)(2) and a copy of the recipient's audited schedule of expenditures of Federal awards directiv to each of the following Executive Director Commission for the Transportation Disadvantaged 605 Suwannee Street, MS- 49Tallahassee, Florida 32399-0450 In addition, pursuant to Section .320 (f), OMB Circular A-133, as revised, the recipient shall submit a copy -of the reporting {package described in Section ..320 (c), OMBCircularA-133, as revised, and any management letters issued by the auditor, to the CTC at each of the following addresses: Executive Director Commission for the Transportation Disadvantaged 605 Suwannee Street, MS- 49Tallahassee, Florida 32399-0450 3. Copies of financial reporting packages required by PART II of this agreement shall be submitted by or on behalf of the recipientdirecdy to each of the following: A. The CTC at the following address: Executive Director Guidance/Care Center, Inc.* 3000.41' Street, Ocean * Marathon, FL 33050 B. The Auditor General's Office at the following address: Auditor General`s Office Room 401, Pepper Building 111 West Madison Street Tallahassee, Florida 32399-1450 4. Copies of reports or the management letter required by PART III of this agreement shall be submitted by or on behalf of the recipient dire to: A. The CTC at the following address: Executive Director Commission for the Transportation Disadvantaged 605 Suwannee Street, MS- 49Tallahassee, Florida 32399-0450 Any reports, management letter, or other information required to be submitted to the Department pursuant to this Agreement shall be submitted timely in accordance with OMB Circular A-133, Florida Statutes, and Chapters 10550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General, as applicable. 5. Recipients, when submitting financial reporting packages to the CTC for audits done in ,accordance with OMB Circular A-133 or Chapters 10.550 (local governmental entities) or 10.650 \1120-savOlVedirecuonS\maureen.grynewicz\My Doeuments\Cntrcts_Gents Licns Apes\Transportation\MedicaidlBOCC\BOCC Medicaid 2010.doe - 70 - (nonprofit and for -profit organizations), Rules of the Auditor General, should indicate the date that the reporting package was delivered to the Recipient in correspondence accompanying the reporting package. PART V: RECORD RETENTION The Recipient shall retain sufficient records demonstrating its compliance with the terms of this Agreement for a period of five (5) years from the date the audit report is issued, and shall allow the CTC, or its designee, CFO, or Auditor General access to such records upon request. The Recipient shall ensure that audit working papers are made available to the CTC, or its designee, CFO, or Auditor General upon request for a period of three (3) years from the date the audit report is issued, unless extended in writing by the CTC. \\120-savOlkedirection$Vnaureen.grynewicz\My Documents\Carcts_Gmts_Licns Apps\Transportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -71- ATTACHMENT 3 QUARTERLY GRIEVANCE SYSTEM SUMMARY REPORT PROVIDER Dates of Quarter Reporting: Report is due 20 Calendar Days after the end of the reporting quarter. PROVIDER must report all data until closed. \1120-sav01\redirection$\maureen.grynewicz\My Documents\CntW—Gmts Licns Apps\Transportation\Medicaid\BOCCt80CC Medicaid 2010.doc -72- PF O IL W ce W I- cn zz uU w ga Q � a� H a I M ATTACHMENT 5 BUSINESS DISRUPTION NOTIFICATION REPORT PROVIDER Name: Reporting Period: County: Systems) Affected Description of Outage Population Affected Computer System Telephony System The date and time the incident occurred What event triggered the incident The plan of action to bring the System back online The expected date and time of recovery of full use of the System The impact the outage had on Medicaid Beneficiaries \\120-sav01\redimaion$\maureen.gynewicz\My Documents\Cnhcts_Gmts Licns Apps\TransportatipnNedicaid\BOCC\BCCC Medicaid 2010.doc -74- ATTACHMENT 6 CRITICAL INCIDENT REPORT PROVIDER Name: Reporting Period: County of Incident: Time of Incident: Location of Incident: Critical Incident Type. - Details of Incident (Include Medicaid Beneficiary's age, gender, diagnosis, current medication, source of information, all reported details about the event, action taken by CTCJSubcontractorjTransportation Provider, and any other pertinent information): Follow Up Planned or Required (Include information relating to any CTCJSubcontractor%Transportation Provider policy or procedure that applies to the event): Transportation Provider: Report Submitted By: Date of Submission: \\120-sav01\redirecNonS\maureen.grynewicz\?.4y Documents\Cntrcts_Gmts Licns Apps\Transporlation\Medicaid\BOCC\BOCC Medicaid 2010.dDc -75- ATTACHMENT 7 DEFINITIONS AND ACRONYMS A. Definitions The following terms as used in this Agreement shall be construed and/or interpreted as follows, unless the Agreement otherwise expressly requires a different construction and/or interpretation. Abuse — Practices that are inconsistent with generally accepted business or Transportation practices and that result in an unnecessary cost to the Medicaid program or in reimbursement for goods or services that are not Medically Necessary or that fail to meet professionally recognized standards for health care; or Medicaid Beneficiary practices that result in unnecessary cost to the Medicaid program. Action — (i) The denial or limited authorization of a requested service, including the type or level of service, pursuant to 42 CFR 438.400(b). (ii) The reduction, suspension, or termination of a previously authorized service. (iii) The denial, in whole or in part, of payment for a service. (iv) The failure to provide services in a timely manner, as defined by the State. (v) The failure of the Recipient to resolve a Complaint within fifteen (15) Business Days, a Grievance within ninety (90) Calendar Days, and an Appeal within forty-five (45) Calendar Days from the date the Recipient/Subcontractor receives the Complaint, Grievance, or Appeal. Acute Condition — An Acute Condition is a medical condition with a rapid onset of symptoms and/or a temporary or limited duration (as opposed to a Chronic Condition) and includes subacute conditions. Treatment for an Acute Condition is intended to last a short duration and may include surgical treatment, rehabilitative treatment, and/or other care. Agency — State of Florida, Agency for Health Care Administration. Agent — An entity that contracts with the State to perform administrative functions, including- but not limited to: Fiscal Agent activities, outreach and education, eligibility activities; Systems and technical support. Agreement — The Agreement between the Recipient and the Agency to provide Medicaid Non - Emergency Transportation Services to Medicaid Beneficiaries, comprised of the Agreement, and any addenda, appendices, attachments, or amendments thereto. Agreement Period — The term of the Agreement from December 1, 2008 through August 31, 2011. Appeal — A request for review of an Action, pursuant to 42 CFR 438.400(b). Attendant/ Escort — An Attendant/Escort is an individual whose presence is required to assist a Medicaid Beneficiaryduring transport and at the place of treatment. Baker Act — The Florida Mental Health Act, pursuant to ss. 394.451-394.4789, F.S. Behavioral Health Care — Services listed in the Community Behavioral Health Services Coverage & Limitations Handbook and the Targeted Case Management Coverage & Limitations Handbook. Behavioral Health Care involves issues relating to mental health and substance abuse. Business Days — Traditional workdays, which are Monday, Tuesday, Wednesday, Thursday, and Friday, excluding State Holidays. Calendar Days — All seven (7) days of the week. Certification — The process of determining that a facility, equipment or an individual meets the requirements of federal or State law, or whether Medicaid payments are appropriate or shall be made in certain situations. Children/Adolescents — Medicaid Beneficiaries under the age of twenty-one (21). 11120-savOl redirection$\maureen.grynewicz\My DocumentsiCntrets_Gmts_Licns AppstTransportation\Medicaid\BOCC\BOCC Medicaid 2010.doc -76- Chronic Condition - A Chronic Condition is a medical condition that is long lasting or recurrent. Chronic Conditions require ongoing management for effective long term treatment. Complaint - An expression of dissatisfaction about any matter other than an Action. Possible subjects for Complaint include, but are not limited to, the quality of Transportation Services, the quality of services provided and aspects of interpersonal relationships such as rudeness of a Transportation Provider or employee or failure to respect the Medicaid Beneficiary's rights. A Complaint is resolved at the Point of Contact rather than through filing a formal Grievance. Contracting Officer — The Secretary of the Agency or his/her delegate. Cost - Fully allocated expenses associated with providing Transportation Services to Medicaid Beneficiaries. The Recipient may determine Cost by using the Recipient's approved rate calculation model or a Recipient approved rate calculation model consistently utilized by a Subcontractor. Cost Effective — Economical in terms of the goods or services received for the Covered Services — Those services provided by the Recipient in accordance with this Agreement, and as outlined in Section V, Covered Services, in this Agreement. Also referred to as "Transportation Services." Cultural Competency Plan - A required written plan that the Recipient must maintain in accordance with 42 CFR 438.206. The Cultural Competency Plan describes how the Recipient will ensure that it provides Transportation Services in a culturally competent manner to all Medicaid Beneficiaries, including those with limited English proficiency. Disclosing Entities — The Recipient and any Subcontractors that furnish services or arrange for furnishing services under this Agreement. Emergency Transportation - The provision of Emergency Transportation Services in accordance with Section 409.908(13)(c)(4), F.S. Encounter Data - Encounter Data includes records of Covered Services provided by the Recipient to a Medicaid Beneficiary. Expedited Appeal Process — The process by which the Appeal of an Action is accelerated because the standard time -frame for resolution of the Appeal could seriously jeopardize the Medicaid Beneficiary's life, health, or ability to obtain, maintain, or regain maximum function. External Quality Review (EQR) — The analysis and evaluation by an External Quality Review Organization (EQRO) of aggregated information on Quality, timeliness, and access to the health care services that are furnished to Medicaid Beneficiaries by the Recipient. External Quality Review Organization (EQRO) — An organization that meets the competence and independence requirements set forth in federal regulations 42 CFR 438.354, and performs EQR, other related activities as set forth in federal regulations, or both. Family Planning Waiver (FPW) - The Family Planning Waiver extends eligibility for family planning services for twenty-four (24) months to postpartum women capable of bearing a child who have lost Medicaid eligibility. Fee -for -Service (FFS) -- A method of making payment by which the Agency sets prices for defined medical or allied care, goods, or services. Fiscal Agent — Any corporation, or other legal entity, that enters into a contract with the Agency to receive, process, and adjudicate claims under the Medicaid program. Fiscal Year — The State of Florida's Fiscal Year starts July 1 and ends on June 30. This may be different than the Agreement Year. Florida Medicaid Management Information System (FMMIS) — The information system used to process Florida Medicaid claims and payments to Recipients, and to produce management information \\120-sav011redirec6on$Vnaureen.grynewicz\My DocurAentstCnbvts_Grnts_Licns Apps\Transportation\MedicaidU30CC\80CC Medicaid 2010.doc -77- and reports relating to the Florida Medicaid program. The State uses this system to maintain Medicaid eligibility data and provider enrollment data. Fraud — An intentional deception or misrepresentation made by a person with the knowledge that the deception results in unauthorized benefit to herself or himself or another person. The term includes any act that constitutes fraud under applicable federal or state law. Grievance — An expression of dissatisfaction about any matter other than an Action. Possible subjects for Grievances include, but are not limited to, the quality of Transportation Services provided and aspects of interpersonal relationships such as rudeness of a Provider or employee or failure to respect the Medicaid Beneficiary's rights. Grievance Procedure — The procedure for addressing Medicaid Beneficiaries' Grievances. Grievance System — The system for reviewing and resolving Medicaid Beneficiary Grievances and Appeals. Components must include a Complaint Procedure, a Grievance Procedure, an Appeal process, and access to the Medicaid Fair Hearing system. Health Care Professional — A physician or any of the following, including, but not limited to: podiatrist, optometrist, chiropractor, psychologist, dentist, physician assistant, physical or occupational therapist, therapist assistant, speech -language pathologist, audiologist, Registered Nurse or practical Nurse (including nurse practitioner, clinical nurse specialist, certified Registered Nurse anesthetist and certified nurse midwife), a Licensed certified social worker, registered respiratory therapist and certified respiratory therapy technician. Hospital — A facility Licensed in accordance with the provisions of Chapter 395, Florida Statutes or the applicable laws of the state in which the service is furnished. Household — Includes all persons residing at a common address. Information - (ii) Structured Data: data that adhere to specific properties and Validation criteria that are stored as fields in database records. Structured queries can be created and run against structured data, where specific data can be used as criteria for querying a larger data set; (H) Document: information that does not meet the definition of structured data; includes text, files, spreadsheets, electronic messages, images of forms, and pictures. Information System(s) — A combination of computing hardware and software that is used in: (a) the capture, storage, manipulation, movement, control, display, interchange, and/or transmission of information (i.e. structured data, which may include digitized audio and video), and documents; and/or (b) the processing of such information for the purposes of enabling and/or facilitating a business process or related transaction. Insolvency — A Financial condition that exists when an entity is unable to pay its debts as they become due in the usual course of business, or when the liabilities of the entity exceeds its assets. Institutional Care Program (ICP) Residents — Medicaid Beneficiaries who are eligible for placement in a facility while their eligibility determination is being processed (e.g., nursing home residents, etc.). Licensed — A facility, equipment, or individual that has formally met State, county, and local requirements, and has been granted a license by a local, State, or federal government entity. List of Excluded Individuals and Entities CLUE) -- A database maintained by the Department of Health & Human Services, Office of the Inspector General. The LEIE provides information to the public, health care providers, patients and others relating to parties excluded from participation in Medicare, Medicaid, and all other federal health care programs. The LEE includes the Department of Management Services' List of Excluded Vendors. Managed Care Organization (MCO) — An organization, either for -profit or not -for -profit, in which an \U20-savOlVtdirection$Unaureen.giynewicz\MyDocumentACntrcts_Gmts LicnsApps\Tran4wtationWedicaid\BOCC1BOCCMedicaid20i0.doc -78- organization, such as an HMO, PSN, or EPO, acts as an intermediary between the Medicaid Beneficiary seeking care and the physician. Medicaid — The medical assistance program authorized by Title XD( of the Social Security Act, 42 U.S.C. §1396 et seq., and regulations there under, as administered in the State of Florida by the Agency under 409.901 et seq., F.S. Medicaid Beneficiary — Any individual whom Department of Children and Families (DCF) or the Social Security Administration determines is eligible, pursuant to federal and State law, to receive medical or allied care, goods, or services for which the Agency may make payments under the Medicaid program, and who is enrolled in the Medicaid program. Medicaid Eligibility Vendor System (MEVS) — An entity that provides Medicaid eligibility status to Medicaid providers. A MEVS vendor does not necessarily provide the Non -Emergency Transportation eligibility status of a Medicaid Beneficiary. Medicaid Reform — The program resulting from Chapter 409.91211, F.S. Medically Needy — A Medicaid Beneficiary who would qualify for Medicaid but has income or resources that exceed normal Medicaid guidelines. On a month -by -month basis, the State determines the individual's eligibility by subtracting the individual's medical expenses from his/her income; if the remainder falls below Medicaid's income limits, the individual may qualify for Medicaid through the end of the month. Medically Necessary or Medical Necessity — Services that include medical or allied care, goods, or services furnished or ordered to: 1. Meet the following conditions: a. Be necessary to protect life, to prevent significant illness or significant disability or to alleviate severe pain; b. Be individualized, specific and consistent with symptoms or confirm diagnosis of the illness or injury under treatment and not in excess of the patient's needs; c. Be consistent with the generally accepted professional medical standards as determined by the Medicaid program, and not be experimental or investigational; d. Be reflective of the level of service that can be furnished safely and for which no equally effective and more conservative or less costly treatment is available statewide; and e. Be furnished in a manner not primarily intended for the convenience of the Medicaid Beneficiary, the Medicaid Beneficiary's caretaker or the provider. 2. Medically Necessary or Medical Necessity for those services furnished in a Hospital on an inpatient basis cannot, consistent with the provisions of appropriate medical care, be effectively furnished more economically in a Nursing Facility basis or in an inpatient facility of a different type. 3. The fact that a Licensed Health Care Professional has prescribed, recommended, or approved medical or allied goods or services does not, in itself, make such care, goods, or services Medically Necessary, a Medical Necessity, or a Covered Service. Medicare — The medical assistance program authorized by Tide XVIII of the Social Security Act. Mile/Mileage — Distance that Transportation Providers log for each Medicaid Beneficiary. Mile/Mileage starts at the location that the Transportation Provider picks up the Medicaid Beneficiary and ends at the location at which the Transportation Provider delivers the Medicaid Beneficiary. tt120-sav011redireetion$4maureen.grynewiczlMy DocumentslCntrcts Cmts l icns A p kTrensportationtMedimkOOCCWOCC Medicbid 2010.doc -79- Neglect — A failure or omission to provide care, supervision, and/or services necessary to maintain a Medicaid Beneficiary's physical and mental health, including but not limited to, food, nutrition, supervision, medical services, and Transportation Services that are essential for the well-being of the Medicaid Beneficiary. Neglect might be a single incident or repeated conduct that results in, or could reasonably be expected to result in, serious physical or psychological injury, or a substantial risk of death. No Show — If a Medicaid Beneficiary fails to provide a cancellation notice to the Recipient or a Transportation Provider at least twenty-four (24) hours in advance of a scheduled Trip, or the Medicaid Beneficiary is not available or has decided he/she does not require Transportation Services, then the Recipient shall classify the Medicaid Beneficiary as a No Show. Non -Covered Service — A service that does not qualify as one of the Recipient's Covered Services. Non -Emergency Transportation Services Coverage & Limitations Handbook (Handbook) — A document that provides information to a Transportation Provider regarding Medicaid Beneficiary eligibility, claims submission and processing, Transportation Provider participation, covered care, goods and services, limitations, procedure codes and fees, and other matters related to participation in the Medicaid program. Nursing Facility — An institutional care facility that furnishes medical or allied inpatient care and services to individuals needing such services. See Chapters 395 and 400, F.S. Outpatient — A patient of an organized medical facility, or distinct part of that facility (such as a Hospital), whom a facility expects to receive, and who does receive, professional services for less than a twenty-four (24) hour period, regardless of the hours of admission, whether or not a bed is used and/or whether or not the patient remains in the facility past midnight. Overpayment--- Includes any amount that is not authorized to be paid by the Medicaid program whether paid as a result of inaccurate or improper cost reporting, improper claiming, unacceptable practices, Fraud, Abuse, or mistake. Point of Contact — Ombudsman, customer service center, call center, or other program that receives Complaints from Medicaid Beneficiaries. Presumptively Eligible Pregnant Women — This program allows staff at County Health Departments (CHDs), Regional Perinatai Intensive Care Centers (RPICCs), and other qualified medical facilities to make a presumptive determination of Medicaid eligibility for low-income pregnant women. This presumptive determination allows a woman to access prenatal care while Department of Children and Families eligibility staff make a regular determination of eligibility. Prior Authorization — The act of authorizing specific services before they are rendered. Protocols -- Written guidelines or documentation outlining steps the Recipient, Subcontractors (if any), and Transportation Providers must follow when handling a particular situation, resolving a problem, or implementing a plan to provide Transportation Services. Also referred to as "policies and procedures." Quality — The degree to which a Recipient increases the likelihood of desired health outcomes of its Medicaid Beneficiaries through its structural and operational characteristics and through the provision of Transportation Services that are consistent with current professional knowledge. Quality Improvement (QI) — The process of monitoring and assuring that the delivery of Transportation Services are available, accessible, timely, and provided in sufficient quantity, of acceptable Quality, within established standards of excellence, and appropriate for meeting the needs of Medicaid Beneficiaries. Quality improvement Program (QIP) — The program designed to ensure the delivery of \\120-savOltredirection$\maureen.grynewiczlMy Documents\Cntrcts_Gmts_Licns Apps\Trmisportaiion\MedicaidlBOCC\BOCC Medicaid 2010.doc -80- Transportation Services is appropriate, timely, accessible, and available. Recipient — The entity that has entered into an Agreement with the Agency to provide Non - Emergency Transportation coordination services to Medicaid Beneficiaries. Road Calls - A call to repair or replace a vehicle while en route to pick up a Medicaid Beneficiary and/or while transporting Medicaid Beneficiaries due to a mechanical or other failure, not the result of an accident (e.g., air conditioning broke requiring a replacement vehicle to complete the driver's route, replacing a flat tire, etc.) Routine Trips - Medically Necessary Trips that are not urgent in nature (e.g., doctor's appointment for an annual checkup). Service Area — The designated geographical area within which the Recipient is authorized by the Agreement to furnish Covered Services to Medicaid Beneficiaries. Service Authorization — The Recipient's approval to render services. The process of authorization must at least include a Medicaid Beneficiary's request for the provision of a service. Span of Control — Information Systems and telecommunications capabilities that the Recipient itself operates or for which it is otherwise legally responsible according to the terms and conditions of this Agreement. The Recipient's Span of Control also includes_ Systems and telecommunications capabilities outsourced/Subcontracted by the Recipient. State -- State of Florida. State Holiday - Includes the following days: New Year's Day, Martin Luther King's Day, Memorial Day, Independence Day, Labor Day, Veterans' Day, Thanksgiving Day and the Friday following, and Christmas Day. Subcontract-- An agreement entered into by the Recipient and a subcontractor for provision of administrative services on its behalf. Subcontractor — Any person or entity with which the Recipient has contracted or delegated, by use of a Subcontract, some of its functions, services, or responsibilities for providing Transportation Services under this Agreement. Surface Mail — Mail delivery via land, sea, or air, rather than via electronic transmission. Surplus — Net worth, i.e., total assets minus total liabilities. System Unavailability — As measured within the Recipient's Information Systems Span of Control, when a system user does not get the complete, correct full -screen response to an input command within three (3) minutes after depressing the "Enter" or other function key. Systems — See Information Systems. Temporary Assistance for Needy Families (TANF) — Public financial assistance provided to low- income families. Transportation -- An appropriate means of conveyance furnished to a Medicaid Beneficiary to obtain Medicaid compensable services. Transportation Provider - A person or entity that is eligible to provide Medicaid Transportation Services and has a contractual agreement with the Recipient or Subcontractor to provide Medicaid Transportation Services. A Transportation Provider must be Licensed in accordance with the applicable laws of the State in which it furnishes Transportation Services. A Subcontractor may act as a Transportation Provider. Transportation Provider Agreement — An agreement between the Recipient or Subcontractor and a Transportation Provider as described above. t1120-sav411redirectionStmaureen.grynewiczlNiy.Documents\Cntrcts_Gmts_Licns Apps\TransportationtMedicaid\BOCC\BOCC NkAcaid 2010.doc -81- Transportation Record — Documents corresponding to Transportation Services furnished by the Recipient. The records may be on paper, magnetic material, film, or other media. In order to qualify as a basis for reimbursement, the records must be dated, legible, and signed or otherwise attested to, as appropriate to the media. Transportation Services — See "Covered Services." Trip —Transport of a Medicaid Beneficiary one way, from pickup to destination for the purpose of receiving Medicaid compensable services. Urgent Care — Services for conditions, which, though not life -threatening, could result in serious injury or disability unless medical attention is received (e.g., high fever, animal bites, fractures, severe pain, etc.) or substantially restrict a Medicaid Beneficiary's activity (e.g., infectious illnesses, flu, respiratory ailments, etc.), require Transportation Services to medical services in which advance scheduling is not possible (e.g., sudden illness, an accident, or follow up laboratory work or tests), or Hospital/facility inpatient or outpatient discharges after normal business hours. Urgent Trip — A Trip relating to: (1) Urgent Care; (2) Hospital/facility inpatient and outpatient discharges; and (3) Emergency room discharges. Validation — The review of information, data, and procedures to determine the extent to which they are accurate, reliable, free from bias, and in accord with standards for data collection and analysis. Violation — A determination by the Agency, in its sole discretion, that the Recipient, or one of the Recipient's Subcontractors or Transportation Providers, failed to act as specified in this Agreement or applicable statutes, rules, or regulations governing Medicaid -Vendors: The Agency shall consider each day that an ongoing Violation continues, for the purposes of this Agreement, to be a separate Violation. In addition, the Agency shall consider each instance of failing to furnish necessary and/or required Transportation Services to Medicaid Beneficiaries, for purposes of this Agreement, to be a separate Violation. As well, the Agency shall consider each day that the Recipient, or one of the Recipient's Subcontractors or Transportation Providers, fails to furnish necessary and/or required Transportation Services to Medicaid Beneficiaries, for purposes of this Agreement, to be a separate Violation. Will Call -Y A scheduled Trip that could not be fulfilled within the timeframes of this Agreement leading to the Transportation Provider making an unscheduled Medicaid compensable Trip. Example — a Medicaid Beneficiary notifies the Transportation Provider that a doctor is running later than originally scheduled and asks to reschedule his or her Trip to his or her destination. When the Medicaid Beneficiary notifies the Transportation Provider that he or she is ready for pick up, the Transportation Provider puts in a Will Call pick up order to its driver to pick up the Medicaid Beneficiary and take him or her to his or her destination. 1\I20-sav0ltredirection$Vnaureen.grynewicztMy Uocuments\Cntrcts_Grnts Licns AppskTransportationmedicaid430CC180CC Medicaid 2010.doc -82- S. Acronyms AHCA —Agency for Health Care Administration ALE — Assisted Living Facility ALS — Advanced Life Support BLS — Basic Life Support CAP — Corrective Action Plan CER — Code of Federal Regulations CTAA — Community Transportation Association of America CTC — Community Transportation Coordinator CTD — Commission for the Transportation Disadvantaged DCE — Department of Children & Families DHHS — United States Department of Health & Human Services DI] — Department of Juvenile Justice EDI — Electronic Data Interchange EQR — External Quality Review EQRO — External Quality Review Organization FAC — Florida Administrative Code FTE — Full Time Equivalent Position HCBS — Home and Community Based Services Waiver HIPAA — Health Insurance Portability & Accountability Act LCB — Local Coordinating Board LEIE — List of Excluded Individuals & Entities MCO — Managed Care Organization MFCU Medicaid Fraud Control Unit of the Florida Attorney General's Office 44PI — Bureau of Medicaid Program Integrity, a part of the Agency NET — Non -Emergency Transportation services ODBC — Open Database Connectivity PM — Performance Measure PRTS — Purchased Residential Treatment Services QI — Quality Improvement QIP — Quality Improvement Program RHC - Rural Health Clinic SAMH — Substance Abuse & Mental Health District SFTP — Secure File Transfer ,Protocol SOBRA — Sixth Omnibus Budget Reconciliation Act SQL. — Structured Query Language SSI — Supplemental Security Income UM — Utilization Management \\120-sav014redirection$lmaoreen.grynewicz\iviy Documents\Cntrcts_Gmts Licns Apps\TransportationlMedicaid\BOCC\BOCC Medicaid 2010.doc -83- BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: 01-20-2010 Bulk Item: Yes X No Division:_ Community Services Department: Transportation Staff Contact Person: -,Sheryl Graham x4510 AGENDA ITEM WORDING: Approval of a contract between Monroe County and the Community Transportation Coordinator/Guidance Clinic of the Middle Keys for a contract period of 01/01/2010 through 12/31 /2010. ITEM BACKGROUND: The contract is funded by the State Commission for the Transportation Disadvantaged allowing Monroe County Transit to be paid for providing contracted transit service to Monroe County's transportation disadvantaged. PREVIOUS RELEVANT BOCC ACTION: Contract approved 11/18/2009 CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval TOTAL COST: $0 COST TO COUNTY: $00 REVENUE PRODUCING: Yes X No Year Unknown BUDGETED: Yes X No SOURCE OF FUNDS: N/A AMOUNT PER MONTH Unknown APPROVED BY: County Atty O chasing Risk Management DOCUMENTATION: DISPOSITION: Revised 8/06 Included X Not Required AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: CTC Contract Effective Date: 01-01-2010 Expiration Date: 12-3 1-20 10 Contract Purpose/Description: The agreement is funded by the State of Florida Commission for the Transportation Disadvantaged paying for the services when contracted and provided by Monroe County Transit to Monroe County's transportation disadvantaged population segment. Contract Manager: Sheryl Graham (Name) For BOCC meeting on 01/20/2010 4510 Social Services/Stop 1 (Ext.) (Department/Stop #) Agenda Deadline: 01/05/2010 CONTRACT COSTS Total Dollar Value of Contract: $0 Budgeted? YesX No Account Codes: Grant: $0 County Match: $0 Estimated Ongoing Costs: $ 0 /yr (loot inthided in doflar value above) Current Year Portion: $ 0 ADDITIONAL COSTS For: (eg- Maintenance, utilities, janitorial, salaries, etc) CONTRACT REVIEV�' Changes Division Director Dat I /\U Needed Yes ❑ No L,-- Risk Management r � u / Yes ❑ No C� O.M.B./Purchasing 11,511 Yes 0 NoB� County Attorney�� Yes K No ❑ fiq iQ yks _ H/62r" Comments: �t ,/I- - M/bC. PA, kp OMB Form Revised 2/27/fil MI-P 11,7 Date Out Effective: 01 /01 /10 to 12/31 /10 STATE OF FLORIDA COMMISSION FOR THE TRANSPORTATION DISADVANTAGED STANDARD COORDINATION/OPERATOR CONTRACT THIS CONTRACT is entered into between the COMMUNITY TRANSPORTATION COORDINATOR GUIDANCE/CARE CENTER INC., designated pursuant to Chapter 427, F.S., to serve the transportation disadvantaged for the community that includes the entire area of MONROE County, and hereinafter referred to as the "Coordinator" and MONROE COUNTY BOARD OF COUNTY COMMISSIONERS, hereinafter referred to as the "Agency/Operator'. The terms and conditions of this Contract are effective January 1. 2010, and will continue through December 31, 2010. WHEREAS, the Coordinator is required, under Rule 41-2.011, F.A.C., when cost effective and efficient, to enter into contract with a transportation Agency/Operator to provide transportation services; and WHEREAS, transportation disadvantaged funds includes any local government, state or federal funds that are for the transportation of transportation disadvantaged; and WHEREAS, the Coordinator desires to contract with the Agency/Operator for the provision of transportation services for the transportation disadvantaged; and WHEREAS, the Coordinator believes it to be in the public interest to provide such transportation services through the Agency/Operator for the residents of the service area who are clients of the Agency/Operator; and WHEREAS, the Agency/Operator will provide the Coordinator the opportunity to develop a proposal for any new transportation services needed; and WHEREAS, the Agency/Operator, in an effort to coordinate available resources, will make available transportation services to the Coordinator. WHEREAS, this Contract allows for the provisions of transportation services be provided by the Agency/Operator, in accordance with Chapter 427, F.S., Rule 41-2, F.A.C., and the most current Community Transportation Coordinator policies. NOW, THEREFORE, in consideration of the mutual covenants, promises and representations herein, the parties agree as follows: THE AGENCY/OPERATOR SHALL: A. Provide services and vehicles according to the conditions specified in Attachment I. B. Coordinate available resources and make available transportation services to the Coordinator. Such services shall be provided in accordance with Attachment I. This contract currently excludes the coordination of Medicaid trips. A separate Medicaid transportation contract will be negotiated. 01/2010-12/2010 -1- C. Every three (3) months, submit to the Coordinator a Quarterly Year to Date Operating Report (from the Annual Operating Report) detailing demographic, operational and financial data regarding coordination activities in the designated service area. The reported data will include information regarding all transportation provided by the Agency/Operator (including but not limited to CTC, Medicaid...) The report shall be prepared on forms provided by the Commission for the Transportation Disadvantaged, hereinafter Commission, and according to the instructions for the forms. D. Comply with audit and record keeping requirements by: 1. Utilizing the Commission recognized Chart of Accounts defined in the Transportation Accounting Consortium Model Uniform Accounting System for Rural and Specialized Transportation Providers (uniform accounting system) for all transportation disadvantaged accounting and reporting purposes. Agencies/Operators with existing and equivalent accounting systems are not required to adopt the Chart of Accounts in lieu of their existing Chart of Accounts but shall prepare all reports, invoices, and fiscal documents relating to the transportation disadvantaged functions and activities using the chart of accounts and accounting definitions as outlined in the above referenced manual. 2. Maintaining and filing with the Coordinator such progress, fiscal, inventory and other reports as the Coordinator may require during the period of this contract. 3. By reserving to the Coordinator, the right to conduct finance and compliance audits at any time. Such audits conducted by the Coordinator _will _be -at -the expense of the- - - Coordinator. E. Retain all financial records, supporting documents, statistical records, and any other documents pertinent to this Agreement for a period of five (5) years after termination of this Agreement. If an audit has been initiated and audit findings have not been resolved at the end of the five- (5) years, the records shall be retained until resolution of the audit findings. The Agency/Operator shall assure that these records shall be subject to inspection, review, or audit at all reasonable _times by persons duly authorized by the Coordinator or Commission or this Agreement. The Commission and the Coordinator shall have full access to and the right to examine any of the records and documents during the retention period. F. Comply with Safety Requirements by: 1. Complying with Section 341.061, F.S., and Rule 14-90, F.A.C., concerning System Safety or complying with Chapter 234.051, F.S., regarding school bus safety requirements for those services provided through a school board; 2. Assuring compliance with local, state, and federal laws, and Commission policies relating to drug testing, and; 3. Complying with Coordinator's System Safety Program Plan (SSPP) for designated service area. G. Comply with Commission insurance requirements by maintaining at least minimum liability insurance coverage in the amount of $100,000 for any one person and $200,000 per 01/2010-12/2010 -2- occurrence at all times during the existence of this Contract. In the event of any cancellation or changes in the limits of liability in the insurance policy, the insurance agent or broker shall notify the Coordinator. The Agency/Operator shall furnish the Coordinator written verification of the existence of such insurance coverage prior to the execution of this Contract or proof of a self-insurance program operated by the Agency/Operator. School board vehicle insurance coverage shall be in accordance with Section 234.03, F.S. and 234.211, F.S. H. Safeguard information by not using or disclosing any information concerning a user of services under this Agreement for any purpose not in conformity with the local, state and federal regulations, including but not limited to 45 CFR, Part 205.50, except upon order of a court of competent jurisdiction, written consent of the recipient, or his/her responsible parent or guardian when authorized by law. Protect Civil Rights by: 1. Complying with Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of 1973, as amended. The Agency/Operator gives this assurance in consideration of and for the purpose of obtaining federal grants, loans, contracts (except contracts of insurance or guaranty), property, discounts, or other federal financial assistance to programs or activities receiving or benefiting from federal financial assistance and agreeing to complete a Civil Rights Compliance Questionnaire if so required by the Coordinator. Agency/Operator shall also assure compliance with: a. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d et seq., which prohibits discrimination on the basis of race, color, or national origin in programs and activities receiving or benefiting from federal financial assistance. b. Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, which prohibits discrimination on the basis of disability in programs and activities receiving or benefiting from federal financial assistance. C. Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 et seq., which prohibits discrimination on the basis of sex in education programs and activities receiving or benefiting from federal financial assistance. d. The Age Discrimination Act o€1975, as amended, 42 U.S.C. 6101 et seq., which prohibits discrimination on the basis of age in programs or activities receiving or benefiting from federal financial assistance. e. The Omnibus Budget Reconciliation Act of 1981, P.L. 97-35, which prohibits discrimination on the basis of sex and religion in programs and activities receiving or benefiting from federal financial assistance. All regulations, guidelines, and standards lawfully adopted under the above statutes. g. The Americans with Disabilities Act of 1990, as it may be amended from time to time. 2. Agreeing that compliance with this assurance constitutes a condition of continued receipt of or benefit from federal financial assistance, and that it is binding upon the 01/2010-12/2010 3 Agency/Operator, its successors, subcontractors, transferees, and assignees for the period during which such assistance is provided. Assuring that operators, subcontractors, subgrantees, or others with whom the Coordinator arranges to provide services or benefits to participants or employees in connection with any of its programs and activities are not discriminating against those participants or employees in violation of the above statutes, regulations, guidelines, and standards. In the event of failure to comply, the Agency/Operator agrees that the Coordinator may, at its discretion, seek a court order requiring compliance with the terms of this assurance or seek other appropriate judicial or administrative relief, to include assistance being terminated and further assistance being denied. J. The Agency/Operator, as a political sub -division of the State of Florida, as defined in Section 768.28, Florida Statutes, agrees to be fully responsible to the limits set forth in such statute for its own negligent acts or omissions, or intentional tortuous acts, which result in claims or suits against either the Agency/Operator or Coordinator, and agrees to be liable to the statutory limits for any damages proximately caused by said acts or omissions, or intentional tortuous acts. Nothing contained in this Section shall be construed to be a waiver by either party of any protections under sovereign immunity, Section 768.28 Florida Statutes, or any other similar provision of law. Nothing contained herein shall be construed to be a consent by either party to be sued by third parties in any matter arising out of this or any other Agreement. K Comply with all standards and performance requirements of the: 1. The Commission for the Transportation Disadvantaged [Attachment II j; 2. The local Coordinating Board approved Transportation Disadvantaged Service Plan and; 3. Any entities that purchase service. Failure to meet the requirements or obligations set forth in this Contract, and performance requirements established and monitored by the Coordinating Board in the approved Transportation Disadvantaged Service Plan shall be due cause for non-payment of reimbursement invoices until such deficiencies have been addressed or corrected to the satisfaction of the Coordinator. L. Provide Corrective Action. A corrective action notice is a written notice to the Agency/Operator that the Agency/Operator is in breach of certain provisions of this Contract and that correction is required. Any corrective action notice will specify a reasonable time for corrective action to be completed. The Agency/Operator agrees to implement the Corrective Action specified in the notice and provide written documentation to substantiate the implementation of the Corrective Action. M. All contracts, subcontracts, coordination contracts will be reviewed annually by the Coordinator and local Coordinating Board for conformance with the requirements of this Contract. N. Return to the Coordinator any overpayments due to unearned funds or funds disallowed pursuant to the terms of this Contract that were disbursed to the Agency/Operator by the Coordinator. The Agency/Operator shall return any overpayment within thirty (30) calendar 01/2010-12/2010 -4- clays after either discovery by the Agency/Operator, or notification of the Agency/Operator by the Coordinator or entity purchasing transportation, whichever is earlier. In the event that the Coordinator first discovers an overpayment has been made, the Coordinator will notify the Agency/Operator by letter of such a finding. Should repayment not be made in a timely manner, the Coordinator or purchasing entity will charge interest after thirty (30) calendar days after the date of notification or discovery, or the Coordinator will deduct said amount from future invoices. O. In performing this Contract, the Agency/Operator shall not discriminate against any employee or applicant for employment because of race, age, disability, creed, color, sex or national origin. Such action shall include, but not be limited to, the following: employment upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Agency/Operator shall insert the foregoing provision modified only to show the particular contractual relationship in all its contracts in connection with the development of operation of the Contract, except contracts for the standard commercial supplies or raw materials, and shall require all such contractors to insert a similar provision in subcontracts relating to the performance of this Contract, except subcontracts for standard commercial supplies or raw materials. The Agency/Operator shall post, in conspicuous places available to employees and applicants for employment for Project work, notices setting forth the provisions of the nondiscrimination clause. P. By execution of this Contract, the Agency/Operator represents that it has not paid and, also, agrees not to pay, any bonus or commission for the purpose of obtaining an approval of its application for the financing hereunder. Funds disbursed to the Agency/Operator under this Contract shall not be expended for the purpose of lobbying the Legislature, the judicial branch, or a state agency. THE COORDINATOR SHALL: A. Recognize the Agency/Operator as described in Chapter 427, F.S., and Rule 41-2, F.A.C. B. Insure that entities with transportation disadvantaged funds will purchase Transportation Disadvantaged services through the coordinated system. C. At a minimum, annually monitor the Agency/Operator for insurance, safety and reporting requirements, pursuant to Chapter 427, F.S., and Rule 41-2, F.A.C. The information contained in the Annual Operating Report must be collected, at a minimum, quarterly from the Agency/Operator. THE OPERATOR AND COORDINATOR FURTHER AGREE: A. Nothing in the Contract shall require the Coordinator to observe or enforce compliance with any provision thereof, perform any other act or do any other thing in contravention of any applicable state law. If any provision of the Contract is found by a court of law to violate any applicable state law, the purchasing entity will at once notify the Coordinator in writing in order that appropriate changes and modification may be made by the Coordinator and the Agency/Operator to the end that the Agency/Operator may proceed as soon as possible with the provision of transportation services. 01/2010-12/2010 -5- B. If any part or provision of this Contract is held invalid; the remainder of this Contract shall be binding on the parties hereto. C. Termination Conditions: 1. Termination at Will - This Contract may be terminated by either party upon no less than thirty (30) days notice, without cause. Said notice shall be delivered by certified mail, return receipt required, or in person with proof of delivery. 2. Termination due to Lack of Designation - In the event that the Coordinator so designated by the local Coordinating Board and approved by the Commission, loses its designation, this contract is terminated immediately upon notification to the Agency/Operator. Notice shall be delivered by certified mail, return receipt requested, or in person, with proof of delivery. Notice shall be effective upon receipt. 3. Termination due to Disapproval of Memorandum of Agreement - In the event that the Commission does not accept and approve any contracted transportation rates listed within the Memorandum of Agreement, this Contract is terminated immediately upon notification to the Agency/Operator. Notice shall be delivered by certified mail, return receipt requested, or in person, with proof of delivery. Notice shall be effective upon receipt. 4. Termination due to Lack of Funds - In the event funds to finance this contract become unavailable, the Coordinator may terminate the contract with no less than twenty-four (24) hours written notice to the Agency/Operator. Notice shall be delivered by certified mail, return receipt requested, or in person, with _proof of delivery. Notice shall be - effective upon receipt. The Coordinator shall be the final authority as to the availability of funds. 5. Termination for Breach - Unless the Agency/Operator's breach is waived by the Coordinator in writing, the Coordinator may, by written notice to the Agency/Operator, terminate this Contract upon no less than twenty-four (24) hours notice. Notice shall be delivered by certified mail, return receipt requested, or in person with proof of delivery. Waiver by the Coordinator of breach of any provision of this Contract shall not be deemed to be a waiver of any other breach and shall not be construed to be a modification of the terms of this Contract, and shall not act as a waiver or estoppel to enforcement of any provision of this Contract. The provisions herein do not limit the Coordinator's right to remedies at law or to damages. 6. Upon receipt of a notice of termination of this Contract for any reason, the Agency/Operator shall cease service and prepare all final reports and documents required by the terms of this Contract. A final invoice shall be sent to the Coordinator within thirty (30) days after the termination of this Contract. 7. The Coordinator shall pay all bills within 7 days to the Agency/Operator after receipt of said payment by the CTD. Nonpayment to the Agency/Operator shall be a breach for which Agency/Operator may give 24-hour notice of termination of the contract. D. Renegotiations or Modifications of this Contract shall only be valid when they have been reduced to writing, duly approved by the Coordinator, and signed by both parties hereto. 01/2010-12/2010 -6- E. Agency/Operator shall assign no portion of this Contract without the prior written consent of the Coordinator. F. This Contract is the entire agreement between the parties. G. Attachments I and If are an integral part of the Contract and are hereby incorporated by reference into this Contract. All subsequent attachments are of an optional nature. H. Notice and Contact: The name and address of the contract manager for the Coordinator for this Contract is: Maureen Grynewicz Guidance/Care Center, Inc. 3000 41st Street, Ocean Marathon, FL 33050 The representative/position of the Agency/Operator responsible for administration of the program under this contract is: Administrator, Transportation Monroe County Transportation 1100 Simonton Street Key West, Florida 33040 In the event that different representatives are designated by either party after execution of this Contract, notice of the name and address of the new representative will be rendered in writing to the other party and said notification_ attached to _originals of this Contract. This contract and its attachments contain all the terms and conditions agreed upon by the parties hereto. WITNESS WHEREOF, the parties hereto have caused these presents to be executed. AGENCY/OPERATOR: Monroe County Board of County Commissioners '[ Agency/Operator Name j Typed/Printed Name of Authorized Individual Title Signature Date COMMUNITY TRANSPORTATION COORDINATOR Guidance/Care Center [ Coordinator Name] Maureen Grynewicz Typed/Printed Name of Authorized Individual Transportation Director %1� M Title, at f UNT ) AS 01/2010-12/2010 PE AUv -7- ASSI fA- N!T COU Y ATTORNEY p �f Cate L ATTACHMENT 1 AGENCY/OPERATOR CONTRACT SERVICE DESCRIPTION The Agency/Operator will be able to provide: (type of service) Ambulatory and wheelchair service, paratransit 2. The Agency/Operator will be available to provide transportation (schedule) 3. Days Agency/Operator will not be able to provide services: Service will not be provided on Saturday and Sunday or County holidays 4. Vehicles Agency/Operator will use to transport all passengers (fleet list- if list does not fit in this section, please attach a separate sheet — please also include number of seats and w/c capacity) 5. Vehic101Equiipment Standards Air Conditioning, first aid kit, fire extinguisher, warning triangles, 2 way radios 6. Driver Requirements License type depended on FL DOT requirements, 8 year clean driving record, CPR & First Aid, HIV training, Physicals, Defensive Driving, Drug Screening (see FAC 41-90 and requirements illustrated throughout contract) 7. Training Current CPR and First Aid certification, HIV/AIDS, Defensive Driving, Pre -employment and biennial driver physicals, ADA training (see FAC 41-90 and requirements illustrated throughout contract) 8. Reporting Requirements Quarterly Operating Reports, documenting all trips provided, Annual Review (conducted by CTC) 9. Agency/Operator fare structure $3.00 per one way trip, plus $1.28 per mile per one way trip. Trips will be reimbursed on a priority of need basis. The priority structure will be as follows: 1$t Priority - Medical (Medical reasons include trips to treatment, the doctor, dentist, chiropractor, the hospital and to purchase prescriptions.) 2"d Priority — School/Day Care 3'd Priority - Other (Other includes transport for the purpose of conducting personal business. - i.e. shopping, going to the bank...) 10. Billing/Invoicing and Reimbursement procedure for Agency/Operator Monthly invoices, due by the 15th of the month 01/2010-12/2010 -8- ATTACHMENT II The Commission for the Transportation Disadvantaged Standards and Performance Requirements Pursuant to Rule 41-2.006, Florida Administrative Code, the Community Transportation Coordinator and any Transportation Operator/Agency from whom service is purchased or arranged by the Community Transportation Coordinator shall adhere to Commission approved standards. These standards shall include: (a) Drug and alcohol testing for safety sensitive job positions within the coordinated system regarding pre -employment, randomization, post -accident, and reasonable suspicion as required by the Federal Highway Administration and the Federal Transit Administration; (b) An escort of a passenger and dependent children are to be transported as locally negotiated and identified in the local Transportation Disadvantaged Service Plan; (c) Child restraint devices shall be determined locally as to their use, responsibility, and cost of such device in the local Transportation Disadvantaged Service Plan; (d) Passenger property that can be carried by the passenger and/or driver in one trip and can be safely be stowed on the vehicle, shall be allowed to be transported with the passenger at no additional charge. Additional requirements may be negotiated for carrying and loading rider property beyond this amount. Passenger property does not include wheelchairs, child seats, stretchers, secured oxygen, personal assistive devices, or intravenous devices; (e) Vehicle transfer points shall provide shelter, security and safety of passengers; (f) A local toll free phone number for complaints or grievances shall be posted inside the vehicle. The local complaint process shall be outlined as a section in the local Transportation Disadvantaged Service Plan including, advising the dissatisfied person about the Commission's Ombudsman Program as a step within the process as approved by the Local Coordinating Board; (g) Out of service area trips shall be provided when determined locally and approved by the local Coordinating Board, except in instances where local ordinances prohibit such trips; (h) Interior of all vehicles shall be free from dirt, grime, oil, trash, torn upholstery, damaged or broken seats, protruding metal or other objects or materials which could soil items placed in the vehicle or provide discomfort for the passenger; (i) Billing requirements of the Community Transportation Coordinator to subcontractors shall be determined locally by the local Coordinating Board and provided in the local Transportation Disadvantaged Service Plan. All bills shall be paid within 15 calendar days to subcontractors, after receipt of said payment by the Community Transportation Coordinator, except in instances where the Community Transportation Coordinator is a non -governmental entity; 01/2010-12/2010 9- ()) Passenger/trip database must be maintained or accessible by the Community Transportation Coordinator on each rider being transported within the system; (k) Adequate seating for paratransit services shall be provided to each rider and escort, child, or personal care attendant, and no more passengers than the registered passenger seating capacity shall be scheduled or transported in a vehicle at any time. For transit services provided by transit vehicles, adequate seating or standing space will be provided to each rider and escort, child, or personal care attendant, and no more passengers than the registered passenger seating or standing capacity shall be scheduled or transported in a vehicle at any time; (1) Drivers for paratransit services, including coordination contractors, shall be required to announce and identify themselves by name and company in a manner that is conducive to communications with the specific passenger, upon pickup of each rider, group of riders, or representative, guardian, or associate of the rider, except in situations where the driver regularly transports the rider on a recurring basis. Each driver must have photo identification that is in view of the passenger. Name patches, inscriptions or badges that affix to driver clothing are acceptable. For transit services, the driver photo identification shall be in a conspicuous location in the vehicle; (m) The paratransit driver shall provide the passenger with boarding assistance, if necessary or requested; to the seating portion of the vehicle. The boarding assistance shall include opening the vehicle door, fastening the seat belt or utilization of wheel chair securement devices, storage of mobility assistive devices, and closing the vehicle door. In certain paratransit service categories, the driver may also be required to open and close doors to buildings,- except, in situations in _which_assistan_ce in, opening/closing building doors would not be safe for passengers remaining on the vehicle. Assisted access must be in a dignified manner. Drivers may not assist wheelchair up or down more than one step, unless it can be performed safely as determined by the passenger, guardian, and driver; (n) All vehicles ordered or put into service after adoption of this section of the Rule, and providing service within the coordinated system, shall be equipped with two-way communications in good working order and be audible to the driver at all times to the base. All vehicles that are not equipped with two-way communications shall have two years to be in compliance after the adoption date of this section of the Rule; (o) All vehicles ordered or put into service after the adoption of this section of the Rule, and providing service within the coordinated system, shall have working air conditioners and heaters in each vehicle. Vehicles that do not have a working air conditioner or heater will be scheduled for repair or replacement as soon as possible. All vehicles that are not equipped with an air conditioner shall have two years to be in compliance after the adoption date of this section of the Rule; (p) First Aid shall be determined locally and provided in the local Transportation Disadvantaged Service Plan; and (q) Cardiopulmonary Resuscitation shall be determined locally and provided in the local Transportation Disadvantaged Service Plan. 01/2010-12/2010 -10- BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Bulk Item: Yes X No Division: Emergency Services Department: Emergency Management Staff Contact Person: Jose Tezanos 6325 AGENDA ITEM WORDING: Approval to issue a Purchase Order to ESI Acquisition, Inc. in the amount of $133,793.33 to purchase WebEOC Crisis Information Management Software — Proposal Q13723, fully grant funded, no county match, and authorization for the County Administrator to execute any other required documentation. ITEM BACKGROUND: During emergency activations, EOCs must have reliable, dedicated access to a variety of information sources and must be able to effectively distribute this information throughout the County. State, Regional, Municipal and partner organizations rely upon up-to-date access to and display of information in order to properly and effectively plan emergency response strategies. This system provides a collaborative information communications system that provides real time information sharing to facilitate decision making during a disaster or during daily operations. Monroe County is currently using WebEOC provided by the Regional Emergency Management Collaboration System (REMCS) for the South Florida .Region (Region 7) in our EOC and the lease will be expiring soon. On September l7th Monroe County request to amend the Urban Area Security Initiative (UASI) FY07 Emergency Management budget was approved by the Urban Area _ Working Group (UAWG) to provide the funding to purchase our own WebEOC information management system. Even though we were awarded sufficient funding to purchase the software and hardware we lacked the ability to come up with sustainment and reoccurring costs. However, on November 20th FEMA Information Bulletin 336 announced an enhancement of their preparedness grant guidance to include maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees which became allowable under all active and future grant awards enabling us to proceed with this purchase. On November 30, 2009 we obtained our purchasing department memorandum authorizing our request to piggyback from the City of Miramar's contract. PREVIOUS RELEVANT BOCC ACTION: NIA CONTRACT/AGREEMENT CHANGES: NIA STAFF RECOMMENDATIONS: Approve request to issue Purchase Order to EST Acquisition, Inc. TOTAL COST: $133,793.33 — INDIRECT COST: BUDGETED: Yes No DIFFERENTIAL OF LOCAL PREFERENCE: NIA COST TO COUNTY: None ' SOURCE OF FUNDS: Grant REVENUE PRODUCING: Yes No X AMOUNT PER MONTH Year APPROVED BY: County Atty Yes OMB/Purchasing Yes Risk Management No DOCUMENTATION: Included X Not Required DISPOSITION: Revised 07/09 AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: ESl Acquisitions, Inc. Contract Purpose/Description: Approval to issue a Purchase Order to ESI Contract # Effective Date: Expiration Date November 12, 2009 May 11, 2010 Inc. in the amount of natoremptnt Cnfitx7ArP .... and authorization for the County Administrator to execute any other requi documentation. Contract Manager. Jose Tezanos 6325 14 (Name) (Ext.) (Department/Stop #) for BOCC meeting on Jan. 20, 2010 Agenda Deadline: Jan. 5. 2010 CONTRACT COSTS Total Dollar Value of Contract: $ 133,793.33 Current Year Portion: $ 133,793.33 Budgeted? Yes❑ No ® Account Codes: - - _ _ Grant: $ 133,793.33 County Match: $ 0 ADDITIONAL COSTS Estimated Ongoing Costs: $ /yr For: {Not included in dollar value above) (eg. maintenance, utilities, janitorial, salaries, etc.) CONTRACT REVIEW Changes Date Out Da �j Needed Reviewer Division Director T �l [" YesD No� Risk Managemen �f Yes❑ Nolo�' O.N ./Purchasing -1 10109 Yes[] No r% County Attorney 1-�4s%� Yes❑ Nod��IAA [Z`&-Dq Comments: OMB Form Revised 2/27/01 MCP If? Q ==I Emergency Services integrators • 823 Broad Street Augusta, GA 30901 • Fax: 706-826-9911 ■ Phone: 706-823-0911 • www.esi911.com November 12, 2009 Jose Tezanos Monroe County 490 63`d St. Suite 150 Marathon, FL 33050 Subject: WebEOC° Crisis Information Management Software — Proposal Q13723 Thank you for your interest in ESi` products and services. We hope our understanding of your requirements is accurately reflected in the cost proposal and notional scope of work enclosed as Attachments 1 and 2. The total solution price presented (less any options) is $133,793.33. Pricing will remain valid for 180 days from the date shown in the quotation. As appropriate, we encourage you to share the Scope of Work with other members of your organization (e.g. information technology, emergency management, GIS, etc.) who may be responsible for or involved in the delivery of products or services related to this procurement. ESi has provided customers with information management systems and solutions since 1996. WebEOCI Professional, our flagship Crisis Information Management Software (CIMS), was the first web -enabled technology specifically designed for emergency management that was both easy to use and eustomer eonfzgurable. This combination has made WebEOC the industry leading CIMS product on the market today with customers at federal, state and local levels both in the U.S. and internationally. In the corporate world, we have customers in banking, finance, defense, energy, entertainment, healthcare, manufacturing, telecommunications and transportation industries. At the federal level, WebEOC is used by the Environmental Protection Agency (EPA), the National Aeronautics and Space Administration (NASA), the General Accounting Office (GAO), U.S. Nuclear Regulatory Commission and agencies within the U.S. Departments of Agriculture, Defense, Energy, Homeland Security, Health and Human Services, Interior and Veterans Affairs. WebEOC is used by the District of Columbia and more than 50 state -level agencies in 33 states. Nationwide, WebEOC is used at the state or local level in 43 of 50 states by hundreds of customers representing thousands of jurisdictions. Because of the WebEOC licensing model (per server, unlimited users), ESi will never know with any certainty the true number of users granted access to WebEOC. A partial list of licensed WebEOC customers can be found at http://www.esi9l Lcom. With more than five hundred installations worldwide, we have gained the kind of process and implementation expertise that can only come from implementing WebEOC for an incredibly diverse customer base. In size, customers range from small towns (Dillingham, AK — population 2,468) to regional implementations (e.g., Mid - America Regional Council, National Capital Region), statewide rollouts (e.g. South Carolina) and complex -wide federal deployments (DOE). In other examples, WebEOC has been implemented by the U.S. Department of Homeland Security/Transportation Safety Administration where it is used by the Transportation Security Operations Center and hundreds of airports throughout the country to perform incident management, coordination, and provide situational awareness for all modes of transportation. For similar reasons, WebEOC Professional has been adopted by the U.S. Nuclear Regulatory Commission, utilities/nuclear power plants, and scores of counties adjacent to/within nuclear facilities' EPZ (Emergency Planning Zone). Always committed to the idea of customer configurable software, we expressly shun canned or fixed processes. In each WebEOC implementation, ESi listens to customers to gain an understanding of their business rules and workflow, and the results of that discovery become the basis for the overall system design and configuration. WebEOV Boundless Colrabomfion Our extensive experience implementing WebEOC has taught us the importance of understanding not only your agency's mission, but its immediate and long term goals. Ultimately, our desire is to provide a solution, not just software. With respect to initial WebEOC deployments, the most successful projects involve some level of design review followed by development and implementation of specific process elements that have been tailored — to the extent possible — to an agency's individual requirements. ESi can estimate these services based on past installations for similar customers, but as we are constantly reminded, each customer is unique and has unique requirements. A basic WebEOC roll -out is described in the attached Statement of Work. As former emergency managers, we take seriously our commitment to provide not only software, but solutions designed to meet your needs; solutions that are flexible and can be configured, if desired, by you, the customer; solutions that are easy to use — something often claimed by other vendors but proven time and again by WebEOC customers who train the inevitable alternate or new user who is called out / activated for the first time without the benefit of initial training or ever having participated in a drill/exercise. Attachment 3 summarizes many product and service options for Customer consideration. Selection of optional items will change the Scope of Work and could require additional time onsite. Where customers purchase a second WebEOC license, we assume both servers are co -located. If these servers are geographically separated (e.g., another city), technical services and travel may need to increase to account for longer than planned installation activities. Similarly, pricing for WebEOC Mapper Professional is estimated unless the Mapper survey has been completed and ESi has validated customer's GIS environment. Taxes are not included. If your agency is tax exempt, we request a tax-exempt certificate accompany your purchase order. There are no hidden or recurring costs with WebEOC. WebEOC does not rely on third parry products whose licenses must be renewed annually. Nor must additional licenses be purchased as the number of responders needed to manage an event increase. After you have had an opportunity to review this proposal and the accompanying information, please contact our office should you have additional questions or desire any changes. Thank you for considering ESi for your Emergency Management and Public Safety needs. Sincerely, Curtis R. MacDonald Chief Operating Officer Atch: 1. Quote: Q13723 2. WebEOC Statement of Work 3. Optional Products and Services WebEOC" Sountllm Collaboration ESI Acquisition, Inc 823 Broad Street Augusta, GA 30901 Office (706) 823-0911 Toll Free (800) 596-0911 Fax (706) 826-9911 Website www.esi911.com Customer: Monroe County Document Number: Q13723 Address: 490 63rd St. Suite 150 Page 1 of 2 Marathon, FL 33050 Title: Contact: Jose Tezanos Phone: 305-289-6325 Reference: Summary: Quote for WebEOC Products and Services Date: 11 /12/2009 Quote Expires: 05/11/2010 Disclaimer: Unless otherwise specified, quotations are valid for 180 days from Date of Issue. Items not manufactured by ESi are subject to change. Substitutes will be provided for customer consideration and approval. Product ID Description QTY Price Extended Price SW-CIMS7-PRS-M WebEOC® Professional - Standard Edition 7.0 SW-CIMS7-PR2 WebEOC® Redundant Server Software SW-CIMS7-RMB WebEOC®Resource Manager - (per license) SW-CIMS7-MPR **WebEOC® Mapper Professional (per license) Assumes ArcGIS 9.3 installed on separate GIS server and access to map data SW-DTSTD-BM TP - Double -Take® Standard w/1YR SA (per license) TS-ADLOS-ES Tech Svcs - Each Additional Day Onsite Needs Assessment TE-TVLEX-ES TE - Travel and Per Diem Travel for Needs Assessment TS-PGMNR-ES Tech Svcs - Normal Hourly Rate (Programmer) Board Development TS-INST5-ES 5-Day Onsite-Training, Planning, Installation or Implement HW/ DB Installation / Regional Implementation TE-TVLEX-ES TE - Travel and Per Diem HW/DB Installation/Regional Implementation TS-INST-MPR-TXI Tech Svcs - WebEOC® Mapper Professional Installation TE-TVLEX-ES TE - Travel and Per Diem Travel for Mapper Installation (3GIS) TS-INST2-ES 2-Day Onsite-Training, Planning, Installation or Implement Admin Training TE-TVLEX-ES TE - Travel and Per Diem Travel for Admin Training TS-PROJM-ES Tech Svcs - Project Management - Normal Hourly Rate 1 49,500.00 49,500.00 1 5,000.00 5,000.00 1 15,000.00 15,000.00 1 15,000.00 15,000.00 2 2,530.78 5,061.56 5 1,500.00 7,500.00 1 3,678.59 3,678.59 24 150.00 3,600.00 1 7,500.00 7,500.00 1 3,678.59 3,678.59 2 2,000.00 4,000.00 1 2,946.00 2,946.00 1 3,000.00 3,000.00 1 2,703.59 2,703.59 30 187.50 5,625.00 ESI Acquisition, Inc 823 Broad Street Augusta, GA 30901 Customer: Monroe County Address: 490 63rd St. Suite 150 Marathon, FL 33050 Office (706) 823-0911 Toll Free (800) 596-0911 Fax (706) 826-9911 Website www.esi911.com Document Number: Q13723 Page 2 of 2 Title: Contact: Jose Tezanos Phone: 305-289-6325 Reference: Summary: Quote for WebEOC Products and Services Date: 11 /12/2009 Quote Expires: 05/11/2010 Disclaimer: Unless otherwise specified, quotations are valid for 180 days from Date of Issue. Items not manufactured by ESi are subject to change. Substitutes will be provided for customer consideration and approval. Product ID Description QTY Price Extended Price No Tax 133,793.33 0.00 Sum E 133,793.33 o C=1 Boundless Collaboration WebEOC® (Local) Statement of Work For Monroe County, FL November 12, 2009 ESi Contact Information Debby Varlet, Vice President, Sales 823 Broad Street, Augusta, GA 30901 (706) 262-2042 (Telephone) (706) 823-9911(Facsimile) ESi Acquisition Inc. 1 823 Broad Street, Augusta, Georgia 30901 dvarlet@esi911.com (email) (800) 596-0911 1 (706) 826-0911 Fax I www.esi9ll.com Table of Contents CAI Contents 1.0 Project Plan....................................................................................................................................... 3 2.0 Solution Overview............................................................................................................................. 3 3.0 Pricing and Schedule......................................................................................................................... 3 4.0 Contacts............................................................................................................................................4 5.0 Planning and Preparation................................................................................................................. 4 5.1 Project Management.................................................................................................................... 4 5.2 Contracting / Procurement........................................................................................................... 4 5.3 Site Preparation............................................................................................................................ 4 5.4 WebEOC Professional Implementation......................................................................................... 5 5.4.1 In -brief ................................................................................................................................... 5 5.4.2 Needs Assessment................................................................................................................ 5 5.4.3 Installation............................................................................................................................ 6 5.4.4 Training.................................................................................................................................6 5.4.5 Discovery...............................................................................................................................7 5.4.6 Process Configuration........................................................................................................... 8 5.4.7 User Training.........................................................................................................................8 5.5 WebEOC Plug-ins........................................................................................................................... 8 5.5.1 WebEOC Resource Manager................................................................................................. 8 5.5.2 WebEOC Team Manager...................................................................................................... 9 5.5.3 WebEOC Mapper Professional.............................................................................................. 9 5.5.4 WebEOC for Hospitals......................................................................................................... 10 APPENDIX A— ESi / CUSTOMER RESPONSIBILITIES..................................................................................... 11 APPENDIX B—SYSTEM REQUIREMENTS.....................................................................................................17 APPENDIX C — WebEOC® SYSTEM ARCHITECTURE..................................................................................... 21 APPENDIX D—TRAINING.............................................................................................................................23 2 WebEOC Scope of Work CAI 1.0 Project Plan This proposal provides details of the proposed plan for delivery of products and services and outlines responsibilities of both ESi and the customer. 2.0 Solution Overview ESi will provide the following products and services in support of this project. • ESi WebEOC®Professional and WebEOC®Professional Redundant Server Software • ESi WebEOC® Plug-in(s) o ESi WebEOC®Mapper Professional o ESi WebEOC ®Resource Manager • Software Support • Double -Take® Standard (Qty 2) • Professional Services o WebEOC, Double -Take, Mapper Professional and Resource Manager software, installation, training, implementation. 3.0 Pricing and Schedule Pricing is provided separately from this scope of work and is subject to change based on mutually agreed upon changes in scope. Travel costs are estimated based on the federal JTR. Airfare (if applicable) assumes coach seating, refundable tickets. The number of "on -site" days quoted is based on the scope of work accepted by customer and assumes that customer is fully prepared to receive purchased services (i.e. conditions of customer checklist are met, supporting hardware and software are in place and installed, designated staff is available, etc.) as scheduled. Should ESi be required to remain "on -site" in excess of the quoted time, at the request of the customer or due to delays caused by the customer's lack of preparation, such time and related expenses shall be billed to the customer at ESi's then -current rates. If additional time is required to complete the project beyond that available during initial installation, ESi will coordinate with customer before taking any action. When customer's purchase order includes professional services in excess of what is required, hours not used can either be "banked" for future development or ESi can bill only for actual hours used. 3 WebEOC Scope of Work CAI 4.0 Contacts Sales/Contracting Project Manager/Scheduling Regional Manager Debby Varlet Randy Cantu Cindy Foreman Vice President, Sales/Marketing Project Manager Regional Manager (706) 262-2042 (706) 262-2588 706-421-3775 dvarlet@esi911.com rcantu@esi911.com cforeman@esi911.com 5.0 Planning and Preparation 5.1 Project Management Following notification of Project Award, a Project Manager is assigned to your account and a Project Kick -Off Meeting (Conference Call) is held. This meeting is intended to confirm the Statement of Work and discuss the implementation schedule. The Statement of Work contains a detailed description of the roles and responsibilities for ESi and the customer. Project Management provides scheduling, project plan development and management, coordination of customer and ESi teams, requirements management, invoicing support, issues and action items tracking, and project communication. 5.2 Contracting / Procurement Following receipt of a purchase order and consistent with the proposed delivery schedule as coordinated with the Customer, ESi will order any hardware and third party software specified in Section 2.0. Unless otherwise specified in this document, any servers delivered as part of the project will be shipped to ESi, software and security patches installed and upon completion, all products will be shipped to the address specified in the customer's purchase order. 5.3 Site Preparation Prior to delivery of services, both ESi and Customer have specific responsibilities. Before arriving onsite, ESi will attempt to verify Customer responsibilities have been met. ESi and Customer responsibilities are outlined in Sections 5.3 through 5.5 and Appendix A. If ESi is contracted to provide servers, software specified in Section 2.0 will be preloaded as outlined in Appendix A before shipment to the customer. If customer provides or has existing hardware meeting system requirements (Appendix B), ESi will either install software specified in Section 2.0 and Appendix A, or work with Customer to effect installation on Customer production or test servers. Where Customer provides hardware, it is recommended Customer install ESi provided software with remote assistance from ESi Customer Support. Alternatively, installation can be performed by ESi after being given remote access to Customer's network / servers. If handled in this manner, ESi personnel providing onsite services routinely only need one hour to verify the installation is complete / correct. 4 WebEOC Scope of Work CAI NOTE: WebEOC Mapper Professional (if purchased) is installed on the WebEOC web server. If WebEOC Mapper Professional is elected, GIS services are described in Appendix A. The WebEOC Mapper Professional plug-in can be installed remotely but GIS related services are provided onsite. These services, which normally range from 2-4 days, typically occur prior to or in parallel with WebEOC training and implementation. NOTE: If Customer initially directs ESi to install WebEOC on test servers, ESi will, when Customer is ready, remotely assist Customer personnel backup the test database and restore it to the production machine. 5.4 WebEOC Professional Implementation Unless otherwise specified, WebEOC Professional implementations occur over a non-contiguous, nine (9) day period. Implementation of WebEOC plug -ins require additional time onsite - WebEOC Team Manager (one day), WebEOC for Hospitals (two days), and WebEOC Resource Manager (two days). Absent a separate formal discovery process preceding initial installation, a basic WebEOC Professional implementation typically involves five (5) or more days of both on and offsite services. Onsite personnel are augmented remotely by Project Management, Customer Support or other Solutions / Services personnel in the installation of software and build -out of a Customer's process. When fewer days are quoted, services outlined in Sections 5.4.1— 5.4.6 below are either reduced or eliminated altogether. Modified services will be discussed with the Customer during the In -Brief. Unless excepted, two additional trips occur before the end of the first year of ownership. One is a two day trip to participate in an onsite drill or exercise and the second is to conduct a follow-on operational review (described in Sections 6.1 and 6.2 respectively). 5.4.1 In -brief On Day 1 of the onsite portion of the project, ESi will conduct a brief kick off meeting with the customer. This meeting is intended to confirm the overall project scope, review the implementation schedule, and meet with key stakeholders. 5.4.2 Needs Assessment Needs Assessment focuses on establishment and implementation of a basic process. With a needs assessment, installation and administrator training occur as described. However, more time is spent understanding customer requirements and from this initial assessment, we produce Operational Review documentation, detailing findings, redundancies in functionality, gaps, opportunities for process improvement, etc., and make recommendations concerning what will best meet the agency requirements. During formal Needs Assessment: the baseline implementation is documented, a WebEOC Scope of Work CAI template and guidance for adding and documenting new processes is provided, we discover and recommend high value processes that the customer may want to implement in the future. 5.4.3 Installation Day 1 - If customer provides hardware and remote software installation is NOT possible, installation occurs on Day 1 and can normally be accomplished within one hour (depending on products selected/servicers to be provided). Environmental factors beyond ESi's control can extend or delay installation (e.g., servers not loaded with operating system / database software and related service packs, servers not on the network, permission issues, improperly configured firewalls, absence of local resources to triage environmental issues). For customers implementing a high availability solution, the most common delay is the result of customers ordering Double -Take Standard when the customer's database servers are instead loaded with the Enterprise version of the OS which requires Double -Take Advanced. This not only delays installation but inevitably requires a change order for the appropriate product. Federal customers subject to STIG/IA requirements who provide their own servers, or procure servers from ESi but do not contract these services through ESi, must implement appropriate information assurance (IA) requirements (.e.g. Gold Disk) and successfully install WebEOC software prior to ESi onsite services. In either case, customer is strongly encouraged to have approvals (e.g. ATO/ATC) authorizing access to the WebEOC server from the local intranet before ESi onsite services are delivered. ESi will provide remote WebEOC and (if applicable) Double -Take installation support if requested by customer. FAILURE TO SUCCESSFULLY INSTALL AND CONFIGURE WebEOC AND SECURE APPROPRIATE APPROVALS PRIOR TO ESi SCHEDULED ARRIVAL ONSITE MAY, UNLESS A CHANGE ORDER FOR ADDITIONAL SERVICES IS RECEIVED, RESULT IN CANCELLATION OF PLANNED TRAINING AND IMPLEMENTATION ACTIVITIES. 5.4.4 Training Day 1 - Upon completion of the in -brief and any software installation / testing, WebEOC Professional Administrator and Board Builder training is provided to WebEOC "Administrators". Training is also provided on WebEOC Mapper Lite or, if elected, WebEOC Mapper Professional. Depending on the time needed to verify or install / configure the software on Day 1, Administrator training typically concludes on Day 2. WebEOC Administrator class size should not exceed ten students. Although a minimum number is not specified, training should include enough system administrators to ensure one is available for duty during any protracted event. WebEOC Administrator and User training is provided to the person or persons responsible for administering the system. Administrator training will provide instructions on how to setup and manage WebEOC. Administrators need not be IT professionals. Users should not attend Administrator trainina. WebEOC Scope of Work CAI All on -site WebEOC courses require a classroom with a computer for each student, access to the network hosting WebEOC, and a data projector and screen for the instructor. An overview of WebEOC Administrator training is contained in Appendix D. ESi provides a course syllabus and an Administrator and Board Building Student manual with every install. 5.4.5 Discovery Day 2 - WebEOC contains several mission critical processes for crisis management. Examples of these processes include Mission/Tasking, Situation Reporting, Significant Events, and Incident Action Planning. ESi understands that each customer has different needs, and this stage is used to understand local requirements in order to adapt these to WebEOC out -of -the box processes. Assuming a basic implementation, ESi can normally complete the requirements gathering before the end of the second day. Discovery participants must include the Emergency Management Director or his/her designee along with ICS or ESF leads. These individuals — the EOC Manager and the Command, Operations, Logistics, Planning and Finance representatives (or equivalent) — must describe how an entity operates during an activation — whether a special event (national convention, sporting event, etc.), a response to a manmade or natural disaster or, where appropriate, day-to-day operations. Agency PIOs are also a critical element in this process. In preparation for this stage, Customer must provide: • A detailed organization chart depicting the agency's command structure • An EOC diagram with all positions displayed • Sample copies of EOC daily logs Customers should be prepared to discuss and provide supporting documentation for the following areas of operations: • Use of ICS and ESF structures • Corporate structure (as appropriate) • Plans for multi -jurisdictional use of WebEOC or ESiWebFUSION A diagram or description of how common emergency management processes are carried out should be provided along with copies of "paper" or whiteboards used for operations. Emergency management practices that will be discussed include: • Event Reporting • Requests for Assistance • Mission/Tasking • Situation Reporting • News/Press Release • Specialized/Categorical Reporting (IAP, Shelters, Roads/Bridges, Resources, etc.) FA WebEOC Scope of Work CAI 5.4.6 Process Configuration Days 3 and 4 — During Process Configuration, status boards are built and processes implemented based on customer's business rules and workflow. To do this, we draw upon our vast knowledge of other implementations around the world and choose from an assortment of already developed boards that might meet customer requirements. Based on the Implementation Requirements above, these boards, along with the out -of -the -box boards, are tailored to the extent necessary or new boards are developed from scratch. Whenever possible and requested, we take existing agency procedures into account when configuring WebEOC Status Boards. Adapting WebEOC to existing procedures minimizes the training required of agency personnel. Local WebEOC Administrators must participate in process and status board development if these services will be performed by licensee's personnel. 5.4.7 User Training Day 5 — Once a baseline process is implemented, user training will be conducted. This training is tailored to the customer's unique implementation of WebEOC and concludes with a table -top scenario — the primary purpose of which is to test user knowledge and the agency's process flow. Two three (3) hour sessions are conducted. See Appendix D for further information. 5.5 WebEOC Plug -ins Implementation requirements for optional WebEOC plug -ins are described below. If your proposal does not include one or more of these items, this section does not apply. 5.5.1 WebEOC Resource Manager Two (2) days onsite. To fully implement Resource Manager, a detailed analysis and discovery processes is required to define request hierarchies for routing resources (e.g., city requests from a county, county requests from another county and/or state, etc.). A key component involves importing the resource list that is structured in accordance with NIMS nomenclature (definition, group and type). During the review process, customer must identify where resources are located, who owns them, the costs associated with their deployment, and contact information. If Resource Manager will be deployed cross -jurisdictional, then understanding State, County, City and/or Tribal relationships is a critical element in this process. NOTE: Attendance by Logistics Section Chief or equivalent is essential to implementation. To successfully implement Resource Manager, customer must provide: • List of resources to be imported in the system using csv. format (proper format can be downloaded by customer prior to the implementation) • Provide a list of WebEOC groups for routing resources (e.g., state, county, city, agency, etc.) • List of custom field(s) you would like to add for tracking additional information about a resource (e.g., serial number, expiration date, ID#, etc.) • List of counties, cities and/or tribes • List of resource rate units (e.g., day, week, month, year, etc.) WebEOC Scope of Work =JI Customer should be prepared to discuss resource management lists protocols such as: • Request importance (e.g., high, medium, low) • Request status (e.g., requested, in -progress, deployed, complete, out -of -service) • Pre -defined resources kits that may be issued to personnel during deployment 5.5.2 WebEOC Team Manager One (1) day onsite. Team Manager implementation is similar to that of WebEOC Professional or other WebEOC products. As part of discovery, a detailed organizational chart depicting the agency's emergency response personnel structure must be provided. This should include the following: • Departments of employment, stations, and regions to which those stations are assigned • Team names and positions • Languages and skill levels • List of additional skill sets and skill levels • List of training course titles Customer should be prepared to discuss and provide supporting documentation for the following areas of personnel activation or deployment. • Process for personnel deployment • Resources that may be issued to personnel during deployment Following or in conjunction with discovery, Team Manager training will be provided. This training will demonstrate how to administratively manage and deploy response personnel, activate team members and send ad hoc or pre -canned messages to field members. It will also cover how to maintain members' credentials and other skills such as training and languages, track travel details, assign equipment, and maintain detailed time records for each team member. 5.5.3 WebEOC Mapper Professional WebEOC Mapper Professional implementations involve installation and training of the Mapper plug- in, and separately, GIS configuration services. ESi personnel normally install WebEOC Mapper Professional as part of the initial WebEOC Professional installation, and conduct related training. Personnel from Tucuxi, a subsidiary of ESi, work with Customer GIS personnel to perform GIS configuration services. When requested, Tucuxi personnel can also install ESRI ArcGIS Server software products, map data, and / or provide ArcGIS server training. If implemented in conjunction with WebEOC Professional, additional ESi services beyond the initial week onsite are not required. Tucuxi services are additive, incurring 2 — 4 days onsite, and normally occur prior to or run in parallel with the week-long implementation services provided by ESi. WebEOC Mapper 2.0 includes access to a set of default layers through the ESRI ArcGIS Online service. Because this service is provided over the internet, outbound internet access is required to use these default layers in Mapper 2.0. WebEOC Scope of Work CAI The following default data layers are provided: Streets This layer provides a street map of the United States. The street data is provided and updated by ESRI to ArcGIS Server customers and cannot be updated or modified by ESi. Imagery This layer provides a map of the United States composed of satellite imagery and aerial photography. The imagery data is provided and updated by ESRI to ArcGIS Server customers and cannot be updated or modified by ESi. Topography This layer provides a topographic map of the United States . The topographic data is provided and updated by ESRI to ArcGIS Server customers and cannot be updated or modified by ESi. Additional GIS data layers may be provided by the Customer and used in Mapper 2.0 but the Customer is responsible for the configuration of those data layers on the GIS server unless otherwise specified in this document. Data layers available in an ESRI MXD map document format suitable for publishing in ArcGIS Server at the time of Mapper 2 installation can be configured in Mapper 2 by ESi. Data layers provided after installation or provided in another format will require additional GIS configuration services beyond the scope of this project. 5.5.4 WebEOC for Hospitals Two (2) additional days onsite to provide services unique to the Hospital module. Similar to the basic WebEOC Professional implementation, key staff must be prepared to discuss organization structure and provide an overview of the local implementation of Hospital Incident Command System (HICS); Incident Action Planning, Job Action Sheets, Event Reporting, Mission Tasking, Situation Reporting procedures; provide list of user names and HCC / EOC positions; provide copies of forms and status boards used locally for incident management. 10 Appendix A— ESi / Customer Responsibilities CAI APPENDIX A - ESi / CUSTOMER RESPONSIBILITIES This proposal assumes parties will provide products (hardware and software) and/or services as outlined in this Statement of Work. Description Customer ESi N/A Designate a Project Manager. V V Appoint sufficient WebEOC Administrators to ensure that at least one is V available for duty during a protracted event. Provide Contact Information for the following positions: Emergency Management Director V V IT Director or Point of Contact V GIS Point of Contact (If WebEOC Mapper Professional will be installed) V WebEOC Administrator V Two contacts who are to receive (via email) announcements related to WebEOC products and services (e.g. software updates, user conference details, etc.) Provide address where installation will occur. If implementing a high V availability solution, include address where redundant WebEOC installation(s) will occur. Provide address where administrator training will occur.' V Provide address where user training will occur, if different from the above. V Provide servers if hosting WebEOC locallyz. V ' Trainees should have their own computers with Internet Explorer 6.0 or higher and be able to access the WebEOC server. The room where WebEOC training will take place should have at least one projector connected to a computer with access to WebEOC. Z If redundant solution will be implemented, additional server(s) are required for each redundant instance. See Section Appendix B for server specifications. 11 Appendix A— ESi / Customer Responsibilities CAI Description Customer ESi N/A Describe hardware environment at primary (and if appropriate, redundant) V location(s). Specify whether separate web and database servers or combined web/database server will be provided. NOTE: If WebEOC will be accessed via the internet, separate web and database servers are recommended. Combined web and database server can be used if access will be limited to customer's intranet. For each web and database server, a supported Microsoft operating system must be provided and installec13. V Provide operating system software V Install operating system software V Install latest security and service pack updates Install Microsoft Internet Information Service (IIS) on designated web V server(s) with all current updates. Ensure IIS allows execution of ASP.NET. V Install MSMQ (Microsoft Message Queuing) on designated web server. V Active Directory Integration (installed by default) is not necessary and is not recommended. Provide Microsoft SQL Server software for designated database server(s)4. V Install Microsoft SQL Server with latest security and service pack updates. V Provide and install anti -virus software. V Install web and database servers. V Connect server(s) to the network. V 3 See Appendix B for operating system discussion. 4 Microsoft SQL Server 2005 or 2008 Standard Edition (licensed per CPU) recommended. See Section Appendix B for additional information. 12 Appendix A— ESi / Customer Responsibilities CAI Description Customer ESi N/A In support of WebEOC software installation, either provide physical and/or V remote access to the servers (include special technical considerations / requirements for allowing access — e.g., VPN client, special IP address, etc., OR provide POC who will assist ESi during installation/configuration. Advise ESi if a proxy server will be required to access the internet. V V The WebEOC application requires (A) a Local Administrator account OR (B) a service account with the following rights: 1. Allow Log On Locally 2. Act as Part of the Operating System 3. Database Owner (DBO) access to the Master database in SQL (This allows for the creation of tables, etc., in the WebEOC database. Once the WebEOC database and related tables are created, the DBO right can be changed to Master from the WebEOC database). Internal security policies must allow for these requirements. Please provide a point of contact who will assist in implementing these local changes should they be required. Implement all required network security measures (e.g. hardware/firewall) V prior to WebEOC installation. Open port 80 (443 for SSL) when placing the web server behind a firewall. V If replicating (using Double -Take) through a firewall: V • Windows Server 2003 — Allow bi-directional communication over TCP/UDP ports 1100, 1105, 1106 and ICMP. • Windows Server 2008 — Allow bi-directional communication over TCP/UDP port 6320 and ICMP. Open firewall port 1433 for SQL if placing a separate web server in a DMZ. V If the WebEOC messaging component is to be used to pass email, SMTP V traffic (Port 25) must be allowed on the network. Provide server IP address(es). If internet access to WebEOC is required, V obtain and assign a public IP address. 13 Appendix A— ESi / Customer Responsibilities CAI Description Customer ESi N/A Obtain SSL certificate (if SSL will be implemented) and install on Web V server. NOTE: If web server will be accessible from the internet, ESi recommends SSL certificate be purchased and installed prior to actual use. Provide and install software and hardware to backup the database (as V required)5. Customer is responsible for implementing database backups. Provide and install (remotely when possible) WebEOC products listed in Section 3.0. High Availability Solutions: Confirm operating system(s) installed on web and database servers. V Provide, install and configure Double -Take Software. V Test failover solution. The primary (active) instance of WebEOC will V undergo a test to simulate failover to the secondary (passive) instance of WebEOC at the redundant (mirror) site. Upon successful completion, both WebEOC instances will be returned to their normal state. 5 See Appendix B, Disaster Recovery 14 Appendix A— ESi / Customer Responsibilities CAI Description Customer ESi N/A Provide address where administrator training will occur 6. V Install ArcGIS Server 9.3 or higher (Standard Workgroup, Standard V Enterprise, Advanced Workgroup, or Advanced Enterprise)7 on the GIS server. Although not required for WebEOC Mapper Professional, provide and install V ArcView, ArcEditor, or Arclnfo if you desire the capability to create map layers locally which can be added to Mapper. If SSL is implemented, all GIS data will require set up for encrypted V connections. Provide and install software and hardware to backup the ArcGIS database V (if using map data stored in a database). Customer is responsible for implementing database backup processes. Provide access to mapping data. V Provide and install mapping data. Provide documentation of GIS data layers to be included in WebEOC V Mapper Professional (i.e. data types and format, projections, etc.). Import GIS data layers. V Ensure ArcGIS Server map services have been created, published, and V names and URLs documented. Ensure that a crossdomain.xml file is installed in the root website on the V ArcGIS Server system and that the crossdomain.xml file allows access from the WebEOC Application server 8. 6 Trainees should have their own computers running Internet Explorer 6.0 or higher and be able to access the WebEOC server. The room where WebEOC training will occur should have at least one projector connected to a computer with access to WebEOC. 7 With WebEOC Mapper Professional v2.0, ArcGIS Server 9.3 is required on a separate GIS server. Unless delivered as part of a bundled solution, customer must provide appropriate ArcGIS Server software. 8 See http://kb2.adobe.com/cps/142/tn 14213.html for information on crossdomain.xml files 15 Appendix A— ESi / Customer Responsibilities CAI Description Customer ESi N/A Ensure ESRI format geocoding service has been created, published, and V names and URLs documented. Provide server names of WebEOC server, and Web Server (if separate). V Provide or have available on arrival: Geocoding service name V V ArcGIS® map service name V Administrative access to ArcGIS Server V Administrative access to WebEOC server List of Administrators and Users requiring access to the ArcGIS & WebEOC Servers If integrating Resource Manager with Mapper, verify necessary census data V layers exist. Test link from WebEOC Mapper Professional to ArcGIS® Server. V 16 Appendix B—System Requirements CAI APPENDIX B - SYSTEM REQUIREMENTS 1.0 User Software 1.1 WebEOC Administrator Any computer running Internet Explorer (IE) 6.0 (or higher). 1.2 WebEOC User Any computer running IE 6.0 or (or higher) Safari 3.0.4 or Firefox 2.0.0.11. Minimum requirements can be found on respective vendor web sites. WebEOC has been designed to operate on a PDA running Microsoft Windows Mobile version 5 or 6. Blackberry support is provided via the Blackberry OS browser, version 4.2.1 on the Cingular or AT&T network. Opera is also supported on the Blackberry via any network. 2.0 Server Software General WebEOC server requirements are discussed below. Section 3.0 provides additional system requirements specific to WebEOC Mapper Professional. 2.1 Operating System (OS) Software WebEOC° web and database servers require the Standard Edition of Microsoft® Windows Server® 2003/2008 operating system — 32 or 64 bit (64-bit for Itanium servers not supported). Although WebEOC products are fully compatible with the 32 bit version of the OS, WebEOC greatly benefits from the increased performance and resources available from a 64 bit system. The Enterprise Edition of the operating system is not required unless the customer opts for a clustered SQL Server environment. 2.2 Internet Information Server (IIS) WebEOC requirea Microsoft IIS 6.0 or higher. 2.3 Database (DB) Software WebEOC requires Microsoft SQL Server. Microsoft SQL Server Express Edition 2005 or 2008 maybe used as the WebEOC database. However, Microsoft SQL Server Express is limited in that it only supports one processor, 1GB of RAM and database size is limited to 4 GB. For most WebEOC deployments, Microsoft SQL Server (2005 or 2008) Standard Edition — 32 or 64 bit (licensed per CAL or CPU) is strongly recommended. 2.4 Replication Software 17 Appendix B—System Requirements CAI Due to the dynamic structure of the WebEOC database and the dynamic capabilities within WebEOC, a higher level of mirroring to copy the data and structure in real time is needed. Native Replication LANMAN Source Target SQL 2008 tools can be used to configure this replication, however, configuring and maintaining these tasks can be difficult9. ESi provided High Availability solutions involve Double -Take software. The edition required (Standard or Advanced) is dependent on the database server operating system. If the OS is the standard edition, then Double -Take Standard is required. Any database server in the replication set with the Enterprise version of the OS requires Double -Take Advanced. Clustered SQL environments require Double -Take Advanced Server on each SQL node. Double -Take is installed on each WebEOC database server. Double -Take can be setup to replicate from a primary (source) server to a secondary (target) server. Double -Take works over any distance using existing I network— LAN, WAN, or VPN. By replicating only the bytes that change, Double -Take uses the absolute minimum bandwidth required to replicate data. In the event of a failure of the source machine, Double -Take can initiate a failover to the target data set. Depending on network architecture, following a failover, WebEOC users would either log back into the system, or access WebEOC through an alternate URL. 2.5 Backup Software Redundant, mirrored servers that constantly replicate data provide high availability and minimize the amount of time necessary to recover from an outage. A secondary or 'target' server can be activated in seconds or minutes (depending on failover strategy), providing users access to all information entered into WebEOC up to the time of failure/outage. Customers should not rely on Double -Take (or any other replication software) as their sole Disaster Recovery solution. Should data become corrupt on a primary (source) server; the corruption would be replicated to the secondary (target) server. ESi recommends a combination of tape backup and Double -Take to maintain a disaster recovery capability and achieve high availability. All WebEOC data is stored in the SQL database. Backups and restores of the database can be performed either through standard SQL tools and maintenance plans or through the use of third party backup applications capable of handling an open/active SQL database. ESi suggests the use of SQL maintenance plans to back up the entire WebEOC database to disk daily while backing up the 9 Customers electing Microsoft SQL Server 2008 or other third party replication/mirroring tools must obtain installation and maintenance support from the appropriate vendor. 18 Appendix B—System Requirements CAI transaction logs hourly. These files can then be transferred to tape using standard backup software. This method ensures that, in the event of an emergency, the WebEOC database can be quickly and easily restored though SQL Enterprise Manager. 3.0 WebEOC Mapper Professional WebEOC Mapper Professional is installed on the WebEOC web server. Requirements specified below apply to the WebEOC application (web) server. A separate server that hosts map services with ESRI® ArcGIS® Server software installed must also exist or be provided. • ESi WebEOC Professional, ST, or Air Version 7.1 or higher. • ESi WebEOC Resource Manager 1.4 or higher (if enabling GIS functionality in Resource Manager) • ESRI ArcGIS Server Standard (Workgroup or Enterprise) version 9.3 or ArcGIS Server Advanced (Workgroup or Enterprise) version 9.3 must be installed on a separate GIS server (the GIS server can be existing hardware). Unless delivered as part of a bundled solution, customer must provide appropriate ArcGIS Server software. • Map and geocoding services must be configured on the customer's dedicated ArcGIS server • ArcGIS Desktop is necessary for publishing local map services to ArcGIS Server for consumption by Mapper. • A desktop editor (ESRI ArcView, ArcEditor, or Arclnfo) will be required to create additional map layers that can be added to the Mapper installation 4.0 Hardware 4.1 WebEOC WebEOC does not require proprietary hardware. Typical WebEOC web and database server requirements are specified below. 19 Appendix B—System Requirements CAI Web Server Database Server Processors Two - Quad Core Intel Xeon 2.6GHz/2x6MB Two - Quad Core Intel Xeon 3.33GHz/2x6MB Cache, 1333MHzFront Side Bus Cache, 1333MHzFront Side Bus Memory 4 GB 4 GB Hard Drive Two (2) 73GB, SAS, 15K Six (6) 73GB, SAS, 15K Hard Drive Config RAID1 RAID1/RAID5 NIC GB NIC GB NIC CD-ROM DVD ROM DVD ROM Power Supply Redundant PS Redundant PS tja l- "f►1 Go to http://wikis.esri.com/wiki/display/ag93bsr/ArcGIS+9.3+System+Requirements for ArcGIS Server requirements. 20 Appendix C—System Architecture =JI APPENDIX C - WebEOC® SYSTEM ARCHITECTURE 1.0 Technology Overview ESi solutions are built to industry standards. WebEOC employs the Microsoft .NET Framework 2.0 and are SOA-aware for published service activity (i.e., Web Services). All make extensive use of XML technology - in particular, the XML parser developed by Microsoft. Much of the business logic is written in Microsoft C#/.Net 2.0/ASP.Net 2.0. WebEOC also makes use of stored procedures within Microsoft SQL Server to improve performance and scalability. Rer Us Internet Boundary DMZ Intranet Boundary Data Entry Positions Other GIS Applications (Optional) GIS Server - ESRI ArcGIS Server 9.3 - Map Service - Geocoding service - Oracle or SOL Server or Shape Files (for map data) _______________________________I Replication IP — LAN/WANNPN/NAT WebEOC WebEOC Database Server Web Server Microsoft SOL Server 2008 (Active/Source Server) DoubleTake I I I Redundant Servers SOL Connectio I _ I aw WebEOC r Database Server Web Server Microsoft SOL Server 2008 _ (Passive/iarget Server) 1.1 WebEOC Professional As a web -enabled database application, WebEOC utilizes web pages for data entry and retrieval to a Microsoft SQL database. Users access the application utilizing Internet Explorer 6.0 (or greater), Safari® 3.0.4 (or greater) or Firefox® 2.0.0.11 (or greater). The web component of the application is ASP.NET and HTML delivered over TCP/IP port 80 (443 if SSL is implemented). The communication between the WebEOC web server and the database is over TCP/IP port 1433 via .NET database components. Access to the database is controlled by setting an identity for WebEOC which is 21 Appendix C—System Architecture =JI assigned DBO access to the database. Both the web server (IIS) and database server (SQL Server) can reside on a single machine, or on separate machines (strongly recommended). 1.2 WebEOC Mapper Professional As a plug-in to WebEOC, WebEOC Mapper Professional installs the ESRI FLEX API on the WebEOC web server and utilizes web pages for data entry and retrieval to the WebEOC Microsoft SQL database. WebEOC Mapper Professional retrieves GIS map data from a separate GIS server running ESRI ArcGIS Server version 9.3. Supported client web browsers include Internet Explorer 6.0 (or greater), Safari® 3.0.4 (or greater) or Firefox® 2.0.0.11 (or greater). In addition, the Adobe Flash Player browser plug-in version 9.0 (or greater) is required for client web browsers. The web component of the application is a combination of ASP.NET, HTML, and Adobe Flex delivered over TCP/IP port 80 (443 if SSL is implemented). The communication between the WebEOC client users and the GIS server is over TCP/IP port 80 or 443 using industry standard ESRI ArcGIS Server 9.3 REST web services. The ArcGIS Server must reside on a separate server. 2.0 Network 2.1 General WebEOC can be installed on customer equipment residing on a LAN/WAN (Local/Wide Area Network) or it can be a hosted (ASP) solution in which ESi provides the hardware, software and infrastructure needed to run the application. Once installed, any method capable of transmitting TCP/IP traffic via HTTP/HTTPS can provide service to clients. This includes, but is not limited to land - line wired connections, Wi-Fi networks, Satellite -based networks and packet radio. PRAMIM 1 For security purposes, ESi recommends locating the IIS servers in the DMZ and implementing SSL. 2.3 Load Balancing WebEOC products are scalable in that additional load balanced web servers can be added to the configuration as the need is identified. When load balancing is employed, the load balancer must be configured to allow a client connection to retain its affinity for a single server. 22 Appendix D—Training =JI APPENDIX D - TRAINING 1.0 WebEOC Administrator WebEOC End -User Train -the -Trainer, Administrator and Board Building Training covers the administration of a WebEOC system. In addition to the items in the End -User training course, the WebEOC Administrator and Board Building Course addresses the following: • Adding Positions, Users and Groups. • Creating External Links (URLs). • Creating Menus. • Creating Incidents and Masterviews. • Creating Reports. • Creating Admin Profiles. • Archiving Incidents and creating simulations. • Utilizing the Audit Log. • Setting up Dual Commit to share information with other WebEOC users. • Interfacing with an ESiWebFUSION server to communicate with other WebEOC servers, or third - party systems, by acting as the central communications hub to route messages to intended recipients. • General WebEOC settings. • Managing Sessions. • Utilizing Board Builder to design, implement, and maintain an unlimited number of electronic displays (status boards). • Other Plug -Ins. ESi will train administrators on how to configure status boards using the WebEOC Board Manager. Boards can also be built using an HTML editor. Any HTML training is the customer's responsibility. ESi provides an Administrator and Board Building Student manual with every install. 2.0 WebEOC User Training The WebEOC End -User Training course teaches the basics of operating WebEOC: • Logging in to WebEOC. • Understanding the Control Panel. • Understanding Forms, Links & Plug -ins. • Accessing, displaying and printing a Report. • Understanding Chat, Contacts, and Checklists. • How to communicate among WebEOC users using the WebEOC internal messaging plug-in. • Using the File Library to store and share files with other WebEOC users. • How to view weather alerts and forecasts from the National Weather Service's interactive Weather Information Network. • How maps or images can be displayed and annotated with markers, shapes and labels. 23 Appendix D—Training =JI • Discuss how information flows in the customer's specific WebEOC installation: Significant Events Mission/Task Situation Reports • WebEOC plug -ins. 3.0 WebEOC Specialized Training Training outlined below is provided with purchase of the specified plug-in. 3.1 WebEOC Resource Manager WebEOC Resource Manager training will demonstrate how to effectively manage NIMS-Tier 1 assets/resources and traditional day-to-day resources (Tier II). This class will teach standard resource management techniques for coordinating resources throughout the Resource Management Lifecycle. Customers learn how use WebEOC Resource Manager to track all available resources in "real-time", manage resources during an incident through resource requests and deployments, establish request hierarchy(ies) based on existing workflow processes, add resources "on the fly" then add the resource to the permanent inventory post -incident, catalog donated goods, prepare EMAC forms electronically, prepare reports and audit logs of resource activities related to an incident and identify the population within an affected area when using WebEOC Mapper Professional in a collaborative environment. 3.2 WebEOC Team Manager Following or in conjunction with discovery, Team Manager training will be provided. This training will demonstrate how to administratively manage and deploy response personnel, activate team members and send ad hoc or pre -canned messages to field members. It will also cover how to maintain members' credentials and other skills such as training and languages, track travel details, assign equipment, and maintain detailed time records for each team member. 3.3 WebEOC Mapper Professional WebEOC Mapper Professional training will be provided to agency WebEOC Administrator(s). Administrator training will provide instructions on how to setup and manage WebEOC Mapper Professional. This training will include: • Entering Data to a Mapper -Configured Status Board. • Accessing WebEOC Mapper Professional from WebEOC and Status Boards. • Navigating Mapper. • Using the Mapper tools. • Adding Mapper capability to a Status Board. • Converting Existing Fields to Mapper Fields. • Configuring Map Layers. • Assigning Map Symbology. 24 Page 1 of 1 Hover -Susan From: Jordahl, Kristin [KJordahl@miamigov.com] Sent: Thursday, September 17, 2009 11:12 AM To: Amos Rojas (amosrojas@fdle.state.fl.us); bob@miamidade.gov, Fernandez, Frank G. (Deputy Chief); Callahan -James; Jonathan Lord (jonathan. lord @miamidade.gov); Joyce, Allen; jsomohano@hialeahfl.gov; Kemp, Maurice L; Kimberly Spill (kimberly.spill@copbfl.com); manchia@hialeahfl.gov; Marcos De La Rosa; Michael Ronczkowski; Rick Ramsay; Toner -Irene Cc: Fernandez, Wendy; steve@all-hands.net; addyvillanueva@fdle.state.fl.us; Allie Grande (allie.grande@miamidade.gov); Curt Sommerhoff (Curt.Sommerhoff@miamidade.gov); Joel Widell; Karl Odin (kodin@hialeahfl.gov); Dougherty, Loran; Mathew Cronin (mcronin@pbcgov.org); moverton@hialeahfl.gov; Orlando Aguilera (oaguilera@hialeahfl.gov); USAR (Hazmat); Walterman, Richard (Capt); Zavalney-Steve; Stolzenberg, Glenn S.; Tezanos- Jose Subject: NOTICE OF APPROVAL: 2006 - MCEM - WebEOC Attachments: Votes - 2006 - MCEM - WebEOC.xIs; Amendment - 2006 - MCEM - WebEOC.XIs To: Primary and Alternate Miami UAWG Members Subject: Approval of Monroe County Budget Amendment Request Please find attached the updated UASI Amendment Form identifying this new project as line item #2006-237 and the UAWG voting chart. Thank you. liri s tiro in. joi-d.-i 1i1 City of Miami Department of Fire -Rescue UA51 Project Coordinator 1151 N.W. 7th Street, 3rd floor Miami, FL 33136 w: 305-416-5429 f: 305-400-5121 www.miamigov.com In 12/23/2009 0 5 0\ § 0/? 0 a = = / o 2 - g 0° o 0 E f\[_\ k k / ) a \ q E $ \ o \ ƒ @ 2 � / � E- N \ k k k \ /m§ 7' 2 E e w 9' E- E m E 0 0 D-' m e c•, k/ $ E W\\ 0 E E/ 2\ f E§ f\/ c = $ % s E o E f 2//\[ m 0 »*x *»» CD § � u @ § o 0 E ° ® U) � \ \ 2= E G G e /- } % % % ƒ ƒ 3 q CU f \ I\$% e ®f f 0 0 0 m o� =i s e G Q U U 0 9 §III \\ CL \\ e u e • e o 0 0 E E E E • 0 0 o e E@ c $ E _� _> _� c c 2 = &/\\\23 3&3k//EJ G \ \ \ � O LZ = Q / 5 2 $� E� w c- t 5 7 7\\a)a 2 E 2 CL 0()«� 0 ± o O 5 E u o c n a) 0 0 0 o E § / 0 \ & I 0 % 5 £E E CL //� o m � \ \ / 0 ° 0 a) \ E 7 u E I o 2/ .ƒ / a« o\ 0 3± m& - IO«$I//w�/77at m c m ® e o o��=.0 e $ALLCLW $ / y2\C)00 a 9_= c& I O\ e»« O CL m • Q G �. .. @ e I g E E ±. E E o 0 o O E c c. I 3 kƒƒfƒkkkkkkk// 2 \ \ > § c @ OL w 2 N 2� n 0 E E/ $/ ® f\ k 3 2\ 2ƒ n 0 2'\ \ \\k\§.0--') 2) \/n \ \ / E @ q \ § \ E ± ° R y2�i LLM kff2/ \�nILEa- EEIIEEIIII a o 0 a� O U m= rn U +r O rn co o co d O a! L L N Q eta a. T T M Lu z cfr e3 4►3 C 0 z C 67 ll;t ' vt d a Q�- � U EYl a UD. 0 C O O CD O ull Q� O E 0LO m42 ri r J C: LN E N N o C ro M -0 v LL o m •N O C (oj C (D O o O . E O U ❑ c y O -0 o E o E C O Gl E U c N o a, .2 m M �D � {4 m E lU U E m `Czar � z o �- 0 N J � m O S � O Z O) Z i -i Ca O LU J CD o ❑ O J � � N U o 0 � N N aea k le5png W U O w VIS C w U 7 CQ N O a C�V Cr) N N L9 '£ f MEMORANDUM Department of Budget and Finance Purchasing office TO: Jose Tezanos FROM: Carlos Victores DATE: November 30, 2009 RE: WebEOC Crisis Information Management Software In response to your November 251", 2009 request to piggyback on the City of Miramar Florida's contract for WebEOC Crisis Information Management Software, this memo should serve as sufficient authorization to proceed with request for approval from the BOCC. As required by the Monroe County Purchasing Policy, all attempts to obtain additional quotes from other vendors were unsuccessful and seeing as this is the largest and most widely used company in this field, it is my opinion that this would be the County's best option. Please include this memorandum along with the permission letters and contract from both the City of Miramar and ESI and present to the Board of County Commissioners for approval at their next scheduled meeting. If you have any further questions pertaining to this request, please feel free to contact me at anytime. Carlos Victores Purchasing Manager P I_ANT AT ILi Id KEY d 4-1MARAIHLUN KEY WEST We strive to create a friendly work environment through teamwork, respect, integrity and honest communication. q1%A00J OFFICE fp?� Ef City of Miramar Interoffice Memorandum Police Department EST 1955 TO: Robert A. Payton, City Manager FROM: Melvin D. Standley, Chief of Polic —DATE: November25, 2008 F-ILE:-CO-08-201 RE: MOA between the City of Miramar and ESi Acquisition, Inc. The attached is an agreement between the City of Miramar and ESi Acquisition, Inc., executing the service agreement for the provision of an emergency management command, control and collaboration system software and related services. This is to be funded through the Urban Area Security Initiative ("UASI") Grant Program. The agreement provides the guidelines and responsibilities for the vendor consistent with the requirements of RFP #08-11-08. Approved by Resolution No. 08-205 on July 2, 2008. Funding for this project for UASI members and their subgrantees will come from the 2006 and 2007 UASI grant awards and will have no fiscal impact upon the City of Miramar. The expenditure lines for the UASI grant is fund 161-20-200-529, account numbers-8101-8113. I have reviewed and approve the attached agreement. C. Yvette M. McLeary, CIVIC, City Clerk EMERGENCY MANAGEMENT SOFTWARE AGREEMENT This Agreement is entered into as of this day of 20 between the City of Miramar (hereinafter the "City") and ESi Acquisition, Inc., a Delaware corporation (hereinafter the "Provider") RECITAL WHEREAS, the City conducted competitive bids in order to award a bid and enter_ into_an_agreement for the purchase -Emergency _Management Software; and WHEREAS, the Provider was selected to furnish and install said Emergency Management Software; NOW, THEREFORE, in consideration of the mutual covenants and promises herein contained, Provider and the City agree as follows: TERMS 1. RECITALS: The recitals are true and correct and are incorporated and made a part of this Agreement. 2. TERM: The term of this Agreement shall commence upon the date of execution hereof and shall remain in effect until acceptance of the goods and services by the City. 3. SCOPE OF SERVICES: A. Provider agrees to provide the Services (hereinafter inclusively referred to as the "Services") as specifically described, and under the special terms and conditions set forth in Attachment "A" hereto, which includes the original Solicitation and the Provider's Bid/Proposal/Qualifications submission, and which by this reference is incorporated into and made a part of this Agreement. 1 B. Provider represents and warrants to the City that: (i) it possesses all qualifications, licenses and expertise required for the performance of the Services: (ii) it is not delinquent in the payment of any sums due the City, (iii) all personnel assigned to perform the Services are and shall be, at all times during the term hereof, fully qualified and trained to perform the tasks assigned to each; and (iv) the Services will be performed in the manner described in Attachment "A" 4. PAYMENT: The Provider shall submit periodic invoices for the goods and services provided to The City of Miramar, ATTN: Accounts Payable, 2300 Civic Center Place, Miramar, FL 33025. The date of the invoice shall not exceed thirty (30) calendar days from the date of acceptance of the goods and services by the City. Under no circumstance shall an invoice be submitted to the City in advance of the delivery and acceptance of the commodities and/or services, unless otherwise agreed to. All invoices shall reference the appropriate contract number, the address where the commodities were delivered or the services performed, and the corresponding acceptance slip that was signed by an authorized representative of the City when the goods and/or services were delivered and accepted. Payment by the City shall be made within thirty (30) days after receipt of Provider's invoice, which shall be accompanied by sufficient supporting documentation and contain sufficient detail, to allow a proper audit of expenditures, should the City require one to be performed. 5. ACCEPTANCE OF SERVICES BY THE CITY: The Services shall be provided to the City in strict accordance with the specifications. If Services do not meet specifications, the Provider shall pay all associated fees or costs collected to the City. 2 6. ACCIDENT PREVENTION AND REGULATIONS: Precautions shall be exercised at all times for the protection of persons and property. The Providers and all Subcontractors shall conform to all OSHA, Federal, State, County, and City regulations while performing under the terms and conditions of this Agreement. Any fines levied by the above -mentioned authorities because of inadequacies to comply with these requirements, shall be borne solely by the Provider responsible for the same. 7. _ __OWNERSHIP OF DOCUMENTS: Provider understands and agrees that any_ information, document, report or any other material whatsoever obtained by Provider for City or prepared by Provider pursuant to or under the terms of this Agreement ("Work Product" or "work made for hire") is and shall at all times remain the property of the City. Provider agrees not to use any such information, document, report or material for any other purpose whatsoever without the written consent of the City, which may be withheld or conditioned by the City in its sole discretion. "Work product" and "work made for hire" does not include software, software documentation, training materials, product manuals or any other materials created or developed by Contractor ("Contractor Property") that is created or developed for use by Contractor outside the scope of this Agreement. This contract shall not be interpreted or construed to grant to City any rights in Contractor Property. 3 8. AUDIT AND INSPECTION RIGHTS: A. The City may, at reasonable times, and for a period of up to three (3) years following the date of final performance of Services by the Provider under this Agreement, audit, or cause to be audited, those books and records of Provider which are related to Provider's performance under this Agreement. Provider agrees to maintain all such books and records at its principal place of business for a period of three (3) years after final payment is made under this Agreement. B. The City may, at reasonable times during the term hereof, inspect Provider's facilities and perform such inspections, as the City deems reasonably necessary, to determine whether the services required to be provided by Provider under this Agreement conform to the terms hereof and/or the terms of the Solicitation Documents, if applicable. Provider shall make available to the City all reasonable facilities and assistance to facilitate the performance of inspections by the City's representatives. All inspections shall be subject to, and made in accordance with, all applicable law, including but not limited to the provisions of the Code of Broward County, Florida, as same may be amended or supplemented, from time to time. 9. AWARD OF AGREEMENT: Provider represents and warrants to the City that it has not employed or retained any person or company employed by the City to solicit or secure this Agreement and that it has not offered to pay, paid, or agreed to pay any person any fee, commission, percentage, brokerage fee, or gift of any kind contingent upon or in connection with, the award or making of this Agreement. For the breach or violation of this provision, the City shall have the right to terminate the Agreement 4 without liability at its digcretion, to deduct from the contract price, or otherwise recover the full amount of such fee, commission, percentage, gift or consideration. 10. PUBLIC RECORDS: Provider understands that the public shall have access, at all reasonable times, to all documents and information pertaining to City contracts, subject to the provision of Chapter 119, Florida Statutes, and agrees to allow access by the City and the public to all documents subject to disclosure under applicable law. Provider's failure or refusal to comply with the provisions of this section_ shall result in the immediate cancellation of this Agreement by the City. 11. COMPLIANCE WITH FEDERAL, STATE AND LOCAL LAWS: Provider understands that agreements between private entities and local governments are subject to certain laws and regulations, including laws pertaining to public records, conflict of interest, record keeping, etc. The City and Provider agree to comply with and observe all applicable laws, codes and ordinances as they may be amended from time to time. 12. CERTIFICATE OF COMPETENCY: The Provider shall, at the time of executing this Agreement, hold a valid certificate of competency for Emergency Management Software, if applicable, issued by the Federal, State, or County examining board qualifying said person, firm, corporation or joint venture to perform the work proposed. If a subcontractor(s) is employed, an applicable certificate of competency or license issued to the subcontractor(s) shall be submitted along with the Provider's certificate prior to the starting of work; provided, however, that the City may, at its sole option and in its best interest, allow the Provider to supply the certificate to the City during the first week of work. 5 13. INDEMNIFICATION: Provider shall indemnify, defend and hold harmless the City and its officials, employees and agents (collectively referred to as "Indemnitees") and each of them from and against all loss, costs, penalties, fines, damages, claims, expenses (including attorney's fees) or liabilities (collectively referred to as "Liabilities") by reason of any injury to or death of any person or damage to or destruction or loss of any property arising out of, resulting from, or in connection with (i) the performance or non-performance of the services contemplated by this Agreement which is or is alleged_ to be directly or indirectly caused, in whole or in part, by any act, errors, misconduct, omission, default or negligence (whether active or passive) of Provider or its employees, agents or subcontractors (collectively referred to as "Provider"), regardless of whether it is, or is alleged to be, caused in whole or part (whether joint, concurrent or contributing) by any act, errors, misconduct, omission, default or negligence (whether active or passive) of the Indemnitees, except that Provider shall not be liable for any loss, costs, penalties, fines, damages, claims or expenses resulting from the gross negligence, wilfull misconduct or criminal acts of the Indemnitees; or (ii) the failure of the Provider to comply with any of the paragraphs herein or the failure of the Provider to conform to statutes, ordinances, or other regulations or requirements of any governmental authority, federal or state, in connection with the performance of this Agreement. Provider expressly agrees to indemnify and hold harmless the Indemnitees, or any of them, from and against all liabilities which may be asserted by an employee or former employee of Provider, or any of its subcontractors, as provided above, for which the Provider's liability to such employee or former employee would otherwise be limited to payments under state Workers' Compensation or similar laws. Di Provider acknowledges that specific consideration has been paid or will be paid under this Agreement for this hold harmless and indemnification provision, and further agrees with the foregoing provisions of indemnity and also agrees with the collateral obligation of insuring said indemnity as set forth in Attachment A. Provider shall indemnify City for all loss, damage, expense or liability including, without limitation, court costs and attorneys' fees that may result by reason of any infringement or claim of infringement by Provider of any patent, trademark, copyright, trade secret or other proprietary right relating to services furnished pursuant to this Contract. Provider will defend and/or settle at its own expense any action brought against the City to the extent that it is based on a claim that products or services furnished to City by Provider pursuant to this Contract, or if any portion of the services or goods related to the performance of the service becomes unusable as a result of any such infringement or claim. 14. DEFAULT: A. An event of default shall mean a breach of this Agreement by the Provider. Without limiting the generality of the foregoing and in addition to those instances referred to as a breach, an event of default shall include the following: a. Provider has not performed services on a timely basis; b. Provider has refused or failed, except in the case for which an extension of time is provided, to supply enough properly skilled Staff personnel; C. Provider has failed to obtain the approval of the City where required by this Agreement; d. Provider has refused or failed, except in the case for which an extension of time is provided, to provide the Services as defined in this Agreement; 7 e. Provider has failed to make prompt payment to subcontractors or suppliers for any services; f. Provider has become insolvent or has assigned the proceeds received for the benefit of Provider's creditors, or Provider has taken advantage of any insolvency statute or debtor/creditor law or if Provider's affairs have been put in the hands of a receiver; or g. Provider has failed in the honoring of any warranties. B. In the event Provider fails to comply with the provisions of this Agreement, the City may declare the Provider in default, notify the Provider in writing, and give the Provider fifteen (15) calendar days to cure the default. If the Provider fails to cure the default, the City may terminate this Agreement immediately upon giving notice to Provider and seek damages from Provider according to the terms of Section C below. Upon termination for reason of default, City shall pay Provider for any work completed up through the date of termination and unpaid by City less any damages owed to City by Provider pursuant to the terms of Section C below. In the event payment has been made for such services not completed, the Provider shall return these sums to the City within ten (10) days after notice that these sums are due. Nothing in this Section shall limit the City's right to terminate, at any time, pursuant to Section 15, and its right for damages under Section C below. C. In an Event of Default by the Provider, it shall be liable for all damages resulting from the default, including but not limited to: a. Any lost funding directly resulting from default of this Agreement by Provider, but in no case shall Provider liability exceed the amount paid to Provider by City, and b. The amount actually expended by City, including procurement and administrative costs, to complete the work to be performed pursuant to the Agreement." s D. The City may take advantage of each and every remedy specifically existing at law or in equity. Each and every remedy shall be in addition to every other remedy specifically given or otherwise existing and may be exercised from time to time as often and in such order as may be deemed expedient by the City. The exercise or the beginning of the exercise of one remedy shall not be deemed to be a waiver of the right to exercise any other remedy. The City's rights and remedies as set forth in this Agreement are not exclusive and are in addition to any other rights and remedies available to the City in law or in equity. 15. TERMINATION: A. TERMINATION - For Convenience - This Agreement may be terminated by City for convenience upon thirty (30) calendar days written notice to Provider. In the event of such termination, Provider shall be entitled to receive compensation for any work completed pursuant to this Agreement and to the satisfaction of City up through the date of termination. Under no circumstances shall City make payment for services that have not been performed. B. TERMINATION - For Cause - This Agreement may be terminated by either party upon five (5) calendar days' written notice to the other should such other party fail substantially to perform in accordance with its material terms, through no fault of the party initiating the termination, and fails to remedy such violation within five (5) days after notice thereof. In the event of such termination, Provider shall be entitled to receive compensation for any work completed pursuant to this Agreement and to the satisfaction of City up through the date of termination. Under no circumstances shall City make payment for services that have not been performed. E In the event Provider abandons this Agreement or causes it to be terminated by City, Provider shall indemnify City against loss pertaining to this termination. In the event that Provider is terminated by City for cause and it is subsequently determined by a court of competent jurisdiction that such termination was without cause, such termination shall thereupon be deemed a termination for convenience under Section 16A and the provisions of Section 16A shall apply. C. Provider shall turn over to City all Work Products (including but not limited to finished or unfinished documents, data, studies, surveys and reports prepared by Provider) for which payment by the City has been requested, at the time of final payment by the City. 16. INSURANCE - GENERAL SERVICE AND MAINTENANCE CONTRACT: The Provider shall furnish to the City of Miramar, Manager, Risk Management Division, 6700 Miramar Parkway, Miramar, Florida 33023, certificates of insurance which indicates that insurance coverage has been obtained which meets the requirements in Attachment "A" hereto. 17. NONDISCRIMINATION: Provider represents and warrants to the City that Provider does not and will not engage in discriminatory practices and that there shall be no discrimination in connection with Provider's performance under this Agreement on account of race, age, religion, color, gender, sexual orientation, national origin, marital status, physical or mental disability, political affiliation or any other factor which cannot be lawfully used as a basis for delivery of services. Provider further covenants that no otherwise qualified individual shall, solely by reason of his/her race, age, religion, color, gender, sexual orientation, national origin, marital status, physical or mental disability, iiK political affiliation or any other factor which cannot be lawfully used as a basis for delivery of services, be excluded from participation in, be denied services, or be subject to discrimination under any provision of this Agreement. 18. ASSIGNMENT: This Agreement shall not be assigned by Provider, in whole or in part, without the prior written consent of the City, which may be withheld or conditioned, in the City's sole discretion. 19. NOTICES: All notices or other communications required under this Agreement shall be in writing and shall be given by hand -delivery or by registered or certified U.S. Mail, return receipt requested, addressed to the other party at the address indicated herein or to such other address as a party may designate by notice given as herein provided. Notice shall be deemed given on the day on which personally delivered; or, if by mail, on the fifth day after being posted or the date of actual receipt, whichever is earlier. TO PROVIDER: ESi Acquisition, Inc. ATTN: Curtis R. MacDonald 823 Broad Street Augusta, GA 30901 Telephone: (706) 823-0911 Fax: (706) 826-9911 WITH A COPY TO: Melissa M. Leigh General Counsel ESi Acquisition, Inc. 823 Broad Street Augusta, GA 30901 Telephone: (706) 823-0911 Fax: (706) 826-9911 TO THE CITY OF MIRAMAR The City of Miramar ATTN: Procurement Director 2300 Civic Center Place Miramar, FL 33025 Telephone: (954) 602-3053 Fax: (954) 602-3483 WITH A COPY TO: Jamie Alan Cole, Esquire Weiss Serota Helfman Pastoriza Cole & Boniske, P.L. 200 E. Broward Blvd. Suite 1900 Ft. Lauderdale, Florida 33301 Telephone: (954) 763-4242 Facsimile: (954) 764-7770 11 20. MISCELLANEOUS PROVISIONS: A. This Agreement shall be construed and enforced according to the laws of the State of Florida. The parties submit to the jurisdiction of any Florida State or federal court in any action or proceeding arising out of, or relating to, this Agreement. Venue for any action arising out of this agreement shall be in Broward, County, Florida. B. Title and paragraph headings are for convenient reference and are not a -part of this Agreement. C. No waiver or breach of any provision of this Agreement shall constitute a waiver of any subsequent breach of the same or any other provision hereof, and no waiver shall be effective unless made in writing. D. Should any provision, paragraph, sentence, word or phrase contained in this Agreement be determined by a court of competent jurisdiction to be invalid, illegal or otherwise unenforceable under the laws of the State of Florida or the City of Miramar, such provision, paragraph, sentence, word or phrase shall be deemed modified to the extent necessary in order to conform with such laws, or if not modifiable, then same shall be deemed severable, and in either event, the remaining terms and provisions of this Agreement shall remain unmodified and in full force and effect or limitation of its use. 21. BINDING AUTHORITY: SUCCESSORS AND ASSIGNS: Each person signing this Agreement on behalf of either party individually warrants that he or she has full legal power to execute this Agreement on behalf of the party for whom he or she is signing, and to bind and obligate such party with respect to all provisions contained in 12 this Agreement. This Agreement shall be binding upon the parties hereto, their heirs, executors, legal representatives, successors, or assigns. 22. INDEPENDENT CONTRACTOR: Provider has been procured and is being engaged to provide services to the City as an independent contractor, and not as an agent or employee of the City. Accordingly, Provider shall not attain, nor be entitled to, any rights or benefits of the City, nor any rights generally afforded classified or unclassified employees. Provider further understands _ that Florida Workers' Compensation benefits available to employees of the City are not available to Provider, and agrees to provide workers' compensation insurance for any employee or agent of Provider rendering services to the City under this Agreement. 23. REAFFIRMATION OF REPRESENTATIONS: Provider hereby reaffirms all of the representations contained in the Solicitation Documents. 24. ENTIRE AGREEMENT: This instrument and its attachments constitute the sole and entire agreement of the parties relating to the subject matter hereof and correctly set forth the rights, duties, and obligations of each to the other as of its date. Any prior agreements, promises, negotiations, or representations not expressly set forth in this Agreement, are of no force or effect. No modification or amendment hereto shall be valid unless in writing and executed by properly authorized representatives of the parties herein. 25. COUNTERPARTS: This Agreement may be executed in four (4) or more counterparts, each of which shall constitute an original but all of which, when taken together, shall constitute one and the same agreement. 13 26. COSTS AND ATTORNEY'S FEES: If either City or Provider is required to enforce the terms of this Agreement by court proceedings or otherwise, whether or not formal legal action is required, the prevailing party shall be entitled to recover from the other party all such costs and expenses, including but not limited to, costs and reasonable attorney's fees. 27. CONFLICT: In the event of a conflict between the terms of this Agreement and any terms or conditions contained _in any attached_ documents,_ the terms _in this Agreement shall prevail. 28. WAIVER: The waiver by either party of any failure on the part of the other party to perform in accordance with any of the terms or conditions of this Agreement shall not be construed as a waiver of any future or continuing similar or dissimilar failure. (This space intentionally left blank) 14 WITNESS WHEREOF, the parties hereto have caused this instrument to be executed by their respective officials thereunto duly authorized, this the day and year above written. ATTEST: THE CITY OF MIRAMAR Yve e M. McLeary, City erk Rob Payto ity Manager Ap oved as to form and legal sufficiency for the use of an reliance by the CMirarjar only: Date: i o .4L sUoniske, e a H n Pastoriza Cole P.L., City Attorney WIY,IVESS: By: Print Name: ffifAk,, M Lee�ti Title: )ew Date: // 9 (CORPORATE SEAL) 15 SCOPE OF WORKITECHNICAL SPECIFICATIONS 3-1 INTRODUCTION The Southeast Florida Region consists of the geographic area encompassed by Palm Beach, Broward, Miami -Cade, and Monroe counties. This geographic area is further jurisdictionally divided into over 100 municipalities and unincorporated areas. The Southeast Florida Region has an estimated combined population in excess of 5.5 million -residents. - - - - The Southeast Florida Region is vulnerable to a variety of both natural and man- made hazards. The most common hazard is severe weather systems, such as tropical storms and hurricanes. While Southeast Florida is experienced in preparing for, responding to, recovering from and mitigation against these hazards it has historically done so along county jurisdictional lines. This is in no means meant to imply that resources and information are not shared between the counties (as there are a multitude of cross jurisdiction partnerships), but rather to highlight that the emergency management systems within Southeast Florida have successfully and independently developed within the counties. The next logical step for emergency management within Southeast Florida is to further enhance and strengthen collaboration within the emergency management, and greater emergency response community. This will be accomplished by providing a standardized tool that will allow all relevant agencies and organizations to share resources and information in a state-of-the—art, web -based environment. Additionally, this tool will provide a standard web -based electronic incident management system to those jurisdictions that do not currently have such a system. 3-2 PROJECT PLAN Southeast Florida Region will obtain a state-of-the-art, web -based emergency management command, control, and collaboration system. This system will be delivered in three phases which include: Phase I — Web Based- hosted by the chosen vendor for a period of no less than 24 months. This chosen vendor will be responsible for any and all costs associated with obtaining and maintaining all necessary hardware, software, and internet access at the hosting site. This includes any one time and/or recurring fees such as licensing and subscription fees. Phase II- County — hosted and will provide access to cities not deploying their own servers. This chosen vendor will be responsible for any and all costs associated with obtaining all necessary hardware, software and applicable licensing. Phase III- City- hosted systems for City users and would provide access to the county. This chosen vendor will be responsible for any and all costs associated with obtaining all necessary hardware, software including applicable operating systems. 3-3 GENERAL SYSTEM REQUIREMENTS System shall provide an interface to collect and store digital information relating to single and/or multiple concurrent emergency incidents or pre - planned events; that vary in size and scope. 2. System shall be compatible with, and capable of integrating and establishing connectivity with Microsoft and ESRI software platforms. 3. System shall be capable of sharing incident specific information between positions and users within an EOC or incident command post, between EOCs or incident command posts, and with other outside agencies. 4. System shall be capable of independently and jointly handling multiple incidents. 5. System shall be capable of creating a log of incident related information including but not limited to incident developments, response actions, other activities log, resource availability and allocation, and staffing information. The log must be accessible in the user interface and be readily understandable when projected on a large screen display in an EOC. The system shall provide import and export capabilities. System shall provide for import and export to/from common Microsoft data formats such as Excel and Access, as well as generic comma delimited. 6. System shall have the capability to display status boards (such as shelter information), in a clear and understandable format that can be viewed on both small screens and large projection screens. 7. System shall have capability to display incident related information using locally designed forms. The system must quickly and easily allow the system administrators to be able to create custom forms and modify existing forms to meet the information needs of a dynamic incident response. Default forms must be part of the core system. Default forms must included standard National Incident Management System / Incident Command System forms. All forms must be accessible both in a Microsoft Office client as well as through Internet Explorer. Users must have the ability to fill out and save the forms directly in the system without the aid of Microsoft Office. 9. System shall have the capability of archiving any incident response information and provide the ability to retrieve incident information for post incident review and historical purposes and mandated recordkeeping as may be required by law. In addition the system shall be capable of building a simulated incident for playback to facilitate EOC training requirements. 10. User interface shall be customizable to support dynamic incidents which require flexibility in data input, storage, retrieval and display. The system must be easily understood by a first time user with basic Microsoft Internet Explorer and basic Microsoft Office Products knowledge. It is expected that the average first time user will be able to comfortably work within the system with no formal training. 11. System shall support database queries, filters and text string searches of the database. The queried, filtered, and/or search data must be exportable in the formats previously described. 12. System shall have the capability to instant message (chat) both individual, and groups of users. 13. System shall be built on a Microsoft Platform and database structure format. 14. . System shall support the Common Alerting Protocol standard. Additionally this system shall be able to send and receive CAP messages for multiple users and be able to automatically forward messages from a primary recipient to a group of other identified recipients within the system. 15. System shall support the Disaster Management Interoperability Services (DMIS), which includes the ability to send/receive data from the National DMIS Servers. 16. System shall support data and information sharing between other communication and collaboration systems via XML. 17. System shall have back-up and restore capabilities within the application for data and database log files. Data and log backup capabilities must be available to the system administrator within the web interface. 18. Vendor shall be a Microsoft Certified Partner with proven competencies in providing similar systems to local governments. These competencies are to be demonstrated by providing a list of products/systems that they have developed. Additionally a list of current local government clients is to be provided. 19. Vendor shall document that the staff assigned to the project are trained and certified in Microsoft technologies. 20. Vendor shall provide all applicable hardware, software, and licensing for each of the phases. 21. System shall be licensed for unlimited users 22. Vendor must provide 24/7 end -user and administrator support. 23. System must use proven Microsoft and industry standard access security measures that can be documented and demonstrated. 24. The Phase II and Phase III server -based systems must fully interact and share data between themselves and with the Phase I web -based system. Vendor must provide bandwidth requirements to support different modes of access. Bandwidth must be scalable to meet the needs of the Region during an emergency situation. Vendor must provide a minimum bandwidth of 5MB with the ability to scale to at least 10 times minimum bandwidth to support users. 25. For Phase 1, hosting and network facility must demonstrate the ability to provide mission critical services with redundant power and redundant network infrastructure. Vendor must also have at least 2 geographically diverse hosting sites with automated redirection in the event that the primary site is inoperable. There must be full live replication between the sites so that any redirection occurs with minimal interruption to the end users. 26. For Phase II and Phase III, Vendor shall have the capability to provide the following options: a. All applicable server hardware and software b. Hosting capabilities equivalent to those outlined in this Scope of Work — Phase I System for the County. 3-4 GENERAL IMPLEMENTATION REQUIREMENTS 1. For Phase I the vendor shall be responsible for hosting and securing the implementation. For Phase II and Phase III, the vendor shall be responsible for installing the software on the County's or City's server. 2. Applicable database and web server software shall reside on separate web and database servers. 3. Vendor shall designate a Project Manager who will serve as the primary point of -contact. during_the_implementation_period for Phase K and Phase III and during the lease term for Phase I. 4. System shall operate on the latest Operating System, including any applicable security and service pack updates. 5. Vendor shall implement all appropriate industry standard network security measures (e.g. hardware firewall). 6. For Phase I, the vendor shall provide software and hardware to backup the entire system and provide redundant uninterrupted fully functional access in the event that the primary system (including its host facility) is inoperable. 3-5 SYSTEM SECURITY 1. System must provide ability to restrict edit access to screens/records. 2. System must provide ability to restrict view access to screens/records. 3. System must provide logging of all changes to screens/records and identify which users have made the changes. 4. System must provide adequate access/authorization controls and adjust access (read, write, update, delete) accordingly. 5. System must use HTTPS. 6. System must provide documentation of results of an industry accepted standard security compliance test for the system. 3-6 SYSTEM REQUIREMENTS End User: any PC running Microsoft Internet Explorer 6.0 or higher. 2. PDA: any PDA running Microsoft Internet Explorer Mobil 5.0 or higher, RIM operating system, and/or all other applicable field solutions. 3. Bandwidth Requirements: Users should be able to access the system over any internet connection (to include dial -up and satellite) recognizing that connection speed may affect refresh rates. 3-7 REPORTING REQUIREMENTS The System shall provide a flexible reporting environment for analyzing information during and after an event without the use of external report generators. This reporting capability must include the ability to organize information into user developed formats. 3-8 ACCEPTANCE The Vendor shall provide an acceptance test period (the "Test Period") that commences upon installation. Installation shall be defined as a fully functional system will all applicable redundancies and back up provisions in place. Additionally the Installation shall include any applicable implementation team training. During the Test Period, Customer shall determine whether the System meets the Vendor published electronic documentation, ("Specifications"). The Test Period will be for 90 days. If Customer has not given Vendor a written deficiency statement specifying how the System fails to meet the Specification ("Deficiency Statement") within the Test Period, the System shall be deemed acceptable. If Customer provides a Deficiency Statement within the Test Period, Vendor shall have 30 days to correct the deficiency, and the Customer shall have an additional 60 days to evaluate the System. If the System does not meet the Specifications at the end of the second 30 day period, either Customer or Vendor may terminate this Agreement. Upon any such termination, Vendor shall refund any monies paid by Customer to Vendor therefore. Neither party shall then have any further liability to the other for the products that were the subject of the Acceptance Test. 3-9 BUSINESS CONTINUITY & DISASTER RECOVERY Each vendor proposal must include a full description of and provide a detailed overview for: 1. Current and proposed Business Continuity Practices and Approaches as they relate to the daily operation and possible interruptions of service. 2. Current and proposed data backup and restore practices. This will include an explanation of the standards, procedures, methods, cycles, turnover, --retention-periods-and-offsite capabilities. _ _ ___ 3. Current and .proposed disaster recovery procedures and standards and how they will be implemented into the proposed system solution to cover any disruptions in service and minimize any downtime. 3-10 TERMS AND PAYMENT Incremental/progress payment schedule shall be as follows: 25% upon the initiation of the Test Period • 50% upon Acceptance (as previously defined) 25% upon completion of Training 3-11 TRAINING 1. The Vendor shall provide Administrator and Trainer training locally to the person or persons responsible for administering the system. 2. Administrator training shall provide instructions on how to setup and manage the system. Administrators need not be IT professionals. Customer will ensure that employees or contractors responsible for program implementation and knowledgeable in their agency's emergency response process and procedures attend Administrator Training. Attendance by agency personnel with the authority to dictate how the software will be used during an emergency response is essential to successful implementation. This training shall be offered in two 1--iday sessions. 3. Trainer training will provide instructions on how to teach non -administrator end -users in the basic and advanced functions and features of the system. This training shall be provided in 2 half -day sessions. 3-12 SYSTEM WARRANTY The Vendor shall provide the Customer with a warranty for the system for the term of the lease. Vendor shall, without additional cost to Customer and in a timely manner without delay, provide all changes to the licensed software packages that are necessary _to_maintain-applicable _the _software warranties,. or_ as -deemed -necessary -by - the software publisher(s), such as minor or major patches or upgrades to fix bugs or problems in the software. 3-13 SERVICE LEVEL AGREEMENTS - SUPPORT System support shall include 24/7 phone support and all System updates. System updates include, but are not limited to: the resolution of system anomalies, modifications to current generation of the system (including enhancements and improvements), and a new release or new generation of the system. 3-14 TIMELINE The Vendor shall initiate the Test Period, and therefore full installation, no later than 21 days from the award of the contract. 2. The Vendor shall provide the required training sessions within 14 days of the completion of the Test Period at an acceptable time and location, identified by the Region. 3. In the event the Vendor fails to meet the specified timeline, the customer will reserve the right to: a. Terminate the agreement/contract. Upon any such termination the Vendor shall refund any monies paid by Customer to Vendor therefore. Neither party shall then have any further liability; or b. Reduce the amount due to the Vendor by up to 2.5% per day that the Vendor fails to meet the described timeline. J ESIAGUU-1.111 GLrS ACORDCERTIFICATE OF LIABILITY INSURANCE °A11`1712008 ' PRODUCER (864) 288-4950 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION Sullivan Company LLC ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR PO Box 2910 ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. Greenville, SC 29602 INSURERS AFFORDING COVERAGE NAIC # INSURED ESI Acquisition, Inc. INSURER A: Great American Insurance Companies 699 Broad St # 1100 INSURER B: Auto Owners Insurance Company 18988 Augusta, GA 30901-1442 INSURER C: Illinois Union INSURER D: Twin City Fire Insurance 0914 INSURER E: OVERAGES THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT; TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. iNSR L ID' R TYPE FIN NCE POLICY NUMBER POLICY EFFECTIVE DATE MM/DD POLICY EXPIRATION DATE MM/DD/YY LIMITS A -GENERAL LIABILITY X COMMERCIAL GENERAL LIABILITY CLAIMS MADE OCCUR - PL1234107 - — --EACH 6/27/2009 OCCURRENCE— _$ _ 1,000,00 6/27/2008 DA AGE ToRFNTED PREMISES Ea oc'urence $ 50,00 MED EXP (Any one person) $ 5,000 PERSONAL & ADV INJURY $ 1,000,000 GENERAL AGGREGATE $ 2,000,00 GEN'L AGGREGATE LIMIT APPLIES PER: X POLICY PE O LOC PRODUCTS - COMP/OP AGG $ 2,000,000 B AUTOMOBILE LIABILITY ANY AUTO ALL OWNED AUTOS SCHEDULED AUTOS HIRED AUTOS NON -OWNED AUTOS 4156461300 6/27/2008 6/27/2009 COMBINED SINGLE LIMIT (Ea accident) $ 1,000,00 BODILY INJURY (Per person) $ X X BODILY INJURY (Per accident) $ X PROPERTY DAMAGE (Per accident) $ GARAGE LIABILITY ANY AUTO - AUTO ONLY - EA ACCIDENT $ - OTHER THAN EA ACC AUTO ONLY: AGG $ $ C EXCESS/UMBRELLA LIABILITY OCCUR CLAIMS MADE DEDUCTIBLE RETENTION $ XS557492104 6/27/2008 6/27/2009 EACH OCCURRENCE $ 5,000,00 AGGREGATE $ 5,000,000 $ $ D WORKERS COMPENSATION AND EMPLOYERS' LIABILITY ANY PROPRIETOR/PARTNERIEXECUTIVE OFFICER/MEMBER EXCLUDED? Ii yes, describe under - SPECIAL PROVISIONS below 22WECRH2368 6/27/2008 6/27/2009 X RY LIM TS OT O E.L. EACH ACCIDENT $ 1,000,00 E.L. DISEASE - EA EMPLOYE $ 1,000,00 E.L. DISEASE -POLICY LIMIT $ 1,000,00 C OTHER Technology & Internet E&O Liab G21925184004 6/27/2008 6/27/2009 $25,000 Retention $1,000,000 Limit. DESCRIPTION OF OPERATIONS / LOCATIONS I VEHICLES I EXCLUSIONS ADDED BY ENDORSEMENT / SPECIAL PROVISIONS CERTIFICATE HOLDER CANCELLATION City of Miramar 2300 Civic Center Place Miramar, FL 33025- ACORD 25 /2001MR) SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL 30 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE INSURER, ITS AGENTS OR REPRESENTATIVES. AUTHORIZED REPRESENTATIVE o. © ACORD CORPORATION 1988 ESi Acquisition, Inc. Proposal Submitted in Response to the City of Miramar REQUEST FOR PROPOSALS #08-11-01 For Emergency Management Command, Control and Collaboration System Software and Related Services for all Governmental Agencies and Federally Recognized Tribes Located -within Broward, Miami= Dade, Monroe, and Palm Beach Counties EST 1455 Due: Tuesday, March 4, 2008 by 2:00 p.m. ,_.:... . � s. c. c - ff ail 4 Emergency Services integrators • 823 Broad Street Augusta, GA 30901 Fax: 706-826-9911 Phone: 706-823-0911 www.esi9ll.com March 3, 2008 Office of the City Clerk The City of Miramar 2300 Civic Center Place Miramar, FL 30025 Subject: ESi Response to City of Miramar's RFP #08-11-01, "Emergency Command, Control, and Collaboration System Software and Related Services for All Governmental Agencies and Federally Recognized Tribes Located within Broward, Miami -Dade, Monroe, and Palm Beach Counties" ESi is pleased to submit the attached proposal in response to the Referenced RFP. The Proposal consists of two separate parts: the Technical Proposal and the Pricing Proposal. ESi is confident that you will find our proposal complete, and that it meets the requirements of the RFP and the Southeast Florida region's needs. ESI looks forward to providing the City of Miramar with the solution to your Emergency Management System needs. Should you have any questions, please contact Debby Varlet at (706) 823-0911 or e-mail dvarlet@esi9l Lcom. If she is unavailable, I can be reached at (706) 823-0911, or via e-mail at: cmacdonald@esi9l Lcom. Sin ly, Curtis R. cDonald Chief Operating Officer WebECCS Soundless Colleboretlort ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Technical Proposal Cover Sheet PROPOSER'S NAME (Name affirm, entity, or organization): ESi Acquisition, Inc. FEDERAL EMPLOYER IDENTIFICATION NUMBER: 58-2498832 NAME AND TITLE OF PROPOSER'S CONTACT PERSON: Name: Curtis R. MacDonald MAILING ADDRESS: Street Address: 823 Broad Street City, State, zip: Augusta, GA 30901 TELEPHONE: (706) 823-0911 PROPOSER'S ORGANIZATION STRUCTURE., X Corporation Partnership Proprietorship IF CORPORATION: Date Incorporated/Organized: 10 14 99 State of Incorporation/Organization: Delaware Title: Chief Operating Officer FAX. (706) 826-9911 Joint Venture Other (explain): States registered in as foreign Corporation: GA, SC, CT, OH, CA, VA, IL, DE, IN, IA, LA, MD, MI, NC PROPOSERS SERVICES OR BUSINESS ACTIVITIES OTHER THAN WHAT THIS SOLICITATION REQUESTS FOR: ESi also provides Emergency Operations Center assessments and design services, provides computer -aided dispatch integration to WebEOC, as well as exercise development and support. LIST NAMES OF PROPOSER'S SUBCONTRACTORS AND/OR SUBCONSULTANTS FOR THIS PROJECT: TechData (SQL license supplier); Bell Micro (Double -Take license supplier); Dell (hardware supplier) PROPOSERS AUTHORIZED SIGNATURE: The undersigned by certi ' t s Pro sal ' submitted in response to this Solicitation. Signed by: Date: March 3, 2008 Print name: Curtis R. MacD ald Title: Chief Operating Officer FAILURE TO COMPLETE, SIGN AND RETURN THIS FORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 Page 2 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Contents Technical Proposal Cover Sheet................................................................................................................... 2 III. Executive Summary.......................................................................................................................... 7 A. ESi's Ability to Provide Products and Services.................................................................................. 7 A.1 Basic Services Offered.............................................................................................................. 7 B. ESi's History and Background......................................................................................................... 11 C. Personnel Qualifications................................................................................................................. 12 - D. Subcontractors-....::.............. :::......................................:...-...:...-.................................. 13 E. Other Relevant Information — Why ESi?......................................................................................... 13 F. Exceptions.......................................................................................................................................13 IV. Required Information..................................................................................................................... 14 V. Technical Information.........................................................................................................................18 A. ESi's Ability to Meet the Requirements of the SOW...................................................................... 18 A.1 Proposed solution and services offered................................................................................. 18 A.2 Ability to meet the requirements........................................................................................... 22 A.2 Approach to Organization and Management......................................................................... 25 A.3 Method to Ensure Safety........................................................................................................ 25 A.4 Method to Ensure Prompt Service, Customer Satisfaction, and Complaint Resolution........ 25 A.5 Employee Performance and Training..................................................................................... 26 A.6 Timely Initiation and Completion of All Work........................................................................ 26 A.7 Quality Management............................................................................................................. 28 B. Subsidiaries or Affiliates.............................................................................................................30 C. Additional Requirements of the City of Miramar....................................................................... 30 C.1 Drug -Free Work Place............................................................................................................. 30 C.2 Employee drug -testing program............................................................................................. 30 C.3 Human Resources Practices................................................................................................... 30 C.4 Experience and Past Performance.......................................................................................... 30 D. Business Background...................................................................................................................... 34 D.1 Number of Years ESi Has Been in Business............................................................................. 34 D.2 Number of Years Operating under Current Name................................................................. 34 D.3 Business Ownership by ESi Owners........................................................................................ 34 March 3, 2008 Page 3 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software E. Comparable Projects Completed in Last Five Years....................................................................... 35 F. Contracts Performed for the City of Miramar................................................................................ 39 G. Other Experience Related to the SOW........................................................................................... 39 H. Financial Statement........................................................................................................................ 42 I. Pending Litigations or Investigations.............................................................................................. 42 J. Complaints......................................................................................................................................42 VI. Key Personnel and Subs Performing Services................................................................................ 43 A. Organization Chart............................................................................................................................. 43 B. PERSONNEL EXPERIENCE................................................................................................................44 - C. — RESUMES ......................................... a................................................................................... ........... 45- D. Truck Driver Requirements............................................................................................................. 53 E. Subcontractors............................................................................................................................... 53 VII. Affidavits and Acknowledgements................................................................................................. 54 APPENDIX A — Response to the Scope of Work.......................................................................................... 55 3-3 GENERAL SYSTEM REQUIREMENTS........................................................................................ 55 3-4 GENERAL IMPLEMENTATION REQUIREMENTS....................................................................... 64 3-5 SYSTEM SECURITY................................................................................................................... 65 3-6 SYSTEM REQUIREMENTS........................................................................................................ 66 3-7 REPORTING REQUIREMENTS.................................................................................................. 66 3-8 ACCEPTANCE...........................................................................................................................67 3-9 BUSINESS CONTINUITY & DISASTER RECOVERY..................................................................... 67 3-10 TERMS AND PAYMENT........................................................................................................... 70 3-11 TRAINING................................................................................................................................71 3 -12 SYSTEM WARRANTY............................................................................................................... 71 3-13 SERVICE LEVEL AGREEMENTS —SUPPORT .............................................................................. 72 3-14 TIMELINE.................................................................................................................................72 AppendixB — Implementation Plan............................................................................................................ 74 B.1 Phase I........................................................................................................................................ 74 B.2 Phase II....................................................................................................................................... 76 B.3 Phase III...................................................................................................................................... 80 B.4 Acceptance Testing and Go-Live................................................................................................. 80 B.5 Timeline..................................................................................................................................... 81 B.6 Deliverables................................................................................................................................81 March 3, 2008 Page 4 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software B.7 Key Milestones........................................................................................................................... 81 B.8 Project Resources....................................................................................................................... 81 B.9 ESi Project Approach.................................................................................................................. 82 B.10 Project Management Plan components..................................................................................... 86 B.10.1 Communications Management......................................................................................... 87 B.10.2 Risk Management............................................................................................................... 87 B.10.3 Scope Management........................................................................................................... 87 B.10.4 Resource Management...................................................................................................... 88 B.10.5 Quality Management.......................................................................................................... 88 B.10.6 -Function--Testing....................................................................................................... ...... 89 B.10.7 Security Testing................................................................................................................... 89 B.10.8 Performance Testing........................................................................................................... 89 B.10.9 Continuous Improvement................................................................................................... 90 B.10.10 Schedule Management....................................................................................................... 90 B.10.11 Integration/Conversion Management................................................................................ 90 B.10.12 Change Management......................................................................................................... 90 B.10.13 Deliverables Walkthrough.................................................................................................. 91 B.10.14 Status Reporting................................................................................................................. 91 B.10.15 Overall Implementation......................................................................................................91 Appendix C — WebEOC System Specifications, Requirements, and Support Information ......................... 92 C.1 Data Centers............................................................................................................................... 92 C.2 Architecture...........................................................................................................................93 C.3 Operating System.................................................................................................................. 93 C.4 Database Software................................................................................................................ 93 C.5 Replication Software.............................................................................................................. 93 C.6 Backup and Recovery ............................................................................................................. 94 C.7 Disaster Recovery .................................................................................................................. 94 C.8 Hardware Requirements....................................................................................................... 95 C.9 Network Requirements......................................................................................................... 96 C.10 Support Statement................................................................................................................ 96 APPENDIX D—Affidavits and Acknowledgements..................................................................................... 97 A. TECHNICAL PROPOSAL COVER SHEET............................................................................................ 97 B. ADDENDA ACKNOWLEDGEMENT FORM........................................................................................ 98 March 3, 2008 Page 5 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software C. PROPOSER INFORMATION FORM................................................................................................... 99 D. PROPOSER'S DISCLOSURE OF SUBCONTRACTORS, SUBCONSULTANTS, AND SUPPLIERS............ 102 E. DRUG -FREE WORKPLACE AFFIDAVIT............................................................................................ 103 E. DRUG -FREE WORKPLACE AFFIDAVIT (CONTINUED)..................................................................... 104 F. ANTI -KICKBACK AFFIDAVIT........................................................................................................... 105 G. NON -COLLUSIVE AFFIDAVIT......................................................................................................... 106 H. NON-DISCRIMINATION AFFIDAVIT............................................................................................... 108 I. BUSINESS/VENDOR PROFILE SURVEY........................................................................................... 109 J. FORM W9..................................................................................................................................... 110 - - - -Attachments...................................................................... ....................................................................... 111 Attachment 1- WebEOC Security Guide............................................................................................. 111 Attachment 2 - WebEOC End User License Agreement(EULA)........................................................... 112 Attachment 3 - ASP Hosting Agreement............................................................................................. 113 Attachment 4 - Unaudited Financial Statements................................................................................ 114 Attachment5 - Licenses....................................................................................................................... 115 March 3, 2008 Page 6 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software III. Executive Summary A. ESi's Ability to Provide Products and Services A.1 Basic Services Offered ESi will provide the Southeast Florida Region with a complete solution that goes beyond just software and will not only meet the technical requirements of this RFP, but also will support the region in meeting its unique challenges. The Southeast Region is vulnerable to hazards that are widespread and thus affect individual jurisdictions and the region as a whole. As a result, it is important that the tools used in response to these hazards meet the needs of both the individual jurisdictions and the region. ESi understands that interoperability is vital and that ease of use is essential, particularly in an emergency when every second counts. Ease of use is the reason most often cited by customers when they switch from -another emergency management software to WebEOC. ESi knows that agencies -must be able to track and share resource requests within and across their jurisdictions and has incorporated resource tracking capability into WebEOC. And of course, reporting is never optional, even during a crisis. WebEOC includes reporting capability and a suite of ICS and FEMA forms. With all these advantages, one would think that WebEOC would be expensive, but WebEOC is licensed per server with unlimited users. WebEOC is scalable. Customers control ramping up as needed during an emergency. Who wants to count users or request additional licenses in the midst of a crisis? This model is not only economical, it is essential in an emergency management environment. WebEOC has been broadly implemented across the US and internationally, as shown in Figure A.1. With over four hundred and fifty implementations over more than ten years, ESi has gained the kind of process and implementation expertise that can only come from experience, from implementing its software over and over again in many different environments. WebEOC is being used by both small and large government agencies, by local and federal level agencies, by corporations, airlines, utilities, and nuclear plants. In each of these implementations, ESi has listened to its customers to gain an understanding of their processes, and then configured WebEOC to facilitate those processes. WebEOC is the system of choice in several large regions, including the National Capital Region, the State of Texas, and Southern California. Customers in these regions share information across instances of WebEOC, thus providing a regional situational awareness and enhanced ability to respond. ESi understands the special issues associated with a regional implementation —the need to manage information and resources at a local level and yet also to share information and resource requests as needed, in a controlled, safe manner. With our multi -level security, our customers can choose what information to share and what permissions users have to access or alter that information. Selecting ESi provides Southeast Florida with a solution developed by emergency managers, used by more emergency managers than any other, and implemented by former emergency management personnel. ESi will provide the Southeast Florida Region with a state-of-the-art web -enabled emergency command, control and collaboration system, delivered in the three phases specified in the RFP. The solution is based on implementation of WebEOC and ESiWebFUSION for the region. ESi's solution satisfies all the requirements of the RFP, as shown in the detailed section -by -section responses provided in Appendix A. And as shown in the following paragraphs, our proposed solution for Miramar fully satisfies all the evaluation criteria. With ESi's solution, the Southeast Florida Region will acquire a system that meets its immediate and ongoing needs. March 3, 2008 Page 7 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Figure A.1 A.1.1 WebEOC-Interoperability ESi's commitment to interoperability was demonstrated early on by its membership in OASIS (the Organization for the Advancement of Structured Information Standards), ComCARE, and the Emergency Interoperability Consortium (EIC). Today, ESi co-chairs one Oasis committee, and serves on the OASIS Emergency Management technical committee responsible for developing EDXL. ESi was one of the participants who successfully sent and received messages among different CIMS products during the Emergency Data Interoperability Demonstration held October 27, 2004 at George Washington University, and again in November 2004. On March 15, 2007, ESi participated in the Interoperability for Informed Emergency Response Showcase, hosted by COMCARE, the American Red Cross, and NCOIC in conjunction with the Senate Homeland Security Committee. In 2005, ESi received an award from DHS's Disaster Management EGOV Initiative for "leadership in helping to remove the barrier of data interoperability in emergency response". WebEOC is the CIMS standard for the National Capital Region and was the first CIMS product selected for HSIN integration. ESi's commitment to interoperability is demonstrated in its products. WebEOC includes a tool that enables users to send and receive CAP alert messages. The Common Alerting Protocol provides a simple but general, non-proprietary format for exchanging all -hazard emergency alerts and public warnings. And next month, ESi is introducing ESiWebFUSION11 which takes interoperability a step farther, enabling communication not only between individual WebEOCs but also third -party systems. Information can be shared across the region to implement information sharing agreements. Jurisdictions can manage their own information and also can share information with the larger community to enhance and strengthen collaboration. With so many state -level, county and municipal governments March 3, 2008 Page 8 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software relying on WebEOC across the country, adopting WebEOC in Southeastern Florida will lead to even greater interoperability nation-wide. A.1.2 WebEOC- Ease of Use Ease of use is the reason most often cited by our customers when switching from another emergency management software to WebEOC. The WebEOC user interface is intuitive. WebEOC administrators have told us that they have successfully phone -trained users in minutes during an emergency and had them posting information virtually immediately. A.1.3 WebEOC- Ability to Track Resources ESi provides several alternatives for tracking resources, allowing our customers to choose the approach that works best for them. WebEOC includes a "Resources" default status board that allows agencies to - maintain, -manage and assign inventory or available resources. ESi-can create customer -specific resource boards to accomplish particular objectives identified by the customer. Resource Manager, an optional plug-in to WebEOC, allows the user to establish a catalog of all available resources that is structured according to the NIMS resource definitions, identifying where the resources are located, who owns them, the costs associated with their deployment, and contact information. In addition, Resource Manager allows users to: • Establish request hierarchy(ies) based on existing processes (e.g., city requests from a county, a county requests from another county and/or state). • Manage resources during an incident through resource requests and deployments; • Add resources "on the fly" during an incident with the capability to review, edit and add the resource to the permanent inventory post -incident; • Selectively tag resources as shared, making resources visible to other agencies • Track and deploy donated goods; • Prepare and track EMAC forms electronically; • Prepare reports and audit logs of resource management activities related to an incident. A.1.4 WebEOC- Multi -Level Security WebEOC deployed in a hosted environment offers multiple levels of security. ESi's commitment to security is evidenced throughout its software development process by the fact that it contracts with Aspect Security, Inc. to conduct independent penetration testing and application security code reviews of WebEOC software. Very few software firms are willing to incur this additional expense. Aspect Security was involved in ESi's Application Security Policy Development and ESi's WebEOC developers attend Aspect Security's Web Application Security Developer Training. ESi contracts with Rackspace for hosting services. Rackspace provides a combination of physical security measures and ongoing video surveillance is in place to ensure the infrastructure remains safe and secure. Security guards are stationed at building and data center entrances limiting physical access, and only Rackspace employees and escorted collocation customers can enter secured areas. Access to each data center is further limited by badge -only access, man -trap entries, and biometric readers. The March 3, 2008 Page 9 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software dedicated network is comprised of redundant PIX firewalls. All WebEOC transactions are encrypted at the Web server with SSL 128-bit encryption. Rackspace's SAS 70 (Type II) can be provided upon request. Users access WebEOC via user id and password, with passwords stored using the SHA512 hashing algorithm. The database connection string is encrypted using Rijndael (AES) encryption. Features such as manual and automatic account lockout, password aging, etc., can be implemented through WebEOC's General Settings Manager. Tier 1 authentication can be enabled/disabled. This adds a Windows login along with the WebEOC login. The Windows login would grant initial access to the web server; the WebEOC login would grant access to WebEOC. Secure Socket Layer (SSL) should be implemented to encrypt all WebEOC transmissions. Session timeouts can be set globally via the standard IIS setting. Microsoft's IIS supports event logging. Intrusion detection of monitored ports (e.g. Port 80) is possible, but this is not a native -capability of WebEOC. The system provides auditing of any changes made through the Admin Manager (updates, additions, deletions); any board entries; user log -ins. Security and audit reporting of system access and usage can be accomplished through the operating system. As previously noted, ESi contracts with Aspect Security, Inc. to conduct independent penetration testing and application security code reviews of WebEOC software. These reviews cover: authentication, authorization, parameter use, cross -site scripting, buffer -overflows, command injection, error handling, cryptography, system administration and server configuration. They also thoroughly examine unnecessary and malicious code, concurrency, denial of service, privacy, logging, integrity, pooling, caching, reuse, code quality, legislative compliance, and site -specific policies. A.1.5 GIS Compatibility ESi's optional WebEOC® Mapper Professional fuses the power of ESRI® ArcGIS° with the functionality and ease of the ESi° WebEOC product suite. This Web -enabled emergency management communications system is designed specifically for public and private organizations involved in homeland security and emergency management. WebEOC Mapper Professional provides powerful technology tools necessary to create a dynamic, geographically based common operating picture and the ability to view data from multiple WebEOC screens simultaneously on a centralized map. Integrating various types of complex data into a geographic framework is essential to providing emergency management personnel with actionable information. The integration of WebEOC Mapper Professional and ESRI's ArcGIS Server, with its powerful analysis and modeling tools, is a best -of -breed emergency management solution. Additional map services from internal or external map servers —such as live weather patterns, video surveillance feeds, and automated vehicle location —can be added to the map to enhance situational awareness. The unique benefit of the WebEOC-ESRI integration is that GIS functions are built into WebEOC core Board Builder tools. As a result, an average EOC administrator can lay out any data entry form with specific geocoding fields. March 3, 2008 Page 10 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software WebEOC Mapper Professional enables emergency managers and other authorized personnel in remote locations to geographically represent a real-time view of a disaster situation. A.1.6 WebEOC- Licensing As mentioned above, WebEOC is licensed per server, unlimited users. This allows WebEOC users to ramp up in an emergency without expense and without delay. A.1.7 Reporting Ability In addition to real-time access to emergency information, WebEOC provides an extensive information retrieval and reporting capability. WebEOC provides the capability to run a comprehensive incident report to include all boards, or any combination of boards, as determined by the user. To run a report one just clicks on the incidents link in the Admin Manager and selects the boards to be included in the -report. Alldata board selected will be -included in the report. Preformatted reports can be created and then added as a link on the Control Panel. The Riverside EOC coordinator had this to say about WebEOC's reporting and audit trail capabilities: "Got to love the ease of using the incident report at the deactivation (80 pages) printed in minutes combined with the server IP logs providing a good audit paper trail." B. ESFs History and Background ESi Acquisition, Inc. (www.esi9ll.com) is solutions -based company specializing in EOC systems for the public and private sector. ESi provides turnkey start -to -finish E-911 and EOC consulting, engineering and project management services. ESi develops Crisis Information Management Software, designs EOCs, installs E9-1-1 controllers and other E9-1-1/EOC equipment, and integrates 911/EOC systems. ESi Acquisition, Inc. began operations in September 1996 as Emergency Services integrators LLC (ESi). ESi LLC was the first spin -out from Westinghouse Savannah River Company and one of the few success stories under a pilot program launched by the U.S. Department of Energy. On October 29, 1999 Emergency Services integrators, LLC (ESi) was purchased and merged with CIVIL Technologies to form CML Emergency Services (CMLes). At that time, ESi LLC became ESi Acquisition, Inc., a Delaware based corporation. On February 8, 2001, the two companies went through a corporate break-up with ESi Acquisition, Inc. refocusing its efforts on emergency management while at the same time maintaining its existing customer base in the public safety market. Today, ESi is the industry leader in Crisis Information Management Software (CIMS). • At the federal level, WebEOC is used by the Environmental Protection Agency (EPA), the National Aeronautics and Space Administration (NASA), and agencies within the U.S. Departments of Agriculture, Defense, Energy, Homeland Security, and Health and Human Services. ® At the state and local level, WebEOC is licensed to twenty-six states and over two -hundred city and county emergency management agencies. Examples of Tier I and Tier II UASI Urban Area customers include the National Capital Region, Los Angeles/Long Beach, Phoenix, Riverside, San Diego, Anaheim/Santa Ana, Atlanta, Indianapolis, New Orleans, Boston, Baltimore, Kansas City, Las Vegas, Portland, Nashville, El Paso, San Antonio, and Seattle. Because of the way WebEOC is March 3, 2008 Page 11 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software licensed (per server, unlimited users) many WebEOC installations are regional in nature. This means that there are actually many more cities/counties with access to WebEOC than are actually license holders and the total number of users is and will remain incalculable. • In the private sector, WebEOC is used by companies large and small to include a host who are Fortune 100/500. Examples of private sector customers include airlines, cruise lines, telcos, healthcare associations, public utilities (both nuclear and non-nuclear), banking, universities, entertainment. • Internationally, WebEOC is used in Australia, Belize, Brazil, Canada, Cayman Islands, Costa Rica, El Salvador, England, Guatemala, Honduras, Italy, New Zealand, Nicaragua, Panama, Trinidad and Tobago. It is also used by overseas airlines: AeroMexico, British Air, Malaysia Airlines, Swiss International, and Virgin Atlantic. • WebEOC has been localized into Brazilian Portuguese and Spanish. In fact, we may never know just how many agencies depend on WebEOC. One thing we do know, and every exercise and real emergency demonstrates: the best response requires action from a complex web of governments, agencies, responders, hospitals, and volunteers. WebEOC provides the technological backbone in this vital, living web of life. Today, ESi is the industry leader in Crisis Information Management Software (CIMS). With a three-year growth rate of 260 percent, ESi ranked in the top third of the Inc. 5,000. This growth is as a result of our customer's satisfaction with our products and services. ESi adds nearly 150 new licensees each year, almost entirely as a result of customers' referrals. We have furthered enhanced our commitment to serving our customers by establishing regional offices in Colorado, Wyoming, Washington DC, Michigan, Texas, Virginia, Florida, and Massachusetts (and soon, California) to better serve our communities. C. Personnel Qualifications ESi is committing its most important resources to this project. ESi is providing a local presence to the project with Cindy Foreman. Cindy came to ESi from CITGO, where she was a Regulatory Compliance and Crisis Management Specialist. Cindy will be supported by Kevin Price and Randy Cantu. Kevin is responsible for the region that includes the National Capital Region (NCR). The NCR is an interoperability success story, and they have accomplished this with WebEOC. The NCR standardized on WebEOC nearly two years ago and regularly shares information across the region. Kevin brings that understanding and his own experience in emergency response to the team. Randy is a certified project management expert with considerable experience in complex technical integration tasks. As Project Manager, Randy is a "details" manager with tremendous consensus -building skills and strong technical skills in hardware and software integration. ESi's Chief Technology Officer, John O'Dell, will oversee this project and take personal responsibility for its success. John is not just our CTO. He is one of ESi's founders and the pioneer of WebEOC. His emergency management related experience predates the company when he worked for the Department of Energy. Since that time, he has largely remained in the field, implementing WebEOC for the most sensitive and complex agencies. This includes almost all federal and state agencies as well as large, regional implementations. Together, these four people represent a powerful, technically oriented management team. ESi's management team is augmented by staff with critical skills in CONOPS analysis and formulation, technical implementation, and training/support of EOC functions at State, Local, and Federal levels. This March 3, 2008 Page 12 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software staff has been deeply involved in configuration and integration of WebEOC, establishing advanced but workable concepts of operation and automation and serving on the front lines at major events. ESi understands the importance of this initiative. This project will receive the continuing attention of ESi's senior executives to ensure its continued success. Nadia Butler, ESi's CEO, will maintain close oversight of this project and will be personally available to the leadership of the Southern Florida Region to address any concerns if they arise during execution of this project. In short, the ESi team has a complex job to accomplish, one that we are prepared to lead and deliver. We are aware that there are varied mission requirements and multiple "customers" in the mix. As the world leader in Crisis Information Management Software, ESi is the best company and WebEOC the best product to meet the City of Miramar and Southeast Florida's requirement for an Emergency Management Command, Control, and Collaboration System Software solution. D. Subcontractors ESi is proposing no subcontractors for this project. All work will be performed by ESi staff E. Other Relevant Information - Why ESi? ESi will bring a solution to the region, not just software systems. With our extensive experience in implementation, we have come to understand the importance of working with our customers to meet their ultimate mission. We are committed to working with the Southeast Florida Region to understand your vision for the region and to provide the best systems, support and services necessary to realize that vision. We will work with you to clearly define the requirements for each instance of WebEOC and for communication across the region to ensure that the system is implemented properly. ESi clearly has the solution for the Southeast Florida Region, but perhaps more significantly, ESi is the right company for this important initiative. ESi is recognized for its unparalleled customer support. We are known for being there whenever our customers need us with our 24/7 customer support. And we go beyond just support by proactively reminding customers that we are standing by when we know that hazards are threatening their regions and that they might be activating. In 2007, we went even further by expanding our company, establishing regional offices throughout the country so that we can be closer to our customers, We have given our regional managers the responsibility to ensure that the customers in their regions have everything they need to be able to use the full capabilities of WebEOC. We have established an office in Southern Florida to meet the needs of that region. Cindy Foreman, our regional manager in Southern Florida, will be responsible for the success of this effort. F. Exceptions ESi takes no exceptions. March 3, 2008 Page 13 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software IV. Required Information ESi provides in its proposal documentation demonstrating its ability to satisfy the required information contained in the RFP. Where stated by the RFP, ESi has provided the required affidavits and provided information in the format specified and on the forms required. March 3, 2008 Page 14 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software SECTION 8 PROPOSER INFORMATION FORM All information supplied in connection with this form is subject to review and verification. Any and all determinations concerning this information will be used to determine eligibility for participation in the award. Inaccurate or incomplete answers may result in your Proposal being deemed as "Non - Responsive." (1) How many years has your organization been in business under your present business name? 7 years (on 2/1/08) (2) State of Florida occupational license type and number: Will apply for this license. (3) County (state county) occupational license type and number: 323-0004228 (Broward). (4) City of Miramar occupational license type and number: NA. (A CITY OF MIRAMAR OCCUPATIONAL LICENSE IS NOT NECESSARY UNLESS THE BUSINESS IS LOCATED WITHIN THE CITY OF MIRAMAR) PROPOSERS MUST INCLUDE A COPY OF EACH LICENSE LISTED WITH PROPOSAL (5) Describe experience providing Services/Commodities for similar (government) organizations: ESi Acquisitions, Inc. is the developer of WebEOC® Professional. ESi has installed WebEOC at more than 450 customer sites worldwide, and has provided training and implementation assistance to these entities as well. More than half of the WebEOC license holders are government agencies. Twenty-six state -level governments rely on WebEOC in emergencies and day-to-day operations as do 208 counties and municipality EOCs. (6) Have you ever had a contract terminated (either as a prime contractor or subcontractor,) for failure to comply, breach, or default? yes X no (IF YES, PLEASE ENCLOSE A DETAILED EXPLANATION ON SEPARATE SHEET) March 3, 2008 Page 15 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software SECTION 8 PROPOSER INFORMATION FORM (CONTINUED) (7) Please list five Government contract references, if available: Agency Name: Fairfax County Office of Emergency Management Address: 12000 Government Center Park"ay, Suite 565 City, State, & Zip Code: Fairfax, VA 2203 Contact's Name & Phone #:Roy Shrout, (703) 324-2345, roy.shrout fairfaxcounty.gov Agency Name: South Carolina Emergency Management Division Address: Pine Ridge National Guard Armory, 2779 Fish Hatchery Road City, State, & Zip Code: West Columbia, SC 29172 Contact's Name & Phone #:John Paolucci, (803) 737-8650, ipaoluccC@emd.state.sc.us Agency Name: Mid -America Regional Council Address: 600 Broadway, Suite 300 City, State, & Zip Code: Kansas City, Missouri 64105-1554 Contact's Name & Phone #:Matt May, (816) 474-4240 X411, mmay MARC.org FAILURE TO COMPLETE AND RETURN THIS FORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 Page 16 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software SECTION 8 PROPOSER INFORMATION FORM (CONTINUED) Agency Name: District of Columbia EMA Address: 2000 14th Street, NW 8th Floor City, State, & Zip Code: Washington, DC 20009 Contact's Name & Phone #:Joshua Jack, (202) 673-2101 x 1193 Agency Name: Texas Department of Public Safety Address: 5805 North Lamar Boulevard City, State, & Zip Code:Austin, TX 78752 Contact's Name & Phone #:Kevin Lemon, (512) 424-2208 FAILURE TO COMPLETE AND RETURN THISFORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 Page 17 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software V. Technical Information A. ESi's Ability to Meet the Requirements of the SOW A.1 Proposed solution and services offered ESi will provide the Southeast Florida Region with a complete solution that goes beyond installing software and will not only meet the technical requirements of this RFP, but also will support the region in meeting its unique challenges. The Southeast Region is vulnerable to hazards that are widespread and thus affect individual jurisdictions and the region as a whole. As a result, it is important that the tools used in response to these hazards meet the needs of both the individual jurisdictions and the region. ESi understands that interoperability is vital and that ease of use is essential, particularly in an emergency when every second counts. Ease of use is the reason most often cited by customers when they switch from another emergency management software to WebEOC. ESi knows that agencies must be able to track and share resource requests within and across their jurisdictions and has incorporated resource tracking capability into WebEOC. And of course, reporting is never optional, even during a crisis. WebEOC includes reporting capability and a suite of ICS and FEMA forms. With all of these advantages, one would think that WebEOC would be expensive, but WebEOC is licensed per server with unlimited users. WebEOC is scalable. Customers control ramping up as needed during an emergency. Who wants to count users or request additional licenses in the midst of a crisis? This model is not only economical, it is essential in an emergency management environment. WebEOC has been broadly implemented across the US and internationally, as shown in Figure A.1. With over four hundred and fifty implementations over more than ten years, ESi has gained the kind of process and implementation expertise that can only come from experience, from implementing its software over and over again in many different environments. WebEOC is being used by both small and large government agencies, by local and federal level agencies, by corporations, airlines, utilities, and nuclear plants. In each of these implementations, ESi has listened to its customers to gain an understanding of their processes, and then configured WebEOC to facilitate those processes. WebEOC is the system of choice in several large regions, including the National Capital Region, the State of Texas, and Southern California. Customers in these regions share information across instances of WebEOC, thus providing a regional situational awareness and enhanced ability to respond. ESi understands the special issues associated with a regional implementation —the need to manage information and resources at a local level and yet also to share information and resource requests as needed, in a controlled, safe manner. With our multi -level security, our customers can choose what information to share and what permissions users have to access or alter that information. Selecting ESi provides Southeast Florida with a solution developed by emergency managers, used by more emergency managers than any other, and implemented by former emergency management personnel. ESi will provide the Southeast Florida Region with a state-of-the-art web -enabled emergency command, control and collaboration system, delivered in the three phases specified in the RFP. The solution is based on implementation of WebEOC and ESiWebFUSION for the region. WebEOC is the original web - enabled crisis information management system and provides secure real-time information sharing to help managers make sound decisions quickly. Originally developed for public safety and emergency management officials, WebEOC is now also used by private corporations, public utilities, domestic and international airlines, healthcare (hospitals and public health), universities, as well as by government at everylevel---city, county and state agencies nationwide. Federal customers include NASA, EPA, and March 3, 2008 Page 18 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software agencies within the Departments of Agriculture, Defense, Energy, Health & Human Services and Homeland Security. Alaska yp 1 � ♦ 33 I � � .. t P,rc�fc Oce,m I,.._ � I r I ��- 1 - • I �_Sy_ J �;`; �� Hawaii t ti ,•' _ \\ Ocemi 41 pacifOceruic,\ Ocean r • WebEOC Customers in #heunitetl States i ems. - ma 5 3 v `hrara 5� w° tek L; 'a xz A._ Nn < A.- Ana fir. Figure A-1 Following the events of September 11, 2001, the Department of Justice (DOJ), National Institute of Justice (NIJ)JOffice of Science and Technology (OS&T) conducted an evaluation of what is now known industry -wide as Crisis Information Management Software (CIMS). At the time there existed relatively few software firms providing CIMS — the software used in emergency operations centers (EOCs) to manage crisis information. ESi was one of only ten software firms who subjected its software, WebEOCO, to DOJ's independent evaluation. Since that time, ESi has become the leading provider of CIMS nationwide. WebEOC first received industry -wide exposure in the July 1999 edition of the International Association of Emergency Managers (IAEM) Bulletin. In an article written by then IAEM Region IX President B.J. Sibley, WebEOC and the concept of a "virtual" EOC were given widespread recognition. In DOJ's 2002 evaluation, state and local emergency management agencies indicated that Crisis Information Management Software must: • Be affordable • Be user friendly • Be easy to maintain by existing EMA Staff with access to vendor's technical support • Be easy to tailor to the conditions and policies of the agency • Allow for remote access by authorized users located outside the LAN • Comply with the provisions and standards for Incident Command System (ICS) March 3, 2008 Page 19 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software • Comply with the provisions of the Emergency Support Functions (ESF) • Integrate with other systems such as mapping, other CIMS, and telephonic alert notification systems • Integrate public health into emergency management. Operate within a variety of network configurations • Have a wide range of features. Offer help desk support 24/7 WebEOC's features include the following: • Significant Events • Infrastructure • Mission/Task • Resources Position Log • Press Release • SITREPs: ICS and ESF • FEMA/ICS/ESF Forms • Road Closures • Shelters • Chat - An informal method of communication within WebEOC. • Checklists - Automate checklists with the capability for users to status and annotate steps. • Contacts - Maintain and display contact information. • Messages - Allows users to communicate with each other via an internal messaging system. • Board Wizard - Build an unlimited number of status boards and forms tailored/customized to local operational needs. • Simulator - Build, edit, and control delivery of scenario data to WebEOC user screens in real-time. • Reporter - Generate preformatted or custom reports based on active or archived incidents. • NWS Alerts - Provides direct access to National Weather Service watches, warnings, and alerts. • File Library - Update and share documents and files with other WebEOC users. • MapTac - Publish and annotate a tactical map, dispersion model, digital photo, etc • WebEOCMapperProfessional (option) - Plug-in for ESRI customers who have their own GIS data. • WebEOC Resource Manager (option) - Resource Manager enables customers to catalog and deploy resources in a manner that is compliant with FEMA's National Incident Management System (NIMS). Following an initial kick-off meeting, ESi will conduct a series of information gathering sessions with the City of Miramar personnel. The goal of these sessions will be for all parties to gain an understanding of project goals, objectives, and more specifically, processes and procedures the City of Miramar envisions incorporating into WebEOC to support the concept of a Southeast Florida Regional Emergency Management scenario. While the primary focus of these information gathering sessions is to understand the City of Miramar's business rules and workflow, this process might include site assessment, evaluation of IT environment, backup and recovery, disaster recovery plans, future capacity requirements, and nature of systems and data to be used in conjunction with the ESi WebEOC solution. From this initial assessment, we will produce Operational Review documentation, detailing findings, redundancies in functionality, gaps, opportunities for process improvement, etc., and make recommendations concerning what will best meet the City of Miramar requirements. March 3, 2008 Page 20 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software While a notional scope of work is provided, an in -progress Project Plan will direct final project planning as the project progresses. Two key components to be produced in ESi PM Phase I are a Requirements Document and a Design Document. These documents will be instrumental in building the in -progress Project Plan, along with various other custom project documents and templates, including but not limited to: Communications Plan, Organizational and Escalation Plan, forms for Status Reporting and Meeting Notes, Risk Control documentation, Deliverable Acceptance forms, etc. Following these initial activities, ESi expects to guide the City of Miramar through the remainder of the implementation process following the direction obtained from the requirements -gathering and expectation -definition processes. At certain phase -points this will include providing technical assistance concerning hardware specification and configuration followed by the actual procurement of said hardware. Along with hardware procurement, ESi will install hardware and software, or alternately oversee its installation on the part of appropriate City of Miramar staff. A detailed implementation plan is provided in Appendix B. Highlights of the plan are summarized in the following paragraphs. A.1.1 Phase I During Phase I, ESi will host WebEOC for Broward, Miami -Dade, Monroe and Palm Beach Counties at its data centers in Dallas, Texas and Herndon, Virginia. (Specifications for these data centers can be found in Appendix C—System Specifications, Requirements and Support, Section C.1.). A system diagram is provided in Appendix B. In support of implementation of WebEOC in a way that fully meets the objectives of the region, ESi will work with representatives of the region to confirm high-level strategic objectives, identify key stakeholders, fully define project objectives, confirm the final project team, and develop and produce the project plan. ESi will interview selected county personnel to gain an understanding of project goals and objectives. While the primary focus of this phase is to understand business rules and workflow, this might include site assessment, evaluation of IT environment, backup and recovery, disaster recovery plans, future capacity requirements, and (optionally) nature of systems and data to be interfaced at a later date. From this initial assessment, we will produce operational review documentation, which will detail findings, redundancies in functionality, gaps, opportunities for process improvement, etc., and make recommendations concerning what will best meet the customer requirements. A.1.2 Phase II During Phase II, WebEOC will be installed at each site (Broward, Miami -Dade, Monroe, and Palm Beach Counties). In addition, ESi will deploy ESiWebFUSION. ESiWebFUSION'm allows a WebEOC server to communicate with other WebEOC servers, or third -party systems, by acting as the central communications hub to route messages to intended recipients. If the recipient WebEOC system is not available, ESiWebFUSION will then temporarily store the message until the system is available. System diagrams are provided in Appendix B. A.1.3 Phase III Phase III presumes local installation at individual cities within each county. Activities associated with Phase II would essentially be repeated in Phase III. However, needs assessments would have to be conducted with each agency to determine the actual scope of services. March 3, 2008 Page 21 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software As appropriate, ESi will install the WebEOC solution, conduct required initial configuration, and provide training. Working with the selected county or city personnel, ESi will demonstrate and train users how to tailor and configure WebEOC to meet local needs. A.2 Ability to meet the requirements ESi's solution satisfies all the requirements of the RFP, as shown in the detailed section -by -section responses provided in Appendix A. And as shown in the following paragraphs, our proposed solution for Miramar fully satisfies all the evaluation criteria. With ESi's solution, the Southeast Florida Region will acquire a state-of-the-art, web -enabled emergency management command, control, and collaboration system that meets its immediate and ongoing needs. A.2.1 WebEOC - Interoperability - ESi's commitment to interoperability was demonstrated early on by its membership in OASIS (the Organization for the Advancement of Structured Information Standards), ComCARE, and the Emergency Interoperability Consortium (EIC). Today, ESi co-chairs one Oasis committee, and serves on the OASIS Emergency Management technical committee responsible for developing EDXL. ESi was one of the participants who successfully sent and received messages among different CIMS products during the Emergency Data Interoperability Demonstration held October 27, 2004 at George Washington University, and again in November 2004. On March 15, 2007, ESi participated in the Interoperability for Informed Emergency Response Showcase, hosted by COMCARE, the American Red Cross, and NCOIC in conjunction with the Senate Homeland Security Committee. In 2005, ESi received an award from DHS's Disaster Management EGOV Initiative for "leadership in helping to remove the barrier of data interoperability in emergency response". WebEOC is the CIMS standard for the National Capital Region and was the first CIMS product selected for HSIN integration. ESi's commitment to interoperability is demonstrated in its products. WebEOC includes a tool that enables users to send and receive CAP alert messages. The Common Alerting Protocol provides a simple but general, non-proprietary format for exchanging all -hazard emergency alerts and public warnings. And next month, ESi is introducing ESiWebFUSIONTM which takes interoperability a step farther, enabling communication not only between individual WebEOCs but also third -party systems. Information can be shared across the region to implement information sharing agreements. Jurisdictions can manage their own information and also can share information with the larger community to enhance and strengthen collaboration. With so many state -level, county and municipal governments relying on WebEOC across the country, adopting WebEOC in Southeastern Florida will lead to even greater interoperability nation- wide. A.2.2 WebEOC - Ease of [Ise Ease of use is the reason most often cited by our customers for switching from another emergency management software to WebEOC. The WebEOC user interface is intuitive. WebEOC administrators have told us that they have successfully phone -trained users in minutes during an emergency and had them posting information virtually immediately. A.2.3 WebEOC - Ability to Track Resources ESi provides several alternatives for tracking resources, allowing our customers to choose the approach that works best for them. WebEOC includes a "Resources" default status board that allows agencies to March 3, 2008 Page 22 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software maintain, manage and assign inventory or available resources. ESi can create customer -specific resource boards to accomplish particular objectives identified by the customer. Resource Manager, an optional plug-in to WebEOC, allows the user to establish a catalog of all available resources that is structured according to the NIMS resource definitions, identifying where the resources are located, who owns them, the costs associated with their deployment, and contact information. In addition, Resource Manager allows users to: • Establish request hierarchy(ies) based on existing processes (e.g., city requests from a county, a county requests from another county and/or state). • Manage resources during an incident through resource requests and deployments; • Add resources "on the fly" during an incident with the capability to review, edit and add the resource to the permanent inventory post -incident; • Selectively tag resources as shared, making resources visible to other agencies • Track and deploy donated goods; • Prepare and track EMAC forms electronically; • Prepare reports and audit logs of resource management activities related to an incident. A.2.4 WebEOC - Multi -Level Security WebEOC deployed in a hosted environment offers multiple levels of security. ESi's commitment to security is evidenced throughout its software development process by the fact that it contracts with Aspect Security, Inc. to conduct independent penetration testing and application security code reviews of WebEOC software. Very few software firms are willing to incur this additional expense. Aspect Security was involved in ESi's Application Security Policy Development and ESi's WebEOC developers attend Aspect Security's Web Application Security Developer Training. ESi contracts with Rackspace for hosting services. Rackspace provides a combination of physical security measures and ongoing video surveillance is in place to ensure the infrastructure remains safe and secure. Security guards are stationed at building and data center entrances limiting physical access, and only Rackspace employees and escorted collocation customers can enter secured areas. Access to each data center is further limited by badge -only access, man -trap entries, and biometric readers. The dedicated network is comprised of redundant PIX firewalls. All WebEOC transactions are encrypted at the Web server with SSL 128-bit encryption. Rackspace's SAS 70 (Type II) can be provided upon request. Users access WebEOC via user id and password, with passwords stored using the SHA512 hashing algorithm. The database connection string is encrypted using Rijndael (AES) encryption. Features such as manual and automatic account lockout, password aging, etc., can be implemented through WebEOC's General Settings Manager. Tier 1 authentication can be enabled/disabled. This adds a Windows login along with the WebEOC login. The Windows login would grant initial access to the web server; the WebEOC login would grant access to WebEOC. Secure Socket Layer (SSL) should be implemented to encrypt all WebEOC transmissions. Session timeouts can be set globally via the standard IIS setting. Microsoft's IIS supports event logging. Intrusion detection of monitored ports (e.g. Port 80) is possible, but this is not a native capability of WebEOC. March 3, 2008 Page 23 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software The system provides auditing of any changes made through the Admin Manager (updates, additions, deletions); any board entries; user log -ins. Security and audit reporting of system access and usage can be accomplished through the operating system. As previously noted, ESi contracts with Aspect Security, Inc. to conduct independent penetration testing and application security code reviews of WebEOC software. These reviews cover: authentication, authorization, parameter use, cross -site scripting, buffer -overflows, command injection, error handling, cryptography, system administration and server configuration. They also thoroughly examine unnecessary and malicious code, concurrency, denial of service, privacy, logging, integrity, pooling, caching, reuse, code quality, legislative compliance, and site -specific policies. A.2.5 GIS Compatibility __ESi's optional WebEOC° Mapper Professional fuses the power of ESRI° ArcGIS° with the functionality and ease of the ESi® WebEOC product suite. This Web -enabled emergency management communications system is designed specifically for public and private organizations involved in homeland security and emergency management. WebEOC Mapper Professional provides powerful technology tools necessary to create a dynamic, geographically based common operating picture and the ability to view data from multiple WebEOC screens simultaneously on a centralized map. Integrating various types of complex data into a geographic framework is essential to providing emergency management personnel with actionable information. The integration of the WebEOC Mapper Professional and ESRI's ArcGIS Server, with its powerful analysis and modeling tools, is a best -of -breed emergency management solution. Additional map services from internal or external map servers —such as live weather patterns, video surveillance feeds, and automated vehicle location —can be added to the map to enhance situational awareness. The unique benefit of the WebEOC-ESRI integration is that GIS functions are built into WebEOC core Board Builder tools. As a result, an average EOC administrator can lay out any data entry form with specific geocoding fields. WebEOC Mapper Professional enables emergency managers and other authorized personnel in remote locations to geographically represent a real-time view of a disaster situation. A.2.6 WebEOC - Licensing As mentioned above, WebEOC is licensed per server, unlimited users. This allows WebEOC users to ramp up in an emergency without expense and without delay. A.2.7 Reporting Ability In addition to real-time access to emergency information, WebEOC provides an extensive information retrieval and reporting capability. WebEOC provides the capability to run a comprehensive incident report to include all boards, or any combination of boards, as determined by the user. To run a report one just clicks on the incidents link in the Admin Manager and selects the boards to be included in the report. All data fields for each board selected will be included in the report. Preformatted reports can be created and then added as a link on the Control Panel. The Riverside EOC coordinator had this to say March 3, 2008 Page 24 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software about WebEOC's reporting and audit trail capabilities: "Got to love the ease of using the incident report at the deactivation (80 pages) printed in minutes combined with the server IP logs providing a good audit paper trail." A.2 Approach to Organization and Management ESi Project Management Team ESi will provide the City of Miramar a dedicated team that collectively brings decades of experience satisfying the Emergency Management and related IT requirements of clients. ESi Project Management efforts are coordinated by the ESi Director of Projector Management, Randy Cantu PMP. The Project Manager coordinates a concerted project effort utilizing a team of ESi employees drawn cross -functionally from various sources within the ESi organization. These resources report to various division and staffing levels within ESi, including, but not limited to the Business Process, Business Services, and Business Solutions divisions. This pool of resources includes subject matter experts in all of the disciplines necessary for a successful project implementation. This expertise obviously centers around the ESi suite of products, with a core group of closely tasked experts in software development, database administration, hardware configuration, quality assurance, customer support, installation, training, and facility design. The team also includes ESi resources who are subject matter experts in the various critical areas of crisis information management systems, including resource management FEMA ICS and NIMS standards, geographic mapping, public health, and related emergency management standards. Together, the team will see the project through to successful completion, including documentation, training and continuing post - implementation support. A.3 Method to Ensure Safety The ESi persons responsible for performing onsite work in Broward, Miami -Dade, Monroe and Palm Beach Counties ensure safety by following basic safety guidelines. ESi implements a drug free workplace policy requiring that ESi maintain a workplace that is free from the use of illegal drugs and the abuse of alcohol. The purpose of this policy is to protect the safety, health and well-being of all employees and other persons at the ESi workplace and at workplaces where ESi employees may be assigned. This policy applies during working hours and at any other time that an employee or other person covered by this policy conducts business on behalf of ESi or represents ESi, and while on ESi's premises or at a worksite assigned by ESi. Any ESi employee that will go onsite to perform installation or training at the above - mentioned four counties has been informed of and signed this policy. In addition, ESi software engineers have been through hands-on training to perform their duties. Each field service engineer is required to attend and observe a minimum of two installations with a seasoned certified engineer, after which time the new engineer performs installations and training with a seasoned engineer observing until that engineer "signs off' on the new engineer's ability to perform the service. John O'Dell, Kevin Price and Cindy Foreman, the principle engineers dedicated to the Miramar project, have attended corporate and government safety programs and would alert the Miramar onsite project manager of any unsafe conditions encountered while performing the installation and training. ESi Acquisition, Inc. has had zero (0) workplace accidents in its history of over 450 installations worldwide. A.4 Method to Ensure Prompt Service, Customer Satisfaction, and Complaint Resolution Customers requesting WebEOC technical support may call the toll -free Customer Support Help Desk number. Alternatively, questions or problems of a non -critical nature may be emailed to March 3, 2008 Page 25 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software support@esi911.com. If the call for support is during an emergency (actual or exercise) and customer support is not immediately available, customers will have available a call -out list containing business and cell phone numbers of key company personnel. These include: • Deputy Director Business Services, VP Customer Support • VP, Product Development • Chief Technology Officer • CFO, Director Business Services ESi's Customer Support website provides contact information and includes links that allow you to: • Submit a support request, report bugs, or recommend enhancements • Update your contact information • Download product updates • Obtain live remote assistance Customer support tracks items through to completion. Trouble tickets are issued for each open item making it easy for customers to keep track of status. Customer satisfaction is our number one priority and ESi's customer support is highly regarded among WebEOC community members. All employees pay close attention to the needs of our customers and ensure requests for service and support or recommendations for enhancements are routed appropriately within the company.. Customers are encouraged to contact ESi's CEO directly if they feel issues are not being handled in an expeditious manner. A.5 Employee Performance and Training Employees assigned to this project have years of emergency management, project management, and information technology experience. John O'Dell, ESi's Chief Technology Officer will oversee this project and take personal responsibility for its success. As one of the company's founders, he also has the most experience and has been involved in more installations than any other ESi employee. His performance and that of other team members will ensure the successful and timely completion of this project. ESi employees are regularly cited for their knowledge and performance during onsite training and implementation activities. ESi's WebEOC training center in Atlanta, Georgia is also highly regarded and personnel there are recognized often. Field Service personnel and Regional Managers routinely attend training sessions in Augusta, Georgia. These sessions, while principally product focused, also cover new methods, techniques, and lessons learned. A.6 Timely Initiation and Completion of All Work ESi will employ proven methods for management, communications and continuing support, all implemented per Project Management Institute standards, to ensure project deliverables are met, objectives accomplished and schedule adhered to. This includes plans for: • Communications Management March 3, 2008 Page 26 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software • Risk Management • Scope Management • Resource Management • Quality Management • Schedule Management • Integration/Conversion Management • Change Management • Deliverables Walkthrough • Status Reporting • Overall Implementation Communications Management The Project Manager will develop and employ a Communications Plan to govern project communication within ESi and between the City of Miramar and ESi, including purpose of communications (e.g., the initial Project Kick -Off meeting, meetings with Subject Matter Experts, status reporting meetings, etc.), target of communications (i.e., ESi and the City of Miramar personnel expected to be involved), nature of communications (e.g., in -person meeting, by telephone/teleconference, e-mail, etc.), and frequency of communications (e.g., bi-weekly, monthly, as needed, etc.). Risk Management The 2004 CHAOS Report from the Standish Group, an IT leader in project assessment and value performance, found that IT project success rates stand at about 34%. A KPMG Peat Marwick study identified root causes for negative project performance, including these among the top 5 reasons for failure, beginning with the most common: • Overly optimistic scheduling (90%) • Project objectives not fully specified (51%) • Bad planning and estimating (48%) • Inadequate/no project management methodology (42%) • Poor performance by suppliers of hardware/software (42%) Risk management begins with identifying the corresponding essential elements for success: • A realistic schedule • Explicit priorities • Active Risk Management and a QA plan • Detailed plans and task lists • Measurable benchmarks To mitigate risk, the ESi Project Plan incorporates detailed tasks, checklists, inspections, peer reviews and sign -offs, ensuring that risk exposures are identified and tracked. In addition, the ESi Project Manager reviews and inspects each project and deliverable milestone for risk identification, analysis, mitigation, and identification of resource requirements. Tracking risk actions additionally includes risk status reporting and periodic review. The risk status reporting is coordinated by the ESi Project Manager in conjunction with the City of Miramar project team. The City of Miramar project team and the ESi project team will collaboratively and methodically evaluate each risk component and determine a mutually agreeable risk rating of low, medium, high, or extreme. This rating will be based on the March 3, 2008 Page 27 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software perceived likelihood and seriousness of the risk threat. The teams will then determine an acceptable set of risk mitigating actions for each risk component. This risk control evaluation for each risk component will be tracked and periodically reviewed and re-evaluated by the project teams. The on -going status of the risk components will be reported as part of the regular status report document. Scope Management In accordance with the ESi multi -phased Project Integration Methodology, ESi will produce an Operational Design Document that specifies the results of the Operational Review findings and additionally identifies opportunities for process improvement. All feature/function gaps between product functionality and the City of Miramar needs will be documented and used to define the Scope of the Project. The Operational Design Document will also contain the detailed design and estimate for any additional discovered work (gaps). Each of these will be agreed upon and incorporated into the Scope of the Project prior to entering the next ESi PM Phase. The Scope of the Project, as defined and agreed upon by all parties will be defined and accounted for in the detailed, final Project Plan maintained in MS Project. Resource Management As defined in the ESi Multi -phased Project Integration Methodology and the final Project Plan, each member of ESi is assigned to specific tasks and each task associated to particular project ESi PM Phases. As such, each Team member has a discrete list of tasks, timelines and due dates based upon their role in the project. Team resources, including subcontractors, will be managed using the Project Plan, with update as needed in MS Project. Weekly, monthly and daily alerts within MS Project will keep all deliverables and timelines at the forefront for the Project Manager. Additionally, each Team member will produce Trip Reports and adhere to the Project Plan's scheduled visits to complete pre -defined activities, taking care that each assigned task is finished prior to moving on to the next. Any task not completed during the given visit for which it was allocated is escalated to ensure completion prior to the beginning of subsequent activities. The Project Manager will provide the City of Miramar with a schedule of visits, developed in cooperation with ESi and the City of Miramar. This schedule includes specified dates, resources and tasks relevant to each visit. Should the need for modifications arise, the schedule can be changed and all dates after the first modified date will of course change accordingly. Dates are based on durations defined within the Project Plan for project tasks. A.7 Quality Management ESi's Quality Management Program includes methods to ensure timely delivery of quality services and testing to ensure product quality. All activities ESi undertakes are targets for continuous improvement, as described below. ESi's top priority is to deliver products and services that are of such high quality that our customers maintain the highest level of satisfaction achievable. A.7.1 Quality in Project Management ESi's approach to quality in project management is described in detail in the preceding section: A.6 Timely Initiation and Completion of All Work. The ESi project approach incorporates development methodology to maintain complete and comprehensive audit trails of all decision, design and March 3, 2008 Page 28 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software development activities associated with a solution. Every assigned task is defined, documented and developed and/or delivered. As part of the delivery method each task deliverable, be it a physical task, program, or meeting, is verified as being complete and inspected as part of the ESi project approach via a Staff Member Check List and an ESHevel Sign -off Acceptance Form. It is expected that the City of Miramar will be involved in review, sign -off and acceptance throughout the delivery process. A.7.2 Product Testing Testing is an integral part of ESi's software development process, starting during requirements development and proceeding through release candidate testing, which is performed in cooperation with selected customers. In fact, after release of a product, any customer issues that arise are reviewed both by the developers and testing group to determine whether there are issues in the software and whether we need to make adjustments to our testing program. ESi's testing methodology includes function testing throughout the entire development cycle, security testing, and performance testing. Once these testing processes are complete, the release then goes through a `Release Candidate' phase before a full public release. Unlike 'alpha' or 'beta' test releases where bugs are expected, a Release Candidate is release -to -market ready and is used primarily to identify potential environmental issues such as infrastructure, networks, configurations, firewalls, etc. that may not be replicated during in-house testing. Function testing consists of testing all functions of WebEOC on platforms representative of those used by our customers and within many different configurations. All detected bugs are documented, given to the development team for fixing, and retested. The testing machine is then wiped clean with a fresh version of Windows and SQL Server. The new release of the product is then installed on a fresh machine and all features of WebEOC are again tested. This is repeated until an acceptable release is achieved. All major releases of ESi's products are tested to ensure application security. ESi recognizes the seemingly contradictory objectives of accessibility and security for emergency management systems. We invest a significant portion of our development effort in writing secure code and testing and modification to eliminate application vulnerabilities. ESi's Development Team is trained annually in the development of secure code. And as a safeguard; ESi has contracted with a third party, Aspect Security, to evaluate the application security of WebEOC. All level releases of WebEOC are submitted to a code - level review and penetration testing. Point and correction releases are also submitted for third -party review if they could have an effect on the overall security of WebEOC. The performance of a web application is affected by factors such as hardware configuration (server CPU, RAM, hard disk), other software co -located or running on the same server, internal network speed, mode of access, security settings, etc. Additionally, the way that WebEOC is used varies from user to user. As a result, simulating our customers' environments to support performance testing is a challenging task. We conduct performance testing using automated test scripts to simulate a large number of users simultaneously accessing, inputting, and monitoring data in WebEOC to identify possible bottlenecks or other issues. March 3, 2008 Page 29 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software A.7.3 Continuous Improvement ESi has established a web forum for our users to communicate with us regarding bugs and enhancement requests. These items are merged with those we receive via our customer support phone number, and those gathered at our annual user conference. As the design of a new iteration of WebEOC° is worked on, these bugs and enhancement requests are used as a starting point. When a problem is found, it is logged in our issue tracking system. The entire development team then goes through a review of the issue to determine the root cause, determine the best solution, adjust our test plans so that similar issues are caught, and if necessary adjust our development process so that similar issues are not created. B. Subsidiaries or Affiliates ESi has no subsidiaries or affiliates. C. Additional Requirements of the City of Miramar C.1 Drug -Free Work Place ESi has implemented a Drug -Free Workplace Policy that is consistent with the terms of Florida Statute 287.087. This policy covers all employees of ESi — whether employed on a full-time, part-time, temporary or contract basis, and whether working at ESi's. premises or at an ESi-assigned worksite. All employees and other persons covered by this policy are prohibited from engaging in the manufacture, distribution, dispensing, possession, sale or use of illegal drugs and alcohol on ESi's premises and at any other worksite assigned by ESi, whether temporary or permanent, at all times. Any employee who violates this policy is subject to disciplinary and/or legal action. Disciplinary action will be progressive and consistent with the nature of the violation. C.2 Employee drug -testing program ESi has not implemented an employee drug testing program. C.3 Human Resources Practices ESi maintains personnel policies and practices consistent with all applicable local, state and federal laws including, but not limited to, Title VII of the Civil Rights Act of 1964, the Age Discrimination in Employment Act of 1967, Title I of the Americans With Disabilities Act of 1990, the Equal Pay Act of 1963, the Vocational Rehabilitation Act of 1973, Executive Order 11246, Vietnam Era Veterans Readjustment Assistance Act of 1974, and the Georgia Equal Employment for Persons with Disabilities Code. All employees receive written copies al all personnel policies and practices at new employee orientation or implementation, whichever event occurs first. Such policies also are posted on the company intranet, which is accessible to all employees at all times. C.4 Experience and Past Performance C.4.1 Governmental Experience ESi's governmental experience is extensive. Of the more than four hundred and fifty WebEOC implementations performed by ESi, over half have been for government agencies. ESi has provided WebEOC installation, training, and implementation assistance to governmental entities at the Federal, March 3, 2008 Page 30 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software State and local -level. Agencies within DOA, DHS, DOD, DOE, DHHS, EPA, and NASA employ WebEOC. Twenty-six state -level governments rely on WebEOC in emergencies and day-to-day operations as do 208 counties and municipality EOCs. Domestic and international airlines, healthcare associations, corporations, public utilities, and universities count on it as well. Because many of these non- governmental entities must interact with governmental agencies, particularly during an emergency, they often provide these agencies with logins to their WebEOC. And since WebEOC is licensed per server, not peruser, there is no economic penalty for doing so. In fact, we may never know just how many governmental agencies depend on WebEOC. The one thing that we do know-- and every exercise and real emergency demonstrates this-- is that the best response demands action from a complex web of governments, agencies, responders, hospitals, and volunteers. WebEOC makes this possible. C.4.2 Past Performance With more than 450 WebEOC implementations, ESi's past performance experience is substantial and its reputation for customer satisfaction is high. ESi is known for rising to its customers' expectations and understandably demanding schedule requirements, and finishing not only on time but in or under budget. ESi's customer support staff provide caring and competent 24/7 emergency technical support, putting forth the extra and personal effort that is so critically important in an industry that supports people in times of crisis. For this reason, ESi routinely receives heartfelt thanks from users they have supported both during times of crises and in day-to-day operations. In fact, of the hundreds of WebEOC implementations and thousands of users ESI has supported over the past 11 years, we have lost only one customer, a customer who elected to develop its own emergency management software. During the recent California wild fires, ESi sent staff to assist at the local CA EOCs. Robert Charles, the Riverside EOC Coordinator had the following to say about WebEOC's performance during the fires: "As an experienced Emergency manager who has practiced in both government and private sectors 1 would recommend WebEOC as the incident management system of choice to any jurisdiction, private company or agency requiring a customizable information management system with the flexibility of changing to the needs of challenging disasters and emergencies." The past performance of ESi, its staff and its WebEOC software is solid and we are committed to continuous improvement. C.4.3 Financial Capabilities ESi has been providing products and services to public and private organizations since 1996, and was recently ranked among the fastest growing private companies in America by Inc. Magazine. ESi has grown 260% in three years, and has restructured to provide better, targeted support to its customer base by region. This includes opening six new offices, including one for South Florida. At this time, we have just over four hundred and fifty customers which represents hundreds of thousands of users worldwide. Our profitability has consistently increased during the past four years and revenue has increased four -fold during that period. With a customer base that represents Federal and State level agencies in the US and abroad, and several Fortune 100 companies, ESi is in the position to support the implementation of WebEOC in the South East Florida region. C.4.4 Violations or Litigation ESi does not have any violations or litigation involving its products and/or services. March 3, 2008 Page 31 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software C.4.5 Social Responsibility Both ESi and its staff are committed to social responsibility, charitable acts and contributions, and benevolence programs. ESi recently completed the restoration of a historic building in downtown Augusta, GA that is now ESi's headquarters. ESi contributes extensively to local community efforts. ESi often supports its WebEOC users onsite at its own cost during emergencies, as it did during the California wildfires this year. ESi provides educational licenses without cost to select universities with emergency management degree programs, charging only for installation. In addition, ESi has given its employees the flexibility to take time off to support their communities. One employee was granted time to go on a mission to Honduras. Others, who are still EM volunteers, are encouraged and supported in continuing those activities. ESi's President and CEO is a trustee of the Augusta Ballet and speaks frequently at the local schools and colleges. One of its owners operates a Greyhound rescue operation. Last year ESi contributed to a UVA College scholarship fund, the Downtown Development Authority, Thomson High School, John S. Davidson Fine Arts School, the Augusta Partnership for Children Inc. (a college scholarship fund for disadvantaged children in Augusta, the Interfaith Hospitality Network (a nonprofit that assists the homeless), and a fundraiser for MCG Children's Hospital. Some of the ESi (company and staff) charitable activities are described below. Charitable Efforts and Contributions made by ESi • Donated $10,000.00 to the Greater Augusta Sports Council • Donated $5,000.00 to the Augusta Ballet • Donated $3,000.00 to Interfaith Hospitality Network of Augusta — non-profit homeless shelter in Augusta, GA • Donated $1000.00 to the Augusta Youth Development Program • Donated $600.00 to Augusta Partnership for Children Inc. — college scholarship fund for Augusta disadvantaged children • Donated $500.00 toward the International Association of Emergency Management Student Scholarship Fund. • Donated $500.00 to UVA's College at Wise — scholarship fund in memory of an employee's sister who was an educator • Donated $500.00 to Augusta's Downtown Development Authority — Sponsorship of the Saturday Market on Broad • Donated $300.00 to Davidson Fine Arts School for a scholarship fund • Donated $300.00 to Thomson High School softball team • Donated $125.00 to the Enterprise Rent A Car Golf Tournament that benefits the Medical College of Georgia's Children Medical Center • Recycle aluminum cans — drop cans off at the Augusta Fire Department and they in turn donate the money to the Joseph Still Burn Center at Doctor's Hospital • Offer educational licenses of WebEOC to eligible institutions • Co-op program • Major sponsor of the city of Augusta's "Christmas Light Up Spectacular" and sponsor of the Downtown Development Authority's Saturday Market • Good citizen to Augusta contributing to its revitalization by renovating a vacated historic building • ESi supports time and travel of employee who is an IAEM CEM Commissioner March 3, 2008 Page 32 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Charitable Efforts and Contributions made by the Employees of ESi • Hillside Ride (www.hillsideride.com) — Employee owned green transportation business (a zero - emission neighborhood electric vehicle) that offers a quiet, clean, and exciting way to get around town. The vehicles are operated along the waterfront throughout the National Capital Region. They also participate in the use of incandescent bulbs, recycling, and energy efficient appliances. • Samaritan's Purse Operation Christmas Child — packing shoeboxes that are distributed to homeless children throughout the world • Interfaith Hospitality Network of Augusta (non-profit homeless shelter in Augusta, GA) — volunteer with annual fundraiser and manage their computer network • Monthly donations to the American Breast Cancer Association • Monthly donations to the American Diabetes Association • Bone marrow donor • Donate supplies to the CSRA Humane Society • Volunteer member of the Augusta Ballet Board of Trustees • Volunteer with the United Way • Member of YPA (Young Professionals of Augusta) —gives to charitable organizations and works to enact community change and awareness • Employees participate in recycling paper, glass, plastic, aluminum, and steel • Scoutmaster of Boy Scout troop • Youth chaperone at Smyrna First United Methodist Church • Sound System Manager at Smyrna First United Methodist Church • Smyrna, GA Clean and Beautiful — responsible for Adopt a Mile which is cleaned several times a year • IAEM CEM Commissioner • Savannah River Chapter of the Project Management Institute [Community Service Projects (i.e. renovated community center)] • Steering committee for the Westobou Festival • Morris Museum of Art Committee (music selection committee) • Committee on Greater Augusta Arts Council (Arts in the Heart of Augusta & Wet Paint) • Davidson Fine Arts School Community Counseling Committee • Donation of Art Work to community organizations for charitable auctions • Member of Non -Commissioned Officers Association (NCOA) — provides community service (i.e. building and maintaining local parks) • Volunteer with Cheyenne Frontier Days • Cooking and serving at the Comea House (homeless shelter) • Clothing and good donations to Salvation Army, Women Shelters, American Red Cross, Ronald McDonald House, Catholic Social Services, Goodwill Industries, Golden Harvest Food Bank, Safe Homes, Goodwill Industries • Donated personal vehicle to Interfaith Hospitality Network of Augusta • Support 6 missionaries around the world • Volunteer instructor and disaster volunteer for Red Cross Disaster Services • EMA volunteer for Oconee County, GA as a member of the search and rescue team as a S&R Specialist and Amateur Radio Operator • Meals on Wheels in Forsyth County, GA • Soup kitchen volunteer. • Habitat for Humanity donations and volunteer work. March 3, 2008 Page 33 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software • Humane Society donations. C.4.6 Green Initiatives ESi's good corporate citizenship includes a strong green and environmental program organization -wide. ESi's new corporate headquarters is showpiece of recycling itself, as ESi restored a historic building in downtown Augusta, bringing it back to life and contributing to the economic improvement of that area. In addition, the restoration plan included the following green initiatives: • "Smart" thermostats that allow programming to reduce the level of heating or cooling during typical non -work hours and days. • Motion sensors for lights that automatically shut off lights when no one is perceived to be present in an office. • Skylights that let in the natural sunlight, diminishing the need for artificial lighting and improving the overall well-being of ESi employees. • Soap dispensers that use a timer to limit each use to two squirts. • Environmentally friendly soap. In addition, ESi has taken the following steps: • Installed containers for the recycling of white paper, aluminum cans, plastic and glass bottles. • Recycles toner cartridge. • Uses "virtual" servers, which reduces the electrical demand. • Uses recycled toilet paper and paper towels. • Uses only washable cups —no Styrofoam. D. Business Background D.1 Number of Years ESi Has Been in Business ESi has been in business for 11 years. D.2 Number of Years Operating under Current Name ESi Acquisition, Inc. began operations in September 1996 as Emergency Services integrators, LLC (ESi). ESi LLC was the first spin -out from Westinghouse Savannah River Company and one of the few success stories under a pilot program launched by the U.S. Department of Energy. On October 29, 1999 Emergency Services integrators, LLC (ESi) was purchased and merged with CIVIL Technologies to form CIVIL Emergency Services. At that time, ESi LLC became ESi Acquisition, Inc., a Delaware based corporation. On February 8, 2001, the two companies underwent a corporate break-up with ESi Acquisition, Inc. refocusing its efforts on business continuity and emergency management while at the same time maintaining its existing customer base in the public safety market. D.3 Business Ownership by ESi Owners Two of ESi's owners, Paul Butler and Nadia Butler, owned the following companies: • FPB Global, International Consulting, owner Francis P. Butler. FPB Global provided consulting services, primarily to US companies pursuing power projects oversees. March 3, 2008 Page 34 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software • DBA NPDB, International consulting, Owners Nadia Butler and Paul Butler. NPDB provided consulting services in strategic planning and business development, including large proposal management to companies in the US and abroad. • Computers, Etc., Computer retail, Francis Paul Butler. Computers, Etc. was a retail business comprised of several store locations throughout the Washington, DC area, selling computers and associated products. • Destek International, Istanbul Turkey, Defense, leisure, food processing, Francis Paul Butler and ESKA. E. Comparable Projects Completed in Last Five Years Client Name Fairfax County Office of Emergency Management Address 12000 Government Center Parkway, Suite 565 Fairfax VA Telephone Number (703) 324-2345 Contact Person Roy Shrout rov.shrout@fairfaxcounty.gov Description of Work Deploy WebEOC to individual cities/counties within Northern Virginia (Fairfax County, City of Fairfax, Prince William County, Loudon County, Alexandria, Arlington), establish regional communications within NOVA, Virginia and the National Capitol Region (NCR); conduct training and provide implementation services. Contract Period and A defined contract period and duration was not established. In Duration September 2005, Fairfax County, on behalf of NOVA, issued a PO for WebEOC products and services. Since that initial purchase, Fairfax County has purchased additional WebEOC products and services and has renewed software support annually. Contract Structure ESi was the Prime Contractor. Project Result WebEOC was successfully deployed throughout the NOVA region, has been adopted by the State of Virginia, and is the standard within the National Capital Region. March 3, 2008 Page 35 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software South Carolina Emergency Management Division Client Name Address Pine Ridge Nat Guard Armory 2779 Fish Hatchery Rd. West Columbia, SC 29172 Telephone Number (803) 737-8650 Contact Person John Paolucci; ipaolucc@emd.state.sc.us Description of Work Install, train, and implement WebEOC Professional in South Carolina counties that were not already WebEOC licensees (twenty- two). Install and configure customer provided servers. Integrate WebEOC with the South Carolina Internet Routed Information System (IRIS). Link all counties to the State's WebEOC. Contract Period and A defined contract period and duration was not established. In Duration June 2005, the Office of the Adjutant General, on behalf of SC EMD, issued a purchase order for WebEOC Products and Services. Since the initial purchase, the State has purchased additional WebEOC products and services and continues to renew software support for all counties within the State. Contract Structure ESi was the Prime Contractor. Project Result WebEOC was successfully deployed throughout South Carolina. Today, all counties within the State rely on WebEOC Professional and WebEOC Resource Manager as their Crisis Information Management Software (CIMS) solution. March 3, 2008 Page 36 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Client Name Mid -America Regional Council Address 600 Broadway, Suite 300 Kansas City Missouri 64105-1554 Telephone Number (816) 474-4240 x 411 Contact Person Matt May, (816) 474-4240 x 411, mmay@MARC.org Description of Work Install, train, and implement WebEOC throughout the bistate Kansas City region (Kansas City MO, Wyandotte County KS, Johnson County KS, Cass County MO, Clay County MO, Leavenworth County KS, Platte County MO, and the City of Independence MO). Contract Period and A defined contract period and duration was not established. ESi Duration completed installation and training in the time specified in the quote. Installed in 2004, the bistate region, through the Mid - America Regional Council has since purchased additional WebEOC products and services and continues to renew software support for all member jurisdictions Contract Structure ESi was the Prime Contractor. Project Result WebEOC was successfully deployed and continues to be used regionally by member -agencies within MARC and to exchange information with the Kansas Division of Emergency Management (KDEM), another WebEOC user. March 3, 2008 Page 37 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software state Client Name Maryland Emergency Management Agency Address 5401 Rue Saint Lo Drive Reisterstown, MD 21157 Telephone Number (410) 517-3641 Contact Person Warren Campbell Deputy Director, Technical Services wcampbell@mema.state.md.us Description of Work Provide WebEOCProfessional for the Maryland Emergency Management Agency. Implement WebEOC in a Hybrid environment — primary instance located at MEMA with a redundant, hosted capability provided by ESi through our datacenters. Contract Period and In 2004, the State of Maryland Military Division issued an RFP and Duration subsequent contract for WebEOC Products and Services. Contract period was for three years with the option to extend the contract for two additional one year terms. Since the initial purchase, the State has purchased additional WebEOC products and services and continues to renew software support. Contract Structure ESi was the Prime Contractor. Project Result WebEOC was successfully deployed at MEMA. Today, many counties within the State rely on MEMA's instance of WebEOC as their Crisis Information Management Software (CIMS) solution. In 2005, MEMA's instance of WebEOC served as the CIMS solution for the National Capitol Region during the Presidential Inauguration. They contacted the emergency management offices of Virginia and Washington DC as well as the Principal Federal Officer (PFO) for this National Security Special Event (NSSE). The Transportation Security Administration who operated the Multi -Agency Coordination Center (MACC) for the PFO was also a participant. Today, Virginia, DC EMA and TSA are all WebEOC customers. MEMA was also the catalyst behind the integration between WebEOC and the Department of Homeland Security's Information Network (HSIN). March 3, 2008 Page 38 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Baltimore Metropolitan Council Client Name Address 2700 Lighthouse Pint East, Suite 310 Baltimore, MD 21224 Telephone Number (410) 732-0500 x 1033, Contact Person Eileen Singleton Senior Transportation Engineer singleton@baltomore.org Description of Work Provide products and professional services related to the installation of WebEOCProfessional throughout the Baltimore Metro Region (City of Annapolis, Anne Arundel County, City of Baltimore, Baltimore County, Carroll County, Harford County, and Howard County). Provided installation, training, implementation and drill/exercise support. Contract Period and A defined contract period and duration was not established. In Duration June 2005, the Baltimore Metropolitan Council, working with the Maryland Emergency Management Agency, and on behalf of member agencies, issued a purchase order for WebEOC Products and Services. Since the initial purchase, additional WebEOC products and services have been ordered and software support for all counties within the State. Contract Structure ESi was the Prime Contractor. Project Result WebEOC was successfully deployed throughout the Region. Today, regional collaboration among member agencies and MEMA is facilitated through WebEOC. F. Contracts Performed for the City of Miramar ESi has performed no contracts for the City of Miramar. G. Other Experience Related to the SOW Facts don't lie. ESi personnel have years of emergency management experience at all levels of government —federal, state and local. We have channeled that experience and the knowledge gained over countless actual and exercise events into development of a tool that emergency managers have come to trust and rely on during their response to a wide variety of emergency and non -emergency events. Examples include: • Atlanta -Fulton County and American Airlines on 9/11, 2001 • Alaska, USCG during the SELENDANG AYU incident, 2004 • Chatham County, GA during the G8 Summit at Sea Island, Georgia, 2004 March 3, 2008 Page 39 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software • Boston EMA during 2004 DNC; • Maryland EMA and elements of the NCR during the 2005 Presidential Inauguration; • City of Anaheim during 2005 MLB Playoffs; • Commercial airline use ranging from day-to-day operations to CRAF missions to commercial aviation disaster; • Texas - Hurricanes Katrina and Rita, 2005 • Alaska — Arctic Shield/Northern Edge 2005 • Texas —Wildfires, 2006 • CITGO — Major Oil Spill, 2006 • American & Delta Airlines — Security Event(s), 2006 • Huntsville -Madison County, AL — Hazmat Incident, 2006 • Louisiana OHS/Mississippi EMA/DOE Strategic Petroleum Reserve — Tropical Storm, 2007 • Central America — Hurricanes Dean and Felix, 2007 • Portland, OR during TOPOFF 4, 2007 • City of Indianapolis, Ardent Sentry, 2007 • Hawaii and Alaska — Earthquake, 2007 • San Diego/Orange County/City of Los Angeles/Riverside County/Ontario CA — Wildfires - 2007 John O'Dell, the Senior Business Analyst assigned to this project is not only ESi's Chief Technology Officer, but had the original vision for WebEOC and has guided its development ever since. John's passion for the product is rivaled only by his desire to see that it meets the needs of both professional emergency response personnel and those non-professionals who augment EOCs during almost every activation. John knows only one way to stay close to the customer - and that is by providing direct, onsite support working with response staffs to implement WebEOC in a way that meets local requirements. He has even joined customers at FEMA's Emergency Management Institute during participation in Integrated Emergency Management Courses (IEMC). As one of the company's founders he has years of WebEOC experience and was the Senior Business Analyst on the following Federal, State and Regional projects: March 3, 2008 Page 40 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software This level of involvement and commitment is practiced by all ESi employees and extends to every WebEOC project — big or small — with an overarching goal of enabling our customers to achieve success during every response. In terms of the solution being delivered, ESi's WebEOC is the leading Crisis Information Management Software solution on the market today and has been deployed and implemented throughout the US and overseas. WebEOC has been installed locally at customer sites, hosted at ESi's datacenters, and implemented in a hybrid environment (local installation plus redundancy at ESi's datacenter). While the vast majority of WebEOC customers choose local installation, approximately 6% have elected either fully -hosted or hybrid solutions. These include cruise lines, airlines (Delta, American, British Air, etc.), Fortune 100 companies, telecommunication and healthcare companies, as well as US and foreign federal, state and local agencies. In terms of professional services associated with local installations, ESi has provided not only WebEOC training and implementation but hardware and software installation as well. We have performed systems integration, developed custom interfaces to third party products, and provided a host of other, post -implementation support (recurring training, drill and exercise support, process reviews, etc.). ESi's customer support, we feel, is unrivaled. Not only do we respond to routine "how to" questions, but we assist customers implement and deploy their vision of how WebEOC should operate. We're proactive to the extent that we follow activities around the world and if we see that a customer may be adversely impacted by emergency event, we contact them to offer our support and make sure any calls for service are given priority. ESi's Customer Support Section "wants" to be notified every time an agency activates their EOC — whether for an actual event or an exercise. We also want to be involved in any After Action / Lessons Learned process to help assess how to address and correct any problems identified. This feedback is also critical to our Development Staff during their assessment of whether changes or enhancements to WebEOC are appropriate. March 3, 2008 Page 41 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software H. Financial Statement Financial statements for the last three years are provided as Attachment 4 to the Technical Volume. Hi's financial statements are prepared by a certified professional accountants, however they are not otherwise audited. I. Pending Litigations or Investigations ESi does not have any pending litigation or investigation, civil or criminal. J. Complaints There are no filed prior complaints, substantiated or otherwise. March 3, 2008 Page 42 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software VI. Key Personnel and Subs Performing Services A. Organization Chart ESi March 3, 2008 Page 43 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software B. PERSONNEL EXPERIENCE Randy Cantu is a certified Project Management Professional who is involved in all major WebEOC implementations and will be responsible for overall project management, ensuring that deliverables are submitted on time and in budget. Mr. Cantu will be responsible for project communications and for addressing any concerns identified by the client during project execution. Mr. Cantu will satisfy any reporting requirements requested by the client. John O'Dell, ESi's Chief Technology Officer and one of the company's original founders, will serve as the Senior Business Analyst. Mr. O'Dell has been involved in almost every federal, state, and regional implementation ever undertaken by ESi. Kevin Price is the former Virginia Department of Emergency Management Chief Technology Officer and WebEOC Administrator and was actively involved in regional implementation issues affecting the NCR. Cynthia Foreman is the ESi Regional Manager for the State of Florida. Cynthia Foreman will be made available to this project free of charge. She will be a local set of ears for the client. Scott Johnson and Josh Newsome are two of ESi's original WebEOC developers and will be involved to the extent necessary to address any of the more complex integration / interface issues. March 3, 2008 Page 44 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software C. RESUMES Resumes are provided below. • 20 years of developing and implementing Crisis Information Management Systems (CIMS) • Pioneered the concept of WebEOC as the first web -based CIMS and one of the original founders of ESi • 20 years of Emergency Management Experience • Installed, trained and implemented WebEOC for hundreds of customers worldwide. EMPLOYMENT Mr. O'Dell is one of the founders of ESi- and pioneered the concept of WebEOC- as the first web -based Crisis Information Management Systems (CIMS). He has extensive experience in the design and development of complex command, control and emergency facilities, and specializes in Crisis Information Management Systems and critical systems integration technology. Mr. O'Dell has been involved with Emergency Management and developing Crisis Information Management Systems (CIMS) for over 20 years. Mr. O'Dell started his career at Virginia Tech's Management Systems Laboratory (MSL) in 1984 after graduating from Virginia Tech with a BS in Industrial Engineering and Operations Research (IEOR/Systems Engineering). While at MSL Mr. O'Dell supported several DOE (U.S. Department of Energy) grant initiatives that included emergency information systems and simulations. Mr. O'Dell joined Westinghouse Savannah River Company in 1990 and worked as Senior Systems Engineer for construction of a new Consolidated Emergency Response Facility (CERF). The project was completed in March 1994 and was judged by several groups as the best in the DOE national complex. The project's combination of large screen projection and unique information management systems saved hundreds of thousands of dollars and earned the project team an extremely rare second George Westinghouse Signature Award for Service Excellence in Logistics Engineering. During this period, his WSRC responsibilities were expanded to include management of all/emergency systems related to EOC automation and 9-1-1 center operation. His work included researching, developing, and implementing various automation initiatives used nationally by DOE emergency managers. As the first to offer an internet based emergency management information system, Mr. O'Dell and ESi® raised the bar in Emergency Operations Center (EOC) systems when they introduced WebEOC'. In 1996, Mr. O'Dell and his partners founded ESi® as a DOE/Westinghouse "spin out" company. ESi' initially was focused on 9-1-1 center systems integration and Mr. O'Dell's ground breaking integration techniques developed the first integrated (radio, telephone, CAD, mapping, video, and NCIC) 9-1-1 console called the "Universal Dispatcher". The concept is in use today at nearly every 9-1-1 center in the country. Today, Mr. O'Dell focuses exclusively on WebEOC implementation and exercise support. March 3, 2008 Page 45 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software o . i .. SKILLS SUMMARY • Extensive knowledge and experience in all levels of IT project management; including RFP/RFI evaluation and response, contract negotiation, requirements and design review, implementation coordination, cost and risk control, project reporting and communication. • Extensive hands-on IT liaison experience managing hardware, software, and logistical projects for E911 dispatch clients, emergency management clients, fire services clients, law enforcement operations clients, law enforcement detention center clients, and judicial clients (prosecution, defense, courts, and supporting services.) EMPLOYMENT Director of Project Management — ESi Acquisition, Inc. Software Project Manager, City of Augusta/Richmond County 1992-2007 • 15 years managing law enforcement, judicial, and fire services hardware and software and providing written and verbal presentations to senior level staff. Operations Manger, City of Augusta /Richmond County 1982-1992 • 10 years managing large scale IT operations center ,CERTIFICATIONS • Certified PMI Project Management Professional (Certification #211356) • Former Software Project Manager for City of Augusta/Richmond County. • FEMA Certificates of Achievement in ICS (IS-00100), NIMS (IS-00700), RM (IS-00703 'EDUCATION • BA, History, Augusta State University • On -going PMI PDU Certification training. March 3, 2008 Page 46 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software SKILLS SUMMARY • Senior technologist with extensive experience designing and developing Enterprise level systems architectures. • Orchestrated successful implementations and integrations of disparate emergency, financial and educational systems ranging from small companies to Local, State and Federal Government agencies. • Very skilled in negotiations between agencies, contractors and technical staff to ensure constant, consistent communications during all phases of a project. • Software Engineering Institute Capability Maturity Model trained and participant in assisting companies obtaining of Capability Maturity Model Integration Level 3 certification. • Adept at managing financial balance between technical desire and business requirements. EMPLOYMENT Regional Manager at ESi Acquisition, Inc. - August 2007 to present • Responsible for installation and training of WebEOC for clients in his territory. Also provides onsite customer support. Chief Technology Officer — Virginia Department of Emergency Management, Richmond, VA - January 2006 to August 2007 • Managed entire technical operation for state agency, including the Virginia Emergency Operations Center • Responsible for budget and procurement processes related to IT expenditures • Managed and developed numerous software projects, including enhanced development of WebEOC • Implemented new Microsoft Exchange architecture providing true redundancy • Negotiated numerous contracts with vendors as well as other state agencies Deputy Chief Technology Officer/Senior Technical Project Manager — CACI-CMS Information Services, Inc., Chantilly, VA -November 2001—January 2006. • Provided technical management for numerous projects for various government agencies within Fairfax County, VA; Commonwealth of Virginia; Fauquier County, VA and the Department of Defense (DoD). • Designed technical architecture for new Virginia Emergency Operations Center. • Developed design, architecture and migration path for Fairfax County inmate management application. • Rewrote existing Microsoft web -based product to support Budget Information Services branch of the US Air Force. • Contributed technical writing to numerous proposals, white papers and other documentation. • Developed and implemented corporate Information Assurance Policy as well as provided support for effort to achieve CMMI Level 3 rating for all corporate processes March 3, 2008 Page 47 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Senior Systems Architect — i3solutions, Inc., Sterling, VA, March 1998 — November 2001 • Managed and trained numerous employees while helping to develop an emerging Internet application development firm. • Designed technical architectures, using Microsoft and Java technologies to create extremely scalable applications, which saved clients millions of dollars. • Developed applications as required to facilitate integration of various systems using such technologies as XML, webMethods and custom developed components. Senior Internet Applications Specialist — KC Resources, Potomac, MD, June 1995 — March 1998 • Developed web -based applications to facilitate telecommunications training for Bell Atlantic/Verizon operations in the Mid -Atlantic and Northeast areas. • Managed network operations and internal software development. CERTIFICATIONS • Microsoft Certified Professional • CompTIA Security+ Certified • Commonwealth of Virginia — Emergency Medical Technician (Medic) National Registry of EMTs Intermediate Certification PUBLICATIONS • Author, Database Access with Visual Basic.NET, Addison-Wesley, Published February 2003 • Author, .NET Framework Security, Addison-Wesley, Published April 2002 • Author, Microsoft BizTalk Server 2000 Unleashed, Sams Publishing, Published February 2002 • Technical Editor, Exchange 2003 Distilled, Addison-Wesley, Due March 2004 • Technical Editor, C# for Java Developers, Addison-Wesley, Published July 2003 • Technical Editor, Creating eCommerce Sites Using the .NET Framework, Sams Publishing, Published August 2001 TRAINING • Emergency Response to Terrorism • Incident Command System (ICS) • Leadership and Influence • Decision Making and Problem Solving • Effective Communications • Developing and Managing Volunteers • Hurricane Preparedness and Response • National Incident Management System (NIMS) Numerous other certifications from FEMA Microsoft SQL Server 2000 Developing Applications using Visual Studio Emergency Vehicle Operators Course SEI CMM Principles EDUCATION B.S., Computer Science, Suffield University March 3, 2008 Page 48 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software SKILLS SUMMARY • Extensive knowledge and experience with regulatory compliance requirements, including DOT, OSHA, Coast Guard, LOSCO, EPA and state agencies • SME on Homeland Security regulations, Crisis Management, Incident Command and Emergency Response • Served as the Operations Section Chief in the first ever "CHER/CAP/PREP" Exercise that was conducted in the State of Florida, Eglin Air Force Base. Exercise consisted of 47+ Federal, State, Local agencies, US Navy, US Air Force and private sector industries. Preceded the development of the TOPOFF exercises. EMPLOYMENT Regional Manager — ESi Acquisition, Inc. • Responsible for customers in her region (which includes FL), and for onsite customer support. Regulatory Compliance and Crisis Management Specialist, CITGO, LCMC • Ensured compliance with DOT, OSHA, Coast Guard, LOSCO, EPA and state agencies by identifying regulatory requirements, developing programs to attain compliance. • Developed and conducted training programs to meet regulatory requirements. • SME on Homeland Security regulations, Crisis Management, Incident Command and Emergency Response, DOT requirements. • Member of the IMS Team for Regulatory Compliance. • Selected to be a member of the IMS Federal Compliance Assurance Team as the SME for Coast Guard and Emergency Response/Crisis Management requirements. • Appointed by the US Coast Guard as the Prevention Leader on the Area Maritime Security Committee for COTP AOR Port Arthur to develop the Crisis Management part of the Area Security Plan for Port Zone Lake Charles, Houma and Mermentau. • Served as the Operations Section Chief in the first ever "CHER/CAP/PREP" Exercise that was conducted in the State of Florida, Eglin Air Force Base. The exercise consisted of 47+ Federal, State, Local agencies, US Navy, US Air Force and private sector industries. The exercise preceded the development of the TOPOFF exercises. • Attained the Certified Environmental Trainer (CET) license. LkChas Safety Transportation Specialist, Corporate wide, 6116192 - 12131199 • Department of Transportation compliance, Corporate wide. • Maintained LCMC One Plan • Responsible for the Emergency Action Center, Command Staff training, and regulatory compliance. • Instructor on Department of Transportation requirements, Corporate wide. • Responsible for the LCMC Marine Spill Response Team, training and compliance with OPA 90. • Developed, reviewed with management, and implemented strategies for compliance with US Coast Guard, Dept. of Natural Resources, RSPA, IMDG, IATA, DEC.i, LOSCO. • Acted as SME for Transportation regulations (all modes) corporate -wide. Training Coordinator, 811188 - 2128195 • Instructor for all new hires in operations. • Instructor for all regulatory requirements in OSHA and the Dept. of Transportation. • Instructor for the Marine Spill Response Team March 3, 2008 Page 49 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Chief Operator, 01107183 - 7131188 • Various duties including maintaining unit operations at maximum production while minimizing equipment outages. • Worked all three Reformer Chief positions and relief Console Operator. • Supervised seven operators. Operator—11119179 — 07111182 • Maintained unit operations, shutdowns and startups. CERTIFICATIONS • Comprehensive HAZMAT Emerg Resp-Capab Assess Program, USCG, FEMA, DOD, DOJ, EPA • Multi Agency Team Building Enhancement, U. S. Coast Guard • On Scene Crisis Manager, United States Coast Guard • Certified Environmental Trainer, National Environmental Training Association • Train the Trainer-WMD & G195 & G196 ICS & UC,: FEMA/Dept ofJustice/NESHTA • Certified Professional Trainer, National Environmental Training Association/U/AZ MEMBERSHIPS • AIChE • National Environmental Training Association March 3, 2008 Page 50 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software 7• • • � s • a •• EXPERIENCESUMMARY Created COM objects with Visual Basic for use with MS Transaction Server. Aided in design of three-tier enterprise web solution for emergency information management system. • Developed relational database and client/server application for use in 9-1-1 Centers. • Implemented HTML/Active Server Pages to be used in web -enabled information management software. • Developed ASP/1avaScript based web simulation program for emergency information management system. • Designed and Implemented relational databases with MS Access and MS SQL Server. • Used XML technologies with design of new web information system. EMPLOYMENT VP Software Development, ESi Acquisition, Inc. — 0812007 —present • Responsible for keeping all ESi software development on track. • Manages all ESi software developers. Lead Software Engineer, ESi Acquisition, Inc. 1211998 — 0812007 SKILLS SUMMARY • MS Visual Basic • COM+ • Client/Server Architecture • Relational Database Design • MS Access • MS SQL Server • HTML • MS Visual Interdev • ASP • XML • XSLT • UML • NET • Visio 2000 EDUCATION BS, Computer Science March 3, 2008 Page 51 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software t o 7*SupportinortBeSDirector ��!! Directuness Services, Oct 2007 — Present with daily management of Business Services rollout plan • Coordination of Business Services meetings, plan component implementations • Collaboration and support to the VP of Enterprise Planning for Companywide ERP by diagramming internal process, technological solutions and gap measures • Assist Transition Decision Group with critical information points relative to company transition to new Services based offering VP Customer Support, July 2005 — Present • Built ESi Customer Support team; including using WebEOC for tracking support tickets in a 24/7 365 Support Center • The ESi Customer Support Center facilitates technical responses to WebEOC board building, general PC and Server environment, and configuration of WebEOC • Our customer base is over 425 implementations worldwide with multiple languages with thousands of users • Responsible for the internal and external websites, including esi911.com, esi91l.com/forum and webeoc.com • Author of www.webeoc.com, coauthor of www.esi9ll.com • Consults with Development team for the request of enhancements and product improvements from customers and support related findings • Provided critical Onsite support of key customer implementations, exercise support, real world events • Daily management of 5 man Customer Support Team • Instructor/SME for Advanced Board Building • Author of User Conference Training material for Advanced Board Building • Created the 2007 User Conference Award Ceremony • TS Clearance Business Services Master Scheduler, Oct 2007— Present • Responsible for the improvement of Order Fulfillment to WebEOC based process • Schedules all onsite WebEOC implementations and service related sales orders with Customers and Regional Managers • Primary Customer POC for implementation phase of sales and services Senior Systems Engineer Westinghouse, Savannah River Site, 2001-2005 • Responsible for workstations and servers supporting customized and off the shelf Computer Aided Dispatch software, closed circuit and streaming video and cable TV. Project lead for many GPS device integration and real-time tracking solutions. Project leader for programmatic development of Remote Field Worker tracking software. Software allowed for integrated Real -Time emergency response and daily Operations support. • Co-author of Emergency management "keyhole" for ArcView 8.3. • 2005 ESRI Federal User Conference presenter for Emergency Response mapping integration. Systems Engineer, CML/Emergency Services, 1999-2001 March 3, 2008 Page 52 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software US Navy Submarine Force, Mechanic and Rescue Swimmer, 1991-1997 SKILLS • Hardware: Workstations, Servers, GPS devices, Managed switches, Wireless Networks • Software: Microsoft Internet Information Server, All Windows OS, Office 2007, All Microsoft SQL Server, ArcView 8X, ArcIMS, MS Access Developer, FrontPage, Macromedia Flash, HTML, Java, Joomla • Communications and Networks: Network Security, Ethernet, LAN/WAN Network Architecture Design, Windows NT - Present client -server systems EDUCATION' Limestone College, May 2004 • BS Computer Science/Internet Management (Magna Cum Laude) Excelsior University, May 2000 • AS Electrical Mechanical Engineering National Training Center, Nov 2004 • Qualified Basic Instructor US Navy-USS Pittsburgh SSN-720, June 1993 • Submarine Warfare Qualified D. Truck Driver Requirements This project will not require a truck driver. E. Subcontractors All work will be performed by ESi employees. March 3, 2008 Page 53 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software VII. Affidavits and Acknowledgements All required affidavits and acknowledgements are included in Appendix D March 3, 2008 Page 54 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software APPENDIX A - Response to the Scope ofWork 3-3 GENERAL SYSTEM REQUIREMENTS 1. System shall provide an interface to collect and store digital information relating to single and/or multiple concurrent emergency incidents or preplanned events; that vary in size and scope. RESPONSE: WebEOC is capable of managing multiple ongoing incidents (actual/exercise) simultaneously yet separately. Upon emergency declaration or the start of an incident, users create the new incident in the system and then responders can log in and begin posting information. With WebEOC, agencies and users can track individual incidents, or roll -up multiple incidents for viewing in a common master view. 2. System shall be compatible with, and capable of integrating and establishing connectivity with Microsoft and ESRI software platforms. RESPONSE: WebEOC is a standard, three tier application. • Microsoft SQL Server is the backend database. • Microsoft IIS is the Web server. • Microsoft Internet Explorer is the user interface. WebEOC® Mapper Professional is an optional ESRI-based plug-in that provides customers and organizations with the tools necessary to create a dynamic, geographically -based common operating picture. ESRI® system requirements include ArcGIS® Server 9.2. 3. System shall be capable of sharing incident specific information between positions and users within an EOC or incident command post, between EOCs or incident command posts, and with other outside agencies. RESPONSE: Users authorized WebEOC access can share information real-time, regardless of location - as long as connectivity exists to the WebEOC server. Information sharing between EOCs or incident command posts can be accomplished several ways. External agencies can simply be granted access to another site's system. Alternatively, information can be exchanged among other agencies with their own WebEOC via Dual Commit. With Dual Commit, agencies have the ability to automatically, or selectively, decide which information to "post" to an outside server. Still another option is Remote Boards. This feature allows WebEOC customers to access boards residing in another instance of WebEOC. This "instance" could be loaded on a dedicated regional server, or it could be installed on an existing customer's WebEOC server. During the first quarter, 2008, ESiWebFUSION` will be released. ESiWebFUSIONT" will allow a WebEOC server to communicate with other WebEOC servers, or third -party systems, by acting as the central communications hub to route messages to intended recipients. If the receiving WebEOC server is not available, ESiWebFUSION will then temporarily store the message until the system is available. 4. System shall be capable of independently and jointly handling multiple incidents. March 3, 2008 APPENDIX A Page 55 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software RESPONSE: WebEOC is capable of managing multiple ongoing incidents (actual/exercise) simultaneously yet separately. 5. System shall be capable of creating a log of incident related information including but not limited to incident developments, response actions, other activities log, resource availability and allocation, and staffing information. The log must be accessible in the user interface and be readily understandable when projected on a large screen display in an EOC. The system shall provide import and export capabilities. System shall provide for import and export to/from common Microsoft data formats such as Excel and Access, as well as generic comma delimited. RESPONSE: WebEOC has a default Position Log that provides users who have their own PC/PDA with a method of documenting actions. This position log is completely configurable and can be tailored locally. Position Logs can be data -linked to other Status Boards thereby eliminating the need to enter selected data numerous times in multiple locations. Status boards allow information to be exported/imported in comma delimited format. This format is compatible with Excel and Access. A view to this information may also be configured so that it is easily displayed on a large screen. 6. System shall have the capability to display status boards (such as shelter information), in a clear and understandable format that can be viewed on both small screens and large projection screens. RESPONSE: WebEOC status boards can be viewed on computer monitors and large projection screens. 7. System shall have capability to display incident related information using locally designed forms. The system must quickly and easily allow the system administrators to be able to create custom forms and modify existing forms to meet the information needs of a dynamic incident response. Default forms must be part of the core system. Default forms must included standard National Incident Management System / Incident Command System forms. RESPONSE: WebEOC comes with a standard suite of Status Boards. Within the context of WebEOC, a status board is a display that provides the ability to generate post, transmit and share information real- time among other WebEOC users. Status boards are the equivalent to large, chronological or topical paper -based boards typically found in EOCs around the country. An agency can use any or all of WebEOC's default status boards "as is", or build an unlimited number of status boards and forms tailored to local requirements. An agency can construct its own status boards using WebEOC's Board Builder or any external HTML editor (e.g. Front Page, Dreamweaver, etc.), or they can contract with ESi for the development of specialty boards. Status boards formatted to meet individual user or agency needs can be developed when the system is initially deployed, as new requirements evolve, or ad hoc during the course of an emergency. During Riverside California's 2007 EOC activation for the wildfires, Charles Roberts, their EOC Coordinator said "the board building interface enables me to take a suggested new board idea from conception to reality in less than an hour". Eric Epley, STRAC's Executive Director, in response to UC Davis questions comparing WebEOC to another software vendor's product replied: "You will be [surprised] after you realize the customization that is available at your level. You can literally build whatever view you want, and with the help of a web -savvy person you can build multiple views and March 3, 2008 APPENDIX A Page 56 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software really make the system an incredible tool. ESi is willing to build stuff for you on a contracted basis but after you see the product and the training, you won't need them unless you have absolutely no one that knows basic html. In fact, I know absolutely nothing about html and have personally designed at least 2/3 of our boards with their board builder utility." WebEOC's default Status Boards include: • Significant Events The Significant Events Status Board is WebEOC's equivalent to the Event Log or as is sometimes called, the Incident Journal. It can be used to track events and activities and log 'who did what when'; it provides the real-time chronology of actions taken during an event — from beginning to end. • Infrastructure The Infrastructure Board is used to track the effects of an emergency on the components of the physical environment, such as pipelines, railways, roads, or bridges. The display view contains the details of various infrastructure and a running tally of those that are marked closed. • Mission/Task The Mission/Task Status Board provides the ability to assign missions and monitor the status of tasks. With the Mission Task display board, missions can be edited by clicking the Update Status button. This gives those who have been assigned a task the ability to "reject", "complete", or characterize it as a task "in progress". • Resources Allows agencies to maintain, manage, and assign inventory or available resources. • Position Log Provides users with a method of documenting actions taken during their shift. • Press Release Provides the capability to display Press Releases or other media related items. • SITREP Provides a standard format that may be used based on two common methodologies — ICS or ESF. • Road Closure The Road Closures status board provides a detail of the closure's location, date/time of the closure, as well as an estimation of the road's re -opening. • Shelters Shelter information and status can be tracked in the Shelters status board. The standard list view displays the shelter's name, status, occupant availability, and indicates whether it is American Red Cross (ARC) approved, Special Needs (SN), or Pet Friendly (PF). • ICS WebEOC contains a full suite of ICS Forms (201— 207, 209, 211— 216, 218, 220, 221, 224, 225, and 230), thereby allowing DMA/WEM to claim jurisdictional compliance with the basic tenets of the Incident Command System as outlined in the U.S. Department of Homeland Security's March 1, 2004 issue of the National Incident Management System (NIMS). • FEMA WebEOC ships with a current set of Forms as published in the FEMA Applicant Handbook. Preparing FEMA forms within WebEOC provides not March 3, 2008 APPENDIX A Page 57 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software only an electronic method of completion, but aids in document retention because data contained within each form is saved to the database when the Incident/Event is archived. • ESF Unlike ICS or FEMA Forms where specific formats are prescribed, ESFs contain no such structure. Various customers have developed ESF Status Boards based on their interpretation and implementation of each Emergency Support Function. These forms can be made available upon request. 8. All forms must be accessible both in a Microsoft Office client as well as through Internet Explorer. Users must have the ability to fill out and save the forms directly in the system without the aid of Microsoft Office. RESPONSE: Users access WebEOC via browser (Internet Explorer) and all updates are made through the WebEOC application. 9. System shall have the capability of archiving any incident response information and provide the ability to retrieve incident information for post incident review and historical purposes and mandated recordkeeping as may be required by law. In addition the system shall be capable of building a simulated incident for playback to facilitate EOC training requirements. RESPONSE: The Archives Manager within WebEOC provides the capability to store, query and view historical data associated with an incident. Incidents are archived through the Incident Manager but retrieved through Archives. When archive data is retrieved, board and plug-in data are viewed in their original display format. The Riverside EOC coordinator had this to say about WebEOC's reporting and audit trail capabilities: "Got to love the ease of using the incident report at the deactivation (80 pages) printed in minutes combined with the server IP logs providing a good audit paper trail." Through Simulator, an archive can be reviewed as though it were occurring real-time, an invaluable tool that can aid in post -critique and evaluation activities. Furthermore, the simulized archive can be edited and then run using the Simulator for training and drill purposes. 10. User interface shall be customizable to support dynamic incidents which require flexibility in data input, storage, retrieval and display. The system must be easily understood by a first time user with basic Microsoft Internet Explorer and basic Microsoft Office Products knowledge. It is expected that the average first time user will be able to comfortably work within the system with no formal training. RESPONSE: An agency can build an unlimited number of status boards and forms tailored to local requirements. Agencies can construct status boards using WebEOC's Board Builder, any external HTML editor (e.g. Front Page, Dreamweaver, etc.), or they can contract with ESi for the development of specialty boards. WebEOC's user interface is intuitive. Users can be trained in basic operation in 15 minutes or less. Charles Roberts, the Riverside California Emergency Coordinator who used WebEOC during the recent wildfires said this about WebEOC's ease of use: "We are using WebEOC at our County EOC, the boards have been restructured by myself recently and are proving a hit, with ease of use and all departments at the EOC commending the system and its new structure. Even with completely untrained users they are finding their way quickly and posting information rapidly enabling other departments and March 3, 2008 APPENDIX A Page 58 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software DOC's to keep right up to date with events. Most surprisingly noise in the EOC has been drastically reduced with WebEOC's in built chat and messaging functions taking away a lot of the 'runners', shouting messages, general chat and ringing extension phones. All involved County departments have logins and are greatly contributing to the accelerated flow of information necessary to make informed intelligent decisions. With the current structure and ease of setting up new users I have been able to get executives and key decision makers online in minutes with a secure 128bit SSL connection." KY Department of Public Health stated regarding ESi's Help Desk support "I got notes from all kinds of people at ESi — it really makes us feel good to know that the "helpdesk" monitors situations and will prioritize as best as they can for an are actually using WebEOC to manage an incident. Comments have been overwhelmingly supportive and they are most pleased with the down and dirty 4-minute training on how to logon and start posting. More agencies should have WebEOC!" Washington State EMA said of WebEOC: "It was our first real -world full test of the software. The real test for us was how well our State and Federal agency liaisons would take it. We had everyone using it in less than 15 minutes and all agreed it was very user friendly, yet comprehensive in the added incident management and mission/resource tracking capabilities it provided. An added bonus was that on Tuesday the 28th, we also used it simultaneously, in a Nuclear Power Plant Exercise, while using it for the flood activation. Multi -tasking to the extreme, it performed flawlessly." 11. System shall support database queries, filters and text string searches of the database. The queried, filtered, and/or search data must be exportable in the formats previously described. RESPONSE: Within WebEOC, agencies can generate preformatted or custom reports based on individual status boards. They can also generate a comprehensive event report consisting of individual or all status boards in an agency's WebEOC. Because WebEOC uses Microsoft SQL Server 2000 for the database, customers have the option of using Access, Crystal, or other tools to generate reports. Additional board views may be created to generate reports that could then be exported in comma delimited format. 12. System shall have the capability to instant message (chat) both individual, and groups of users. RESPONSE: The WebEOC Chat Plug -In allows users to create chat rooms and conduct online text conversations in real-time. User permissions can be granted to edit chat rooms (create and delete) or limited to just participating (send text messages) in existing chat rooms. A chat room can be password protected by the chat room creator or WebEOC Administrator. 13. System shall be built on a Microsoft Platform and database structure / format. RESPONSE: WebEOC is a standard, three tier application. • Microsoft SQL Server is the backend database. • Microsoft IIS is the Web server. • Microsoft Internet Explorer is the user interface. 14. System shall support the Common Alerting Protocol standard. Additionally this system shall be able to send and receive CAP messages for multiple users and be able to automatically forward messages from a primary recipient to a group of other identified recipients within the system. March 3, 2008 APPENDIX A Page 59 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software RESPONSE: WebEOC supports the current standard (CAP 1.1) and users are able to send and receive CAP messages via the Common Alerting Protocol (CAP) Messages Plug-in. Note: The future of DMIS is in question. Currently, no new entities can be added. Automatic forwarding of messages could result in unintended transmission of critical information. During the initial needs assessment, ESi will discuss this requirement and determine how it could best be met. 15. System shall support the Disaster Management Interoperability Services (DMIS), which includes the ability to send/receive data from the National DMIS Servers. RESPONSE: WebEOC has been successfully interfaced with DMIS (Disaster Management Information Systems) and includes a tool that enables users to send and receive CAP (Common Alerting Protocol) alert messages. WebEOC currently pulls directly from DM OPEN at the user's request. Also, the interface makes use of a servlet on the DM OPEN side and uses credentialing unique to DM OPEN. ESi's commitment to interoperability was demonstrated early on by its membership in OASIS (the Organization for the Advancement of Structured Information Standards), ComCARE, and the Emergency Interoperability Consortium (EIC). Today, ESi co-chairs one Oasis committee, and serves on the OASIS Emergency Management technical committee responsible for developing EDXL. ESi was one of the participants who successfully sent and received messages among different CIMS products during the Emergency Data Interoperability Demonstration held October 27, 2004 at George Washington University, and again in November 2004. On March 15, 2007, ESi participated in the Interoperability for Informed Emergency Response Showcase, hosted by COMCARE, the American Red Cross, and NCOIC in conjunction with the Senate Homeland Security Committee. In 2005, ESi received an award from DHS's Disaster Management EGOV Initiative for "leadership in helping to remove the barrier of data interoperability in emergency response". WebEOC° was the first CIMS product selected for HSIN integration. ESi's commitment to interoperability is also demonstrated in its products. WebEOC includes a tool that enables users to send and receive CAP alert messages. The Common Alerting Protocol provides a simple but general, non-proprietary format for exchanging all -hazard emergency alerts and public warnings. Interoperability is inherent in the features in WebEOC and with ESiWebFUSION1' ESi has taken interoperability a step farther, enabling communication not only between individual WebEOCs but also third -party systems. Information can be shared across the region to implement information sharing agreements. Jurisdictions can manage their own information and also can share information with the larger community to enhance and strengthen collaboration. With so many state -level, county and municipal governments relying on WebEOC across the country, adopting WebEOC in Southeastern Florida will lead to even greater interoperability nation-wide. Use of the CAP service requires registration with DMIS as a Collaborative Operations Group (COG). See www.cmiservices.org for additional information. Battelle Memorial Institute operates the Disaster Management Interoperability Service (DMIS), a network backbone for connecting first responders. March 3, 2008 APPENDIX A Page 60 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software 16. System shall support data and information sharing between other communication and collaboration systems via XML. RESPONSE: WebEOC supports data and information sharing via XML. WebEOC offers a simple web - based API that allows data to be retrieved or posted in an xml format. 17. System shall have back-up and restore capabilities within the application for data and database log files. Data and log backup capabilities must be available to the system administrator within the web interface. RESPONSE: Backup and restore capabilities exist within Microsoft SQL 2005 (SQL Server Management Studio). 18. Vendor shall be a Microsoft Certified Partner with proven competencies in providing similar systems to local governments. These competencies are to be demonstrated by providing a list of products/systems that they have developed. Additionally a list of current local government clients is to be provided. RESPONSE: ESi is a Microsoft Certified Gold Partner with competency as an ISV Software Solutions provider. See: https://solutionfinder.microsoft.com/SDK/Solutions/SolutionDetaiIsView.aspx?solutionid=fa4eec7a62ba 4d 1c89b3cd75240cfe6f Today, over 450 instances of WebEOC have been deployed around the world. Countless others, representing federal, state, and local agencies, access those WebEOC instances as invited users. Within Florida, WebEOC users include: Kennedy Space Center, 45SW Patrick AFB, Alachua County, City of Tallahassee, USSOUTHCOM, Putnam County, Okaloosa County, Citrus County, Florida Power and Light. For a list of WebEOC customers, go to: http://www.esi9ll.com/home/index.php?option=com content&task=view&id=33&ltemid=44 19. Vendor shall document that the staff assigned to the project are trained and certified in Microsoft technologies. RESPONSE: ESi personnel have a variety of Microsoft certifications (MSCE/MSCA/MSCI). 20. Vendor shall provide all applicable hardware, software, and licensing for each of the phases. RESPONSE: ESi can provide necessary server hardware and software as needed. 21. System shall be licensed for unlimited users RESPONSE: WebEOC is licensed per server, unlimited users. 22. Vendor must provide 24/7 end -user and administrator support. March 3, 2008 APPENDIX A Page 61 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software RESPONSE: ESi provides 24/7 emergency phone support and routine support M-F 8x5. 23. System must use proven Microsoft and industry standard access security measures that can be documented and demonstrated. RESPONSE: The Solution ESi proposes implements industry standard access security measures in a number of ways and at a number of levels. User passwords are stored using the SHA512 hashing algorithm. The database connection string is encrypted using Rijndael (AES) encryption and stored in the registry. Administrative functions are designated only to administrative users with secured privileges and access. The WebEOC Administrator can assign user privileges and access based on the user's role and necessity. Through permissions, WebEOC Administrators grant users: • access to specific boards/forms • authorize read/write or read only • authorize add/update or add only • access to MapTac or specific maps in MapTac • access to contacts, messages, checklists o Within Contacts, users can beset for No Access, Partial (can only view contacts that are marked "Unrestricted"), or Full (can view contacts designated as "Restricted" and "Unrestricted"). • access to Reporter WebEOC's General Manager is used to configure security options that are applicable to all WebEOC user accounts. These include: User list on login page Allow users to edit their accounts Enforce strong passwords Password age The administrator has the option of removing the user list from the login page, requiring users to manually enter their user name in order to login. If this is checked, users select their login name from a list when logging into WebEOC. If not checked they must type in their user name. Administrators have the option of allowing WebEOC users to edit certain settings in their own accounts. If checked, users can change their password and email addresses. If checked, user passwords must meet the requirements for a strong password. A strong password must contain at least one upper case letter, at least one lower case letter and at least one number. WebEOC administrators have the ability to set the number of days a password is valid. Once a password March 3, 2008 APPENDIX A Page 62 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software has expired, the user is required to change it at their next login attempt. Setting age to 0 disables password aging. Password history User passwords cannot be re -used for (N) number of times. This is determined by the WebEOC Administrator. Minimum password length Administrators can set the required length of characters for user passwords. Account lockout threshold Administrators can set the number of failed login attempts before an account is locked. Setting the lockout threshold to 0 will disable lockouts allowing an unlimited number of password attempts. The built in WebEOC Administrator account cannot be locked out. Account lockout duration This sets the amount of time an account will be locked out after the lockout threshold has been met. Setting the duration to 0 locks the account until it is manually unlocked by an administrator. Enforce maximum file size Administrators can use this feature to set the total number of Megabytes that may be uploaded into WebEOC, either through the File Library or MapTac. Administrators themselves have unlimited space for files. WebEOC Security Guide provided as Attachment 1 to this proposal. 24. The Phase 11 and Phase 111 server -based systems must fully interact and share data between themselves and with the Phase I web -based system. Vendor must provide bandwidth requirements to support different modes of access. Bandwidth must be scalable to meet the needs of the Region during an emergency situation. Vendor must provide a minimum bandwidth of SMB with the ability to scale to at least 10 times minimum bandwidth to support users. RESPONSE: See Item 3 , this appendix, for a description of data sharing options that exist among WebEOC user agencies. WebEOC uses a minimal amount of bandwidth. This is accomplished using AJAX technology throughout the application to ensure the minimal amount of data is transferred to the client. Additionally, the amount of data being transferred is heavily dependent on status boards that are built by the customer. We cannot anticipate how large or small of a board the customer will create. 25. For Phase 1, hosting and network facility must demonstrate the ability to provide mission critical services with redundant power and redundant network infrastructure. Vendor must also have at least 2 geographically diverse hosting sites with automated redirection in the event that the primary site is March 3, 2008 APPENDIX A Page 63 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software inoperable. There must be full live replication between the sites so that any redirection occurs with minimal interruption to the end users. RESPONSE: ESi's ASP servers are housed in Rackspace data center facilities located in Dallas, Texas and Herndon, Virginia. These facilities feature a wide range of structural, network, and security safeguards to provide customers with state-of-the-art disaster avoidance and resilience. All centers are next - generation facilities with built-in redundancy, providing resilient environments for hosting customers. Rackspace guarantees that critical infrastructure systems will be available 100% of the time — including all power and HVAC. The utility infrastructure in each data center includes redundant power sources and UPS backups, Both data centers provide a 100% Network Uptime guarantee with redundant Internet connectivity via Tier 1 backbone network providers. This high-speed connectivity enables "private transit" peering that avoids congested public peering points and improves application and system performance. Each data center's architecture provides redundancy against fiber cuts, electronic outages, and the Cisco backbone routes outages while network engineers monitor all supported services 24x7x365. Based on our redundant ASP architecture, WebEOC availability is targeted at 99.9%. Double -Take® replication software is used to mirror WebEOC SQL databases between data centers. Rackspace's SAS 70 (Type II) can be provided upon request. 26. For Phase 11 and Phase Hl, Vendor shall have the capability to provide the following options: a. All applicable server hardware and software b. Hosting capabilities equivalent to those outlined in this Scope of Work — Phase I System for the County. RESPONSE: ESi can provide server hardware and software used to support local installations at the city/county level, as well as offer hosting capabilities equivalent to those specified for Phase I. 3-4 GENERAL IMPLEMENTATION REQUIREMENTS 1. For Phase I the vendor shall be responsible for hosting and securing the implementation. For Phase 11 and Phase 111, the vendor shall be responsible for installing the software on the County's or City's server. RESPONSE: ESi will provide hosting services during Phase I and local installation at the City/County level during Phase II. 2. Applicable database and web server software shall reside on separate web and database servers. RESPONSE: As a web -enabled database application, WebEOC utilizes web pages for data entry and retrieval to a Microsoft SQL database. Users access the application utilizing Internet Explorer 6.0 or later. The web component of the application is ASP.NET and HTML delivered over TCP/IP port 80 (443 if SSL is implemented). The communication between the web server and the database is over TCP/IP port 1433 via .NET database components. Access to the database is controlled by setting an identity for WebEOC March 3, 2008 APPENDIX A Page 64 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software which is assigned DBO access to the database. The database is a single SQL database. Both the web server (IIS) and database server (SQL Server) can reside on a single machine, or on separate machines. 3. Vendor shall designate a Project Manager who will serve as the primary point of contact during the implementation period for Phase 11 and Phase 111 and during the lease term for Phase 1. RESPONSE: ESi will appoint a Project Manager who is a Certified PMI Project Management Professional. 4. System shall operate on the latest Operating System, including any applicable security and service pack updates. RESPONSE: WebEOC operates on Microsoft Windows Server 2003 with applicable security and service pack updates. 5. Vendor shall implement all appropriate industry standard network security measures (e.g. hardware firewall). RESPONSE: ESi will implement appropriate security measures at its hosting facilities. 6. For Phase 1, the vendor shall provide software and hardware to backup the entire system and provide redundant uninterrupted fully functional access in the event that the primary system (including its host facility) is inoperable. RESPONSE: Backups include daily incremental / weekly full with offsite tape rotation on a daily basis. Tapes are retained for 4 weeks. See also Section 3-3, Item 25 above. 3-5 SYSTEM SECURITY 1. System must provide ability to restrict edit access to screens/records. RESPONSE: WebEOC is very configurable with respect to permissions. Users can be granted read only, read/write, or read/write/delete privileges. 2. System must provide ability to restrict view access to screens/records. RESPONSE: WebEOC Administrators can restrict view access to screens/records. 3. System must provide logging of all changes to screens/records and identify which users have made the changes. RESPONSE: The system provides auditing of any changes made through the Admin Manager (updates, additions, deletions); any board entries; user log ins. Security and audit reporting of system access and usage can be accomplished through the operating system 4. System must provide adequate access/authorization controls and adjust access (read, write, update, delete) accordingly. RESPONSE: WebEOC is very configurable with respect to permissions. Users can be granted read only, read/write, or read/write/delete privileges. March 3, 2008 APPENDIX A Page 65 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software 5. System must use HTTPS. RESPONSE: Secure Socket Layer (SSL) can and should be implemented to encrypt all WebEOC transmissions. 6. System must provide documentation of results of an industry accepted standard security compliance test for the system. RESPONSE: ESi contracts with Aspect Security, Inc. to conduct penetration testing and application security code reviews of WebEOC software. These reviews cover: authentication, authorization, parameter use, cross -site scripting, buffer -overflows, command injection, error handling, cryptography, system administration and server configuration. They also thoroughly examine unnecessary and malicious code, concurrency, denial of service, privacy, logging, integrity, pooling, caching, reuse, code quality, legislative compliance, and site -specific policies. They are also involved in ESi's Application Security Policy Development. ESi WebEOC developers attend Aspect Security's Web Application Security Developer Training. 3-6 SYSTEM REQUIREMENTS 1. End User. any PC running Microsoft Internet Explorer 6.0 or higher. RESPONSE: WebEOC supports this requirement. In addition, WebEOC 7.0 released Feb. 22"d, supports any computer running IE 6.0 and above, Safari 3.0 or Firefox 2.0. Minimum requirements can be found on respective vendor web sites. 2. PDA: any PDA running Microsoft Internet Explorer Mobil 5.0 or higher, RIM operating system, and/or all other applicable field solutions. RESPONSE: WebEOC has been designed to operate on a PDA running Microsoft's Windows Mobile version 5 (version 6 support will be provided 15t quarter 2008). Blackberry support is provided via the Blackberry OS browser, version 4.2.1 on the Cingular or AT&T network. Opera is also supported on the Blackberry via any network. 3. Bandwidth Requirements: Users should be able to access the system over any internet connection (to include dial -up and satellite) recognizing that connection speed may affect refresh rates. RESPONSE: WebEOC can be access via any of these methods. 3-7 REPORTING REQUIREMENTS The System shall provide a flexible reporting environment for analyzing information during and after an event without the use of external report generators. This reporting capability must include the ability to organize information into user developed formats. RESPONSE: The WebEOC solution stores data in a relational database management system, Microsoft SQL Server 2005. Preformatted, simple reporting is provided, on a board by board basis, that allows for common filtering and sorting to provide quick access to data related to any event, incident or captured element. Custom reports can also be created. A comprehensive event report can be generated March 3, 2008 APPENDIX A Page 66 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software consisting of individual or all status boards in an agency's WebEOC. For enhanced reporting functionality that may be required for external analysis programs and specially formatted documents, clients have the option of integrating tools such as Crystal Reports, Microsoft Excel and Microsoft Access to provide additional functionality. W: [K1C" _ ' ►IIL The Vendor shall provide an acceptance test period (the "Test Period") that commences upon installation. Installation shall be defined as a fully functional system will all applicable redundancies and back up provisions in place. Additionally the Installation shall include any applicable implementation team training. During the Test Period, Customer shall determine whether the System meets the Vendor published electronic documentation, ("Specifications"). The Test Period will be for 90 days. If Customer has not given Vendor a written deficiency statement specifying how the System fails to meet the Specification ("Deficiency Statement") within the Test Period, the System shall be deemed acceptable. If Customer provides a Deficiency Statement within the Test Period, Vendor shall have 30 days to correct the deficiency, and the Customer shall have an additional 60 days to evaluate the System. If the System does not meet the Specifications at the end of the second 30 day period, either Customer or Vendor may terminate this Agreement. Upon any such termination, Vendor shall refund any monies paid by Customer to Vendor therefore. Neither party shall then have any further liability to the other for the products that were the subject of the Acceptance Test. RESPONSE: ESi accepts the proposed "Test Period" 3-9 BUSINESS CONTINUITY & DISASTER RECOVERY Each vendor proposal must include a full description of and provide a detailed overview for: 1. Current and proposed Business Continuity Practices and Approaches as they relate to the daily operation and possible interruptions of service. RESPONSE: Background As part of ESi's offering of WebEOC, customers may choose the option to have their software hosted on ESi's ASP. ESi uses RackSpace as its provider. Configuration The ASP is divided into two separate, fully independent, geographically separated sites. The primary site is a high availability configuration located in Dallas, Texas; while the redundant site is located in Herndon, Virginia. Together, these sites have an SLA guaranteeing 99.9 application availability. Superstructure Both RackSpace facilities are designed to be highly redundant and physically secure. Power, cooling and network access are guaranteed to be available 100% of the time. All server and network equipment can be replaced within one hour of identifying a problem thanks to RackSpace's inventory of replacement equipment which is stored on site. March 3, 2008 APPENDIX A Page 67 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Monitoring and Response Service availability is monitored on all servers every 3 minutes. RackSpace monitors status events on servers and network devices including network availability, process status, file system capacity, and backup success/failure. Rackspace also monitors Core OS and application log files for critical/warning application and system events. The ESi servers are also monitored for server hardware faults. If any single test fails, the alert procedure is initiated. (See below). High Availability Site The Primary site, located in Dallas, Texas, has been designed for high availability. This is accomplished through redundant load balancers, firewalls, switches, and SAN fabric. WebEOC Enterprise has been installed in a web farm across two high end web servers. The SQL database is a Microsoft SQL cluster composed of two redundant SQL servers connected by fiber to a SAN. This high availability configuration allows for the loss of any single hardware component without a loss of service to the customer. All customer data is replicated in real time at the byte level from the primary site to the redundant site through a secure LAN —LAN VPN. Redundant Site The redundant site, located in Herndon, Virginia, has been designed for redundancy. This site has been designed to take the load of the Primary site but will never be activated unless there is a catastrophic loss of the Primary site. Backup and Restore All customer data is backed up to disk every hour and to tape once daily. Tapes are stored in an offsite vault for 4 weeks. Alert Procedure Should any alert be triggered by the RackSpace monitoring tools, the alert procedure is initiated. For non critical errors which will not impact customer service, RackSpace will attend to the problem internally. ESi personal will receive an e-mail with the error report and solution that was implemented. Failover to Redundant Site Procedure Should the primary site suffer from a complete outage, all WebEOC services will be made available to customers on the redundant site. ESi personnel will be alerted by RackSpace of the outage and determine if a failover is required. Failover will involve starting SQL services on the redundant site and broadcasting an internet wide change in DNS allowing customers to continue accessing WebEOC through their normal URL. Because of the short "time to live" on ESi's DNS setting, propagation of the changes will be rapid. Restoration Procedure March 3, 2008 APPENDIX A Page 68 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Once the Primary site is back on line, all customers will be required to exit WebEOC as the data and DNS entries are transferred back. It is expected that the customer could experience up to a 2 hour outage during this process. 2. Current and proposed data backup and restore practices. This will include an explanation of the standards, procedures, methods, cycles, turnover, retention periods and offsite capabilities. SQL DB maintenance is run hourly for transaction logs and nightly for the db backup. That data is backed up to tape and stored offsite for a period of 4 weeks. Offsite Tape Rotation Security Overview For Customers Subscribing to Managed Backup and Offsite Tape Rotation Data security and integrity are absolutely essential elements in protecting the intellectual property of your business. Rackspace Managed Hosting has implemented numerous security procedures, requirements, and auditing processes to ensure that your data is secure at all times. Preparatory Security Measures Rackspace Managed Hosting employs several internal practices designed to protect customer data before media is shipped to offsite facilities. Examples of such measures are: Media Shipping Best Practices Rackspace follows media manufacturer best practices for protecting media during shipping to offsite media vaults. Such practices include packing individual media into the original packaging materials before transport and externally affixing transport containers with internationally recognized "Fragile Electronic Equipment" and "Do Not X-Ray" labels. Transport Container Security Rackspace ensures that all media sent offsite is shipped in locked, water-resistant and impact - resistant containers in order to protect media from tampering, dropping or exposure to extreme environmental elements. Offsite vendor representatives do not have direct access to individual media containing customer data at any point in time during the transport container's offsite period. Offsite Vendor Identity Verification Rackspace verifies the identity of all offsite vendor personnel prior to media pickup/delivery. Offsite Vendor representatives are required to present picture identification and register in each data center's visitor log prior to picking up and delivering media. 3. Current and proposed disaster recovery procedures and standards and how they will be implemented into the proposed system solution to cover any disruptions in service and minimize any downtime. March 3, 2008 APPENDIX A Page 69 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software RESPONSE: Steps for Failover from DFW to IAD: Our web servers at DFW and IAD also function as domain name servers and host the 'A' records for www.AIREOC.com. Those 'A' records point to the web server at DFW. If a failure occurs at DFW which makes our website inaccessible, we must open a ticket with Rackspace and have them change those 'A' records to point to the web server at IAD. Keep in mind that the DNS change can take some time to propagate so users may not immediately be directed to IAD. Failure Step 1. ESi is notified of a failure at Rackspace Step 2. ESi personnel open a ticket with Rackspace to stop Double Take at DFW. Step 3. ESi personnel open a ticket with Rackspace to change the DNS 'A' records located on our web servers at DFW & IAD to point to the web server at IAD and set the TTL value to a minimum. Step 4. ESi personnel open a ticket with Rackspace to start the SQL service instance of AIREOC at IAD. Step S. ASP customers are notified via email of the failure and actions necessary for them to take Step 6. Customers may resume their operations, some sooner than others depending on the amount of time it takes to propagate the change throughout the internet. At the conclusion of the failure Step 1. ESi personnel open a ticket with Rackspace to stop the SQL service instance of AIREOC at IAD. Step 2. ESi personnel copy the AIREOC database from IAD to DFW. Step 3. ESi personnel open a ticket with Rackspace to start the SQL service instance of A►REOC at DFW. Step 4. ESi personnel open a ticket with Rackspace to change the DNS 'A' records located on our web servers at DFW & IAD to point to the web server at DFW and set the TTL value to a minimum. Step 5. Customers may resume their operations, some sooner than others depending on the amount of time it takes to propagate the change throughout the internet. 3-10 TERMS AND PAYMENT Incremental/progress payment schedule shall be as follows: • 25% upon the initiation of the Test Period • 50% upon Acceptance (as previously defined) • 25% upon completion of Training RESPONSE: ESi accepts the proposed Terms and Payment schedule. March 3, 2008 APPENDIX A Page 70 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software 3-11 TRAINING 1. The Vendor shall provide Administrator and Trainer training locally to the person or persons responsible for administering the system. RESPONSE: ESi will provide onsite Administrator and Train -the -Trainer training. 2. Administrator training shall provide instructions on how to setup and manage the system. Administrators need not be IT professionals. Customer will ensure that employees or contractors responsible for program implementation and knowledgeable in their agency's emergency response process and procedures attend Administrator Training. Attendance by agency personnel with the authority to dictate how the software will be used during an emergency response is essential to successful implementation. This training shall be offered in two 1-day sessions. RESPONSE: WebEOC Administrator Training can be conducted in one day. An additional day of Board Builder training recommended. 3. Trainer training will provide instructions on how to teach non -administrator end -users in the basic and advanced functions and features of the system. This training shall be provided in 2 half -day sessions. RESPONSE: User training will be provided as requested. These two sessions will include a short table- top exercise. 3 -12 SYSTEM WARRANTY The Vendor shall provide the Customer with a warranty for the system for the term of the lease. Vendor shall, without additional cost to Customer and in a timely manner without delay, provide all changes to the licensed software packages that are necessary to maintain applicable the software warranties, or as deemed necessary by the software publisher(s), such as minor or major patches or upgrades to fix bugs or problems in the software. RESPONSE: Year 1 software support is included in the purchase price of WebEOC (this does not include the ASP fee). Software support can be renewed annually and includes correction, point and level releases. • With regard to the software: The software is provided under a perpetual license, whether or not the license is acquired for local installation or for hosted environment. The warranty offered for the software is reflected in Section 14 of the EULA provided as Attachment 2 of the Technical Volume. • With regard to hardware purchased: The warranty offered for the hardware is the warranty offered by its manufacturer. With regard to a hosted environment: The warranties offered are stated in Sections 6 and 12 of the WebEOC Managed Hosting Agreement, provided as Attachment 3 to the Technical Volume. Hosted environment warranties are in addition to the software warranties. March 3, 2008 APPENDIX A Page 71 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software 3-13 SERVICE LEVEL AGREEMENTS -SUPPORT System support shall include 2417 phone support and all System updates. System updates include, but are not limited to: the resolution of system anomalies, modifications to current generation of the system (including enhancements and improvements), and a new release or new generation of the system. RESPONSE: Year 1 software support is included with the purchase of WebEOC Professional. Software support begins on the 1" day of the month after the software is installed. NOTE: Year 1 software support on third party products (e.g. Double -Take) begins the day the software is shipped by the vendor to ESi. Software assurance/support on third -party products will typically expire prior to that of WebEOC. Software support includes the following: • WebEOC® software updates' o Correction Releases --Provided to resolve software anomalies (e.g., v7.0.1, 7.0.2, etc.) o Point Releases --Modifications to current generation of software that include enhancements, improvements (e.g. v7.3, to 7.4) o Level Releases --New release or new generation of software (e.g., v6.0 to 7.0) • Routine Customer Support (M - F, 0830 -1700 Hrs. Eastern) o Answer questions on software use o Installation / reinstallation support. o Remote session support. • 24/7 emergency customer support. Provided as necessary during actual or exercise events/ incidents. In fact, ESi® wants to know when you activate to ensure your calls for support are first to receive service. • After Action or Post Incident Analysis. ESi° will assist you in analyzing After Action Report findings and offer suggestions for improvement. • Access to community -use boards and tips on the WebEOC° Forum at www.esi9ll.com/forum • 10 hours of Board Building, scripting and configuration. • One free registration for the Annual WebEOC° User Conference 3-14 TIMELINE 1. The Vendor shall initiate the Test Period, and therefore full installation, no later than 21 days from the award of the contract. 2. The Vendor shall provide the required training sessions within 14 days of the completion of the Test Period at an acceptable time and location, identified by the Region. 1 Software updates and their associated release notes are normally downloaded from our website and applied by the customer. Email is used to notify customers when and where new releases are available. Customers must provide and maintain current contact information for those individuals designated to receive these notices. Contact information should include name, title, business mailing address, email address, phone and fax number. March 3, 2008 APPENDIX A Page 72 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software 3. In the event the Vendor fails to meet the specified timeline, the customer will reserve the right to: a. Terminate the agreement/contract. Upon any such termination the Vendor shall refund any monies paid by Customer to Vendor therefore. Neither party shall then have any further liability; or b. Reduce the amount due to the Vendor by up to 2.5% per day that the Vendor fails to meet the described timeline. RESPONSE: ESi has integrated the specified requirements into our implementation plan for this project, as shown in Appendix B. ESi accepts terms specified in Item 3. March 3, 2008 APPENDIX A Page 73 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Appendix B - Implementation Plan Following an initial kick-off meeting, ESi will conduct a series of information gathering sessions with the City of Miramar personnel. The goal of these sessions will be for all parties to gain an understanding of project goals, objectives, and more specifically, processes and procedures the City of Miramar envisions incorporating into WebEOC to support the concept of a Southeast Florida Regional Emergency Management scenario. While the primary focus of these information gathering sessions is to understand the City of Miramar's business rules and workflow, this process might include site assessment, evaluation of IT environment, backup and recovery, disaster recovery plans, future capacity requirements, and nature of systems and data to be used in conjunction with the ESi WebEOC solution. From this initial assessment, we will produce Operational Review documentation, detailing findings, redundancies in functionality, gaps, opportunities for process improvement, etc., and make recommendations concerning what will best meet the City of Miramar requirements. While a notional scope of work is provided, an in -progress Project Plan will direct final project planning as the project progresses. Two key components to be produced in ESi PM Phase I are a Requirements Document and a Design Document. These documents will be instrumental in building the in -progress Project Plan, along with various other custom project documents and templates, including but not limited to: Communications Plan, Organizational and Escalation Plan, forms for Status Reporting and Meeting Notes, Risk Control documentation, Deliverable Acceptance forms, etc. Following these initial activities, ESi expects to guide the City of Miramar through the remainder of the implementation process following the direction obtained from the requirements -gathering and expectation -definition processes. At certain phase -points this will include providing technical assistance concerning hardware specification and configuration followed by the actual procurement of said hardware. Along with hardware procurement, ESi will install hardware and software, or alternately oversee its installation on the part of appropriate City of Miramar staff. B.1 Phase I During Phase i, ESi will host WebEOC for Broward, Miami -Dade, Monroe and Palm Beach Counties at its data centers in Dallas, Texas and Herndon, Virginia. (Specifications for these data centers can be found in Appendix C—System Specifications, Requirements and Support, Section C.1.). A system diagram is provided in Figure 8.1. March 3, 2008 APPENDIX B Page 74 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Internet Internet Legend: Internet%: - _ - l"- Internet -'" - - - Q § Wan Link Routing Routing _- Layer. Vl Layer CO 100 Mb Ethernet I9 ` Aggregate Aggregate Fiber/Gigabit Switching g ---- Switching _ _ _ _ = Failover - _...._ Layer - ,'. Layer Redundant - VPN Tunnel Cisco PIX Cisco PIX v ` 515E Firewall 515E Firewalls Redundant i Cisco 11501 - 7 Load Balancers j - s i ' . � AN'„elvzorlt= I � � I �tV Web 1 Web 2 S L luster S L C uster Web SQL cove assive) 'ac7s . __. _ "1 Primary High Availability Site Disaster Recovery Site Figure B.1— ASP Diagram In support of implementation of WebEOC in a way that fully meets the objectives of the region, ESi will work with representatives of the region to confirm high-level strategic objectives, identify key stakeholders, fully define project objectives, confirm the final project team, and develop and produce the project plan. ESi will interview selected county personnel to gain an understanding of project goals and objectives. While the primary focus of this phase is to understand business rules and workflow, this might include site assessment, evaluation of IT environment, backup and recovery, disaster recovery plans, future capacity requirements, and (optionally) nature of systems and data to be interfaced at a later date. From this initial assessment, we will produce operational review documentation, which will detail findings, redundancies in functionality, gaps, opportunities for process improvement, etc., and make recommendations concerning what will best meet the customer requirements. During Phase I ESi will: • Provide and review the WebEOC Application Business Rules and configuration options, followed by a period of Status Board analysis, design, and system configuration. The City of Miramar will define and document Standard Operating Procedures with oversight from ESi, if requested. • Configure, test, and document customer's "standard" WebEOC product. The build -out of this product will consist of a suite of status boards that are expected to be deployed by all four counties March 3, 2008 APPENDIX B Page 75 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software • Install the WebEOC solution at ESi ASP host facilities (Dallas, Texas and Herndon, Virginia) and conduct all required initial configuration. • WebEOC Administrator training will take place over the course of a two day period. One agency will be designated as the "system" administrator for ALL counties (Broward, Miami -Dade, Monroe and Palm Beach). For the purposes of this proposal, that county is assumed to be Broward. Other counties may send potential Administrators to audit the course, but Administrator training for these individuals/agencies will be provided in Phase II. • Provide technical advice and assistance to the City of Miramar during its implementation, initial administration efforts, and if requested, during preliminary testing and exercise configuration and implementation. • Conduct user training and a table -top exercise at Broward, Miami -Dade, Monroe and Palm Beach Counties. Two three (3) hour sessions will be conducted at each site. • Working in conjunction with City of Miramar / governmental agency representatives, ESi will develop exercise objectives that test not only the ability to exchange information using WebEOC, but evaluate the effectiveness of the overall WebEOC configuration. • Following will be such tasks as documentation and training development, as appropriate; implementation of Change Controls if needed and/or interfacing/integration between WebEOC and other solutions; To ensure successful implementation, ESi recommends that the customer undertake the following activities: • Designate a project manager. • Participate in an initial kick-off meeting to outline project goals and objectives. • Identify business rules and workflow as they apply to emergency response activities. Be prepared to discuss organization structure and provide event reporting, mission tasking and situation reporting procedures. • Provide or have available: o List of user names and EOC positions. o Copies of forms and/or status boards used locally for incident management. • Provide a facility where WebEOC Administrator training will occur. o Trainees should have their own computers (PC or laptop) running Internet Explorer 6.0 (or higher) and be able to access the WebEOC server. o The room where training will occur should have at least one projector connected to a computer with access to the WebEOC server. B.2 Phase II During Phase II, WebEOC will be installed at each site (Broward, Miami -Dade, Monroe, and Palm Beach Counties). In addition, ESi will deploy ESiWebFUSION. ESiWebFUSION'm allows a WebEOC server to communicate with other WebEOC servers, or third -party systems, by acting as the central communications hub to route messages to intended recipients. If the recipient WebEOC system is not available, ESiWebFUSION will then temporarily store the message until the system is available. System diagrams are provided in Figure 8.2-1 and Figure 8.2-2. March 3, 2008 APPENDIX B Page 76 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software DMZ - -----_---- --- -- - - --_ _. _. i Id.. i Data i Data Projector j Entry Display Positions Computer 4 Projector Internal Users I Projector Internet Intranet Boundary \\y Be.. ary L_ video J Replication IP LANNVARIVI'lWNAT _ _ Remote Users We Server Database Server I:. IIS 6.0 Microsoft SDL Server 2005 I tiv (Ace/Source Server) Double -Take I i 1 I Redundant Servers I I _ \` ---SQL Connection---- _ I , -,! Web Server - Database Server IIS 6-0 w Microsoft SQL Server 2005 _ (Passive/Target Server) Figure B.2-1— Typical LAN Model Figure B.2-2 — Proposed ESiWebFUSION Architecture March 3, 2008 APPENDIX B Page 77 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software During Phase II ESi will: • Re -interview selected county personnel to confirm regional goals and objectives. While the primary focus is to understand any change in business rules and workflow, this will include a new site assessment and an evaluation of the existing IT environment at each location. • Procure servers and related software necessary for installation of redundant, local instances of WebEOC at each county. • Develop subscription boards in support of ESiWebFUSION deployment. • In conjunction with agency personnel, install hardware/software at each site. • Detach each customer's database from the ASP server, copy, and then attach to the 'local' server. • Setup the ESiWebFUSION server(s) and configure WebEOC as necessary at each county. • Provide WebEOC Administrator training to designated county personnel. The needs assessment will be conducted to identify new business rules and workflow requirements and determine whether which process elements implemented in Phase I will be carried forward in Phase II. It is assumed a single needs -assessment meeting will be held with all affected counties (Broward, Miami - Dade, Monroe, and Palm Beach) during a one week period. Following the needs assessment, ESi will perform an operational review and notify agencies of the results. During this phase, subscription boards will be developed in support of ESiWebFUSION deployment. The subscription boards will allow the counties to share selected data across the region. The sharing of information through subscription boards can be controlled by the jurisdiction posting the data, specifying who has access to the data and restricting the permissions to amend the data. In this way, the jurisdictions in the region both can have control of their own data and share information to enable interoperability and collaboration throughout the region. ESi will procure and configure servers and related software necessary for installation of redundant, local instances of WebEOC at each County. This will include (per county): • Two web and two database servers (Dell rackmount) 2,3 • Operating System Software o Microsoft® Windows Server" 2003 operating system. • Database Software o Microsoft SQL Server 2005 Standard Edition (licensed per CPU). • Replication Software o Double -Take° Standard Edition (per database server). • Application Software o WebEOC®Professional — Standard Edition. o WebEOC Professional — Second Server Software 2 This proposal assumes customer will provide tape backup software and hardware. Database servers have been optioned that include these items. 3 This proposal assumes Dell rack -mount servers will be provided and that customers have space in existing racks, will provide racks, contract with ESi to provide racks, or opt instead for tower servers. It is also assumed that backup power is a customer responsibility (individual or centralized UPS). March 3, 2008 APPENDIX B Page 78 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software A redundant instance of ESiWEBFUSIONT"' will also be installed. Server hardware plus operating system, database and replication software specifications mirror WebEOC requirements above. Prior to installation, ESi will: • Install latest Operating System (Microsoft Windows Server 2003) security and service pack updates. • Install Internet Information Services (IIS) on designated web server(s) with all current updates. • Install the Standard Edition of Microsoft SQL Server 2005 on primary and redundant database servers with all latest security and service pack updates. • Install WebEOC application software and Double -Take replication software. When complete, servers will be shipped to designated counties for installation by ESi and County personnel. It is assumed primary and redundant servers are located in the same city.4 Following server installation at each site, the customer's database will be downloaded from ESFs datacenter and attached to the local database server. Once all software has been installed, Double -Take will be configured and when complete, the primary (active) instance of WebEOC will undergo testing to simulate failover to the secondary (passive) instance of WebEOC at the redundant (mirror) site. Upon successful completion, both WebEOC instances will be returned to their normal state. After hardware installation is complete the selected representatives of each county will receive WebEOC Administrator Training. WebEOC Administrator and User training will be provided to the person or persons responsible for administering the system. Administrator training will provide instructions on how to setup and manage WebEOC. Administrators need not be IT professionals. Customer will ensure that employees or contractors responsible for program implementation and knowledgeable in their agency's emergency response process and procedures attend Administrator Training. Attendance by agency personnel with the authority to dictate how the software will be used during an emergency response is essential to successful implementation. Class size should not exceed ten students. Although a minimum number is not specified, training should include enough system administrators to ensure one is available for duty during any protracted event. NOTE: Given that county personnel would have received 'user' training during Phase I, additional user training has not been quoted for Phase II. User training, table -tops, or drills and exercises can be quoted if desired. ESi recommends that the customer undertake the following activities to support the successful implementation of Phase II: Designate an overall project manager and principal representative for each county. Review the WebEOC 6.0 Security Guide for information on how to secure WebEOC. Designate an IT or EM resource who will accompany ESi during hardware/software installation and testing. 4 If these servers are geographically separated (e.g., another city), technical services and travel may need to increase to account for longer than planned installation activities. March 3, 2008 APPENDIX B Page 79 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Designate a location for the ESiWebFUSION Server. In support of WebEOC installation o Install Anti -virus software. o Implement all required network security measures (e.g. hardware firewall) prior to WebEOC installation. (Note: Network and physical security are a customer responsibility.) o Open port 80 (443 for SSL) when placing the web server behind a firewall. o Open TCP/UDP ports 1100 and 1105 if replicating (using Double -Take) through a firewall. o Open SQL port 1433 if placing a separate web server in a DMZ. o If WebEOC's Messaging component is to be used to pass email, SMTP traffic (_Port 25) must be allowed on the network. o Attach servers to the network. o Provide server IP address(es). If internet access to WebEOC is required, obtain and assign a public IP address. • Obtain SSL certificate (if SSL will be implemented) and install on [Web] server. (NOTE: If the Web server will be accessible from the internet, ESi recommends SSL certificate be purchased and installed prior to actual use.) • Provide software and hardware to backup WebEOC's database (as required). Customer is responsible for implementing database backups. • Provide facility where WebEOC Administrator training will occur. o Trainees should have their own computers running Internet Explorer 6.0 (or higher) and be able to access the WebEOC server. o The room where training will occur should have at least one projector connected to a computer with access to the WebEOC server. • Provide or have available upon arrival: o Copies of forms and/or status boards used locally for incident management. B.3 Phase III Phase III presumes local installation at individual cities within each county. Activities associated with Phase II would essentially be repeated in Phase III. However, needs assessments would have to be conducted with each agency to determine the actual scope of services. As appropriate, ESi will install the WebEOC solution, conduct required initial configuration, and provide training. Working with the selected county or city personnel, ESi will demonstrate and train users how to tailor and configure WebEOC to meet local needs. B.4 Acceptance Testing and Go -Live Acceptance Testing. ESi will provide oversight and assistance, if requested, for the City of Miramar to prepare for and perform final acceptance testing prior to go -live to evaluate the effectiveness of the WebEOC configuration approved by the City of Miramar. After FAT has been completed successfully, the City of Miramar will approve system acceptance. March 3, 2008 APPENDIX B Page 80 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Go -Live. ESi will provide on -site mentoring and support with qualified resources, if requested throughout the initial stage of the City of Miramar Go -Live. ESi will transition the project into remote Customer Support, including all operating characteristics and environment data to the off -site support center. Post -implementation services will be scheduled 60-90 days after Go -Live for process ironing, system and user checkup. B.5 Timeline In accordance with the City of Miramar's tentative start date, to be determined after awarding RFP #08- 11-01, the ESi initial Project Plan will incorporate the established beginning and ending dates for the entire project. Requirements Definition &`Design', TBD " TBD ;System Configuration TBD TBD Installation and Training TBD` Acceptance Testing TBD TBD Go -Live TBD TBD B.6 Deliverables B.7 Key Milestones L.7he City, of.MiramarApproval of Project Plan documents TBD 2. The City bf Miramar Approval of System Delivery TBD 3. The City, 0M. iramar Approval of Modifications and Documentation TBD 4, The City of Miramar Approval of Installation and Training TBD 5. The City of Miramar Approval of Acceptance Testing TBD 6. The City of Miramar Approval of Entire Project TBD B.8 Project Resources ESi Project Management Team March 3, 2008 APPENDIX B Page 81 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software ESi will provide the City of Miramar a dedicated team that collectively brings decades of experience satisfying the Emergency Management and related IT requirements of clients. ESi Project Management efforts are coordinated by the ESi Director of Projector Management, Randy Cantu PMP. The Project Manager coordinates a concerted project effort utilizing a team of ESi employees drawn cross -functionally from various sources within the ESi organization. These resources report to various division and staffing levels within ESi, including, but not limited to the Business Process, Business Services, and Business Solutions divisions. This pool of resources includes subject matter experts in all of the disciplines necessary for a successful project implementation. This expertise obviously centers around the ESi suite of products, with a core group of closely tasked experts in software development, database administration, hardware configuration, quality assurance, customer support, installation, training, and facility design. The team also includes ESi resources who are subject matter experts in the various critical areas of crisis information management systems, including resource management FEMA ICS and NIMS standards, geographic mapping, public health, and related emergency management standards. Together, the team will see the project through to successful completion, including documentation, training and continuing post - implementation support. B.9 ESi Project Approach To ensure the City of Miramar project is implemented within budget and the prescribed schedule, the ESi project team utilizes the commonly accepted industry standards for project management as defined and codified in the Project Management Institute's PMBOK (Project Management Book of Knowledge), ensuring adherence to an established successful framework. This overarching set of guidelines provides a clear consistent path for the ESi project team to initiate, plan, execute, monitor and control, and close projects successfully and efficiently. And this methodology similarly follows the PMBOK framework of incorporating knowledge areas, including integration management, scope management, time management, cost management, quality management, human resource management, communications management, risk management, and procurement management as needed to successfully implement projects of various levels and complexity. The ESi project team's utilization of these proven methods will ensure that project deliverables are met, objectives accomplished, and schedules adhered to. ESi will work closely with the City of Miramar to evaluate their needs and expectations in view of the functionality of the ESi suite of products and services. This evaluation will result in a Requirements Document that specifies the basic functionality that is sought by the client, along with a low level analysis of whether each requirement can be satisfied within the existing core ESi software, utilizing the built-in customization functionality, or if it will require some level of further development and customization. The Requirements Document process will in turn lead to the production of a Design Document that further specifies the results of the earlier review findings by providing a detailed analysis of each requirement point and the recommended resolution, strategy, and summation. This document may also identify opportunities for process improvement. All feature/function gaps between product functionality and the client's needs will be documented and used to define the Project Scope. The Design Document will also contain the detailed design and estimate for any additional discovered work. Each of these will be agreed upon and incorporated into the Project Scope. The Project Scope, as defined and agreed upon by all parties will be defined and accounted for in the detailed Project Plan. The primary ESi internal project monitoring and controlling tool will be Microsoft Project (Microsoft Office Project 2007) which is designed to assist project managers in developing Ip ans, assigning resources to tasks, tracking progress, managing budgets and analyzing workloads. Depending on the March 3, 2008 APPENDIX B Page 82 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software preferred needs of the City of Miramar, the information from these project files can be provided either as static/snapshot versions of the MS Project file, or as PDF images of the various views and reports inherent to MS Project. Or, if feasible the ESi team will be willing to contribute resource, task, and progress information to whatever project tracking system utilized by the City of Miramar. Project Objectives By breaking the project down into a series of manageable and measurable objectives the major project milestones and deliverables will be met and provided as contracted. Project Phase: Requirements Definition & Design Working together, representatives from ESi and the City of Miramar will identify, clarify and analyze project objectives, confirm strategic objectives at a high-level, confirm the final project team, identify key stakeholders, and develop and produce the on -going Project Plan. the use, look and feel of the solution. ` lows the City of Miramar to add value and input March 3, 2008 APPENDIX B Page 83 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Project Phase: System Configuration ESi will procure and oversee pre -installation configuration of all required hardware. ESi will simultaneously provide and review the Application Business Rules and configuration options, followed by a period of Board analysis, design, and system configuration. Project Phase: Installation and Training ESi will install the WebEOC solution, conduct required initial configuration, and provide training. Working with the City of Miramar personnel, ESi will demonstrate and train users how to tailor / configure WebEOC to meet local needs. March 3, 2008 APPENDIX B Page 84 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Test the soli usage,feat with the Cit, tion under various System Confil -e accuracy and ensure that the of Miramar requirements. iar will further define i Project Phase. Acceptance Testing ESi will provide oversight and assistance, if requested, for the City of Miramar to prepare for and perform Final Acceptance Testing prior to Go -Live. After Acceptance Testing has been completed successfully, the City of Miramar will approve System Acceptance. Project Phase. Pre -Implementation & Go -Live March 3, 2008 APPENDIX B Page 85 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software B.10 Project Management Plan components ESi will employ proven methods for management, communications and continuing support, all implemented per Project Management Institute standards, to ensure project deliverables are met, objectives accomplished and schedule adhered to. This includes plans for: • Communications Management • Risk Management • Scope Management • Resource Management • Quality Management • Schedule Management • Integration/Conversion Management • Change Management • Deliverables Walkthrough • Status Reporting • Overall Implementation March 3, 2008 APPENDIX B Page 86 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software B.10.1 Communications Management The Project Manager will develop and employ a Communications Plan to govern project communication within ESi and between the City of Miramar and ESi, including purpose of communications (e.g., the initial Project Kick -Off meeting, meetings with Subject Matter Experts, status reporting meetings, etc.), target of communications (i.e., ESi and the City of Miramar personnel expected to be involved), nature of communications (e.g., in -person meeting, by telephone/teleconference, e-mail, etc.), and frequency of communications (e.g., bi-weekly, monthly, as needed, etc.). B.10.2 Risk Management The 2004 CHAOS Report from the Standish Group, an IT leader in project assessment and value performance, found that IT project success rates stand at about 34%. A KPMG Peat Marwick study identified root causes for negative project performance, including these among the top 5 reasons for failure, beginning with the most common: • Overly optimistic scheduling (90%) • Project objectives not fully specified (51%) • Bad planning and estimating (48%) • Inadequate/no project management methodology (42%) • Poor performance by suppliers of hardware/software (42%) Risk management begins with identifying the corresponding essential elements for success: • A realistic schedule • Explicit priorities • Active Risk Management and a QA plan • Detailed plans and task lists • Measurable benchmarks To mitigate risk, the ESi Project Plan incorporates detailed tasks, checklists, inspections, peer reviews and sign -offs, ensuring that risk exposures are identified and tracked. In addition, the ESi Project Manager reviews and inspects each project and deliverable milestone for risk identification, analysis, mitigation, and identification of resource requirements. Tracking risk actions additionally includes risk status reporting and periodic review. The risk status reporting is coordinated by the ESi Project Manager in conjunction with the City of Miramar project team. The City of Miramar project team and the ESi project team will collaboratively and methodically evaluate each risk component and determine a mutually agreeable risk rating of low, medium, high, or extreme. This rating will be based on the perceived likelihood and seriousness of the risk threat. The teams will then determine an acceptable set of risk mitigating actions for each risk component. This risk control evaluation for each risk component will be tracked and periodically reviewed and re-evaluated by the project teams. The on -going status of the risk components will be reported as part of the regular status report document. B.10.3 Scope Management In accordance with the ESi multi -phased Project Integration Methodology, ESi will produce an Operational Design Document that specifies the results of the Operational Review findings and additionally identifies opportunities for process improvement. All feature/function gaps between March 3, 2008 APPENDIX B Page 87 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software product functionality and the City of Miramar needs will be documented and used to define the Scope of the Project. The Operational Design Document will also contain the detailed design and estimate for any additional discovered work (gaps). Each of these will be agreed upon and incorporated into the Scope of the Project prior to entering the next ESi PM Phase. The Scope of the Project, as defined and agreed upon by all parties will be defined and accounted for in the detailed, final Project Plan maintained in MS Project. B.10.4 Resource Management As defined in the ESi Multi -phased Project Integration Methodology and the final Project Plan, each member of ESi is assigned to specific tasks and each task associated to particular project ESi PM Phases. As such, each Team member has a discrete list of tasks, timelines and due dates based upon their role in the project. Team resources, including subcontractors, will be managed using the Project Plan, with update as needed in MS Project. Weekly, monthly and daily alerts within MS Project will keep all deliverables and timelines at the forefront for the Project Manager. Additionally, each Team member will produce Trip Reports and adhere to the Project Plan's scheduled visits to complete pre -defined activities, taking care that each assigned task is finished prior to moving on to the next. Any task not completed during the given visit for which it was allocated is escalated to ensure completion prior to the beginning of subsequent activities. The Project Manager will provide the City of Miramar with a schedule of visits, developed in cooperation with ESi and the City of Miramar. This schedule includes specified dates, resources and tasks relevant to each visit. Should the need for modifications arise, the schedule can be changed and all dates after the first modified date will of course change accordingly. Dates are based on durations defined within the Project Plan for project tasks. B.10.5 Quality Management The ESi project approach incorporates development methodology to maintain complete and comprehensive audit trails of all decision, design and development activities associated with a solution. Every assigned task is defined, documented and developed and/or delivered. As part of the delivery method each task deliverable, be it a physical task, program, or meeting, is verified as being complete and inspected as part of the ESi project approach via a Staff Member Check List and an ESHevel Sign -off Acceptance Form. It is expected that the City of Miramar will be involved in review, sign -off and acceptance throughout the delivery process. With respect to ESi's overall quality assurance program and testing for its software, we provide the following: Testing is an integral part of ESVs software development process, starting during requirements development and proceeding through release candidate testing, which is performed in cooperation with selected customers. In fact, after release of a product, any customer issues that arise are reviewed both by the developers and testing group to determine whether there are issues in the software and whether we need to make adjustments to our testing program. ESi's testing methodology includes function testing throughout the entire development cycle, security testing, and performance testing. Once these testing processes are complete, the release then goes through a 'Release Candidate' phase before a full public release. Unlike 'alpha' or 'beta' test releases March 3, 2008 APPENDIX B Page 88 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software where bugs are expected, a Release Candidate is release -to -market ready and is used primarily to identify potential environmental issues such as infrastructure, networks, configurations, firewalls, etc. that may not be replicated during in-house testing. B.10.6 Function Testing Function testing consists of testing all functions of WebEOC on platforms representative of those used by our customers and within many different configurations. Due to the configurability of WebEOC, infinite possibilities exist and therefore it is impossible to test every configuration. Our test matrix covers the most likely configurations. Each WebEOC release is installed on the following platform configurations and tested: 1. Windows 2003 Standard Edition / SQL Server 2005 Standard Edition 2. Windows 2003 Standard Edition Release 2 / SQL 2005 Standard Edition 3. Windows 2003 Enterprise Edition / SQL Server 2005 Standard Edition 4. Windows 2003 Enterprise Edition Release 2 / SQL Server 2005 Standard Edition 5. Windows 2003 Enterprise Edition Release 2 / SQL Server 2005 Enterprise Edition 6. Windows 2003 Standard Edition Release 2 / SQL Server 2005 Enterprise Edition 7. Windows 2003 Standard Edition / SQL Server Express 8. Windows 2003 Standard Edition Release 2 / SQL Server Express 9. Windows 2003 Standard Edition / SQL Server 2005 Standard Edition 10. Windows 2000 Service Pack 4 / SQL Server 2005 Standard Edition All detected bugs are documented, given to the development team for fixing, and retested. The testing machine is then wiped clean with a fresh version of Windows and SQL Server. The new release of the product is then installed on a fresh machine and all features of WebEOC are again tested. This is repeated until an acceptable release is achieved. B.10.7 Security Testing ESi has contracted with a third party, Aspect Security, to evaluate the application security of WebEOC. All level releases of WebEOC are submitted to a code -level review and penetration testing. Point and correction releases are also submitted for third -party review if they could have an effect on the overall security of WebEOC. B.10.8 Performance Testing The performance of a web application is affected by factors such as hardware configuration (server CPU, RAM, hard disk), other software co -located / running on the same server, internal network speed, mode of access, security settings, etc. Additionally, the way that WebEOC is used varies from user to user. As a result, simulating our customers' environments to support performance testing is a challenging task. We conduct performance testing using automated test scripts to simulate a large number of users simultaneously accessing, inputting, and monitoring data in WebEOC. It is impossible, however, to guarantee that the results we see will represent performance at our customers' sites. March 3, 2008 APPENDIX B Page 89 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software B.10.9 Continuous Improvement ESi has established a web forum for our users to communicate with us regarding bugs and enhancement requests. These items are merged with those we receive via our customer support phone number, and those gathered at our annual user conference. As the design of a new iteration of WebEOC° is worked on, these bugs and enhancement requests are used as a starting point. When a problem is found, it is logged in our issue tracking system. The entire development team then goes through a review of the issue to determine the root cause, determine the best solution, adjust our test plans so that similar issues are caught, and if necessary adjust our development process so that similar issues are not created. See also Quality Management section on previous page. B.10.10 Schedule Management Per the Project Plan, each Team member will have a discrete list of tasks, timelines and due dates based upon their role in the project. The Project Manager will utilize MS Project software to monitor and track project progress. Project plans will be updated at least bi-weekly and monthly to note the Work completed towards project deliverables. Project tasks will be undertaken through either work performed off -site (not at the client's location) or scheduled visits by ESi resources, who will work together with the City of Miramar staff as needed and approved by the City of Miramar to complete pre -defined activities, taking care that each assigned task is finished prior to moving on to the next. Any task not completed during the given visit for which it was allocated is escalated to ensure completion prior to the beginning of subsequent activities. The Project Manager will provide the City of Miramar with a schedule of visits, developed in cooperation with ESi and the City of Miramar. This schedule includes specified dates, resources and tasks relevant to each visit. Should the need for modifications arise, the schedule can be changed and all dates after the first modified date will of course change accordingly. Dates are based on durations defined within the Project Plan for project tasks. B.10.11 Integration/Conversion Management ESi will review system information mapping documents, and create a document that shows all of the integration/conversion points required to meet the project requirements. Senior staff members, specializing in such tasks as integration, data mapping, import & export utilities, and business application interfaces will then perform related design, development, configuration, testing and implementation as defined in the approved Project Plan. Tasks will be defined and managed using the Project Plan, maintained by the Project Manager in MS Project, and monitored, tracked, reported in accordance with the Status Reporting plan. B.10.12 Change Management To manage change requests and the impact on the project plan, the ESi Project Manager will document all such requests and recommendations, and present a written evaluation to the City of Miramar project team for consideration. The change request report will include, at a minimum, the effect such changes would have on the timeline of the project, the resources (people or funding) of the project, and project outcome (deliverables and milestones). The City of Miramar project team and the ESi project team will March 3, 2008 APPENDIX B Page 90 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software collaboratively and methodically evaluate each change proposal and determine a mutually acceptable decision. Once a firm decision has been determined the ESi Project Manager will insert all pertinent tasks and task attributes of the change request into the project plan and associated project documentation. B.10.13 Deliverables Walkthrough ESi will conduct deliverables reviews, presenting deliverables to appropriate project stakeholders, providing all involved parties with an opportunity to make suggestions, ask questions or raise concerns pertaining to the deliverable being presented. Reviews will be conducted in accordance with the Communications Plan. In the course of the review process, the owner of a given deliverable meeting (the Project Manager or the party most responsible for the deliverable) will lead the walkthrough, answer questions, make note of suggestions or concerns. The owner or a designated second will take minutes, which will then be distributed to stakeholders. A report will also be produced and distributed, including such detail as list of action items, categorization of comments (i.e., error vs. suggestion), priorities, etc. B.10.14 Status Reporting Throughout the City of Miramar project, the ESi Project Manager will report at least weekly in person and/or through conference calls to discuss project progress, status and issues, workload, the City of Miramar's priorities, and any administrative matters. The Project Manager will develop an Agenda for such meetings, and additionally keep and distribute minutes by at least noon on the day before the next scheduled meeting. At minimum, key decisions and issues status (closed, active, pending) will be included in the minutes. The Project Plan will be reviewed and updated at least bi-weekly using MS Project, and a related status report will be created. Reporting may include such detail as task and deliverable status, percentage of completion, note of time ahead/behind schedule, highlighting of tasks not on schedule, issues encountered, planned/actual resolution, test results, integration/conversion status, tasks to be completed in the next reporting period, and proposed changes to tasks and/or schedule. B.10.15 Overall Implementation The ESi Project Manager will utilize the methodology, standards, and tools as defined in this document to support overall project objectives and to ensure a successful project implementation. The ESi Project Manager will work closely with the City of Miramar Project Manager, or designated individual or team contact to ensure that all necessary information is obtained and shared by both parties. This process will involve regular communication, collaboration, and mutual effort on the part of both parties to adhere to the project strategy and achieve the project objectives. March 3, 2008 APPENDIX B Page 91 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Appendix C - WebEOC System Specifications, Requirements, and Support Information C.1 Data Centers For hosted solutions, ESi uses its data centers in Dallas, Texas and Herndon, Virginia provided by Rack Space. These facilities feature a wide range of structural, network, and security safeguards to provide customers with state-of-the-art disaster avoidance and resilience. All centers are next -generation facilities with built-in redundancy, providing resilient environments for hosting customers. • Data Centers - ESi's WebEOC web and database servers, housed within Rackspace datacenters, are fully redundant and geographically separated. The geographic separation reduces the likelihood that a man-made or natural disaster would affect both facilities simultaneously. • WebEOC Availability - Based on the redundant ASP architecture, WebEOC availability is targeted at 99.9%. Double -Take is used to mirror WebEOC databases between HostCenters. Every HostCenter offers redundant Internet connectivity via Tier 1 backbone network providers and consists of an architecture which provides redundancy against fiber cuts, electronic outages, and Cisco backbone route outages. • Minimal demands on in-house IT - Rackspace provides policy management and deployment, OS patching, OS upgrades, OS security services, and 24/7/365 Tier 1, 2 and 3 support. ESi remotely manages application and mirroring software. Rackspace's backups include daily incremental / weekly full with offsite tape rotation on a daily basis. Tapes are retained for 4 weeks. • Multi -Level Security - A combination of physical security measures and ongoing video surveillance is in place to ensure the infrastructure remains safe and secure. Security guards are stationed at building and data center entrances limiting physical access, and only Rackspace employees and escorted collocation customers can enter secured areas. Access to each HostCenter is further limited by badge -only access, man -trap entries, and biometric readers. • Power Guarantee - Rackspace guarantees that critical infrastructure systems will be available 100% of the time — including all power and HVAC. The utility infrastructure in each data center includes redundant power sources and UPS backups. • Network Availability - Both data centers provide a 100% Network Uptime guarantee with redundant Internet connectivity via Tier 1 backbone network providers. This high-speed connectivity enables "private transit" peering that avoids congested public peering points and improves application and system performance. Each data center's architecture provides redundancy against fiber cuts, electronic outages, and the Cisco backbone routes outages while network engineers monitor all supported services 24x7x365. • Environmental Systems - Data centers maintain constant temperature and humidity settings, with separate cooling zones for optimum equipment performance. Raised floors in the data centers secure and protect cabling, cooling and various environmental systems. Highly sensitive VESDA smoke and heat detectors, along with automated moisture detectors above and under floors, constantly monitor the environment. Compressed gas fire suppression systems add protection even in remote mechanical rooms and plenums. Environmental systems are monitored 24x7/365. • Hardware - The Primary Dallas, Texas site is designed for high availability with a WebEOC instance installed across multiple web servers. The data base is a SQL 2005 Cluster with all data stored on a fiber attached SAN. The dedicated network is comprised of redundant PIX firewalls, Cisco Load March 3, 2008 APPENDIX C Page 92 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Balancers and Cisco managed switches. The secondary Herndon, Virginia site is designed as a disaster recovery site. The network and the separate web and database servers have been designed to absorb the full load of the primary site should a failure occur. Both sites are backed by Rackspace's Fanatical Support"', 100% Network Uptime Guarantee, 100% Infrastructure Availability Guarantee, 1 Hour Hardware Replacement and 24x7x365 system monitoring. Secure Socket Layer - All WebEOC transactions are encrypted at the web server with SSL 128-bite encryption. C.2 Architecture ESi's WebEOC solutions are built to Information Technology and industry standards. WebEOC employs the Microsoft .NET Framework 2.0, is SOA-aware for published service activity (i.e., Web Services) and supports a Microsoft Windows operating system, SQL Server database and Internet Explorer browser environment. As a web -enabled database application, WebEOC utilizes web pages for data entry and retrieval to a Microsoft SQL database. Users access the application utilizing Internet Explorer 6.0 or later. The web component of the application is ASP.NET and HTML delivered over TCP/IP port 80 (443 if SSL is implemented). The communication between the web server and the database is over TCP/IP port 1433 via .NET database components. Access to the database is controlled by setting an identity for WebEOC which is assigned DBO access to the database. The database is a single SQL database. Both the web server (IIS) and database server (SQL Server) can reside on a single machine, or on separate machines. WebEOC 7 makes extensive use of XML technology - in particular, the XML parser developed by Microsoft. Much of the business logic is written in Microsoft C#/.Net 2.0/ASP.Net 2.0. WebEOC 7 also makes use of stored procedures within Microsoft SQL Server 2005 to improve performance and scalability. C.3 Operating System WebEOC requires a Microsoft® Windows ServerT"^ 2003 operating system (IIS 32-bit compatibility mode required for 64-bit Server 2003; 64-bit for Itanium servers not supported). C.4 Database Software WebEOC requires Microsoft SQL Server 2005 Standard Edition. By default, WebEOC installs Microsoft SQL Server 2005 Express. SQL Server 2005 Express Edition does have limited management capabilities with respect to backups, etc. The SQL Server 2005 Express Edition is NOT supported on 64-bit platforms. In addition, Express Edition only supports one 32-bit processor. For City of Miramar / Regional WebEOC deployment, Microsoft SQL Server 2005 Standard Edition is proposed for all database servers (licensed per CPU). C.5 Replication Software Because WebEOC is used primarily by emergency management organizations to manage a crisis, consideration should be given to some level of redundancy. With respect to hardware, this can be achieved by installing servers with RAID1/RAID5 configured hard drives, split backplanes, redundant power supplies, etc. However, data availability must also be considered. For high availability purposes, March 3, 2008 APPENDIX C Page 93 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software ESi recommends that agencies install secondary [redundant] web/database servers. Our preferred solution relies on Double -Take° from Double -Take° Software. Double -Take data replication software is Microsoft Windows 2000 and 2003 certified at all levels. C.6 Backup and Recovery The usage of Microsoft SQL Server will provide City of Miramar with ease of maintenance along with standard, secure and reliable backup and recovery, including hot backups. However, due to the dynamic structure of the WebEOC database and the dynamic capabilities within WebEOC, a higher level of mirroring to copy the data and structure is needed (Microsoft SQL Server 2005 does have replication capabilities built in, but these have not been tested with WebEOC and thus are unproven at present). To meet the need for redundancy and high availability, ESi provides WebEOC®Professional Second Server and Double -Take® in sufficient quantities to meet stated goals. Replication LARMAN Source Target URL. Double -Take can be setup to replicate from a primary (source) server to a secondary (or multiple) target server(s) and fail -over if the source fails or stops responding. Double -Take works over any distance using existing IP network — LAN, WAN, VPN or NAT. By replicating only the bytes that change, Double -Take uses the absolute minimum bandwidth required to replicate data. In the event of a failure of the source machine, Double -Take can initiate a failover to the target data set. Depending on AFSPC's network architecture, following a failover, WebEOC users would either log back into the system, or access WebEOC through an alternate Double -Take is capable of automating the process of the target machine standing in for the source in the event of a failure. The target, if desired, can take on the name and IP address of the failed source as well as start selected services through scripts. ESi recommends, however, that the triggering of a failover be configured to require manual intervention. Manual intervention allows an administrator to confirm the validity of the failure before proceeding with the failover process and starting SQL services on the target. Double -Take is licensed per server and comes in Standard and Advanced Server editions. Double -Take Standard is used for servers running Microsoft Windows ServerTm 2003. Double -Take Advanced Server is used for servers running Windows Server 2003 Enterprise. C.7 Disaster Recovery Double -Take can be used to initially mirror and then replicate changes (byte -level data) from a primary [active] WebEOC database server to a secondary or'target' [passive] database server. Redundant, mirrored servers that constantly replicate data provide high availability and minimize the amount of March 3, 2008 APPENDIX C Page 94 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software time necessary to recover from an outage. A secondary or 'target' server can be activated in seconds or minutes (depending on failover strategy), providing users access to all information entered into WebEOC up to the time of failure/outage. Absent redundant, mirrored database servers, a primary WebEOC database server failure would require affected agencies to load another server, or at least restore from tape the latest backup job. This takes time, depriving users access to WebEOC while someone is either reloading a server or restoring from tape. Even if daily backups are performed, agencies that suffer a database failure during an emergency would potentially lose any data entered between the time of the last backup and the actual server failure. This could be minutes, hours, or days depending on your backup schedule. If the WebEOC database and system files were properly backed up, a complete system restore should take no longer than an hour presuming the operating system and database software are already installed. A system that has been imaged would just copy the latest system files and attach the restored database. ESi recommends a combination of tape backup (disaster recovery) and Double -Take (high availability). C.8 Hardware Requirements Web Server 15` Processor: Dual Core Intel Xeon 2.OGHz/4MB Cache, 1333MHzFront Side Bus 2"d Processor: Dual Core Intel Xeon 2.OGHz/4MB Cache, 1333MHzFront Side Bus Memory: 4 GB 667MHz RAM Hard Drive: Two (2) 36GB, SAS, 15K Hard Drive Controller: Single Channel Backplane x4 Backplane Hard Drive Configuration RAID 1 Floppy Disk Drive: 1.44MB Floppy Drive Operating System: Windows Server 2003 (32 bit, 64 bit), Standard Edition, Includes 5 CALS NOTE: IA64 is not supported Microsoft .Net Framework 2.0 NIC: GB NIC CD-ROM or DVD-ROM Drive: 24X CD-ROM Power Supply Redundant Power Supply Database Server 1rt Processor: Dual Core Intel Xeon 3.OGHz/4MB Cache, 1333MHzFront Side Bus 2°d Processor: Dual Core Intel Xeon 3.OGHz/4MB Cache, 1333MHzFront Side Bus Memory: 4 GB 667MHz RAM Hard Drive: Five (5) 36GB, SAS, 15K Hard Drive Controller: Dual Channel Backplane Split Backplane Hard Drive Configuration RAID 1/RAID 5 Floppy Disk Drive: 1.44MB Floppy Drive Operating System: Windows Server 2003 (32 bit, 64 bit), Standard Edition, Includes 5 CALS NOTE: IA64 is not supported Microsoft .Net Framework 2.0 Database Software: Microsoft SQL ServerT" 2005 STD (Per CPU or CAL)s, 6 5 By default, WebEOC installs Microsoft SQL Server 2005 Express Edition. SQL Server 2005 Express Edition does have limited management capabilities with respect to backups, etc. For more information, please contact ESi. March 3, 2008 APPENDIX C Page 95 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software NIC: GB NICS CD-ROM or DVD-ROM Drive: 24X CD-ROM Power Supply Redundant Power Supply Minimum System Requirements (User) Any computer running IE 6.0 and above, Safari 3.0 or Firefox 2.0. Minimum requirements can be found on respective vendor web sites. Minimum System Requirements (PDA) WebEOC has been designed to operate on a PDA running Microsoft's Windows Mobile version 5 (version 6 support will be provided 15Y quarter 2008). Blackberry support is provided via the Blackberry OS browser, version 4.2.1 on the Cingular or AT&T network. Opera is also supported on the Blackberry via any network. C.9 Network Requirements WebEOC can operate with Various Networks - WebEOC can be installed on customer equipment residing on a LAN/WAN (Local/Wide Area Network) or it can be a hosted (ASP) solution in which ESi provides the hardware, software and infrastructure needed to run the application. Once installed any method capable of transmitting TCP/IP traffic via HTTP can provide service to clients. This includes, but is not limited to land -line wired connections, Wi-Fi networks, Satellite -based networks and packet radio. C.10 Support Statement Help Desk Support - Year 1 24/7 emergency software support is included with the purchase of any WebEOC core product (i.e.,WebEOCProfessional). This includes access to our help desk and all software updates. Toll free numbers are provided for routine technical support and for after-hours, emergency support. Agencies can submit problems by email or through the My WebEOC portal. WebEOC's user forum also provides the ability to submit suggestions, post questions, or share ideas with other WebEOC customers. Beginning with Year 2, customers may choose to continue software support Plans or opt for software upgrades and technical support at ESi's then current rates. 6 SQL Server 2005 Express Edition is NOT supported on 64-bit platforms. In addition, only one 32-bit processor and 1 GB of RAM is supported. There is also a 4GB size limitation on the database. For performance and future growth reasons, ESi recommends SQL 2005 Standard or higher be implemented on servers equipped with dual processors. March 3, 2008 APPENDIX C Page 96 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software APPENDIX D - Affidavits and Acknowledgements A. TECHNICAL PROPOSAL COVER SHEET PROPOSER'S NAME (Name of firm, entity, or organization): ESi Acquisition, Inc. FEDERAL EMPLOYER IDENTIFICATION NUMBER: 58-2498832 NAME AND TITLE OF PROPOSER'S CONTACT PERSON: Name: Curtis R. MacDonald MAILING ADDRESS: Street Address: 823 Broad Street City, State, Zip: Augusta, GA 30901 TELEPHONE. (706) 823-0911 PROPOSER'S ORGANIZATION STRUCTURE: X Corporation Partnership Proprietorship IF CORPORATION: Date Incorporated/Organized: 10 14 99 State of Incorporation/Organization: Delaware Title: Chief Operating Officer FAX. (706) 826-9911 Joint Venture Other (explain): States registered in as foreign Corporation: GA, SC, CT, OH, CA, VA, IL, DE, IN, IA, LA, MD, Mi. NC PROPOSERS SERVICES OR BUSINESS ACTIVITIES OTHER THAN WHAT THIS SOLICITATION REQUESTS FOR: ESi also provides Emergency Operations Center assessments and design services, provides computer -aided dispatch integration to WebEOC, as well as exercise development and support. LIST NAMES OF PROPOSER'S SUBCONTRACTORS AND/OR SUBCONSULTANTS FOR THIS PROJECT: TechData (SQL license supplier); Bell Micro (Double -Take license supplier); Dell (hardware supplier) PROPOSERS AUTHORIZED SIGNATURE: The undersigned preby cert i hat s Pr sa s submitted in response to this Solicitation. Signed by: Date: March 3, 2008 Print name: Curtis R. Mac onald Title: Chief Operating Officer FAILURE TO COMPLETE, SIGN AND RETURN THIS FORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 APPENDIX D Page 97 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software B. ADDENDA ACKNOWLEDGEMENT FORM Addendum # Date Received Addendum 1 January 7, 2008 Addendum 2 January 17, 2008 Addendum 3 January 31, 2008 Addendum 4 February 9, 2008 Addendum 5 February 20, 2008 Curtis R. MacDonald. COO (Printed Name & Title) March 3, 2008 APPENDIX D Page 98 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software C. PROPOSER INFORMATION FORM All information supplied in connection with this form is subject to review and verification. Any and all determinations concerning this information will be used to determine eligibility for participation in the award. Inaccurate or incomplete answers may result in your Proposal being deemed as "Non - Responsive." (1) How many years has your organization been in business under your present business name? 7 years (on 2/1/08) (2) State of Florida occupational license type and number: Will apply for this license. (3) County (state county) occupational license type and number: 323-0004228 (Broward). (4) City of Miramar occupational license type and number: Do not have. (A CITY OF MIRAMAR OCCUPATIONAL LICENSE IS NOT NECESSARY UNLESS THE BUSINESS IS LOCATED WITHIN THE CITY OF MIRAMAR) PROPOSERS MUST INCLUDE A COPY OF EACH LICENSE LISTED WITH PROPOSAL (5) Describe experience providing Services/Commodities for similar (government) organizations: ESi Acquisitions Inc. is the developer of WebEOC® Professional. ESi has installed WebEOC at more than 450 customer sites worldwide and has provided training and implementation assistance to these entities as well. More than half of the WebEOC license holders are government agencies. Twenty-six state -level governments rely on WebEOC in emergencies and day-to-day operations as do 208 counties and municipality EOCs. (6) Have you ever had a contract terminated (either as a prime contractor or subcontractor,) for failure to comply, breach, or default? yes x no (IF YES, PLEASE ENCLOSE A DETAILED EXPLANATION ON SEPARATE 3-IEET) March 3, 2008 APPENDIX D Page 99 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software PROPOSER INFORMATION FORM (CONTINUED) (7) Please list five Government contract references, if available: Agency Name: Fairfax County Office of Emergency Management Address: 12000 Government Center Parkway, Suite 565 City, State, & Zip Code: Fairfax, VA 22030 Contact's Name & Phone #:Roy Shrout, (703) 324-2345, rov.shrout@fairfaxcounty.gov Agency Name: South Carolina Emergency Management Division Address: Pine Ridge National Guard Armory, 2T9 Fish Hatchery Road City, State, & Zip Code: West Columbia, SC 29172 Contact's Name & Phone #:John Paolucci. (803) 737-8650. ioaoluccPemd.state.sc.us Agency Name: Mid -America Regional Council Address: 600 Broadway, Suite 300 City, State, & Zip Code: Kansas City, Missouri 64105-1554 Contact's Name & Phone #:Matt May, (816) 474-4240 X411, mmav@MARC.org FAILURE TO COMPLETE AND RETURN THIS FORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 APPENDIX D Page 100 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software PROPOSER INFORMATION FORM (CONTINUED) Agency Name: District of Columbia EMA Address: 2000 14t" Street NW eh Floor City, State, & Zip Code: Washington, DC 20009 Contact's Name & Phone #:Joshua Jack (202) 673-2101 x 1193 Agency Name: Texas Department of Public Safety Address: 5805 North Lamar Boulevard City, State, & Zip Code:Austin TX 78752 Contact's Name & Phone #:Kevin Lemon, (512) 424-2208 FAILURE TO COMPLETE, SIGN AND RETURN THIS FORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 APPENDIX D Page 101 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software D. PROPOSER'S DISCLOSURE OF SUBCONTRACTORS, SUBCONSULTANTS, AND SUPPLIERS Please list all Subcontractors, Subconsultants, and Suppliers to be used in connection with performance of the Contract. (Use additional pages, if necessary.) The City of Miramar strongly encourages the participation of Minority, Women -owned, and Small Disadvantaged businesses. Please specify the category for each Subcontractor, SubConsu►tant, or Supplier. Company Name: Dell Computer Address: P.O. Box 534118 City, State, & Zip Code: Atlanta, GA 30353-4118 African -American Hispanic Asian -Indian American Asian -Pacific American Native American Any Woman not included among the aforementioned categories Company Name: Tech Data Corporation Address: P.O. Box 906003 City, State, & Zip Code: Charlotte, NC 28290-6003 African -American Hispanic Asian -Indian American Asian -Pacific American Native American Any Woman not included among the aforementioned categories Company Name: Bell Microproducts Address: 12778 Collections Center Drive City, State, & Zip Code: Chicago, IL 60693 African -American Hispanic Asian -Indian American Asian -Pacific American Native American Any Woman not included among the aforementioned categories_ FAILURE TO COMPLETE, SIGN AND RETURN THIS FORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 APPENDIX D Page 102 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software E. DRUG -FREE WORKPLACE AFFIDAVIT FLORIDA STATE STATUTE 287.087 Identical Tie Bids: Preference shall be given to business with drug -free workplace programs. Whenever two or more bids which are equal with respect to price, quality, and service are received by the State or by any political subdivision for the procurement of commodities or contractual services, a bid received from a business that certifies that it has implemented a drug -free workplace program shall be given preference in the award process. Established procedures for processing tie bids will be followed if none of the tied vendors have a drug -free workplace program. In order to have a drug -free workplace program, a business shall: a) Publish a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace and specifying the actions that will be taken against employees for violations of such prohibition. b) Inform employees about the dangers of drug abuse in the workplace, the business's policy of maintaining a drug -free workplace, any available drug counseling, rehabilitation, and employee assistance programs, and the penalties that may be imposed upon employees for drug abuse violations. 1) Give each employee engaged in providing the commodities or contractual services that are under Bid a copy of the statement specified in subsection (1). 2) In the statement specified in subsection (1), notify the employees that, as a condition of working on the commodities or contractual services that are under Bid, the employee will abide by the terms of the statement and will notify the employer of any conviction of, or plea of guilty or nolo contendere to, any violation of chapter 893 or of any controlled substance law of the United States or any state, for a violation occurring in the workplace no later than five (5) days after such conviction. 3) Impose a sanction on, or require the satisfactory participation in a drug abuse assistance or rehabilitation program if such is available in the employee's community, by any employee who is so convicted. 4) Make a good faith effort to continue to maintain a drug -free workplace through the implementation of this section. March 3, 2008 APPENDIX D Page 103 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software E. DRUG -FREE WORKPLACE AFFIDAVIT (CONTINUED) FLORIDA STATE STATUTE 287.087 As the person authorized to sign the statement, I certify that this firm complies fully with the March 3, 2008 APPENDIX D Page 104 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software F. ANTI -KICKBACK AFFIDAVIT STATE OF FLORIDA } } SS: COUNTY OF BROWARD } I, the undersigned, hereby duly sworn, depose and say that no portion of the sum herein bid will be paid to any employees of the City of Miramar, its elected officials, and ESi Acquisition, Inc., or its design consultants, as a commission, kickback, reward or gift, directly or indirectly by me or any member of my firm or by an officer of the corporation. By Sworn and subscribed before this dayof `i(' aAcam,. 200 Si Not# Public, S�a�t. d� use rn� cam_ .5u I-e- -7 -9- S0 r) (P�ted Name) My commission expires: Title: Chief Operating Officer FAILURE TO COMPLETE, SIGN AND RETURN THIS FORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 APPENDIX D Page 105 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software G. NON -COLLUSIVE AFFIDAVIT State of Georgia ) ) SS: County of Richmond) ��rls 0,0 beingfirst duly sworn. deposes and says that: Y N Y a) He is the Owner and Officer of ESi Acquisition, Inc., the Proposer that has submitted the attached Proposal; b) He/she is fully informed respecting the preparation and contents of the attached Proposal and of all pertinent circumstances respecting such Proposal; c) Such Proposal is genuine and is not collusive or a sham Proposal; d) Neither the said Proposer nor any of its officers, partners, owners, agents, representatives, employees or parties in interest, including this affiant, have in any way colluded, conspired, connived or agreed, directly or indirectly, with any other Proposer, firm, or person to submit a collusive or sham Proposal in connection with the Work for which the attached Proposal has been submitted; or to refrain from proposing in connection with such work; or have in any manner, directly or indirectly, sought by person to fix the price or prices in the attached Proposal or of any other Proposer, or to fix any overhead, profit, or cost elements of the Proposal price or the Proposal price of any other Proposer, or to secure through any collusion, conspiracy, connivance, or unlawful agreement any advantage against (Recipient), or any person interested in the proposed work; e) The price or prices quoted in the attached Proposal are fair and proper and are not tainted by any collusion, conspiracy, connivance, or unlawful agreement on the part of the Proposer or any other of its agents, representatives, owners, employees or parties in interest, including this affiant. March 3, 2008 APPENDIX D Page 106 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software NON -COLLUSIVE AFFIDAVIT (CONTINUED) Signed, sealed and delivered in the presence of: Witnes State of Georgia) ) ss. County of Richmond) By: N (Printed Name) god (Title) BEFORE ME, the undersigned authority, personally appeared to me well known and known by me to be the person described herein and who executed the foregoing Affidavit and acknowledged to and before me that executed said Affidavit for the purpose therein expressed. WITNESS, my hand and official seal this day of "'j`no..� c%, 20n_ My Commission Expires: *rv C Stt O e (�, FAILURE TO COMPLETE, SIGN AND RETURN THIS FORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 APPENDIX D Page 107 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software H. NON-DISCRIMINATION AFFIDAVIT I, the undersigned, hereby duly sworn, depose and say that the organization, business or entity represented herein shall not discriminate against any person in its operations, activities or delivery of services under any agreement it enters into with the City of Miramar. The same shall affirmatively comply with all applicable provisions of federal, state and local equal employment laws and shall not engage in or commit any discriminatory practice against any person based on race, age, religion, color, gender, sexual orientation, national origin, marital status, physical or mental disability, political affiliation or any other factor which cannot be lawfully used as a basis for service delivery. , '/_ Title:` Sworn and subscribed before thiS-?,lj day of ` 0_ACL_. , 20 O Q . Not y Public, S on a S d e vs6 (Print d Name) My commission expires: 6 -oZ� _." // FAILURE TO COMPLETE, SIGN AND RETURN THIS FORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 APPENDIX D Page 108 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software I. BUSINESS/VENDOR PROFILE SURVEY Name of Business: ESi Acquisition, Inc. Address: 699 Broad Street, Suite 1100, Augusta, GA 30901 Phone No.: (706) 823-0911 Contact Person (Regarding This Form): Curtis R. MacDonald Type of Business (check the appropriate type): _ CONSTRUCTION SERVICES - Firms involved in the process of building, altering, repairing, improving or demolishing any structure, building or real property. _ ARCHITECTURE AND ENGINEERING (A&E) SERVICES - Firms involved in architectural design, engineering services, inspections and environmental consulting (materials and soil testing) and surveying. x PROFESSIONAL SERVICES - Includes those services that require special licensing, educational degrees, and unusually highly specialized expertise. _ BUSINESS SERVICES - Involves any services that are labor intensive and not a construction related or professional service. _ COMMODITIES - Includes all tangible personal property services, including equipment, leases of equipment, printing, food, building materials, office supplies. A Small Disadvantaged Business Enterprise (SDBE) is defined as a small business concern that is at least fifty-one (51) percent beneficially owned and which is routinely managed by one or more of the following (Please identify your respective SDBE category): African -American Hispanic Asian -Indian American Asian -Pacific American Native American Any Woman not included among the aforementioned categories _ FAILURE TO COMPLETE AND RETURN THIS FORM MAY DEEM YOUR PROPOSAL NON -RESPONSIVE March 3, 2008 APPENDIX D Page 109 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software FORM W9 See W9 on next page. March 3, 2008 APPENDIX D Page 110 of 115 Form Wn9 Request for Taxpayer Give form to the (Rev. October 2007) Identification Number and Certification requester. Do not Department of the Treasury send to the IRS. Internal Revenue Service Name (as shown on your income tax return) N N CO Business name, if different from above a c 0 a C Check appropriate box: ElIndividual/Sole proprietor El Corporation El Partnership Exempt ❑ Limited liability company. Enter the tax classification (D=disregarded entity, C=corporation, P=partnership) ► ....... ❑ payee L O i ❑ Other (see instructions) ► Address (number, street, and apt. or suite no.) Requester's name and address (optional) a� City, state, and ZIP code Q N List account number(s) here (optional) Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on Line 1 to avoid Social security number backup withholding. For individuals, this is your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see the Part I instructions on page 3. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN on page 3. or Note. If the account is in more than one name, see the chart on page 4 for guidelines on whose r�� ification number number to enter. Certification Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and 2. 1 am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and 3. 1 am a U.S. citizen or other U.S. person (defined below). Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of red property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than int est d divid�nds, you are not required to sign the Certification, but you must sir provide your correct TIN. See the inAuction,Ae 4 Sign Signature of Here I U.S. person ► General Instructions Section references are to the Internal Revenue Code unless otherwise noted. Purpose of Form A person who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) to report, for example, income paid to you, real estate transactions, mortgage interest you paid, acquisition or abandonment of secured property, cancellation of debt, or contributions you made to an IRA. Use Form W-9 only if you are a U.S. person (including a resident alien), to provide your correct TIN to the person requesting it (the requester) and, when applicable, to: 1. Certify that the TIN you are giving is correct (or you are waiting for a number to be issued), 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S. person, your allocable share of any partnership income from a U.S. trade or business is not subject to the withholding tax on foreign partners' share of effectively connected income. Note. If a requester gives you a form other than Form W-9 to request your TIN, you must use the requester's form if it is substantially similar to this Form W-9. Date ► Definition of a U.S. person. For federal tax purposes, you are considered a U.S. person if you are: • An individual who is a U.S. citizen or U.S. resident alien, • A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States, • An estate (other than a foreign estate), or • A domestic trust (as defined in Regulations section 301.7701-7). Special rules for partnerships. Partnerships that conduct a trade or business in the United States are generally required to pay a withholding tax on any foreign partners' share of income from such business. Further, in certain cases where a Form W-9 has not been received, a partnership is required to presume that a partner is a foreign person, and pay the withholding tax. Therefore, if you are a U.S. person that is a partner in a partnership conducting a trade or business in the United States, provide Form W-9 to the partnership to establish your U.S. status and avoid withholding on your share of partnership income. The person who gives Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding withholding on its allocable share of net income from the partnership conducting a trade or business in the United States is in the following cases: • The U.S. owner of a disregarded entity and not the entity, Cat. No. 10231X Form W-9 (Rev. 10-2007) ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Attachments Attachment 1 - WebEOC Security Guide See attached pages. March 3, 2008 ATTACHMENT 1 Page 111 of 115 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Attachments Attachment 1 - WebEOC Security Guide See attached pages. March 3, 2008 ATTACHMENT 1 Page 111 of 115 WebEOCO 6.0 Security Guide Published: January 2005 Guide 2 The information contained in this document represents the current view of ESi® Acquisition Inc. on the issues discussed as of the date of publication. Because ESi must respond to changing market conditions, it should not be interpreted to be a commitment on the part of ESi, and ESi cannot guarantee the accuracy of any information presented after the date of publication. This White Paper is for informational purposes only. ESI MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS DOCUMENT. Complying with all applicable copyright laws is the responsibility of the user. Without limiting the rights under copyright, no part of this document may be reproduced, stored in or introduced into a retrieval system, or transmitted in any form or by any means (electronic, mechanical, photocopying, recording, or otherwise), or for any purpose, without the express written permission of ESi Acquisition, Inc. ESi may have patents, patent applications, trademarks, copyrights, or other intellectual property rights covering subject matter in this document. Except as expressly provided in any written license agreement from ESi, the furnishing of this document does not give you any license to these patents, trademarks, copyrights, or other intellectual property. Unless otherwise noted, the example companies, organizations, products, domain names, e-mail addresses, logos, people, places, and events depicted herein are fictitious, and no association with any real company, organization, product, domain name, e-mail address, logo, person, place, or event is intended or should be inferred. © 2005 ESi Acquisition Inc. All rights reserved. ESi, WebEOC, and MapTAC are either registered trademarks or trademarks of ESi Acquisition Inc. in the United States and/or other countries. The names of actual companies and products mentioned herein may be the trademarks of their respective owners. CONTENTS CONTENTS....................................................................................................................3 Introduction..................................................................................................................1 Overview.................................................................................................................1 Who Should Read This Guide...............................................................................1 Topology.................................................................................................................1 Security as a Process...................................................................................................2 SecuringWebEOC8 6.0..............................................................................................3 Identifying the Threats.................................................................................................4 Application -Layer Attack ............ :........................................................................... 4 Compromised -Key Attack......................................................................................4 Denial -of -Service Attack........................................................................................5 Eavesdropping.......................................................................................................5 Identity Spoofing (IP Address Spoofing)...............................................................5 Man -in -the -Middle Attack......................................................................................5 Sniffing...................................................................................................................5 Viruses and Worms................................................................................................6 Addressing Threats on the Server...............................................................................6 AntivirusProtection...............................................................................................6 BestPractice...................................................................................................6 Authentication........................................................................................................7 BestPractice...................................................................................................7 Authorization..........................................................................................................7 Connection Management......................................................................................7 Configuring Server -Level Connections...........................................................7 BestPractices..................................................................................................8 Defense -in -Depth ...................................................................................................8 Role of the Web Server...................................................................................8 Role of the Component Object.......................................................................8 Role of the Database Server..........................................................................8 Creating the Defense -in -Depth Strategy ........................................................8 BestPractices..................................................................................................9 Encryption..............................................................................................................9 BestPractice...................................................................................................9 Monitoring, Logging, and Tracing.........................................................................9 Monitoring.........................................................................................................9 Logging............................................................................................................. 9 Tracing.............................................................................................................9 BestPractices...............................................................................................10 Operating System and Application Hardening..................................................10 Securing Application Servers.......................................................................10 GroupPolicy..................................................................................................10 Key WebEOC 6 Security Settings.................................................................11 Key Windows Server 2003 Security Settings.............................................11 Hardening the Windows Infrastructure....................................................... 12 BestPractices...............................................................................................12 Public Key Infrastructure.................................................................................... 12 Certification Authorities...............................................................................12 Certificate Requirements.............................................................................12 BestPractices...............................................................................................12 WindowsUpdate.................................................................................................13 BestPractice................................................................................................13 Addressing Threats on the Client.............................................................................13 Appendix A: Deploying Standard Edition Server on a Single Computer.................15 Best Practices for a Single Computer Implementation....................................15 Appendix B: Additional Resources...........................................................................16 ESiO WebEOCO 6.0 Documentation................................................................. 16 SecurityGuides................................................................................................... 16 BestPractices..................................................................................................... 17 Additional Resources for Sections in this Guide...............................................18 Antivirus Protection......................................................................................18 Authorization................................................................................................ 18 Connection Management............................................................................18 Encryption..................................................................................................... 18 Monitoring, Logging, Tracing, and Archiving ............................................... 18 Operating System and Application Hardening............................................18 Key Windows Server 2003 Security Settings ............................................. 19 Public Key Infrastructure.............................................................................19 Windows Update Services........................................................................... 21 Miscellaneous..................................................................................................... 21 GroupPolicy.................................................................................................. 21 SQLServer 2000.......................................................................................... 21 Windows2000............................................................................................. 21 Introduction Welcome to the ESi WebEOe 6.0 Security Guide. This guide discusses how to facilitate securing your WebEOC 6.0 deployment and help maintain its security over time. Overview This guide is provided to help customers take a proactive, rather than only a reactive approach to security within their WebEOC 6.0 implementation. This guide will first introduce the reference WebEOC 6.0 topology that is used for this discussion. Then, the threats to the security of that topology are discussed. Finally, the ways to address the threats on both the server and the client are covered. Who Should Read This Guide The audience for this guide is WebEOC 6.0 administrators, the IT or Network administrator who is responsible for the WebEOC server and the associated network, and anyone else responsible for securing or maintaining security for WebEOC 6.0. Topology WebEOC 6.0 deployments can consist of many different components that might include: • WebEOC 6.0 • Professional (Standard or Enterprise Editions) • AT, Air or ST • WebEOC Plug -ins (Casualty Record, Team Management, MapTac, etc.) • Microsoft® SQL ServerTM 2000 for the back end • Microsoft® SQL Server 2000 Desktop Engine (MSDE 2000) for the back end • Microsoft® Windows ServerTM 2003 operating system • Microsoft® Windows ServerTM 2000 operating system • Internet Information Services (IIS) The topology of a WebEOC 6.0 installation depends upon many variables. Regardless of the number of server roles or domains there is a common topology unit as shown in the following figure. Figure 1 Server roles available for WebEOC 6.0 Rmwre user Rcrwk llser-\- Ircemel Web Server I� (IIS Serrer5C or E C) RemoR Dse The supported network topologies are: • Remote access • Internal Access Security as a Process d9 ��rev Detzbaee Server ( —ft SDl se r 200C) as a Process 2 Web Server Web Server Web Server (115 Server S C or C C) OM Server S C w E C) (IIS Server 5 C or E C) 2 �g L1 F_ Enterprise Edition Daubaae server Pool @4—.kSSDt server Security is a large and complex topic. Because new threats arise, and existing threats retire, it is also a dynamic process. The definition of acceptable risk and the methods used to achieve a level of acceptable risk are different for different organizations. The definition and methodology can change over time. Your IT infrastructure and operation might change over time. Securing WebEOC 6.0 3 A threat or prevention that applied when this document was written, might not apply when you read it. Even if your WebEOC 6.0 deployment is modest, you probably have components that are the subject of books entirely dedicated to the security of that component. It is unlikely that this document covers all aspects of security for all components and areas that are pertinent to your deployment. Use this document and its companion documents as a starting point to help secure and to help maintain a secure WebEOC 6.0 implementation. This guide provides general guidelines, best practices, and resources in that regard. It is written to be a companion to other documents that discuss the concepts mentioned in this guide in greater detail. As new threats and solutions arise, outdated documents, solutions, and methods should be replaced with new ones. Current companion documents include: • The Security Risk Management Guide at http•//www microsoft com/technet/security/guidance/secrisk/default msl2 • The Windows Server 2003 Security Guide at http://www.mi crosoft. com/technet/security/prodtech/W in2003 /W2003 HG/SGCHOO.m spx. ■ Windows Server 2003 Security Guide Chapter 8: Hardening IIS Servers • The Windows Server System Reference Architecture {WSSRA) at http://www.micros oft.com/technet/itsolutions/wssra/raizuide/default.mspx. • The SQL Server 2000 SP3 Security Features and Best Practices at http://www.microsoft. com/technet/prodtechnol/sql/2000/maintain/sp3 secOO.mspx. Also see the appendix "Additional Resources for Sections in this Guide" for links to additional documents that are pertinent to this discussion. Securing WebEOC 6.0 The ESi security risk management process consists of four phases: 1. Assessing risk. Identify and prioritize risk of attack. 2. Conducting decision support. Identify and evaluate control solutions to reduce risk. 3. Implementing controls. Deploy and operate the control solutions that reduce the risk. 4. Measuring program effectiveness. Analyze the effectiveness of the process in maintaining acceptable risk. Repeat from phase 1 if efficacy is not adequate. The remainder of this guide concentrates on the first, second, and third phases of this process, specific to WebEOC 6.0. For this discussion, two categories of security are used: • Securing the server • Securing the client the Threats 4 Identifying the Threats This section identifies and describes some of the common threats to the security of your WebEOC deployment. An installation of WebEOC 6.0 could possibly be exposed to the following threats: • Application -layer attack • Compromised -key attack • Denial -of -service attack • Eavesdropping • Identity spoofing (IP address spoofing) • Man -in -the -middle attack • Sniffing • Viruses and worms Application -Layer Attack The application -layer attack occurs when the attacker takes advantage of a fault in a server's operating system or one or more of the server's applications. A successful attack results in the attacker bypassing normal operation and control, providing the attacker with the following abilities: • Reading or writing data for the operating system or application. • Injecting viruses and worms into the compromised system. • Adding a sniffer program directly into and operating from the compromised system. The attacker can then periodically retrieve this sniffed data. • Installing the attacker's own server API (application programming interface) extension Program. Compromised -Key Attack A compromised -key attack occurs when the attacker determines the key, which is a secret code or number used to encrypt, decrypt, or validate secret information. This key corresponds to the certificate associated with the server. This is a time-consuming and sophisticated process, but not impossible. Once the attacker is successful in determining the key, the attacker uses the key to decrypt encrypted data without the knowledge of the sender of the data. the Threats 5 Denial -of -Service Attack The DOS (denial -of -service) attack occurs when the attacker prevents normal network use and function by valid users. When the attacker successfully gains access to the network the attacker can do the following: • Send invalid data to applications and services running in the attacked network to disrupt their normal function. • Send a large amount of traffic, typically in the form of DNS responses called a DNS -based DOS attack, overloading the system until it stops responding. • Hide the evidence of their successful attack. • Prevent users from accessing network resources. Eavesdropping Eavesdropping can occur when an attacker gains access to the data path in a network and has the ability to monitor and read the traffic. This is also called sniffing or snooping. If the traffic is in plaintext, the attacker is able to read the traffic once the attacker gains access to the path. An example is when the attacker is able to install their own server API extension program. Identity Spoofing (IP Address Spoofing) Spoofing occurs when the attacker determines and uses an IP address of a network, computer, or network component when not authorized to do so. A successful attack allows the attacker to operate as if the attacker were the entity normally identified by the IP address. The only time this comes into play for WebEOC 6.0 is when the administrator has configured gateways that only support TCP and the administrator has had to mark their IP addresses as a trusted host. Using TLS (Transport Layer Security) or working with a gateway over a trusted network is a way to resolve this. Man -in -the -Middle Attack A man -in -the -middle attack occurs when an attacker reroutes communication between two users through the attacker's computer without the knowledge of the two communicating users. The attacker can monitor and read the traffic before sending it on to the intended recipient. Each user in the communication unknowingly sends traffic to and receives traffic from the attacker, all while thinking they are communicating only with the intended user. This can happen if an attacker can modify the Active Directory® directory service to add their server as a trusted server, or if they can modify DNS to get clients to connect through them on their way to the server. Sniffing A sniffing attack occurs when an attacker gains access to the network TCP/IP traffic path, captures data packets that make up the conversation, and assembles the packets into a format that Addressing Threats on the Server 6 is readable to the attacker. This is a type of eavesdropping. Currently, this isn't possible when SSL is used by the client. Viruses and Worms A virus is a unit of code that is coded to reproduce additional, similar code units that needs a host, like a file, e-mail, or a program. A worm is a unit of code that is coded to reproduce additional, similar code units and doesn't need a host. This primarily shows up during file transfers between clients, or when URLs are sent from other users. Addressing Threats on the Server This section describes some of the ways to help guard against the threats described in the previous section. A secure installation of WebEOC 6.0 addresses the threats, and helps to reduce the risk of a successful attack by using one or more of the following solutions: • Antivirus protection • Authentication • Authorization • Connection management • Defense in depth • Encryption • Monitoring, logging, tracing, and archiving • Operating system hardening • Windows Update This section describes these risk management solutions in greater detail. Antivirus Protection A detailed discussion is beyond the scope of this document. For more information about antivirus protection, see the Antivirus Defense -in -Depth Guide at http://www.microsoft.com/downloads/details.aspx?FamilyID=F24A8CE3-63A4-45A 1-97B6- 3FEF 52F63ABB&displaylang=en. Best Practice Use antivirus software to reduce risk of attack by viruses and worms, and keep the virus definition files up to date to help prevent these viruses from taking control of WebEOC 6.0 functionality and the functionality of other applications. Threats on the Server 7 Authentication Authentication is used to prevent unauthorized access to resources. Users • All users are authenticated by WebEOC 6.0 before access is allowed. • An additional level of security can be employed utilizing windows authentication through the IIS server. Servers • Communication between the web server and database server is via component object with an administrator configured identity. • Communication between additional WebEOC servers via Dual Commit utilizes an administrator configured WebEOC user which is authenticated by WebEOC during the Dual Commit process. Best Practice A strong username/password policy with regular password changes is strongly recommended. Authorization WebEOC 6.0 manages authorization to the various components which make up WebEOC through groups. Only authorized administrators can define group access and which users belong to which group. Connection Management Network connections can be managed by configuring a number of different network components and methods, including: • Firewall • TCP/IP configuration Configuring Server -Level Connections Depending upon your implementation, you must configure certain ports to allow the required communication protocols to pass for desired WebEOC® 6.0 operation. Ports The following table summarizes the network protocols and port numbers used by WebEOC 6.0. Table 1 Port assignments 0 0 HTTP 80 WebE000 Access Threats on the Server 8 HTTPS 443 Secure WebEOCO Access TCP SQL Access 1433 Best Practices • Use a Firewall to create internal, perimeter, and external networks. • Configure ports to allow only the required protocols to pass. • Deny all other protocols. • Close all other ports. Defense -in -Depth Defense -in-depth is a multilayered, multiple strategy, security management process used to reduce risk of compromise from internal and external threats. WebEOC 6.0s three tired architecture is designed to help you implement a defense -in-depth strategy. Role of the Web Server The Web Server provides the interface for client access to the database. It presents web pages which provide input and display forms, checklists, contacts, etc, all through a web interface. Role of the Component Object The Component Object with its administrator configured identity allows user access to information without giving them direct access to the database. The utilization of a component object prevents direct access to the database by users. Role of the Database Server The role of the database server is to secure and maintain all information. All WebEOC information to include users accounts, groups, etc., plus all user collected information is maintained in the database. Creating the Defense -in -Depth Strategy You can implement a defense -in-depth strategy for WebEOC 6.0 by: • Creating a perimeter network boundary. • Creating an internal network boundary. • Locating the Web Server in the perimeter network. This is often referred to as a DMZ. • Locating the Database Server behind the internal network boundary. Placing the database server in the internal network secures it from external access. • Confgure Access Control lists. Access Control Lists (ACLs) should be configured that only allow the component object to communicate between the web server and database server through the internal network boundary. Addressing Threats on the Best Practices • Use a Defense -in -Depth strategy. • Use a certificate issued by a public Certificate Authority (CA) for encrypting data transmitted between the web server and database server. • Use industry recognized firewalls. Encryption Encryption reduces the impact of eavesdropping. SSL is used by WebEOC 6.0 to provide encryption. Server -to -server traffic should be encrypted, both inside and outside of the internal network perimeter. Server -to -client traffic should be encrypted utilizing SSL encryption. Best Practice Configure SSL for communication to provide encryption. Use a certificate issued by a public CA. Monitoring, logging, and Tracing Monitoring This section describes some of the available monitoring tools. Performance Monitor Using Performance monitor can help you isolate problems causing performance issues. Network Monitor 2.0 Using Network Monitor 2.0, the network monitor included with Microsoft® Systems Management Server (SMS), network traffic can be captured for analysis. For information about Network Monitor 2.0, see About Network Monitor 2.0 on MSDN at http://msdn.microsoft.com/library/default.asp?url=/Iibrar /y en- us/netmon/netmon/about network monitor 2 O.asp?framertrue. Logging WebEOC 6.0 provides the following monitoring features: • Audit Logging • Error Logging For additional information on the logging provided by WebEOC, refer to the WebEOC 6 Admin Manual. The other components in your implementation might also provide logging features. Microsoft® SQL Server, IIS Server, and Windows Server 2003 are three that do. Tracing One method supported by Windows Server 2003 is tracing, which provides a level of detail beyond that found in Event Logs. For more information about tracing, see How to Enable and Threats on the Server 10 Disable Tracing on Client Computers and ISA Servers at http://www.microsoft.com/technet/securiiy/guidance/secmodl 92.mspxx. Best Practices • Monitor the WebEOC Audit log and Error log • Monitor system event logs • Log key events • Monitor performance Operating System and Application Hardening You should harden your operating system and applications according to best practices for that specific component. See the existing documentation for those components, which are listed in "Appendix 13: Additional Resources." Securing Application Servers For application servers, the operating system and the application should be hardened. For example, a Windows Server 2003 computer dedicated to running WebEOC 6.0 should be hardened from the operating system and from the application perspective. For more information about securing servers, see "Appendix B: Additional Resources." Group Policy Group Policy provides directory -based desktop configuration management. You can use Group Policy to implement security lockdowns by defining Computer and User settings within a Group Policy object (GPO) for the following: • Registry -based policies • Security • Software installation • Scripts • Folder redirection • Remote installation services To provide a user interface for the administrator to configure these settings, administrative templates are shipped with operating system releases, and service pack releases. Group Policy Security Settings Group Policy contains security settings for a GPO under Computer Configuration/Windows Settings/Security Settings when accessed from Gpdeit.dll. You can import security templates to configure security settings for the GPO. The Windows Server 2003 Security Guide contains a number of sample templates that you can modify to meet your needs. For more information about Threats on the Server 11 these templates, see How to Apply Group Policy and Security Templates with Windows Server 2003 at http://www.microsoft.com/technet/security/guidance/secmodl29,mspx. Key WebEOC 6 Security Settings In The Admin Manager under General Settings, WebEOC has several security options which should be employed to further harden your installation of WebEOC. • User list on login page? Un-check to prevent the user list from being presented at login. Users will have to type in both user name and password. • Allow users to edit their accounts? Selecting this allows users to set their own password and email address. • Enforce strongpasswords? Selecting this enforces upper and lower case, and numeric characters in the password. • Password age. Sets the length of time between when users will be required to change their password. (Recommend 180) • Minimum password length. Sets minimum length of a password. (Recommend 8) • Account lockout threshold. Sets the number of failed attempts before an account is locked out. (Recommend 3) • Account lockout duration. Sets the duration between when an account is locked out, and automatically reset. (Recommend 30) • Enforce Maximum File Storage Size. Selecting this enforces a limit on the maximum file storage size that can be utilized to upload files into WebEOC. This is set to prevent a denial - of -service attack with the uploading of an exceptionally large amount of file information. • Max Storage Size. This sets the file storage size enforced by selecting Enforce Maximum File Storage Size. (Recommend 500) Key Windows Server 2003 Security Settings Read and apply Windows Server 2003 Security Guide at http://www.microsoft.com/technet/security/prodtech/W in2003/w2003HG/SGCHOO.msr)x. See the following Windows Server 2003 Technical Reference subjects: • Windows Security collection at http://www.microsoft. corn/Resources/Documentation/windows serv/2003/all/techref/en- us/W2K3TR@see over.asp?frame=true. • Group Policy Collection at http://www.microsoft.com/Resources/Documentation/windowsserv/2003/al I/techref/en- us/W2K3TR gp over.asp?frame=true. • Networking Collection at http://www.microsoft. com/Resources/Documentation/windowsserv/2003/al l/techref/en- us/W2K3TRvnetwkmover. asp?frame=true. Threats on the Server 12 • Security Policy Settings at http://www. mi cros oft. com/Resources/Documentation/wi ndows serv/200 3 /all/techref/en- us/ W 2K3TR_s epol_set. asp?frame=true. Hardening the Windows Infrastructure Read and apply Windows Server 2003 Security Guide at .http://www.mi crosoft. com/technet/securiiy/prodtech/ W in2003/W2003 HG/SGCHOO.mspx. Best Practices • Harden all server operating systems and applications. • Use Group Policy to implement security lockdowns. • Implement key WebEOC security settings. Public Key Infrastructure WebEOC 6.0 can utilize certificates from your existing PKI (Public Key Infrastructure), or certificates issued from a public CA. WebEOC 6.0 uses certificates for: • SSL encryption between web server and client • SSL encryption between web server and database server. You can configure SSL and certificates within your WebEOC 6.0 deployment. Certification Authorities WebEOC 6.0 supports the following CAs: • Internal (private) CAs • Windows Server 2003 Enterprise CA • Windows Server 2003 Standalone CA • Windows 2000 Standalone CA • External (public) CAs Certificate Requirements Although SSL encryption is not required, ESi recommends using SSL for all connections, and therefore, requiring certificates for all installed WebEOC 6.0 servers. Best Practices • Implement a PKI and certificates for SSL. • Use a certificate issued by a public CA. Threats on the Client 13 Windows Update Frequently check for and apply updates and security patches using Windows Update Services. Doing so helps prevent vulnerabilities in other system components that may lead to attackers being able to gain access to WebEOC 6.0 servers with administrator privileges and thereby compromise WebEOC 6.0. Best Practice Keep current with Windows Update. Addressing Threats on the Client While the majority of WebEOC 6.0 security configuration is performed on the server side, you can take steps on the client side to increase security, including: • Use Windows XP SP2 • Apply the concepts in the Windows XP Security Guide at http://www.microsoft.com/technet/security/prodtech/wi nclnt/secwinxp/xpsgchO 1.mspx. • Use the Windows Firewall software provided in Windows XP SP2. • Run antivirus software on the client. • Frequently check and apply updates and security patches. • Use strong password best practices. • Use SSL for WebEOC 6.0 communication protocol. • Run only necessary services and applications. Addressing Threats on the Client 14 This Page Intentionally Left Blank. A: WebEOC on a Single Server 15 Appendix A: WebEOC on a Single Server This section is included because a single server installation may be the only available option. Due to possible financial restraints, it may be necessary to host WebEOOV on a single server. In this instance, the server would be running both Microsoft® Internet Information Services (IIS) and Microsoft® SQL server or Database Engine (MSDE). Best Practices for a Single Computer Implementation The best practices are: • Apply all patches and updates as they become available. • Ensure a strong password policy is implemented. • Disable any un-necessary services. • Use a industry recognized firewall to limit access to ports 80 and/or 443 • Use SSI. encryption • Ensure physical security of the server Appendix B: Additional Resources 16 Appendix B: Additional Resources The following resources, grouped by type, contain additional information that is relevant to this document. ESP WebEOCO 6.0 Documentation The documents as of this writing include: • WebEOC® 6.0 Installation Guide • WebEOC® 6.0 Administrator Manual • WebEOC® 6.0 Users Manual • WebEOC® 6.0 Release notes as they become available Security Guides Because WebEOCO is built around Microsoft® products and technology: ESM recommends the following security guide resources: • The Security Risk Management Guide at http://www.microsoft.com/technet/securitL/jzuidance/secrisk/default mspx • The Microsoft® Security Guidance Center: Windows Server 2003 Index at httn://www.microsoft com/security/guidance/prodtecli/WindowsServer2003 mspx • The Microsoft® Security Guidance Center: Windows XP Index at httn://www.microsoft.com/securiiy/izuidance/prodtech/W indowsXP.mspx • The Microsoft® Security Guidance Center: Security Modules Index at http://www.microsoft.com/security/guidance/modules/default mspx • The Microsoft® Security Guidance Center: Server Security Index at http://www.microsoft com/securiiy/2uidance/topics/ServerSecuriiy msp • The Microsoft® Security Guidance Center: Security Checklists Index at httn ://www.microsoft. com/securiiy/guidance/checklists/default. mix • The Microsoft® Security Guidance Center: How -to -Articles Index at http://www.microsoft.com/securiiy/lzuidance/howto/default.mspx • The Microsoft® Security Guidance Center: Products and Technologies Index at http://www.microsoft.com/security/guidance/nrodtech/default mspx • The Microsoft® Security Guidance Center: Recently Published at http://www.microsoft.com/securily/guidance/recent/default.mspx • Windows Server 2003 Security Guide at http://www.microsoft.com/technet/security/12rodtech/Win2003/W2003HG/SGCH00 mspx Appendix B: Additional Resources 17 • Securing Windows 2000 http://www.m i crosoft,com/downloads/detai 1 s.aspx?Familyld=9964CF42-E236-4D73-AEF4- 7B4FDCOA25F6&displaylang=en • Internet Information Services (IIS) Security Center http://www.micro soft. com/tectinet/s ecurity/prodtech/i is/default. mspx Best Practices The following are best practices resources: • Secure Network Connectivity Next Steps: Best Practices at http://www.m i crosoft.com/bu s iness/security/n etworkibestpractices. mspx • Best Practices for Securing Windows Server 2003 at http://www.microsoft.com/downloads/details.aspx?FamilyID=8a2643c] -0685-4d89-b655- 521 ea6c7b4db&disPlavlang=en • Windows Server 2003 Security Best Practices at http://www. microsoft.com/resources/documentation/Windows Serv/2003 /standard/proddocs/ en-us/Default.asp?uri=/resources/documentation/windows serv/2003/standard/proddocs/en- us/sagaseconceptsbp. asp Windows Server 2003 IPSec Best Practices at http://www.microsoft.comlresources/documentation/W indowsServ/2003/standard/proddocs/ en-us/Default.asp?url=/resources/documentation/windowsserv/2003/standard/proddocs/en- us/sag®ipsecbestpract.asp • Windows Server 2003 Encryption Best Practices at http://www.microsoft.com/resources/documentation/W indowsServ/2003/standard/proddocs/ en-us/Default. asp?url=/resources/documentation/windows serv/2003/standard/proddocs/en- us/sag�seconceptsimpefsbp. asp • Windows Server 2003 Auditing Best Practices at http://www-microsoft.com/resources/documentation/Wi ndowsServ/2003/standard/proddocs/ en-us/Default. asp?url=/resources/documentation/windows serv/2003/standard/proddocs/en- us/sag®seconceptsimpaudbp. asp • Windows Server 2003 Security Templates, Settings, and Configuration Best Practices at http://www.mi croso ft.com/resources/documentation/W indows Serv/2003 /standard/proddocs/ en-us/Default. asp?url=/resources/documentation/windowsserv/2003/standard/proddocs/en- us/seconcepts by topnode.asp • Windows Server 2003 Access Control Best Practices at http://www.microsoft.com/resources/documentation/W indowsServ/2003lstandardlproddocs/ en-us/Default.asp?url=/res6urces/documentation/windowsserv/2003/standard/proddoes/en- us/aclui by tonnode.asp Appendix B: Additional Resources 18 Additional Resources for Sections in this Guide This section contains additional resources broken out by section in this security guide. Antivirus Protection • The Antivirus Defense -in -Depth Guide at The MicrosoftOO Security Guidance Center: Windows Server 2003 Index at http://www.microsoft.com/techneUsecurity/guidance/avdind O.mspx Authorization • Selecting Secure Passwords at http://www.microsoft.com/smallbusiness/gtm/securiiyp-uidance/articles/select sec password s.mspx Connection Management • KB 324270, How to Harden the TCP/IP Stack Against Denial of Service Attacks in Windows Server 2003 at http://support.microsoft.com/default.aspx?scid=kb;en-us,324270 • KB 816792: How to configure TCP/IP Filtering in Windows Server 2003 at http://support.microsoft.com/default.aspx?scid=kb,en-us,816792 • Also, see KB 816514: How to configure IPSec Tunneling in Windows Server 2003 at http://support.microsoft.com/default.aspx?scid=kb,en-us,816514 Encryption • Windows Server 2003 Encryption Best Practices at http://www.micros oft.com/resources/documentation/ W indows S erv/2003/stand ard/proddoes/ en-us/Default. asp?url=/resources/documentation/windowsserv/2003 /standard/proddocs/en- us/sag seconceptsimpefsbp. asp Monitoring, Logging, Tracing, and Archiving • Windows Server 2003 Security Events TechNet article at http://www.microsoft.com/technet/securii y/guidance/secmodl28.mspx • About Network Monitor 2.0 on MSDN at http://msdn.microsoft.com/library/default.asp?url=/Iibrar /y en- us/netmon/netmon/about network monitor 2 O.asp?frame=true Operating System and Application Hardening • The Microsoft® Security Web site at http://www.microsoft.com/securiiy • The Windows Server 2003 Web site at http://www.microsoft.com/windowsserver2003 • How to Apply Group Policy and Security Templates with Windows Server 2003 at http://www.microsoft. com/technet/security/guidance/secmod l29.mspx Appendix B: Additional Resources 19 Key Windows Server 2003 Security Settings • Windows Server 2003 Security Guide at http://www.microsoft.com/technet/security/prodtech/W in2003/W2003HG/SGCH00. mspx • Windows Security Collection at http ://www. m i cros oft.com/Resources/Documentation/wi ndows serv/2003/all/techreflen- us/W2K3TR sec over.asp?frame=true • Group Policy Collection at http://www.microsoft. com/Resources/Documentation/windowsserv/2003/al I/techref/en- us/W2K3TR gp over.asp?frame=true • Networking Collection at http://www.microsoft. com/Resources/Documentation/windowsserv/2003/all/techref/en- us/W2K3TR netwk over.asp?frame=true • Security Policy Settings at http://www.microsoft. com/Resources/Documentation/windowsserv/2003/all/techref/en- us/W2K3TR sepol set.asp?frame=true • Windows Server 2003 Security Guide at http://www.microsoft.com/technet/securit3 /prodtech/W in2003iW2003HG/SGCHOO.mspx Public Key Infrastructure • Best Practices for Implementing a Microsoft® Windows Server 2003 Public Key Infrastructure, at http://viww.microsoft.com/technet/prodtechnol/windowss erver2003/technologies/security/ws 3pkibp.mspx • The Certificate Services planning chapter from MSA 2.0 at: http://www.microsoft.com/resources/documentation/msa/2/all/solution/en- us/msa20ik/vmhtm97. mspx • The Certificate Services build chapter from MSA 2.0 at: http://www.mi crosoft.com/resources/documentation/msa/2/all/solution/en- us/msa20ik/vmhtm229. mspx • Windows Server 2003 PKI Operations Guide at: http://www.micro soft.com/technet/prodtechnol/windowsserver2003/techno logies/security/ws 03pkog.mspx • The current version of the Common Criteria Protection Profile for Certificate Issuing and Management Components at: http://niap.nist.gov/cc-scheme/pp/PP CIMCPP SL1-4 V1.O.pdf • Key Archival and Management in Windows Server 2003 at: http://www.microsoft. com/techngt/prodtechnol/windowsserver2003/technologies/security/ky acws03.mspx B: Additional Resources 20 • Implementing and Administering Certificate Templates in Windows Server 2003 at: http://www. microso ft. com/technet/prodtechnol/windowsserver2003 /technologies/security/ws 03crhn.mspx • Troubleshooting Certificate Status and Revocation at: http•//www microsoft com/technet/prodtechnol/WinY,PPro/support/tshtcrl mspx • For the definitive guide for understanding and troubleshooting autoenrollment, see the Cert ficate Autoenrollment in Windows XP at: http://www.microsoft.com/technet/prodtechno l/winxppro/maintain/default.mspx • For more information about advanced scenarios using the Web enrollment pages, see Configuring and Troubleshooting Windows 2000 and Windows Server 2003 Certificate Services Web Enrollment at http://www.microsoft.com/technet/prodtechno l/windowsserver2003/technologies/security/w ebenroll.mspx • Download the CAMonitor.vbs script from the Technet Script Center at: http://www.microsoft.com/technet/communi . /scriptcenter/default.mspx • Microsoft Solution for Securing Wireless LANs — A Windows Server 2003 Certificate Services Solution is available at: http://izo.microsoft.com/fwlink/?Linkld=14843 • For information about how to plan, configure, and implement your PKI, see Securing Wireless LANs - A Windows Server 2003 Certificate Services Solution at: http://www.microsoft.com/technet/securibL/prodtech/win2003/pkiwire/swlan.mspx • For more information about additional operational tasks, see the Windows Server 2003 Certificate Services product documentation at: http://www.microsoft.com/technet/prodtechno l/windowsserver2003/proddocs/entserver/saga CS®procs admin.asp • To obtain the PKI Health tool (PKIView.mse) and the Key Recovery Tool (krt.exe), download the Windows Server 2003 Resource Kit Tools at: http://www.microsoft.com/downloads/details.aspx?FamilyID=9d467a69-57ff-4ae7-96ee- b 18 c4790cffd&DisplayLang=en • See Chapter 16 Designing a Public Key Infrastructure Download the Windows Server 2003 Deployment Kit at http://www.microsoft.com/windowsserver2003/t-echinfo/reskit/deplo ki�px • Best Practices, for Implementing a MicrosoftO Windows Server 2003 Public Key Infrastructure, at http://www.microsoft.com/technet/prodtechnol/windowsserver2003/technologies/securi /ws 3pkibp.mspx • Windows Server 2003 PKI Operations Guide at: http://www.microsoft.com/technet/prodtechnol/wi ndowsserver2003/technologies/security/ws 03pkog.mspx B: Additional Resources 21 • Windows Server 2003 Certificate Services at: http ://www.microso ft. com/technet/prodtechno 1/windows server2003 /prod do cs/entserver/sae CS orocs admin.asp • Implementing PKI best practices at http://www.microsoft.com/resources/documentation/ W indowsServ/2003/standard/proddocs/ en-us/sage CS_BestPract. asp • Chapter 16 Designing a Public Key Infrastructure Download the Windows Server 2003 Deployment Kit at http://www.microsoft.com/windowsserver2003/techinfo/reskit/deplo. kit.mspxx • Securing Wireless LANs - A Windows Server 2003 Certificate Services Solution at: http://www.mi crosoft.com/technet/security/prodtech/win2003/pkiwire/swian.mspx Windows Update Services • Windows Update Page at http://v4.windowsupdate.microsoft.com/en/default.asp Miscellaneous Other resources include the following topic resources. Group Policy • For more information about obtaining and using the Group Policy Management Console, see http://www.microsoft.com/windowsserver2003/gpmc/default.mspx • Group Policy Home at http://www.microsoft. com/technet/prodtechnol/windowsserver2003/technologies/manageme nt/gp/default.mspx • Group Policy TechNet Page at http ://www.microsoft. com/technet/prodtecbnol/windowsserver2003/technologies/manageme nt/gp/default.mspx SQL Server 2000 • The SQL Server 2000 Operations Guide at http://www.microsoft.com/technet/prodtechnol/sql/2000/maintain/sq lopsO. mspx • The Microsoft® SQL Server 2000 Security White Paper at http://www.microsoft.com/technet/prodtechnol/sql/2000/maintain/sp3 sec00.mspx • The Three -Tier Security in an E-Commerce Environment at http://www.microsoft.com/technet/itsolutions/eommerce/maintain/operate/msf3sec. mspx • The SQL Server 2000 C2 Administrator's and User's Security Guide at http://www.microsoft.com/Downloads/Release.asp?ReleaselD=25503 • The Blueprint for Building Web Sites Using the Microsoft® Windows Platform article at http://www.microsoft.com/technet/prodtechno I/acs/res kit/aerkWl2a.mspx B: Additional Resources 22 Windows 2000 • Cryptography and Microsoft® Public Key Infrastructure at http://www.microsoft.com/technet/security/topics/cry_pto/cUptpki msp • Certificates at http://www.microsoft.com/technet/security/topics/ciypto/certs mspx • Windows 2000 Certificate Services and Public Key Infrastructure at http://www.microsoft.com/resources/documentation/Windows/2000/server/resk_ it/en- us/Default.asp?url=/resources/documentation/win dows/2000/server/reskit/en- us/distrib/dscj_mcs EAKO.asp • Planning Your Public Key Infrastructure at http://www. microsoft. com/resources/documentation/ W indows/2000/server/reskit/en- us/deplo,y/dgch pki odbg.asp ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Attachment 2 - WebEOC End User License Agreement (EULA) See attached pages. March 3, 2008 ATTACHMENT 2 Page 112 of 115 WebEOC® End User License Agreement IMPORTANT —READ CAREFULLY NOTWITHSTANDING ANYTHING IN THE WRITTEN DOCUMENTATION, BY CLICKING ON THE "ACCEPT BUTTON," OR BY INSTALLING, READING, OR OTHERWISE USING THE SOFTWARE, OR BY OPENING THIS PACKAGE, YOU AGREE TO BE BOUND BY THE TERMS OF THIS AGREEMENT AND WARRANT THAT YOU HAVE THE AUTHORITY TO BIND THE LICENSEE OR USER OF THIS SOFTWARE AND SUCH LICENSEE OR USER IS CONSENTING TO BE BOUND BY, AND IS BECOMING A PARTY TO THIS AGREEMENT. IF YOU DO NOT AGREE WITH ALL THE TERMS, YOU MUST CLICK ON THE "CANCEL BUTTON", OR CANCEL THE INSTALL, IF APPLICABLE, AND YOU WILL NOT HAVE ANY LICENSE TO ANY PART OF THE SOFTWARE, OR YOU MUST RETURN THIS PRODUCT, AND ALL MANUALS AND DOCUMENTATION, TO THE PLACE YOU OBTAINED THEM WITHIN TEN (10) DAYS OF PURCHASE FOR A REFUND. WRITTEN APPROVAL IS NOT A PREREQUISITE TO THE VALIDITY OR ENFORCEABILITY OF THIS AGREEMENT. IF YOU HAVE ORDERED THIS PRODUCT, ESi's ACCEPTANCE IS EXPRESSLY CONDITIONAL ON YOUR ASSENT TO THESE TERMS TO THE EXCLUSION OF ALL OTHER TERMS (EXCEPT NON -PREPRINTED QUANTITY, PRICE, PAYMENT AND LICENSE RESTRICTION TERMS AGREED UPON BY YOU AND ESi IN WRITING); IF THESE TERMS ARE CONSIDERED AN OFFER BY ESi, ACCEPTANCE IS EXPRESSLY LIMITED TO THESE TERMS: 1. ESi License Agreement. This is a license agreement and not an agreement for sale. This License Agreement ("Agreement") is between the Licensee and ESi Acquisition, Inc. ("ESi"), a Delaware Corporation with its principal place of business at 823 Broad Street, Augusta, GA 30901. This Agreement gives Licensee certain limited rights to use the proprietary ESi Software, Software Updates, and Documentation including any updates thereto. 2. Definitions. (a) "Documentation" means the WebEOCO Administrator and User Manuals and any other documents, materials, information or guidance, whether supplied as printed material or in electronic form, provided by ESi in conjunction with the purchase, training, use, maintenance or update of the Software. (b) "ESi" means ESi Acquisition, Inc., a Delaware corporation, with its primary place of business at 823 Broad Street, Augusta, GA, USA, 30901. (c) "License" means certain limited rights to use the proprietary ESi Software, Software Updates, online and/or hard -copy documentation and user guides as set forth in Section 4 of this Agreement. (d) "Licensee" means the person or legal entity accepting this License to use the Software, or for whom such License was obtained. (e) "Software," "Server Software," "Software Plug -In" and "Software Updates" collectively mean all of the WebEOCO software received from ESi with this License. 3. Ownership and LicensinQAuthoriU. (a) Ownership of, and title to, the Software and Documentation shall be held by ESi and its licensor(s) and is protected by United States law and applicable international laws, treaties and conventions Rev 11/01/2006 ® 1997-2006 ESi Acquisition, Inc. All Rights reserved. WebEOC and ESi are registered trademarks of ESi Acquisition, Inc. MapTac is a Trademark of ESi Acquisition, Inc. All other products are trademarks of their respective companies. WebEOC® End User License Agreement regarding intellectual property. ESi warrants that it has the power and authority to grant the license described herein. ESi and its licensor(s) shall retain all rights, title and ownership not granted herein to all copies of the Software and Documentation licensed under this Agreement. (b) ESi represents and warrants that it is authorized to redistribute and license any third party software delivered with the Software and Documentation provided under this Agreement. The owner of such third party software shall have the right to enforce this Agreement to the extent permitted by applicable law. 4. Grant ofLicense. (a) General. ESi grants to Licensee, and Licensee accepts, subject to the following terms and conditions and payment of the applicable license fee, a perpetual, limited nonexclusive, nontransferable, and non- sublicensable right, revocable according to the terms stated herein, to use the Software and Documentation. S. Permitted Uses. (a) Licensee may install and use one (1) copy of the Software on one (1) Licensed Machine. As used herein, Licensed Machine means a single box, whether a laptop, personal computer or server, with a single or multiprocessing unit (CPU) that is used for any purpose other than running the software in a test environment before placing it in operational use. (b) Licensee may install a second copy of the Software on a second machine as long as only one (1) copy of the Software is in use at any one time, except that if the second machine will be used as a redundant licensed machine with replication between primary and secondary machines, Licensee must obtain from ESi, according to the terms of the ESi standard price list, a Redundant Server License. Licensee is not required to obtain additional licenses for Software Plug -Ins installed on a redundant licensed machine. As used herein, Software Plug -In shall mean WebEOCO Resource Manager, WebEOCO Resource ManagerGIS, WebEOCO GISe, WebEOC® GISmp, WebEOCO Team Management, WebEOCO Calendar, MapTacTM and any other Software Plug -In applications ESi may release from time to time. (c) Licensee may also install a copy of the Software on one (1) additional licensed machine set up in a test environment for the sole purpose of testing the Software and updates locally before placing it "in production". (d) There is no limit to the number of individuals who may access the Software as Users. User functions are limited to those listed in the WebEOC User Manual. Users may not be granted Administrator privileges except that Licensee may grant designated Users administrator profiles exclusively to create, or edit, incidents in WebEOC and to add, or edit, maps of Graphic Interface Format files (.GIF) within MapTacTM. Users that require administrator rights in excess of those identified above, or full administrator privileges, require their own license to the Software. (e) Licensee may provide its consultant(s) or independent contractor(s) with access to the Software and Documentation, provided that the consultant(s) or independent contractor(s) is using the Software and Documentation exclusively for the benefit of the Licensee. (f) Licensee may use the WebEOCO BoardBuilder tool to copy, modify and create WebEOCO forms and templates and Licensee may distribute, in printed form or as electronic media, such forms and templates for use by other Licensees of the Software, provided that such forms and templates are used for Rev 11/01/2006 © 1997-2006 ESi Acquisition, Inc. All Rights reserved. WebEOC and ESi are registered trademarks of ESi Acquisition, Inc. MapTac is a Trademark of ESi Acquisition, Inc. All other products are trademarks of their respective companies. WebEOC® End User License Agreement internal business purposes only. Licensee shall not sell, resell, license or otherwise transfer for value the derivative works created using the WebEOCO BoardBuilder tool, and Licensee shall not distribute such forms and templates as part of any product or service for value to any third party. 6. Payments. The License Fee is due and payable when the Software and/or Software Plug -In is shipped to the Licensee or installed by ESi. Additional license fees are required to use the Software on more than one (1) Licensed Machine and as otherwise required by Section 5 of this Agreement. Such license fees are calculated per Licensed Machine and are due and payable prior to installation of the Software on the additional machines. 7. Protection ofSoftware. Licensee agrees to take all reasonable steps to protect the Software and Documentation from unauthorized copying or use. The Software source code represents and embodies trade secrets of ESi and/or its licensors. The Software source code and embodied trade secrets are not licensed to the Licensee. Licensee agrees not to disassemble, decompile or otherwise reverse engineer the Software, use reflection or other mechanism to view, interpret, translate or try to understand the structure of the Software, or otherwise attempt to discover the source code and/or the trade secrets contained in the source code, and Licensee will not allow third parties to do so. Licensee may not, not allow third parties to, modify or alter the Software in any way. 8. Confidentiality. The Software and Documentation contain confidential information and trade secrets of ESi. Licensee agrees to hold in confidence, not disclose and not use the Software and Documentation except as expressly provided herein, and Licensee shall ensure that there is no breach, compromise or violation of such confidentiality by Licensee's employees, consultants, or independent contractors. Licensee recognizes and agrees that there is no adequate remedy at law for a breach of this Section or of Section 7 of this Agreement, that such breach would irreparably harm ESi, that monetary damages would not be an adequate remedy, and that ESi is entitled to injunctive relief with respect to any such breach, or potential breach, in addition to any and all other remedies available at law or at equity. 9. Proprietary Interests. The Software and Documentation, and all copies thereof, shall remain the exclusive .property of ESi. All applicable rights to copyrights and trademarks shall remain vested in ESi and/or its licensors and Licensee shall not undertake to copyright or trademark the Software and Documentation. However, Licensee shall have title at all times to data input and output arising out of the use of the Software, and any computer programs developed by or for Licensee using output of the Software as input to another source, and which do not include any logic and code of the Software, and such shall remain the exclusive property of the Licensee. 10. Restrictions. Except as expressly authorized in this Agreement, Licensee agrees not to use, rent, lease, loan, sell, sublicense, distribute, transfer, copy, reproduce, display, modify, create derivative works of, provide commercial hosting services, time share or dispose of the Software or Documentation, or any part thereof. Rev 11/01/2006 ® 1997-2006 ESi Acquisition, Inc. All Rights reserved. WebEOC and ESi are registered trademarks of ESi Acquisition, Inc. MapTac is a Trademark of ESi Acquisition, Inc. All other products are trademarks of their respective companies. WebEOC® End User License Agreement Licensee may use the Software and Documentation solely for Licensee's internal business purposes. Except as noted in Section 4, Licensee may not use the Software to provide any services to third parties. 11. Assiznment. Licensee may not assign or otherwise transfer in whole or in part or in any manner any rights, obligations, or any interest in or under this Agreement without ESi's prior written consent and any attempted assignment will be void. A merger or other acquisition by a third party will be treated as an assignment. ESi may at any time and without Licensee's consent assign all or a portion of its rights and duties under this Agreement to a company or companies wholly owning, owned by, or in common ownership with ESi. 12. Copying. Licensee may make as many copies of the Documentation as necessary for Licensee's internal purposes provided, that the Licensee not modify or alter the content or appearance of the Documentation, that the Licensee not modify or alter the appearance of nor eliminate any references to ESi, WebEOC or other ESi Software in the Documentation, that the Licensee reproduce and distribute the ESi copyright and notices page contained in the Documentation with all such copies, and that the Licensee maintain the confidentiality of the copies in accordance with Section 8 above. 13. Maintenance and Support. (a) ESi will create updates to the Software from time to time. During the first year of this Agreement, Licensee shall be entitled to receive any updates created and generally released by ESi as standard product provided that the Licensee is not in violation of this Agreement. If Licensee desires to receive updates beyond the first year of this Agreement, Licensee must purchase a Software Support Plan for additional years and Licensee shall pay ESi the Software Support Plan fee in effect at the time of renewal. Payment of the Software Support Plan Fee shall entitle Licensee to receive all updates to purchased products for the number of years specified in Licensee's Software Support Plan Agreement. (b) During the first year of this Agreement, the Licensee is entitled to receive from ESi routine telephone support, Monday through Friday, during the hours of 0800 to 1630 Eastern Standard Time (excluding holidays), and emergency telephone support at any time on any day of the week. Licensee acknowledges that certain Software Plug -Ins or software features, including but not limited to certain GIS interfaces, are provided by third party software providers and the hours of emergency telephone support for such products by those providers may vary. (c) For the purposes of this Section 13, the "first year" of the Agreement shall commence on the first day of the month following installation, if ESi or its value-added reseller performs the Software installation, or on the first day of the month after the Software is shipped, if ESi or its value-added reseller ships the Software to the Licensee. The first year shall end on its first anniversary date. . 14. Limited Warranty and Disclaimers. (a) ESi warrants that the Software will perform in accordance with the accompanying Documentation for a period of one (1) year from the date of purchase. Rev 11/01/2006 ® 1997-2006 ESi Acquisition, Inc. All Rights reserved. WebEOC and ESi are registered trademarks of ESi Acquisition, Inc. MapTac is a Trademark of ESi Acquisition, Inc. All other products are trademarks of their respective companies. WebEOC° End User License Agreement (b) If programming errors or defects do occur during this period and ESi is promptly notified in writing of the nature of the error, ESi will correct the error without charge. (c) ESi's entire liability and Licensee's exclusive remedy shall be, at ESi's option, either (a) correction of the error or (b) return of the license fee. This limited warranty does not cover errors attributable to accident, abuse or misapplication, alteration, operation outside the parameters specified in this Agreement or the Documentation, failure to install Updates provided during the warranty period, installation, training or programming provided by an anyone other than ESi or an ESi-certified technician, or other breach of this Agreement by Licensee. (d) ESi DISCLAIMS ALL OTHER WARRANTIES, EXPRESSED OR IMPLIED, INCLUDING BUT NOT LIMITED TO, IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, TITLE AND NON -INFRINGEMENT WITH RESPECT TO THE SOFTWARE AND/OR ACCOMPANYING DOCUMENTATION. NO ORAL OR WRITTEN ADVICE OR INFORMATION PROVIDED BY ESi OR ANY OF ITS AGENTS OR EMPLOYEES SHALL CREATE A WARRANTY, AND LICENSEE IS NOT ENTITLED TO RELY ON ANY SUCH ADVICE OR INFORMATION. ESi EXPRESSLY DISCLAIMS ANY WARRANTY THAT THE SOFTWARE WILL OPERATE UNINTERRUPTED OR FREE OF ERRORS. (e) The software is not fault -tolerant and is not designed, manufactured, or intended for use or resale in hazardous environments that require fail-safe performance such as in the operation of nuclear facilities, aircraft navigation or communications systems, air traffic control, emergency response, terrorism prevention or response, life support or weapons systems (collectively "High Risk Activities"), the failure of which could lead to death, personal injury, or severe physical or environmental damage. ESi EXPRESSLY DISCLAIMS ANY WARRANTY OF FITNESS FOR HIGH RISK ACTIVITIES. (f) To the extent permitted by law, Licensee agrees to indemnify, defend and hold ESi, its officers, directors, employees, agents, subcontractors, licensors, successors, and assigns harmless from and against any and all liability, losses, claims, expenses (including attorneys fees), demands or damages of any kind, including direct, indirect, special, punitive, incidental, or consequential damages, arising out of or in connection with the Licensee's use of the Software for High Risk Activities. (g) Unless a Software Support Plan (Section 13) is in effect, any updates to the Software, including without limitation, any hot fixes provided to Licensee after the expiration of the One (1) year warranty period are not covered by any warranty or condition, express, implied or statutory. 15. Limited Liabili ESi AND ITS LICENSORS' AGGREGATE LIABILITY ARISING FROM OR RELATING TO THIS AGREEMENT OR THE SOFTWARE OR DOCUMENTATION IS LIMITED TO THE TOTAL OF ALL PAYMENTS RECEIVED BY ESI FOR THE LICENSE. ESi AND ITS LICENSORS SHALL NOT IN ANY CASE BE LIABLE FOR ANY SPECIAL, INCIDENTAL, CONSEQUENTIAL (INCLUDING LOST PROFITS OR REVENUE, LOST SOFTWARE, LOSS OF DATA, COSTS OF RECREATING LOST DATA, OR THE COST OF ANY SUBSTITUTE SOFTWARE OR EQUIPMENT), INDIRECT OR PUNITIVE DAMAGES EVEN IF ESi HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, WHETHER UNDER THEORY OF WARRANTY, TORT, PRODUCTS LIABILITY OR OTHERWISE. Rev 11/01/2006 ® 1997-2006 ESi Acquisition, Inc. All Rights reserved. WebEOC and ESi are registered trademarks of ESi Acquisition, Inc. MapTac is a Trademark of ESi Acquisition, Inc. All other products are trademarks of their respective companies. WebEOC® End User License Agreement 16. License Term and Termination. (a) This Agreement and the License are effective upon Licensee's acceptance of the terms and conditions of this Agreement, as provided in the first paragraph above, and payment of the applicable License fees, and will remain in force until terminated. (b) ESi shall have the right to terminate the license granted hereunder by giving written notice of termination to Licensee if Licensee shall fail to pay the specified license fee when due or shall fail in any other material respect to comply with Licensee's obligations under this Agreement and such failure to pay or comply is not remedied to ESi's satisfaction within sixty (60) days after Licensee receives written notice thereof from ESi. Licensee acknowledges and agrees that ESi may seek equitable relief at any time to remedy a violation or threatened violation of the restrictions set forth herein regarding the use and protection of the Software and Documentation. (c) Upon termination, Licensee shall immediately destroy the original and all copies of the Software and Documentation, or return them to ESi. 17. Infringement of Patent and Other Proprietary Rights. ESi represents to Licensee that it has no knowledge of any existing or potential claims that the Software or Documentation violates or infringes upon any patent, copyright, trade secret or other proprietary right of a third party. 18. No Disabling Codes, Timers. Counters, or Other Limitations. The Software shall not include or contain any disabling code, timer, clock, counter or other limiting design or routine which causes the Software to be erased, inoperable or otherwise incapable of being used in the full manner for which it was designed and licensed pursuant to this Agreement after being used or copied a certain number of times, or after the lapse of a certain period of time, or after the occurrence or lapse of any similar triggering factor 19. General Conditions. (a) Governing Law. This Agreement shall be governed by, and interpreted in accordance with, the laws of the State of Georgia (United States of America) regardless of application of choice of law rules or principles. This Agreement expressly excludes the United Nations Convention on Contracts for the International Sale of Goods. Unless otherwise elected by ESi at its option and in writing for a particular instance, the sole jurisdiction and venue for actions related to the subject matter hereof shall be the state or United States District Court having within its jurisdiction the location of ESi's principal place of business in Augusta, Georgia. Both parties consent to the jurisdiction of such courts and agree that process may be served in any manner allowed by the laws of the State of Georgia or of the United States. If Licensee acquires this License in a country other than the United States or its territories, local law may apply. (b) Entire Agreement. This Agreement sets forth the entire understanding and agreement between Licensee and ESi and may be amended only in a writing signed by both parties. This Agreement supersedes any and all other WebEOC license agreements, including without limitation, any License previously granted for any prior version of WebEOC. In the event of any inconsistency between the terms Rev 11/01/2006 ® 1997-2006 ESi Acquisition, Inc. All Rights reserved. WebEOC and ESi are registered trademarks of ESi Acquisition, Inc. MapTac is a Trademark of ESi Acquisition, Inc. All other products are trademarks of their respective companies. WebEOC® End User License Agreement and conditions of this Agreement and the terms and conditions of the Documentation or other licenses delivered with the Software, the terms and conditions of this Agreement shall govern and control. NO VENDOR, DISTRIBUTOR, DEALER, RETAILER, SALES PERSON, OR OTHER PERSON IS AUTHORIZED TO MODIFY THIS AGREEMENT OR TO MAKE ANY WARRANTY, REPRESENTATION OR PROMISE WHICH IS DIFFERENT THAN, OR IN ADDITION TO, THE TERMS OF THIS AGREEMENT. (c) Waiver. No waiver of any right under this Agreement shall be effective unless in a writing, signed by a duly authorized representative of ESi. No waiver of any past or present right arising from any breach or failure to perform shall be deemed to be a waiver of any future right arising under this Agreement. (d) Severability. If any provision of this Agreement is held by a court of competent jurisdiction to be void or unenforceable for any reason, that provision shall be reformed to the extent necessary to make the language enforceable. All other provisions of this Agreement shall remain in full force and effect. 20. Exnort Controls (a) Licensee acknowledges that the Software and Documentation are subject to United States export laws. Licensee shall not, nor shall Licensee authorize or permit its directors, employees, consultants, independent contractors or other persons; to export, re-export, disclose or otherwise provide the Software and/or Documentation to any country unless an appropriate license, exemption or authorization has been obtained from the U.S. Government. (b) Licensee expressly agrees that Licensee shall not export, re-export, barter, or otherwise provide or disclose the Software and Documentation, in whole or in part, to: (a) any country covered by any United States trade embargo; (b) any person listed on the United States Department of Treasury's list of Specially Designated Nationals; (3) any person or entity listed on the United States Department of Commerce Denied Persons List; (4) any person or entity listed on the United States Department of Commerce Unverified or Entity Lists; (5) any person or entity listed on the United States Department of State Debarred List; or (6) any person or entity where such export, re-export, barter, disclosure or provision violates United State export control law or regulation. Licensee represents and warrants that neither it nor its directors, employees, consultants, nor any other persons or entities who may gain access to the Software and Documentation through the Licensee, are persons or entities subject to such U.S. export controls. (c) Licensee agrees to defend, indemnify, and hold harmless ESi from and against any claim, loss, liability, damage or expense, including fines or legal fees incurred by ESi with respect to any of Licensee's export or re-export activities contrary to the foregoing instructions 21. U.S. Government Rights: (a) If Licensee is an agency, department, or other entity of the United States Government ("Government"), or funded by the United States Government, Licensee's use, duplication, reproduction, release, modification, disclosure or transfer of the Software, Documentation, technical specifications, or any related materials of any kind, including technical data, is restricted in accordance with Federal Acquisition Regulation ("FAR") 12.212 for civilian agencies, Defense Federal Acquisition Regulation Supplement ("DFARS") 227.7202 for military agencies and the equivalent regulations for the Department of Energy. The use of the Software and Documentation is further restricted in accordance with the terms of this Agreement, or any modification thereto. Rev 11/01/2006 ® 1997-2006 ESi Acquisition, Inc. All Rights reserved. WebEOC and ESi are registered trademarks of ESi Acquisition, Inc. MapTac is a Trademark of ESi Acquisition, Inc. All other products are trademarks of their respective companies. WebEOC® End User License Agreement (b) The Software and Documentation are commercial computer software and commercial computer software documentation. Licensee shall ensure that each copy used or possessed by or for the Government is labeled with the following: "Manufacturer is ESi Acquisition, Inc., 699 Broad Street, Suite 1100, Augusta, GA 30901. ALL RIGHTS RESERVED. PROPRIETARY PRODUCTS." For the purpose of any federal, state or local law, Licensee agrees that the Software and Documentation are trade secrets and proprietary commercial products of ESi and are not subject to disclosure. Rev 11/01/2006 a 1997-2006 ESi Acquisition, Inc. All Rights reserved. WebEOC and ESi are registered trademarks of ESi Acquisition, Inc. MapTac is a Trademark of ESi Acquisition, Inc. All other products are trademarks of their respective companies. ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Attachment 3 - ASP Hosting Agreement See attached pages. March 3, 2008 ATTACHMENT 3 Page 113 of 115 WebEOC Managed Hosting Master Services Agreement This Master Services Agreement, effective this day of 2007, is made by and between ESi Acquisition, Inc., (hereinafter referred to as "ESi"), a Delaware corporation, having its principal place of business at 699 Broad Street, Suite 1100, Augusta, Georgia, 30901 and [insert legal name] (hereinafter referred to as "Customer") which has its principal place of business at [insert address]. WHEREAS: ESi developed and owns all rights to WebEOC®Professional, a Crisis Information Management Software; WHEREAS: ESi is an Application Server Provider that makes available WebEOC hosting services, for a fee, to entities holding a valid license to WebEOC; WHEREAS: The Customer holds a valid license to WebEOC as set forth in the End User License Agreement entered into by and between ESi and Customer (the "License Agreement"); and WHEREAS: The Customer seeks to engage ESi as its Application Services Provider for WebEOC. NOW, THEREFORE, for valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties agree as follows: 1. Definitions (a) "Agreement" means this Agreement, the WebEOC End User License Agreement (EULA), license agreements for all other software used in performance of the Agreement, any purchase order issued under this Agreement, and any other signed writings between the parties concerning this Agreement. (b) "Application Server Provider" means an entity that maintains a shared hardware environment for the purpose of hosting and maintaining software and data on behalf of customers. (c) "Availability" means Application Server Provider site availability, or the capability for the customer's website to access and deliver ".html" formatted pages successfully to any permitted end user through an internet connection exclusive of processes, hardware and software beyond the control of ESi. (d) "Effective Date" means the date stated at the top of this Agreement. ESi Page 1 of 19 RECIPIENT Rev. 04/2007 (e) "End User License" means certain limited rights to use the proprietary ESi Software, Software Updates, online and/or hard -copy documentation and user guides as set forth in the WebEOC End User License Agreement. (f) "Host/Hosting" means the installation and maintenance of software by an Application Server Provider in a shared environment on behalf a customer and exclusively for the benefit of permitted users of WebEOC. (g) "Permitted User" means the Customer and its directors, officers, employees or consultants who use the Software pursuant to the ESi End User License Agreement and in a manner consistent with this Agreement. (h) "Service Commencement Date" means the date on which Customer is notified in writing, via electronic mail or facsimile, by ESi that the hosted system is installed and operable. (i) "Software," "Server Software," "Software Plug -In" and "Software Updates" collectively mean all of the WebEOC® software licensed to Customer by ESi. 2. Scone of Services (a) ESi, acting as an Application Server Provider (ASP), shall host WebEOC for Customer according to the provisions set forth in this Agreement. (b) ESi shall provide and maintain the necessary hardware to operate the ASP environment for the benefit of Customer. ESi, at its sole discretion, may provide and maintain such services internally or through a qualified subcontractor. (c) ESi shall perform, at its convenience and after notice to Customer, scheduled updates of the Customer's Software as new releases become available. Such updates shall be scheduled to enable the simultaneous update of Software licensed to Customer and all other ESi-hosted customers. Scheduled updates shall include correction releases (i.e. patches provided to correct software anomalies), point releases (i.e. modifications to current generation of software including enhancement and improvements), and level releases (i.e. new releases or new generation of software). ESi also shall install updates and security patches for other software, including operating system software, installed on hardware used to deliver ASP services. (d) ESi shall perform, as needed, emergency security updates to its operating system software to protect the ASP environment from newly identified and widespread threats to the internet or internet-based services posed by worms, viruses and Trojans, or to address other vulnerabilities, with little or no notice to Customer. Such updates shall be treated as scheduled outages and the outage period shall not be considered as service downtime in any performance assessment that may be conducted. ESi Page 2 of 19 RECIPIENT Rev. 04/2007 (e) ESi shall provide and maintain a redundant ASP environment at a location that is geographically separated from primary ASP site to ensure continuity of Software access and operation in the event of any unforeseen outage, disaster or other event that may interrupt service at the primary ASP site. Failover to the redundant environment is a manual process and service will be activated by ESi immediately upon notification of primary ASP malfunction or failure. (f) ESi shall notify Customer in writing, via electronic mail or facsimile, of any planned service outages, i.e. for the purpose of performing Software updates or testing, or other inability to perform the services outlined in this Agreement. (g) ESi shall schedule, perform and maintain a duplicate ("backup") record of Customer's data. ESi shall perform daily differential backup and weekly full backup of data to a central data library. Data backups shall be retained for two weeks. (h) ESi shall provide Customer with technical support services. Such support services shall be available 24 hours per day, 7 days per week. Technical support services shall include assistance with problems related to ASP system or server access, system or server performance, data access or similar problems, but does not include routine software support. Technical support may be accessed by Customer by calling the Technical Support Help Desk at (877) 771-0911 or paging the on -call technician at (888) 243-7204. (i) ESi shall make routine software support available to Customer by telephone, Monday through Friday, during the regular business hours of 0800 to 1630 Eastern Standard Time (excluding holidays). Routine software support includes assistance with the use and configuration of the software, Geographic Information Systems (GIS) interfaces, mapping and other operational issues. Software support may be accessed by Customer by calling the Technical Support Help Desk at (877) 771-0911. 0) ESi shall make emergency "after hours" telephone support available to Customer at all times. Emergency telephone support includes any assistance needed by Customer while software is in use operationally, except that assistance with GIS interfaces, mapping or products licensed by a third party vendor are available only during regular business hours. Emergency support may be accessed by Customer by paging the on -call technician at (888) 243-7204. 3. ESi Obligations ESi shall perform all services described in Section 2 of this Agreement in a commercially reasonable manner and consistent with the practices used by ESi to maintain and protect its own data and systems. ESi Page 3 of 19 RECIPIENT Rev. 04/2007 4. Customer Obligations (a) The Customer shall promptly pay ESi for services delivered under this Agreement as described in Section 5 of this Agreement. (b) The Customer shall maintain, at Customer's expense, a secure high speed internet connection through which to access its hosted Software. (c) The Customer shall use the Software in accordance with the terms of its End User License Agreement which is incorporated herein as Attachment A. (d) The Customer shall appoint a designated point of contact and two alternate points of contact for its interactions with ESi. Customer shall provide ESi with the name, job title, physical address, telephone number, facsimile number and electronic mail address for each of the contact persons. Customer shall keep such contact information up-to-date and promptly notify ESi, in writing, of any changes. (e) The Customer shall use reasonable security precautions in connection with the use of services provided under this Agreement. (f) The Customer shall notify ESi in writing, via electronic mail or facsimile, of any planned non -emergency use of its Software, such as the occurrence of training sessions, drills and exercises, to aid ESi with the planning of any scheduled outages. (g) The Customer shall promptly notify ESi of any identified ASP service outage that impairs Customer access to its Software so that ESi may manually activate the redundant environment and work to restore service to the primary ASP environment. 5. Fees and Payment (a) During the initial term of this Agreement, Customer shall pay ESi an annual ASP fee of eighteen thousand dollars ($18,000). Such fee shall be due and payable within thirty (30) days of transmittal of purchase order by Customer to ESi. (b) At least sixty (60) days prior to the anniversary of this Agreement, ESi shall notify Customer of the current fee for ASP services and invoice Customer for an additional term of one (1) year at the stated price. Such stated price shall include the cost of hosting, application software support and technical supportCustomer shall pay to ESi the invoiced amount on or before the anniversary date of this Agreement. (c) Upon first renewal only, if the Service Commencement Date occurred more than fifteen (15) days after the Effective Date of the Agreement, ESi shall adjust the cost of ASP services accordingly for the affected renewal year. Such adjustment shall correct any deficiency between the period of services paid for by Customer and the period of ESi Page 4 of 19 RECIPIENT Rev. 04/2007 services delivered by ESi during the initial term of this Agreement, and establish a single anniversary date for subsequent renewal of this Agreement. (d) ESi reserves the right to charge interest equal to one and one-half percent (1.5%) on all amounts past due with interest accruing as of the day after the due date, or the maximum rate allowable by law, whichever is less. 6. Service Warranty (a) ESi represents and warrants that service availability of the ASP environment will meet a "high availability" measure of 999 % system "up time," excluding scheduled outages. (b) ESi shall notify the Customer in writing, via electronic mail or facsimile, of any scheduled outages at least five (5) days in prior to such outage. ESi shall provide notice of any emergency outages affecting availability of ASP services as soon as is practicable. (c) ESi shall promptly activate the redundant ASP environment immediately upon notification that the primary ASP environment is not available, not responsive or otherwise impaired. (d) ESi shall only be responsible for performance of components of the ASP environment under its control. ESi shall not be responsible for performance deficiencies caused by processes, hardware and software beyond its control including, but not limited to, information transmission delays due to excessive internet traffic, internet outages, or failure of Customer to perform its obligations under this Agreement. 7. Term and Termination (a) Term. The initial term of this Agreement shall be one (1) year from the effective date stated herein and shall automatically renew for successive (1) year terms unless terminated in writing by either party. (b) Termination. Prior to expiration, either party may terminate this Agreement, upon written notice to the other, if the other party materially violates any provision of this Agreement and fails to remedy such violation within thirty (30) days after written notice thereof. Failure to pay the fees outlined in this Agreement in a timely manner shall be deemed a material breach. (c) ESi may terminate this Agreement without cause on sixty (60) days written notice. (d) ESi may terminate this Agreement immediately, upon written notice to the Customer, if Customer violates any of ESi's proprietary rights including but not limited to confidentiality, trademarks, copyrights, patents or patent rights, or any other ESi ESi Page 5 of 19 RECIPIENT Rev. 04/2007 proprietary rights or interests in the ESi Software, licenses or sublicenses whether or not expressly stated in this Agreement. (e) Upon termination of this Agreement for any reason, Customer shall immediately surrender to ESi any Internet protocol numbers, addresses or ESi-owned domain names assigned to Customer in connection with the services delivered hereunder. (f) Upon termination, Customer shall be entitled to a rebate for services purchased and not performed. The unit of measure for calculating any rebate shall be weeks and shall be calculating using the following formula: (contract price/52 weeks) x number of weeks of service Customer would have received if the Agreement had been fully performed. In the event that ESi terminates the agreement for any of the reasons stated in Section 7 (d), ESi shall retain the balance as liquidated damages. 8. Confidentiality (a) Confidential Information means all information concerning ESi or any business partner of ESi to which Customer is provided access by virtue of this Agreement or its activities hereunder, including without limitation, technical data, product design and development information, source code and source code documentation, business operations and plans, sales information, information about quantity and kind of software licenses sold, prices and methods of pricing, marketing techniques and plans, trade secrets, unannounced products, product and process information and any other information which, if disclosed to others, might be competitively detrimental to ESi. (b) Confidential Information also shall mean all information concerning Customer to which ESi is provided access to by virtue of this Agreement or its activities hereunder, including, without limitation, data, documentation, business operations and plans, operating procedures, or any other information which, if disclosed to others, might be detrimental to Customer. (c) Confidential Information shall not include any information which has been publicly disseminated in writing by ESi or Customer which either party can show it knew prior to the disclosure or which was rightfully received from a third party without restriction. (d) During the term hereof and at all times thereafter, both parties shall maintain the Confidential Information of the other party in strictest confidence, shall not disclose it to any third party, except as required by applicable law and/or regulation and/or by order of a court of competent jurisdiction, and shall use it only as necessary to perform hereunder. ESi shall cause each of its officers, directors and employees to restrict disclosure and use of such Confidential Information in like fashion, and shall be responsible for any wrongful disclosure and use by any of them; and Customer shall cause each of its officers, directors and employees to restrict disclosure and use of such Confidential Information in like fashion, and shall be responsible for any wrongful disclosure and use ESi Page 6 of 19 RECIPIENT Rev. 04/2007 by any of them. ESi and Customer agree that any person to whom Confidential Information is disclosed shall be bound by confidentiality obligations that are at least as protective as those contained herein. 9. Representations and Warranties (a) ESi represents and warrants to the Customer that it has the power and authority to enter into this Agreement and to perform the obligations stated herein. (b) Customer represents and warrants to ESi that it has the power and authority to enter- into this Agreement and to perform the obligations stated herein. (c) Customer represents and warrants that Customer and its officers, directors, attorney, agents, employees and other Permitted Users shall access and utilize services provided under this Agreement in a lawful manner and not in violation of any applicable law, regulation, treaty, convention or order including, but not limited to intellectual property laws and United States export controls. (d) Customer represents and warrants that Customer and its officers, directors, attorney, agents, employees and Permitted Users shall not share services with or permit access to services by persons other than Permitted Users. Customer further represents and warrants that Customer and its officers, directors, attorney, agents, employees and Permitted Users shall not permit access, under any circumstances, to the Software, related materials or services provided under this Agreement by any person, entity or nation in violation of any United States export laws, regulations or controls. 10. Indemnification (a) Customer agrees to indemnify and hold harmless ESi and its officers, directors, attorney, agents and employees from and against all claims, damages, losses, liabilities and expenses, including reasonable attorneys' fees, arising out of any and all claims by a third party, under any theory of legal liability, related to actual or alleged use by Customer of the services provided under this Agreement, actual or alleged breach by Customer of its obligations to end users or other third parties, or any disputes between persons who claim to have the authority to act on behalf or bind the Customer. (b) ESi and Customer agree to indemnify, defend and hold harmless the other party, and each of their respective officers, directors, attorney, agents and employees from and against any and all claims, damages, losses, liabilities and expenses, including reasonable attorneys' fees, arising out of any claim by a third party asserting, under any theory of legal liability, infringement of such third party's patent, copyright, trademark, trade secret, confidentiality or other right, provided that the party seeking indemnification notify the other party, in writing, promptly of the receipt of a written notice of the claim. ESi and Customer agree, in the event of such claim, to provide the party seeking indemnification with reasonable assistance, at the indemnifying party's cost, in the ESi Page 7 of 19 RECIPIENT_ Rev. 04/2007 defense or settlement of the claim. 11. Limitation of Liability (a) IN NO EVENT SHALL ESi BE LIABLE FOR ANY CLAIM OR DEMAND BY THE CUSTOMER OR A THIRD PARTY OR FOR ANY LOST PROFITS, OR INDIRECT, SPECIAL, INCIDENTAL OR CONSEQUENTIAL DAMAGES ARISING OUT OF OR IN ANYWAY RELATED TO THIS AGREEMENT, EVEN IF ADVISED OF THE POSSIBILITY THEREOF. NO ACTION, REGARDLESS OF FORM, ARISING OUT OF OR INCIDENTAL TO THE TRANSACTIONS HEREUNDER, MAY BE BROUGHT AGAINST ESi MORE THAN ONE (1) YEAR AFTER THE CAUSE OF ACTION HAS ACCRUED. ESi's total liability under this AGREEMENT shall not exceed the total amounts received by ESi from Customer hereunder. (b) ESi shall not be liable to Customer for harm caused by or related to the Customer's use of the services provided under this Agreement or the inability to use such services, unless the harm was caused by the gross negligence or willful misconduct of ESi. (c) Customer releases ESi from any liability for loss of data to the extent that such data has been updated, modified or changed by Customer, since the time that ESi was last required to perform a back-up. 12. Disclaimer of Warranty (a) ESi DOES NOT REPRESENT OR WARRANT THAT THE SERVICES PROVIDED WILL BE UNINTERRUPTED, ERROR -FREE OR COMPLETELY SECURE. CUSTOMER ACKNOWLEDGES AND AGREES THAT THERE ARE INHERENT RISKS ASSOCIATED WITH THE TRANSFER OF INFORMATION THROUGH AN INTERNET CONNECTION AND SUCH RISKS INCLUDE LOSS OF DATA OR OTHER INFORMATION, PRIVACY AND PROPERTY. (b) ESi MAKES NO WARRANTIES, EXPRESS, IMPLIED OR OTHERWISE, NOT EXPRESSLY STATED IN THIS AGREEMENT, INCLUDING WITHOUT LIMITATION ANY IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, EXCEPT THAT ESi WARRANTS THAT IT HAS ALL NECESSARY RIGHTS WITH RESPECT TO ANY THIRD PARTY SOFTWARE OR INTELLECTUAL PROPERTY WHICH MAY BE REQUIRED TO PERFORM THE SERVICES DESCRIBED IN THIS AGREEMENT. 13. Notices Except as otherwise specifically set forth herein, all notices shall be in writing, shall be delivered by overnight express courier requiring signature of the addressee to complete delivery, and shall be sent to the parties at the addresses set forth at the top of this Agreement or to any other addresses designated in writing hereafter. Notice shall be ESi Page 8 of 19 RECIPIENT Rev. 04/2007 deemed delivered two days after it is given to the courier by the notifying party. 14. General (a) Ownership. Each party acknowledges and agrees that the other party retains exclusive ownership and rights in its trade secrets, inventions, copyrights, and other intellectual property, and that ESi shall own any intellectual property it develops in the course of performing the services. Customer acknowledges and agrees that Customer shall not acquire any ownership rights or right of physical access to the hardware used by ESi to perform the services under this Agreement. (b) Entire Agreement. ESi and Customer acknowledge that they have not been induced to enter into this Agreement by any representation or warranty not set forth in this Agreement. This Agreement contains the entire agreement of the parties with respect to its subject matter and supersedes all existing agreements and all oral, written or other communications between them concerning its subject matter. This Agreement shall not be modified in any way except in writing signed by both parties. Facsimile signatures or signatures imprinted in an electronic medium, such as .pdf format, shall be deemed to be original signatures. (c) Assignment. Customer may not assign this Agreement without prior written consent by ESi. Any assignment in violation of this provision is null and void. ESi may freely assign this Agreement in connection with any sale or transfer by ESi of the Loaned Software, or substantially all of ESi's business. Such assignment shall be fully binding and enforceable as against all permitted assignees and successors in interest. (d) Enforceability. If any provision of the Agreement, or any portion thereof, shall be held to be invalid, illegal, unenforceable or void as against public policy, the validity, legality or enforceability of the remainder of this Agreement shall not in any way be affected or impaired thereby. (e) Force Majeure. Any delay or nonperformance of any provisions of this Agreement caused by conditions beyond the reasonable control of the performing party shall not constitute a breach of this agreement, provided that such party has made reasonable efforts to notify the other party in writing and makes reasonable efforts to resume performance once the condition interfering with or preventing performance is removed. With respect to performance by ESi, "conditions beyond the reasonable control" of ESi, thereby constituting events of force majeure, shall include conditions relating to processes, hardware and software beyond the control of ESi such as information transmission delays due to excessive internet traffic and internet outages, and shall also include conditions such as natural disasters, acts of war, acts of God, fire, flood and power failure. (f) Non -Waiver. The failure of either Customer or ESi to insist upon strict performance of any of the provisions contained herein shall in no way constitute a waiver ESi Page 9 of 19 RECIPIENT Rev. 04/2007 of future violations of the same or any other provision. (g) Authority. The individuals executing this Agreement on behalf of the Customer and ESi do each hereby represent and warrant that they are duly authorized by all necessary action to execute this Agreement on behalf of their respective principals. (h) Choice of Laws and Venue. This Agreement shall be governed by, and interpreted in accordance with, the laws of the State of Georgia, regardless of application of choice of law rules or principles. Unless otherwise elected by ESi at its option and in writing for a particular instance, the sole jurisdiction and venue for actions related to the subject matter hereof shall be the state or United States District Court having within its jurisdiction the location of ESi's principal place of business in Augusta, Georgia. Both parties consent to the jurisdiction of such courts and agree that process may be served in any manner allowed by the laws of the State of Georgia or of the United States. (i) Survival. The provisions of Sections 8 (for the period stated therein), 9, 10, 11, 12 and 14 shall survive expiration of this Agreement. IN WITNESS WHEREOF, the parties have caused this Agreement to be executed in duplicate originals by their duly authorized representatives as of the day and year set forth above. ESi Acquisition, Inc. ("ESi") ("Customer") M. M. Name: Curtis R. MacDonald Name: Title: Vice President, Operations Title: Date: Date: ESi Page 10 of 19 RECIPIENT Rev. 04/2007 ATTACHMENT A: END USER LICENSE AGREEMENT NOTWITHSTANDING ANYTHING IN THE WRITTEN DOCUMENTATION, BY CLICKING ON THE "ACCEPT BUTTON," OR BY INSTALLING, READING, OR OTHERWISE USING THE SOFTWARE, OR BY OPENING THIS PACKAGE, YOU AGREE TO BE BOUND BY THE TERMS OF THIS AGREEMENT AND WARRANT THAT YOU HAVE THE AUTHORITY TO BIND TIE LICENSEE OR USER OF THIS SOFTWARE AND SUCH LICENSEE OR USER IS CONSENTING TO BE BOUND BY, AND IS BECOMING A PARTY TO THIS AGREEMENT. IF YOU DO NOT AGREE WITH ALL THE TERMS, YOU MUST CLICK ON THE "CANCEL BUTTON", OR CANCEL THE INSTALL, IF APPLICABLE, AND YOU WILL NOT HAVE ANY LICENSE TO ANY PART OF THE SOFTWARE, OR YOU MUST RETURN THIS PRODUCT, AND ALL MANUALS AND DOCUMENTATION, TO THE PLACE YOU OBTAINED THEM WITHIN TEN (10) DAYS OF PURCHASE FOR A REFUND. WRITTEN APPROVAL IS NOT A PREREQUISITE TO THE VALIDITY OR ENFORCEABILITY OF THIS AGREEMENT. IF YOU HAVE ORDERED THIS PRODUCT, ESi's ACCEPTANCE IS EXPRESSLY CONDITIONAL ON YOUR ASSENT TO THESE TERMS TO TIC EXCLUSION OF ALL OTHER TERMS (EXCEPT NON -PREPRINTED QUANTITY, PRICE, PAYMENT AND LICENSE RESTRICTION TERMS AGREED UPON BY YOU AND ESi IN WRITING); IF THESE TERMS ARE CONSIDERED AN OFFER BY ESi, ACCEPTANCE IS EXPRESSLY LIMITED TO THESE TERMS: 1. ESi License Agreement. This is a license agreement and not an agreement for sale. This License Agreement ("Agreement") is between the Licensee and ESi Acquisition, Inc. ("ESi"), a Delaware Corporation with its principal place of business at 823 Broad Street, Augusta, GA 30901. This Agreement gives Licensee certain limited rights to use the proprietary ESi Software, Software Updates, and Documentation including any updates thereto. 2. Definitions. (a) "Documentation" means the WebEOC® Administrator and User Manuals and any other documents, materials, information or guidance, whether supplied as printed material or in electronic form, provided by ESi in conjunction with the purchase, training, use, maintenance or update of the Software. (b) "ESi" means ESi Acquisition, Inc., a Delaware corporation, with its primary place of business at 823 Broad Street, Augusta, GA, USA, 30901. (c) "License" means certain limited rights to use the proprietary ESi Software, Software Updates, online and/or hard -copy documentation and user guides as set forth in Section 4 of this Agreement. (d) "Licensee" means the person or legal entity accepting this License to use the Software, or for whom such License was obtained. (e) "Software," "Server Software," "Software Plug -In" and "Software Updates" collectively mean all of the WebEOC® software received from ESi with this License. ESi Page 11 of 19 RECIPIENT_ Rev. 04/2007 3. Ownership and Licensing Authority. (a) Ownership of, and title to, the Software and Documentation shall be held by ESi and its licensor(s) and is protected by United States law and applicable international laws, treaties and conventions regarding intellectual property. ESi warrants that it has the power and authority to grant the license described herein. ESi and its licensor(s) shall retain all rights, title and ownership not granted herein to all copies of the Software and Documentation licensed under this Agreement. (b) ESi represents and warrants that it is authorized to redistribute and license any third party software delivered with the Software and Documentation provided under this Agreement. The owner of such third party software shall have the right to enforce this Agreement to the extent permitted by applicable law. 4. Grant of'License. (a) General. ESi grants to Licensee, and Licensee accepts, subject to the following terms and conditions and payment of the applicable license fee, a perpetual, limited nonexclusive, nontransferable, and non-sublicensable right, revocable according_ to the terms stated herein, to use the Software and Documentation. S. Permitted Uses. (a) Licensee may install and use one (1) copy of the Software on one (1) Licensed Machine. As used herein, Licensed Machine means a single box, whether a laptop, personal computer or server, with a single or multiprocessing unit (CPU) that is used for any purpose other than running the software in a test environment before placing it in operational use. (b) Licensee may install a second copy of the Software on a second machine as long as only one (1) copy of the Software is in use at any one time, except that if the second machine will be used as a redundant licensed machine with replication between primary and secondary machines, Licensee must obtain from ESi, according to the terms of the ESi standard price list, a Redundant Server License. Licensee is not required to obtain additional licenses for Software Plug -Ins installed on a redundant licensed machine. As used herein, Software Plug -In shall mean WebEOC© Resource Manager, WebEOC® Resource ManagerGIS, WebEOC® GISe, WebEOC® GISmp, WebEOC® Team Management, WebEOC® Calendar, MapTacTM and any other Software Plug -In applications ESi may release from time to time. (c) Licensee may also install a copy of the Software on one (1) additional licensed machine set up in a test environment for the sole purpose of testing the Software and updates locally before placing it "in production". (d) There is no limit to the number of individuals who may access the Software as Users. User functions are limited to those listed in the WebEOC User Manual. Users may not be granted Administrator privileges except that Licensee may grant designated Users administrator profiles exclusively to create, or edit, incidents in WebEOC and to add, or edit, maps of Graphic Interface Format files (.GIF) within MapTacTM. Users that require administrator rights in excess of those identified above, or full administrator privileges, require their own license to the Software. ESi Page 12 of 19 RECIPIENT Rev. 04/2007 (e) Licensee may provide its consultant(s) or independent contractor(s) with access to the Software and Documentation, provided that the consultant(s) or independent contractor(s) is using the Software and Documentation exclusively for the benefit of the Licensee. (f) Licensee may use the WebEOC® BoardBuilder tool to copy, modify and create WebEOCO forms and templates and Licensee may distribute, in printed form or as electronic media, such forms and templates for use by other Licensees of the Software, provided that such forms and templates are used for internal business purposes only. Licensee shall not sell, resell, license or otherwise transfer for value the derivative works created using the WebEOC® BoardBuilder tool, and Licensee shall not distribute such forms and templates as part of any product or service for value to any third party. 6. Payments. The License Fee is due and payable when the Software and/or Software Plug -In is shipped to the Licensee or installed by ESi. Additional license fees are required to use the Software on more than one (1) Licensed Machine and as otherwise required by Section 5 of this Agreement. Such license fees are calculated per Licensed Machine and are due and payable prior to installation of the Software on the additional machines. 7. Protection of Software. Licensee agrees to take all reasonable steps to protect the Software and Documentation from unauthorized copying or use. The Software source code represents and embodies trade secrets of ESi and/or its licensors. The Software source code and embodied trade secrets are not licensed to the Licensee. Licensee agrees not to disassemble, decompile or otherwise reverse engineer the Software, use reflection or other mechanism to view, interpret, translate or try to understand the structure of the Software, or otherwise attempt to discover the source code and/or the trade secrets contained in the source code, and Licensee will not allow third parties to do so. Licensee may not, nor allow third parties to, modify or alter the Software in any way. 8. Confidentiality. The Software and Documentation contain confidential information and trade secrets of ESi. Licensee agrees to hold in confidence, not disclose and not use the Software and Documentation except as expressly provided herein, and Licensee shall ensure that there is no breach, compromise or violation of such confidentiality by Licensee's employees, consultants, or independent contractors. Licensee recognizes and agrees that there is no adequate remedy at law for a breach of this Section or of Section 7 of this Agreement, that such breach would irreparably harm ESi, that monetary damages would not be an adequate remedy, and that ESi is entitled to injunctive relief with respect to any such breach, or potential breach, in addition to any and all other remedies available at law or at equity. 9. ProprieLga Interests. The Software and Documentation, and all copies thereof, shall remain the exclusive property of ESi. All applicable rights to copyrights and trademarks shall remain vested in ESi and/or its licensors and Licensee shall not undertake to copyright or trademark the Software and Documentation. However, Licensee shall have title at all times to data input and output arising ESi Page 13 of 19 RECIPIENT_ Rev. 04/2007 out of the use of the Software, and any computer programs developed by or for Licensee using output of the Software as input to another source, and which do not include any logic and code of the Software, and such shall remain the exclusive property of the Licensee. 10. Restrictions. Except as expressly authorized in this Agreement, Licensee agrees not to use, rent, lease, loan, sell, sublicense, distribute, transfer, copy, reproduce, display, modify, create derivative works of, provide commercial hosting services, time share or dispose of the Software or Documentation, or any part thereof. Licensee may use the Software and Documentation solely for Licensee's internal business purposes. Except as noted in Section 4, Licensee may not use the Software to provide any services to third parties. 11. Assignment. Licensee may not assign or otherwise transfer in whole or in part or in any manner any rights, obligations, or any interest in or under this Agreement without ESi's prior written consent and any attempted assignment will be void. A merger or other acquisition by a third party will be treated as an assignment. ESi may at any time and without Licensee's consent assign all or a portion of its rights and duties under this Agreement to a company or companies wholly owning, owned by, or in common ownership with ESi. 12. Cowing. Licensee may make as many copies of the Documentation as necessary for Licensee's internal purposes provided, that the Licensee not modify or alter the content or appearance of the Documentation, that the Licensee not modify or alter the appearance of nor eliminate any references to ESi, WebEOC or other ESi Software in the Documentation, that the Licensee reproduce and distribute the ESi copyright and notices page contained in the Documentation with all such copies, and that the Licensee maintain the confidentiality of the copies in accordance with Section 8 above. 13. Maintenance and SuRport. (a) ESi will create updates to the Software from time to time. During the first year of this Agreement, Licensee shall be entitled to receive any updates created and generally released by ESi as standard product provided that the Licensee is not in violation of this Agreement. If Licensee desires to receive updates beyond the first year of this Agreement, Licensee must purchase a Software Support Plan for additional years and Licensee shall pay ESi the Software Support Plan fee in effect at the time of renewal. Payment of the Software Support Plan Fee shall entitle Licensee to receive all updates to purchased products for the number of years specified in Licensee's Software Support Plan Agreement. (b) During the first year of this Agreement, the Licensee is entitled to receive from ESi routine telephone support, Monday through Friday, during the hours of 0800 to 1630 Eastern Standard Time (excluding holidays), and emergency telephone support at any time on any day of the week. Licensee acknowledges that certain Software Plug -Ins or software features, including but not limited to certain GIS interfaces, are provided by third party software providers and the hours of emergency telephone support for such products by those providers may vary. ESi Page 14 of 19 RECIPIENT_ Rev. 04/2007 (c) For the purposes of this Section 13, the "first year" of the Agreement shall commence on the first day of the month following installation, if ESi or its value-added reseller performs the Software installation, or on the first day of the month after the Software is shipped, if ESi or its value-added reseller ships the Software to the Licensee. The first year shall end on its first anniversary date. 14. Limited Warranty and Disclaimers. (a) ESi warrants that the Software will perform in accordance with the accompanying Documentation for a period of one (1) year from the date of purchase. (b) If programming errors or defects do occur during this period and ESi is promptly notified in writing of the nature of the error, ESi will correct the error without charge. (c) ESi's entire liability and Licensee's exclusive remedy shall be, at ESi's option, either (a) correction of the error or (b) return of the license fee. This limited warranty does not cover errors attributable to accident, abuse or misapplication, alteration, operation outside the parameters specified in this Agreement or the Documentation, failure to install Updates provided during the warranty period, installation, training or programming provided by an anyone other than ESi or an ESi-certified technician, or other breach of this Agreement by Licensee. (d) ESi DISCLAIMS ALL OTHER WARRANTIES, EXPRESSED OR IMPLIED, INCLUDING BUT NOT LIMITED TO, IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, TITLE AND NON -INFRINGEMENT WITH RESPECT TO THE SOFTWARE AND/OR ACCOMPANYING DOCUMENTATION. NO ORAL OR WRITTEN ADVICE OR INFORMATION PROVIDED BY ESi OR ANY OF ITS AGENTS OR EMPLOYEES SHALL CREATE A WARRANTY, AND LICENSEE IS NOT ENTITLED TO RELY ON ANY SUCH ADVICE OR INFORMATION. ESi EXPRESSLY DISCLAIMS ANY WARRANTY THAT THE SOFTWARE WILL OPERATE UNINTERRUPTED OR FREE OF ERRORS. (e) The software is not fault -tolerant and is not designed, manufactured, or intended for use or resale in hazardous environments that require fail-safe performance such as in the operation of nuclear facilities, aircraft navigation or communications systems, air traffic control, emergency response, terrorism prevention or response, life support or weapons systems (collectively "High Risk Activities"), the failure of which could lead to death, personal injury, or severe physical or environmental damage. ESi EXPRESSLY DISCLAIMS ANY WARRANTY OF FITNESS FOR HIGH RISK ACTIVITIES. (f) To the extent permitted by law, Licensee agrees to indemnify, defend and hold ESi, its officers, directors, employees, agents, subcontractors, licensors, successors, and assigns harmless from and against any and all liability, losses, claims, expenses (including attorneys fees), demands or damages of any kind, including direct, indirect, special, punitive, incidental, or consequential damages, arising out of or in connection with the Licensee's use of the Software for High Risk Activities. ESi Page 15 of 19 RECIPIENT Rev. 04/2007 (g) Unless a Software Support Plan (Section 13) is in effect, any updates to the Software, including without limitation, any hot fixes provided to Licensee after the expiration of the One (1) year warranty period are not covered by any warranty or condition, express, implied or statutory. 15. Limited Liability. ESi AND ITS LICENSORS' AGGREGATE LIABILITY ARISING FROM OR RELATING TO THIS AGREEMENT OR THE SOFTWARE OR DOCUMENTATION IS LIMITED TO THE TOTAL OF ALL PAYMENTS RECEIVED BY ESI FOR THE LICENSE. ESi AND ITS LICENSORS SHALL NOT IN ANY CASE BE LIABLE FOR ANY SPECIAL, INCIDENTAL, CONSEQUENTIAL (INCLUDING LOST PROFITS OR REVENUE, LOST SOFTWARE, LOSS OF DATA, COSTS OF RECREATING LOST DATA, OR THE COST OF ANY SUBSTITUTE SOFTWARE OR EQUIPMENT), INDIRECT OR PUNITIVE DAMAGES EVEN IF ESi HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, WHETHER UNDER THEORY OF WARRANTY, TORT, PRODUCTS LIABILITY OR OTHERWISE. ESi Page 16 of 19 RECIPIENT Rev. 04/2007 16. License Term and Termination. (a) This Agreement and the License are effective upon Licensee's acceptance of the terms and conditions of this Agreement, as provided in the first paragraph above, and payment of the applicable License fees, and will remain in force until terminated. (b) ESi shall have the right to terminate the license granted hereunder by giving written notice of termination to Licensee if Licensee shall fail to pay the specified license fee when due or shall fail in any other material respect to comply with Licensee's obligations under this Agreement and such failure to pay or comply is not remedied to ESi's satisfaction within sixty (60) days after Licensee receives written notice thereof from ESi. Licensee acknowledges and agrees that ESi may seek equitable relief at any time to remedy a violation or threatened violation of the restrictions set forth herein regarding the use and protection of the Software and Documentation. (c) Upon termination, Licensee shall immediately destroy the original and all copies of the Software and Documentation, or return them to ESi. 17. Infringement of Patent and Other Proprietary Rights. ESi represents to Licensee that it has no knowledge of any existing or potential claims that the Software or Documentation violates or infringes upon any patent, copyright, trade secret or other proprietary right of a third party. 18. No Disabling Codes Timers Counters, or Other Limitations. The Software shall not include or contain any disabling code, timer, clock, counter or other limiting design or routine which causes the Software to be erased, inoperable or otherwise incapable of being used in the full manner for which it was designed and licensed pursuant to this Agreement after being used or copied a certain number of times, or after the lapse of a certain period of time, or after the occurrence or lapse of any similar triggering factor 19. General Conditions. (a) Governing Law. This Agreement shall be governed by, and interpreted in accordance with, the laws of the State of Georgia (United States of America) regardless of application of choice of law rules or principles. This Agreement expressly excludes the United Nations Convention on Contracts for the International Sale of Goods. Unless otherwise elected by ESi at its option and in writing for a particular instance, the sole jurisdiction and venue for actions related to the subject matter hereof shall be the state or United States District Court having within its jurisdiction the location of ESi's principal place of business in Augusta, Georgia. Both parties consent to the jurisdiction of such courts and agree that process may be served in any manner allowed by the laws of the State of Georgia or of the United States. If Licensee acquires this License in a country other than the United States or its territories, local law may apply. (b) Entire Agreement. This Agreement sets forth the entire understanding and agreement between Licensee and ESi and may be amended only in a writing signed by both parties. This Agreement supersedes any and all other WebEOC license agreements, including without limitation, any License previously granted for any prior version of WebEOC. In the event of any ESi Page 17 of 19 RECIPIENT_ Rev. 04/2007 inconsistency between the terms and conditions of this Agreement and the terms and conditions of the Documentation or other licenses delivered with the Software, the terms and conditions of this Agreement shall govern and control. NO VENDOR, DISTRIBUTOR, DEALER, RETAILER, SALES PERSON, OR OTHER PERSON IS AUTHORIZED TO MODIFY THIS AGREEMENT OR TO MAKE ANY WARRANTY, REPRESENTATION OR PROMISE WHICH IS DIFFERENT THAN, OR IN ADDITION TO, THE TERMS OF THIS AGREEMENT. (c) Waiver. No waiver of any right under this Agreement shall be effective unless in a writing, signed by a duly authorized representative of ESi. No waiver of any past or present right arising from any breach or failure to perform shall be deemed to be a waiver of any future right arising under this Agreement. (d) Severability. If any provision of this Agreement is held by a court of competent jurisdiction to be void or unenforceable for any reason, that provision shall be reformed to the extent necessary to make the language enforceable. All other provisions of this Agreement shall remain in full force and effect. 20. Exnort Controls. (a) Licensee acknowledges that the Software and Documentation are subject to United States export laws. Licensee shall not, nor shall Licensee authorize or permit its directors, employees, consultants, independent contractors or other persons, to export, re-export, disclose or otherwise provide the Software and/or Documentation to any country unless an appropriate license, exemption or authorization has been obtained from the U.S. Government. (b) Licensee expressly agrees that Licensee shall not export, re-export, barter, or otherwise provide or disclose the Software and Documentation, in whole or in part, to: (a) any country covered by any United States trade embargo; (b) any person listed on the United States Department of Treasury's list of Specially Designated Nationals; (3) any person or entity listed on the United States Department of Commerce Denied Persons List; (4) any person or entity listed on the United States Department of Commerce Unverified or Entity Lists; (5) any person or entity listed on the United States Department of State Debarred List; or (6) any person or entity where such export, re-export, barter, disclosure or provision violates United State export control law or regulation. Licensee represents and warrants that neither it nor its directors, employees, consultants, nor any other persons or entities who may gain access to the Software and Documentation through the Licensee, are persons or entities subject to such U.S. export controls. (c) Licensee agrees to defend, indemnify, and hold harmless ESi from and against any claim, loss, liability, damage or expense, including fines or legal fees incurred by ESi with respect to any of Licensee's export or re-export activities contrary to the foregoing instructions 21. U.S. Government Rights. (a) If Licensee is an agency, department, or other entity of the United States Government ("Government"), or funded by the United States Government, Licensee's use, duplication, reproduction, release, modification, disclosure or transfer of the Software, Documentation, technical specifications, or any related materials of any kind, including technical data, is restricted in accordance with Federal Acquisition Regulation ("FAR") 12.212 for civilian agencies, Defense ESi Page 18 of 19 RECIPIENT Rev. 04/2007 Federal Acquisition Regulation Supplement ("DFARS") 227.7202 for military agencies and the equivalent regulations for the Department of Energy. The use of the Software and Documentation is further restricted in accordance with the terms of this Agreement, or any modification thereto. (b) The Software and Documentation are commercial computer software and commercial computer software documentation. Licensee shall ensure that each copy used or possessed by or for the Government is labeled with the following: "Manufacturer is ESi Acquisition, Inc., 699 Broad Street, Suite 1100, Augusta, GA 30901. ALL RIGHTS RESERVED. PROPRIETARY PRODUCTS." For the purpose of any federal, state or local law, Licensee agrees that the Software and Documentation are trade secrets and proprietary commercial products of ESi and are not subject to disclosure. ESi Page 19 of 19 RECIPIENT_ Rev. 04/2007 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Attachment 4 - Unaudited Financial Statements See attached pages. March 3, 2008 ATTACHMENT 4 Page 114 of 115 ESI ACQUISITION, INC. Financial Statements For Periods Ended December 31, 2006 and December 31, 2005 #7 George C. Wilson Court Augusta, GA 30909 706-228-4081 ACCOUNTANTS' COMPILATION REPORT To the Board of Directors ESI ACQUISITION, INC. We have compiled the accompanying statements of assets, liabilities, and equity - income tax basis of ESI ACQUISITION, INC. (a corporation) as of December 31, 2006, and the related statements of revenues and expenses - income tax basis for the 12 months ended December 31, 2006 & 2005, in accordance with Statements on Standards for Accounting and Review Services issued by the American Institute of Certified Public Accountants. The financial statements have been prepared on the accounting basis used by the Company for income tax purposes, which is a comprehensive basis of accounting other than generally accepted accounting principles. A compilation is limited to presenting in the form of financial statements information that is the representation of management. We have not audited or reviewed the accompanying financial statements and, accordingly, do not express an opinion or any other form of assurance on them. Management has elected to omit substantially all of the disclosures ordinarily included in financial statements prepared on the income tax basis of accounting. If the omitted disclosures were included in the financial statements, they might influence the user's conclusions about the Company's assets, liabilities, equity, revenues, and expenses. Accordingly, these financial statements are not designed for those who are not informed about such matters. McManus & Bone, LLP Augusta, Georgia May 17, 2007 ESI ACQUISITION, INC. Statement of Assets, Liabilities - Income Tax Basis As of December 31, 2006 Assets CURRENT ASSETS Wachovia Checking $ 759,040.67 Wachovia - CD 250,000.00 Inventory Asset 1,500.00 Accounts Recivable 1,388,017.92 Prepaid Expenses 39,535.41 Prepaid Federal Corp Taxes 66,269.00 Prepaid State Corp Taxes 8,093.00 Total Current Assets 2,512,456.00 PROPERTY AND EQUIPMENT Equipment 500,181.01 Eqp/Sftwr Not in Servie 21,850.55 Software - Compiere 93,890.47 Software 33,856.82 Furniture & Fixture 141,512.50 Building & Improvements 1,972,464.96 Accumulated Depreciation (566,498.31) Net Property and Equipment 2,197,258.00 OTHER ASSETS Goodwill 238,559.00 Loan Fees 4,021.25 Accumulated Amortization (115,256.03) Total Other Assets 127,324.22 TOTAL ASSETS $ 4,837,038.22 See Accountants' Compilation Report l ESI ACQUISITION, INC. Statement of Assets, Liabilities - Income Tax Basis As of December 31, 2006 Liabilities and Equity CURRENT LIABILITIES Accounts Payable $ 574,365.57 N/P - Denali 71,914.22 N/P - Wachovia (LOC) 301,250.00 Profit Sharing Liability 273,299.43 Federal Unemp 262.28 GA Unemp 505.60 CO Unemployment 252.00 WY Unemployment 458.28 DC Unemployment 261.00 Sales Tax Payable 18,583.75 Total Current Liabilities 1,241,152.13 LONGTERM LIABILITIES N/P - Wachovia (Bldg I) 405,642.73 N/P Wachovia (Bldg II) 500,000.00 Total Long -Term Liabilities 905,642.73 OTHER LIABILITIES Deferred Revenue - Total 1,689,392.93 Total Other Liabilities 1,689,392.93 Total Liabilities 3,836,187.79 STOCKHOLDERS' EQUITY Capital Stock 25,000.00 Net Income 267,860.40 Retained Earnings 707,990.03 Total Stockholders' Equity 1,000,850.43 TOTAL LIABILITIES AND STOCKHOLDERS' EQUITY $ 4,837,038.22 See Accountants' Compilation Report 2 ESI ACQUISITION, INC. Statements of Revenues and Expenses - Income Tax Basis For the 12 months ended December 31, 2006 & 2005 Year Ended Year Ended December 31, 2006 % December 31, 2005 % Sales Revenue $ 7,788,860.44 100.00 $ 6,527,936.30 100.00 Total Sales 7,788,860.44 100.00 6,527,936.30 100.00 Cost of Goods Sold Cost of Sales - other 0.00 0.00 1,283,239.02 19.66 COS - Material 28,125.85 0.36 40,707.21 0.62 COS - Shipping 4,169.06 0.05 8,763.97 0.13 COS - Travel & Living 283,908.55 3.65 245,109.25 3.75 COS - Consultant & Subcontractor 0.00 0.00 15,412.48 0.24 COS - Telephone/Internet 4,587.82 0.06 4,603.10 0.07 COS - Royalties 84,500.00 1.08 58,862.50 0.90 COS - Commissions 0.00 0.00 250,233.48 3.83 COS - VAR Discounts 120,929.90 1.55 0.00 0.00 COS - Other 749,841.43 9.63 0.00 0.00 Total Cost of Goods Sold 1,276,062.61 16.38 1,906,931.01 29.21 Gross Profit 6,512,797.83 83.62 4,621,005.29 70.79 Expenses R&D - Test material/Prototyes 26,478.62 0.34 5,422.70 0.08 R&D, - Travel & Living 44,248.78 0.57 10,291.82 0.16 R&D - Consultant & Subcontractor 75,670.46 0.97 90,782.38 1.39 R&D:- Telephone/Internet 0.00 0.00 3,880.81 0.06 R&D - Office Supplies & Expenses 7,716.17 0.10 0.00 0.00 R&D - Training to Employee 20,562.19 0.26 5,000.00 0.08 Total R&D 174,676.22 2.24 115,377.71 1.77 Sales - Travel & Living 19,270.83 0.25 0.00 0.00 Sales - Trade Show Travel & Living 70,968.34 0.91 33,890.67 0.52 Sales - Trade Show Fees - National S 99,189.69 1.27 28,149.15 0.43 Sales - Trade Show Fees - Regional S 7,725.00 0.10 23,688.74 0.36 Sales - Trade Show Users' Con ferenc 173,858.88 2.23 204,878.23 3.14 Sales - Consultant &'Subcontractor 238,533.87 3.06 33,989.52 0.52 Sales - Telephone/Internet 92,784.95 1.19 92,691.67 1.42 Sales - Office Supplies & Expenses 13,607.60 0.17 8,128.07 0.12 Total Sales Expenses 715,939.16 9.19 425,416.05 6.52 Marketing - New 33,653.17 0.43 0.00 0.00 See Accountants' Compilation Report 1 ESI ACQUISITION, INC. Statements of Revenues and Expenses - Income Tax Basis For the 12 months ended December 31, 2006 & 2005 Year Ended Year Ended December 31, 2006 % December 31, 2005 % Marketing - Advertising 132,732.27 1.70 28,656.11 0.44 Marketing - Promotion 0.00 0.00 114.34 0.00 Marketing - Sponsorship 0.00 0.00 14,625.00 0.22 Marketing - Office Supplies & Expen 5,937.15 0.08 407.49 0.01 Marketing - Contributions 7,500.00 0.10 6,000.00 0.09 Total Marketing 179,822.59 2.31 49,802.94 0.76 Admin - Employee insurance 395,293.24 5.08 169,112.20 2.59 Admin - Travel & Living 11,525.27 0.15 0.00 0.00 Admin - Consultant & Sub. & Prof. F 34,348.35 0.44 10,654.63 0.16 Admin - Legal & Accounting 57,361.06 0.74 19,154.30 0.29 Admin - Licenses/Permits/Registratio 3,895.08 0.05 5,723.28 0.09 Admin - Membership/Ducs/Subscript 27,380.62 0.35 12,366.00 0.19 Admin - Postage 2,546.94 0.03 277.97 0.00 Admin - Profit Sharing Expense 373,299.43 4.79 287,879.00 4.41 Admin - Telephone / Internet 69,777.38 0.90 52,096.26 0.80 Admin - Supplies & Expenses 44,481.21 0.57 55,202.71 0.85 Admin - Training 894.20 0.01 0.00 0.00 Admin - State Tax Expense 15,788.03 0.20 4,825.02 0.07 Admin - Sales Use "Tax 0.00 0.00 1,191.29 0.02 Admin - Rent 182,514.30 2.34 111,583.17 1.71 Admin - Building Maintenance 0.00 0.00 163.78 0.00 Admin - Bank Service 6,696.66 0.09 560.82 0.01 Admin - Short Term Interest 27,371.45 0.35 6,277.64 0.10 Total Administration 1,253,173.22 16.09 737,068.07 11.29 Depreciation Expense 145,072.00 1.86 112,649.31 1.73 Amortization Expense 17,084.00 0.22 16,001.03 0.25 Total Depreciation/Amortization 162,156.00 2.08 128,650.34 1.97 Insurance - Property 21,761.86 0.28 27,360.52 0.42 Insurance - Bid Bond 0.00 0.00 20.00 0.00 Insurance- Liability 2,379.19 0.03 516.39 0.01 Insurance - Work Comp 5,762.50 0.07 5,759.09 0.09 Insurance - Business 37,986.83 0.49 4,560.91 0.07 Total Insurance 67,890.38 0.87 38,216.91 0.59 Payroll - Wages 2,215,367.35 28.44 1,090,320.51 16.70 Payroll - Wages Officers 1,012,500.00 13.00 1,219,740.00 18.68 Payroll - Taxes 219,613.51 2.82 133,445.84 2.04 Payroll - 401(k) match 90,702.37 1.16 52,948.88 0.81 Payroll - Fees 813.13 0.01 1,003.88 0.02 See Accountants' Compilation Report 2 ESI ACQUISITION, INC. Statements of Revenues and Expenses - Income Tax Basis For the 12 months ended December 31, 2006 & 2005 Year Ended Year Ended December 31, 2006 % December 31, 2005 % Total Payroll 3,538,996.36 45.44 2,497,459.11 38.26 Other Penalties 890.70 0.01 13,851.79 0.21 Total Other 890.70 0.01 13,851.79 0.21 Total Operating Expenses 6,093,544.63 78.23 4,005,842.92 61.36 Operating Income (Loss) 419,253.20 5.38 615,162.37 9.42 Other Income (Expense) Net Income (Loss) Before Taxes 419,253.20 5.38 615,162.37 9.42 Provision for Fed Income Tax 132,251.00 1.70 197,017.00 3.02 Provision for State Income Tax 19,141.80 0.25 31,632.00 0.48 Net Income (Loss) $ 267.860.40 3.44 $ 386,513.37 5.92 See Accountants' Compilation Report 3 SI ACQUISITION, INC, Statement of Assets, i iabilifi3O-� nd E4iXXC }z (F}7fi i T4Xx Basis As of Dcce'mber�Sti 2005; setUJIMUNT ASS, Bil Aetictisilicts N4WST. 1Steettt0ryA. ( U£ AX) f revaiil warm carp "Tu cx Prep d' & C;crr� Taxes F«� �.,._; ...3,238XM T`ET :3t Xta 0 tt z 2 3 6,916, 7 Build t Tr 3 r sverte ris S k7 ..* 4�traxttitt e�ciatist4?„1, 1) Net 'XC[eYyt'Cit�tiXii'![leuX1<32E?t 01" � ftkSIS T kul Other Mitts 143,882.47 SCE At` ountants" cx ti l #t ttt T$ j Ua is ESUNCQUIS"l!"I ION, INC. St xt rr nt t f s ts, L f bili ies i. Equity_ Lrc lc� Tax Basis As of "Decein,4001, 2005� NIP. -%vac`'lhovia{LOC Ia n.t i profit Sharing Liability 387at37UO GA Unemp ' 371A9 Snlcsl' Payable TOW Currtnt Liabill ics 70i3OSC76 WP a 1OV14 (llltl 4tLfl fi 1 tub i;��IIF%f:l;l� i3t3 rrr �1 i « n ac - "1 rrt $. T 179 003_28 `I`OAlOffi rl. iiblUt* TO T + i CI o a t l Stt3CIC ftlilt7. tt Nd Income.3£1�i,51"3aa � i' tal 40s tle " Ei itit 732,99,0.03 `ICE°C c MADyIy7L,yI'y T IES AND Sccaraiit' frrpltic�n iLtt 2 Statementsof Revenues and Expenses. - Inco.lue ax 1 asts, For the 12 months ended Decewher 31, 2005 , 2004 Deeumber 31 2005 % i)ecembe r 31, 00 % 1 F% ntli 6,521,936.10 1 WOO 4i 4,080.06493 99, RetuibttmedExpcxses �224;90 C#..i3S iJt�cat }C} ` :1. Tiiu�ktk� ti,t i U. �i 6.t143 61 J ti Toull Stiles 6,527,936,30 100,00....., 4;f11;8,33314 100,{1C7 q Cost Of W pthr 1,283,239M 19,66 393,i1 4 2� 9.61 Co - %spplstrt 4,7 � #1.13 �7=1 �A s 0,0 iiAY t l UUikl 24:5 10915 3.7 , 3e , C Cbult ttc ' Ub kktT%i L}k' 15,41148 0.24 ` l pbs.��afi rnet `,6}Ct3JO (-07 �1, �6ffiCa �,6� -1 Ali s "A625 Q, 4,000V) r1pr CO I`, S. IOM CiYOMa'i�Ser� S 250',2 3..4 a8 l.n>(( > IC COS. el 4 9CiiS W +jL[ 56.0 _0 J3,!1 rt l; sc rf r}v is t�l 13906 93101 19, 1 4,621,005 29 7 ` 9 2g8 t666.25 Ct.88 17- rnara . l,i£Ilt :R&D _'1`r��rnI & l,avuz� tl>lf 10MM00 Iln 4 1 z1 ` (E rt ttl nE c ui-�€�bliu` t Ibir r 2.3 1 3' 2 7 .010 1 It l - 1 pl �kn llrttt treat 3,880.81 0.06 4l, 0 0,00.. R&D - Training to 1{inOOYCOI S Ooom (1M f1<i3� i�,C�Ci 12 13 - Miscellaneous ii 00 'Sy�iAifici. 0e0y0 0y�1,0[0 h le ^3nwl ssioly tt± Ed:kl4F +fS7!a}j L 1 g 7 €1J kI S. €�1� s - cac1 41 } ec � 1 F tic r i 8 28,14 15 11.433 1, .BtJ f i Fees - Regional S 27,556.35 0,,67 S$1 a lri( Crli[# 1f's � ,6fk. 20-4,`z�` 9 �.2S ,14 UO li 1 a dast tatkt �tramr 3349 8 . 2! t7:52 1.,3 .I1t1 tl.Ci3 �klt - %l plt ti€�iat a t, 92,6 #1.fi7' 1 16,104.79 }.t� kl� ` OMtalalts &ptxc s ,128.C1 U12r.{J 0,{}0 cel anco t t3.t1C1 (1 Ik 2 ,8 �3 1 1."c�tttl ,al 42 1 k. 6 . 104 :23 2 t 2.35 Sea AWDuntwits, C.�,Iwpiwt,.uf 12 att E I .ABC,,' tjisj, `IO.N, INC. t,,tte teats of Revenues and Expenses'- Income Tax Basis December 3.1, 2005 % Meember 315 004 Sa e s �i: clri - m"'inwmaince 0.00 0100 1 I,326 f�f1 ii,�S Sileg: Sttlalatait_c.cnsulma & Subizon : 0.00 0.00 200.{10 al UPI) t l ele {ic rilIittr is .� {1.0 (l.00 3{r{ O 0,01 alms support- Miscellanequs 0.00 fi ,00 1iJi� �fl l7'00 - 4 Fcit�il Skle '1ipport tl t1II 1 � ��i6 Ca3 ii i i _ l �s il.. {1.iiLi 11'i35: 6.1 ,4 '1 � ai3 { cid e�fitriival � �..i �i. Q Q.{�{) NM. G 0.03 ii ciai l rade, s haw Fee$ w4t, S ll alli 0.00 , 18,00 O1 14 #ii1 {ii7, Ad, a rta a3x , 1.1 44 €M50 4.0 .. �z1 a tiii 1�' olnotion 114,14 ,C1i� 1,111.32 �.{3 �iilCICi Xii�?3�ii l4cr2S.{�{) { 1.t1Cl c1.11 i C llia3L i"I GYl 01iQ0.0 i r xciil. €1, It '_tlfl 1 0.�73 {1 O b M r Alin a s itr?bt�tiOM COO 01 9 �t<s1(1 U.�U 1 of Ivil k tii7 49,507 9, 4 0.76 µ�'.xtie� 11a��14� 97 Ol6 : .dmili�ioo VaiSll 4,.�8 Acla'«41k gil O3m 0.01: diiliTl i li lrea iiwa rancc 7' e , . 11 2,82 - Adii�itw Consi3l(c"fiit4? Stibl &. �`r 1 X. i .r 1,1 Soo OM Al:{ 9,,3 idi� . l,66 A2 tSc i�Adixat in 7L i� i� vJ L; t, L 0.38 al,fltiCio l�iei�tbi 11 kI�#Ym ��iLISSCYi�i9 i. �� � CJ,�� ��.�3� ,. { drnln - r t stis 277,E { 00 7 90 WOO ta.dinin r' t SIa irtn .£? en5e 2 7,8 �3 f7tiln� r raita�-52,09 6. {r, s ctriili ni&iliri ri€ices,2Q2.7"1 {'S,13ti. . Ad tea - corp "Saes ii.r c)'.�1C1 NPI sn �:.-Msalamuse Tax 91 OM t {. aw- I 11,5 171 99 ,415 73 2 4' fidlY#1.[i -Tlkrp 1� Txisiztaric atl{ E1 ct26anes. OA4 Aldm'l - raL1H, ii Ti T2 G.AO:, a€i dxiiift - tit 0.00WON 1,43 ill V�' `er 61nw-e;ii ,0.Jfl 0.00 ti 152#nStiti%iti 11, MINIMt . 14 ,73 ? rzc idonExpansc 112,64,9311;]3 �.4 z t i tlo r�,peansa S ccasicitainls` #� �p Rita ci Repail yor uiw earl cie 1 13eeex 1 r 31 115 % Decaaibtr 3 1 20114 % iota!rifit�rria€rtza�_35 0.87 1i usa t c id:Bort41 MOO 0.00 ' obo 0.00 1tt ux ce - Ivlodica1;_ OAK) 00);; 13.923198 0.34 IiSLtitiir�41CcQtfill-,7t}.1«�t�,1}, lnsitrattce Business 4 5(:Q 917 ti;ctQ ?) ..IY Jw,i.ai Sd: ? --45,787.95 - qi { ::. L .l f. _ ay 11 n x i s Q.Ot O.0 O 1 f 7 51 0.00 wn 1,O t,320,5 1€1, iQ 720 492 34 17.62 1 a� 1 • 'i officers 1 917 18 6 517�82�ir0�3 15.11 , ca11- 133,445,94 2a()4 W5 5.39 2,19 011a�a).�tticMrt:t O.ii4k38i,35 1,i) 'a o11 401 1 ' rt tttiel s� A 1)"1 V.448116 0,67 -z _ . l 11'<tyroll 2 ft7 45 1 3%2626 1, 9 , J5 36.69 69 1tr �a1(s. 13 95E79 0,21 0=0 t,1)t3 i`c)ta1� 13�1 7 0.21 C t l; r ctng 1tex ellse' 4,Clt)5 842 ]�3 .. _ 34b,C)58;i7% 57+43 ratxt xte�attte�.t�ss�< G15.162.37 .A� 54S9,G0 .17 I3.44 th, rinC€i 3 (E ettSO 1Ser uW l cozxu _ Ord 5 t ',O00 £70 12A7 Totil her lucr ne (ExpetxsO ob( () 00 510 00 00 12A7__ Ne lutdifte(Lcss)r`axs 1 37 ,4 T,59,81725.92 �1 1 � r l moos e !sax' 197,0.1.74.0 3. I 918,20400 4.1i5 . to 1yy- Tam 3 0�.�4{8 40,351.04 (1,99 (31 }.00 See Account t€; CAm it tiM JWport ;; ESi Acquisition Inc. Statement of Assets, Liabilities & Equity - Income Tax Basis As of December 31, 2004 Dec 31, 04 ASSETS Current Assets Checking/Savings Wachovia Checking 478,643.02 Total Checking/Savings 478,643.02 Accounts Receivable Accounts Receivable 960,755.35 Total Accounts Receivable 960,755.35 Other Current Assets Inventory Asset 98,059.19 Total Other Current Assets 98,059.19 Total Current Assets 1,537,457.56 Fixed Assets Equipment & Software 247,487.00 Furniture & Fixture 81,410.00 Accumulated Depreciation -308,777.00 Total Fixed Assets 20,120.00 Other Assets Goodwill 238,559.00 Accumulated Amortization -82,171.00 Total Other Assets 156,388.00 TOTAL ASSETS 1,713,965.56 LIABILITIES & EQUITY Liabilities Current Liabilities Accounts Payable Accounts Payable 382,226.85 Total Accounts Payable 382,226.85 Other Current Liabilities Payroll Liabilities 169,124.70 Sales Tax Payable 12,321.00 Profit Sharing Liability 212,812.00 Deferred Revenue 350,098.35 Corp Tax Liability -Federal 198,204.00 Corp Tax Liability -State 40,351.00 Total Other Current Liabilities 982,911.05 Total Current Liabilities 1,365,137.90 Total Liabilities 1,365,137.90 Equity Capital Stock Retained Earnings Net Income Total Equity Dec 31, 04 25,000.00 -499, 576.04 823,403.70 348,827.66 TOTAL LIABILITIES & EQUITY 1,713,965.56 ESi Acquisition Inc. Statement of Revenues and Expenses - Income Tax Basis For the 12 Months Ended December 31, 2004 Jan - Dec 04 Ordinary Income/Expense Income Revenues Software Sales 2,492,645.62 Software Support 398,936.43 Installation and Training 128,229.01 Hardware Sales 317,860.58 Travel Reimbursements 5,448.91 Other Services 205,016.74 Other Income 0.00 Revenues - Other 531,927.64 Total Revenues 4,080,064.93 Reimbursed Expenses 2,224.90 Uncategorized Income 6,043.61 Total Income 4,088,333.44 Cost of Goods Sold Cost of Sales Material 64,187.12 Shipping 3,426.18 Travel & Living 138,623.74 Consultant & Subcontractor 2,621.00 Telephone/Internet 21,946.66 Royalties 4,000.00 Miscellaneous 560,457.25 Cost of Sales - Other 393,054.24 Total Cost of Sales 1,188,316.19 Total COGS 1,188,316.19 Gross Profit 2,900,017.25 Expense R&D Travel & Living 10,000.00 Consultant & Subcontactor 25,078.00 R&D - Other 2,591.89 Total R&D 37,669.89 Sales Commissions 27,308.07 Trade Show Travel & Living 1,644.80 Trade Show Fees -National Sh... 5,818.00 Trade Show Fees -Regional S... 27,556.35 Consultant & Subcontractor 1,354.00 Telephone/ Internet 36,204.79 Miscellaneious 430.00 Sales - Other 9,738.41 Total Sales 110,054.42 Jan - Dec 04 Sales Support Maintenance 11,326.00 Consultant & Subcontractor 200.00 Telephone/Internet 300.63 Miscellaneous 100.00 Sales Support - Other 30.00 Total Sales Support 11,956.63 Marketing - new Trade Show Travel & Living 1,334.80 Advertising 871.50 Promotion 1,111.32 Sponsorship 125.00 Rental of equipment 140.73 Marketing - new - Other 1,185.62 Total Marketing - new 4,768.97 Administration 401 K 435.36 Employee insurance 115,120.35 Consultant & Sub. & Prof. Fee 1,165.00 Legal & Accounting 17,177.66 Licenses/Permits/Registration 3,294.25 Memberships/Dues/Subscripti... 8,529.65 Postage 78.90 Profit Sharing 212,812.00 Telephone / Internet/Pager 22,311.50 Supplies & Expenses 23,343.18 Corp Taxes 207,543.97 State Tax Expense 40,351.00 Rent 99,415.73 Bank Service Charges 318.95 Miscellaneous 58,360.28 Administration - Other 4,250.11 Total Administration 814,507.89 Depreciation/Amortization Depreciation Expense 19,809.00 Amortization 15,904.00 Total Depreciation/Amortization 35,713.00 Insurance Property Insurance 26,254.05 Medical Insurance 13,923.98 Liability Insurance 1,261.26 Workman's Compensation 3,614.85 Insurance - Other 26,987.86 Total Insurance 72,042.00 Jan - Dec 04 Payroll Expenses Payroll Wages 1,338,312.34 Payroll Taxes 89,585.39 Payroll Tax penalty/interest 44,387.35 Payroll 401(K) match 27,448.16 Payroll Fees 106.20 Payroll Expenses - Other 61.31 Total Payroll Expenses 1,499,900.75 Total Expense 2,586,613.55 Net Ordinary Income 313,403.70 Other Income/Expense Other Income Other Income 510,000.00 Total Other Income 510,000.00 Net Other Income 510,000.00 Net Income 823,403.70 ESi Acquisition Inc. Statement of Assets, Liabilities & Equity - Income Tax Basis As of December 31, 2003 Dec 31, 03 ASSETS Current Assets Checking/Savings SouthTrust 53,394.32 1020 • Acquisition, First Union 651.10 Wachovia Checking 5.00 Total Checking/Savings 54,050.42 Accounts Receivable Accounts Receivable 523,367.54 Total Accounts Receivable 523,367.54 Other Current Assets Inventory Asset 99,940.00 Total Other Current Assets 99,940.00 Total Current Assets 677,357.96 Fixed Assets Equipment & Software 247,487.00 Furniture & Fixture 81,410.00 Accumulated Depreciation -288,968.00 Total Fixed Assets 39,929.00 Other Assets Goodwill 238,559.00 Accumulated Amortization -66,267.00 Total Other Assets 172,292.00 TOTAL ASSETS 889,578.96 LIABILITIES & EQUITY Liabilities Current Liabilities Accounts Payable Accounts Payable 264,454.14 Total Accounts Payable 264,454.14 Other Current Liabilities Payroll Liabilities 42,482.86 Sales Tax Payable 1,500.00 Total Other Current Liabilities 43,982.86 Total Current Liabilities 308,437.00 Long Term Liabilities Long Term Debt 1,085,000.00 Total Long Term Liabilities 1,085,000.00 Total Liabilities 1,393,437.00 Equity Capital Stock Retained Earnings Net Income Total Equity Dec 31, 03 25,000.00 -809,653.92 280,795.88 -503,858.04 TOTAL LIABILITIES & EQUITY 889,578.96 ESi Acquisition Inc. Statement of Revenues and Expenses - Income Tax Basis For the 12 Months Ended December 31, 2003 Jan - Dec 03 Ordinary Income/Expense Income Contra -Income 0.00 Revenues Software Sales 996,142.78 Software Support 583,584.09 Installation and Training 11,280.61 Hardware Sales 147,976.07 Travel Reimbursements 13,125.99 Other Services 261,141.40 Other Income 90.00 Revenues - Other 151,333.00 Total Revenues 2,164,673.94 Uncategorized Income 6,293.89 Total Income 2,170,967.83 Cost of Goods Sold Cost of Sales Material 10,612.46 Shipping 1,184.70 Travel & Living 103,767.57 Consultant & Subcontractor 2,450.00 Telephone/Internet 17,915.87 Cost of Sales - Other 286,223.03 Total Cost of Sales 422,153.63 Total COGS 422,153.63 Gross Profit 1,748,814.20 Expense R&D Test material/Prototypes 613.00 Miscellaneous 1,551.50 R&D - Other 2,931.57 Total R&D 5,096.07 Sales Commissions 10,750.00 Trade Show Fees -National Sh... 3,195.00 Trade Show Fees -Regional S... 5,295.00 Telephone/ Internet 4,826.96 Office Supplies & Expenses 144.12 Sales - Other 0.00 Total Sales 24,211.08 Jan - Dec 03 Sales Support Maintenance 15,506.73 Travel & Living 337.40 Trade Show Travel & Living 0.00 Telephone/Internet 7.14 Office Supplies & Expenses 222.48 Miscellaneous 1.40 Total Sales Support 16,075.15 Marketing - new Travel & Living 20,000.00 Miscellaneous 30.00 Total Marketing - new 20,030.00 Administration Employee insurance 97,224.65 Consultant & Sub. & Prof. Fee 245.00 Legal & Accounting 79,955.36 Licenses/Permits/Registration 927.69 Memberships/Dues/Subscripti... 7,814.40 Telephone / Internet/Pager 26,174.26 Supplies & Expenses 7,764.46 Rent 94, 342.44 Bank Service Charges 1,763.16 Miscellaneous 17,772.28 Administration - Other 7,511.73 Total Administration 341,495.43 Depreciation/Amortization Depreciation Expense 46,551.00 Amortization 15, 904.00 Total Depreciation/Amortization 62,455.00 Insurance Property Insurance 1,077.28 Bid Bond 51.00 Medical Insurance 14,312.57 Liability Insurance 0.00 Workman's Compensation 3,945.64 Insurance - Other 12,184.15 Total Insurance 31, 570.64 Payroll Expenses Payroll Wages 866,232.90 Payroll Taxes 75,016.90 Payroll Tax penalty/interest 3,687.73 Payroll 401(K) match 22,147.42 Total Payroll Expenses 967,084.95 Total Expense 1,468,018.32 Net Ordinary Income 280,795.88 Net Income 280,795.88 ESi Acquisition Inc. Statement of Assets, Liabilities & Equity - Income Tax Basis As of December 31, 2002 Dec 31, 02 ASSETS Current Assets Checking/Savings SouthTrust 123,406.00 1020 - Acquisition, First Union 2,651.10 Total Checking/Savings 126,057.10 Accounts Receivable Accounts Receivable 191,741.23 Total Accounts Receivable 191,741.23 Other Current Assets Inventory Asset 99,940.00 Total Other Current Assets 99,940.00 Total Current Assets 417,738.33 Fixed Assets Equipment & Software 247,487.00 Furniture & Fixture 81,410.00 Accumulated Depreciation -242,417.00 Total Fixed Assets 86,480.00 Other Assets Goodwill 238, 559.00 Accumulated Amortization -50,363.00 Total Other Assets 188,196.00 TOTAL ASSETS 692,414.33 LIABILITIES & EQUITY Liabilities Current Liabilities Accounts Payable Accounts Payable 227,270.82 Total Accounts Payable 227,270.82 Other Current Liabilities Payroll Liabilities 62,118.43 Note Payable Bank 25,000.00 Total Other Current Liabilities 87,118.43 Total Current Liabilities 314,389.25 Long Term Liabilities Long Term Debt 1,110,000.00 Total Long Term Liabilities 1,110,000.00 Total Liabilities 1,424,389.25 Equity Capital Stock Retained Earnings Net Income Total Equity Dec 31, 02 25,000.00 -804,270.52 47,295.60 -731, 974.92 TOTAL LIABILITIES & EQUITY 692,414.33 ESi Acquisition Inc. Statement of Revenues and Expenses - Income Tax Basis For the 12 Months Ended December 31, 2002 Jan - Dec 02 Ordinary Income/Expense Income Revenues Software Sales 428,596.22 Software Support 594,539.43 Installation and Training 135,506.77 Hardware Sales 231,589.32 Travel Reimbursements 5,183.64 Other Services 158,487.18 Other Income 42.65 Revenues - Other 8,480.00 Total Revenues 1,562,425.21 Reimbursed Expenses 136.50 Interest Income 999.29 Uncategorized Income 1,794.07 Total Income 1,565,355.07 Cost of Goods Sold Cost of Sales Material 14,876.04 Shipping 548.12 Travel & Living 43,903.46 Consultant & Subcontractor 3,361.00 Telephone/Internet 19,167.51 Cost of Sales - Other 170,251.54 Total Cost of Sales 252,107.67 Total COGS 252,107.67 Gross Profit 1,313,247.40 Expense R&D Consultant & Subcontactor 300.00 Office Supplies & Expenses 1,197.00 R&D - Other 234.40 Total R&D 1,731.40 Sales Trade Show Fees -National Sh.. Trade Show Fees -Regional S... Telephone/ Internet Sales - Other Total Sales Sales Support Maintenance Miscellaneous Total Sales Support 1,907.50 1,367.50 4,806.44 1,501.15 9,582.59 14,363.84 7.75 14,371.59 Jan - Dec 02 Administration Employee insurance 0.00 Legal & Accounting 18,733.26 Memberships/Dues/Subscripti... 6,475.30 Postage 64.05 Telephone / Internet/Pager 27,539.12 Supplies & Expenses 12,600.04 Training 100.00 Rent 95,086.89 Bank Service Charges 2,537.93 Miscellaneous 3,903.30 Administration - Other 0.00 Total Administration 167,039.89 Depreciation/Amortization Depreciation Expense 51,058.00 Amortization 15,904.00 Total Depreciation/Amortization 66,962.00 Insurance Bid Bond 1,808.20 Medical Insurance 85,333.65 Liability Insurance 13,372.86 Workman's Compensation 3,237.72 Insurance - Other 0.00 Total Insurance 103,752.43 Payroll Expenses Payroll Wages 810,412.48 Payroll Taxes 64,927.05 Payroll Tax penalty/interest 5,889.57 Payroll 401(K) match 19,727.80 Total Payroll Expenses 900,956.90 Taxes State Taxes 1,555.00 Total Taxes 1,555.00 Total Expense 1,265,951.80 Net Ordinary Income 47,295.60 Net Income 47,295.60 ESi Response to City of Miramar RFP # 08-11-01 Emergency Management Command, Control and Collaboration System Software Attachment 5 - Licenses See attached pages. March 3, 2008 ATTACHMENT 5 Page 115 of 115 Received Fax : Jan 07 2008 5:27PM Fax Station . 2 Jan 07 08 04:49p firs NEW FORM NO. 401_290/AC 25-061 RV200730729 (Rev. 3/07) Broward County 954-488-3476 Board of County Commissioners, Broward County, Florida BROWARD COUNTY LOCAL BUSINESS TAX RECEIPT APPLICATION FOR PERIOD OCTO.BER 1, 2007 THRU SEPTEMBER 30, 2008 2007 . 200$ 0 RENEWAL O TRANSFER SEC # 27 / 2713 O NEW DATE BUSINESS OPENED STATE OR COUNI"Y CERTIREG # _ Business Location Address: 699 BROAD ST 1100 OUT OF COUNTY 30901 01/07/08 Application is hereby made for the privilege of engaging in business, profession or occupation, herein described, and I declare that the information furnished by me in this application is true and correct. Name of Applicant (Type or Print) Signature-.'. Renew on-line: wwv/.broward.org/revenue Make Checks Payable to: Broward C R C I p.2 PENALTIES IF PAID TAX 45 . (70 OCT. • 10% NOV. - t5 BACK TAX `DEC. • 2o% `A(ter DEC. 31 - 25% PENALTY Plus Tax Collection Fee of up to $25.00 TC. FEE Based on Cost of Buslness Tax if Paid TRANSFER On or After November 30. ACCOUNT NUMBER TOTAL r ESI ACQI..IISITION INC CURTIS 141 MACDONALD 699 BROAD ST STE 1100 AUGUSTA GA 30901 L- TYPE OF BUSINESS TAX PAID SOFTWARE:: DEVELOPMENT 4 UNITS ounry evenue m(eon PAYMENT RECEIVEOASVALII:?ATEOABO\/E`SEEINSTRUCTIONSONOACKOfLASTGOPY 115 S.Andrews Avenue, GovernenIajCCenter Annex Fort Lauderdale, FL 33301 0000000000 0000004500 0000002780002769 1001 6 15 NEW Board of County Commissloners, Broward County, Florida y BROWARD COUNTY LOCAL BUSINESS TAX RECEIPT APPLICATION FORMN0729 (Re0.A107) 061 FOR PERIOD OCTOBER 1, 2007 THRU SEPTEMEI ER 30, 2008 RV200730729 (Rev.9107) 2007 - 2008 0 RENEWAL ❑ TRANSFER SEC # 32 / 323 0 NEW DATE BUSINESS OPENED 01 /07/08 STATE OR COUNTY CERT/REG # Buslness Location Address- 699 BROAD ST 1100 OUT OF COUNTY 30901 Application is hereby made for the privilege of engaging in business, profession or occupation, herein described, and I declare that the information furnished by me in this application is true and correct, Name of Applicant (Type or Print) Signature _ TAX PENALTIES IF PAID 33.00 OCT. - 10% NOV. • 15 % BACK TAX *DEC. - 20% *After DEC, 31 -25% PENALTY Plus Tex Collection Fee of up to . $2500 T.C. FEE Ceased on Cost of Buslness Tax if Paid TRANSFER On or After November 30. TOTAL 333.00 ACCOUNT NUMBER r ESI ACQUISITION INC CURTIS R MACDONALD 699 BROAD ST STE 1100 AUGUSTA GA 30901 I TYPE OF BUSINESS TAX PAID SERVICE OF SOFTWARE 4 UNITS Renew onaline:www.broward.org/revenue Make Checks Payable to: Brovrard County Revenve Collection PAYMENT RECEIVED AS VALIDt TEDABOVE `SEE INSTRUCTIONS ON BACK OF LAST COPY 115 S. Andrews Avenue, Governmental Center Annex Foil Lauderdale, FL 33301 0000000000 0000003300 0000003230004228 1001 4 ems- i Section 6 Price Proposal The City of Miramar RFP specifies that the web -based emergency management command, control and collaboration system will be divided into three phases. • Phase I Hosted solution for a period of no less than 24 months • Phase II Locally hosted solution for Broward, Monroe, Miami -Dade and Palm Beach Counties • Phase III Locally hosted solution for Cities within the SouthPac* Florida Region ESi has provided pricing for Phases I and II. Phase I Phase I (See WebEOC — Phase I [Hosted]) includes all costs associated with ESi hosting a single instance of WebEOC to be shared by Broward, Monroe, Miami -Dade and Palm Beach Counties — for a period of 24 months. This proposal includes the minimum professional services ESi recommends to ensure a successful implementation. I Several items are presented as options. Selection of optional items will change the Scope of Work and could require additional time onsite. Implementation of WebEOC Mapper requires further discussion before final pricing can be provided. Phase II Phase II (See WebEOC— Phase II [Local]) includes software, hardware and services associated with deploying WebEOC to each of the affected counties. For each county, this includes: • Two web and two database servers (Dell rack-mount)l.Z o ESi will install four servers at each county (primary web and database servers —typically at the EOC, and then redundant web and database servers at a location to be determined by the county. o Identical hardware will be installed (primary and redundant servers) to support ESiWebFUSION deployment. Location to be determined. • Operating System Software o Each server will have Microsoft" Windows Server'" 2003 32-bit operating system installed. t This proposal assumes customer will provide tape backup software and hardware. Database servers have been optioned that include these items. Z This proposal assumes Dell rack -mount servers will be provided and that customers have space in existing racks, will provide racks, contract with ESi to provide racks, or opt instead for tower servers. Unless otherwise directed, backup power is also a customer responsibility (individual or centralized UPS). Section 6 Price Proposal • Database Software o Microsoft SQL Server 2005 Standard Edition (licensed per CPU). • Replication Software o Double -Take® Standard Edition (per database server). • . Application Software o WebEOC Professional -Standard Edition. o WebEOC Professional — Second Server Software o ESiWebFUSIONTM In addition to the server assumptions listed above, each county will be responsible for the network and all hardware not specifically included in our proposal. This includes routers, switches, firewalls, etc. Similarly, this proposal includes operating system software, database software, replication software and WebEOC application software. However, antivirus software has not been included as most counties already have a standard in place. ESi can quote antivirus software if necessary. Phase III Phase III assumes WebEOC deployment to cities throughout each county — potentially exceeding 100 jurisdictions. A price quote for this phase can be presented once a deployment schedule is identified. Unless known or mandated, ESi would have to enter into discussions with each agency to determine specific hardware, software and service needs. ESi's WebEOC 1.0 Volume Discount Structure is provided to estimate WebEOC application software costs. Server and third party software costs can be extrapolated by referring to costs presented for these items as part of Phase II. However, additional savings are possible if ordered as part of a volume purchase. Emergency Services integrators • 823 Broad Street Augusta, GA 30901 • Fax: 706-826-9911 • Phone: 706-823-0911 • www.esi911.com Customer: City of Miramar Quote Address: NSA Number: Summary: WebEOC - Phase I (Hosted) Disclaimer: Items not manufactured by ESi are subject to change. Substitutes will be provided for customer consideration and approval. Product ID Description QTY Price Extended Price WebEOC Software SW-CIMS7-PRS-M WebEOC® Professional - Standard Edition 7.0 1 $49,500.00 $49,500.00 WebEOC ASP Fees SS-CIMS7-PHD ASP - WebEOC® Professional (Discount rate, prepaid annually) 1 $6.450.00 $6.450.00 Software Support - Add[ Year (As Quoted Above) SS-CIMS7-PRS Software Support Renewal - WebEOC® Professional - Standard Edition 1 $9,000.00 $9.000.00 SS-CIMS7-PHD ASP - WebEOGie Professional (Discount rate, prepaid annually) 1 $6.450.00 $6,450.00 Technical Services TS-ADLOS-ES Technical Services - Needs Assessment - 5 Days Onsite 3 $7,506.00 $22.500.00 TS-ADLOS-ES Technical Services - Operational Review 1 $7.500.00 $7,500.00 TS-PGMNR-ES Technical Services - System Configuration 120 $150.00 $18.000.00 TS-INST2-ES WebEOC® 2-Day Onsite Admin Training 1 $3,000.00 $3,000.00 TS-ITGEN-ES WebEOC®User Training Development 1 $1,500.00 $1,5b0.00 TS-INST5-ES WebEO05-Day Onsite (User Training & Table Top Exercise) 1 $7.500.00 $7,500.00 TS-INST3-ES WebEOC® Scenario Development 1 $4,500.00 $4,500.00 TS-INST2-ES WebEOC®Onsite Exercise Support ��s!,� $3,000.00 $12,000.00 TS-PROJM-ES Project Management -.Normal Hourly Rate (Travel excluded) $187.50 $7,500.00 TS-INST2-ES WebEOC® Custom Report Development 1 $3.000.00 $3,000.00 TS-ASPSU-ES WebEOC®ASP Setup 1 $2,000.00 $2,000.00 Travel Expenses TE-TVLEX-ES Travel and Per Diem for Needs Assessment 3 $3,678.59 $11,035.77 TE-TVLEX-ES Travel and Per Diem for Admin. Training (Assumes Broward County) 1 $2.728.59 $2.728.59 TE-TVLEX-ES Travel and Per Diem for User Training& Table Top Exercise 1 $3,918.69 $3,918.59 TE-TVLEX-ES Travel and Per Diem for Onsite Exercise Support 1 $11,380.35 $11,380.35 PROJECT TOTAL (Excluding Taxes) $189,463.30 Price List - Issue # 1.45 November 1, 2007 Page 1 of 2 Customer. City of Miramar Quote Address: Number: N/A OPTIONS CONTACT ESi BEFORE SELECTING OPTIONAL ITEMS. ESi WILL REVIEW REQUIREMENTS AND ISSUE NEW QUOTE AND SCOPE OF WORK AS NECESSARY. Product ID Description QTY Extended Price Price WebEOC Plug -Ins SW-CIMS7-WEBF ESiWebFusionTm 0 $75.000.00 $0.00 SW-CIMS7-RMB WebEOC® Resource Manager 0 $15.000.00 $0.00 SW-CIMS7-GSM WebEOC®GISmp 0 $15.000.00 $0.00 SW-CIMS7-TMB WebEOC®Team Management 0 $15,000.00 $0.00 SW-CIMS7-MPR WebEOC®Mapper- Professional 0 $15,000.00 $0.00 WebEOC Interfaces SW-CIMS7-MIR MIR3Interface 0 $15,000.00 $0.00 WebEOC Software Support SS-CIMS7-ADL Software Support Renewal - WebEOC® (per redundant server) 0 $800.00 $0.00 SS-CIMS7-GSM Software Support Renewal - WebEOC® GISmp 0 $7,500..00 $0.00 SS-CIMS7-RMS Software Support Renewal - WebEOC® Resource Manager 0 $3,000.00 $0.00 SS CIMS7-TMB Software Support Renewal - WebEOC® Team Management 0 $3,000.00 $0.00 SS-CIMS7-WEBF TM Software Support Renewal - ESiWebFusion 0 $15,000A0 $0.00 SS-CIMS7-MPR Software Support Renewal - WebEOC® Mapper - Professional 0 $3,000.00 $0.00 WebEOC Interface Software Support Plans SS-CIM87-MIR MIR3Interface 0 $3,000.00 $0.00 Third Party Software Support SS-DTSTD-BM Maintenance Renewal -DT-STD (Per License) 0 $541.45 SS-DTADV-BM Maintenance Renewal-DT-ADV (Per License) $0.00 0 $914.55 $0.00 Price List - Issue # 1.45 November 1, 2007 Page 2 of 2 " rY'gg Emergency Services integrators • 823 Broad Street Augusta, GA 30901 • Fax: 706-826-9911 •1 Phone: 706-823-0911 www.e'sigiI.com Customer. City of Miramar Address: Quote Summary:Number: WebEOC -Phase it N/A Disclaimer: Items not manufactured by ESi are subject to change. Substitutes will be provided for customer consideration and approval. Product ID WebEOC Software Description QTY Price Extended Price SW-CIMS7-PRS-M SW-CIMS7-PR2 SW-CIMS7-WEBF Third Party Software WebEOC® Professional - Standard Edition 7.0 ® WebEOC Second Server Software ESiWebFusionTm . q $,500.00 4 $5$5,000.00 1 $75,000.00 $ ,000.00 $2020,000.00 $75,000.00 SW-DTSTD-BM SW-SQL32-TD SW-S32MK-TD Computer Hardware Double -Takeo Standard w/1YR SA (per license) ® Microsoft SQL ServerTM 2005 STD 1 CPU License (32) Microsoft® SQL Server' STD 2005 Media Kit (32) 10 . $2.530.78 10 $5.555.88 5 $26.76 $25,307.75 $55,558.80 $133.80 HW-WDERV-DE HW-0BSRV-DE HW-WEDBT-DE Technical Services Server for WebEOC (Web) Server for WebEOC (Dedicated Database and/or Combined Web/Database) DB Server w/TBU and Software for WebEOG 10 $8,436.00 10 $9,085.00 0 $13,945.00 $90,850.00 $,$0.00 0.00 TS-ADLOS-ES TS-ADLOS-ES TS-PGMNR-ES TS-SYSNR-ES TS-INSTS-ES TS-INST2-ES TS-INST2-ES TS-INST2-ES TS-PROJM-ES Travel Expenses Technical Services - Needs Assessment - 5 Days Onsite Technical Services - Operational Review Technical Services - Subscription Board Development Technical Services -Server Configuration , - WebEOC® 5-Day Onsite (HW / DB Installation / Regional Implementation) Technical Services - Admin. Traning (Palm Beach) Technical Services -Admin. Traning (Miami - Dade) Technical Services - Admin. Traning (Monroe) Pro'ect Maria ®merit -Normal Hourly Rate g y (Travel excluded) g $7,500.00 1 $7,500.00 80 $150.00 80 3 $1$7,50000.00 .00 1 $3,000.00 1 $3,000.00 1 $3,000.00 40 $187.50 $22,500.00 $7.500.00 $12.000.00 $22,500.00 $,00.00 $3,000.00 $3,000.00 $3,000.00 $7,500.00 TE-TVLEX-ES TE-TVLEX-ES TE-TVLEX-ES TE-TVLEX=ES TE-TVLEX-ES Shipping Travel and Per Diem for Needs Assessment Travel and Per Diem (HW / DB Installation / Regional Implementation) Travel and Per Diem for Admin. Traning (Palm Beach) Travel and Per Diem for Admin. Traning (Miami - Dade) Travel and Per Diem for Admin. Traning (Monroe) 3 3 $3,678.59 $3,678.59 1 $2,759.59 1 $2,703.59 1 $3,188.58 $11,035.77. $11.035.77 $2.759.59 $2.703.59 $3,188.58 SH-SHIP-ES Shipping and Handling 1 $1,800.00 $1,800.00 PROJECT TOTAL (Excluding Taxes) $665,233.65 Price List - Issue # 1.45 November 1, 2007 Page 1 of 2 Customer City of Miramar Address- Quote Number- NIA OPTIONS CONTACT ESi BEFORE SELECTING OPTIONAL ITEMS. ESi WILL REVIEW REQUIREMENTS AND ISSUE NEW QUOTE AND SCOPE OF WORK AS NECESSARY. Product ID Description Extended QTY Price Price S fttiv S o are upport - Addl Year IAs Quoted Above) SS-CIMS7-PRS Software Support Renewal - WebEOC® Professional - Standard Edition 4 $9.000.00 SS-CIMS7-WEBF Software Support Renewal - ES'WebFusionTM $15,000.00 SS-CIMS7-ADL Software Support Renewal - WebEOC® (per redundant server) 1 $15,000.00 $15,000.00 SS-DTSTD-BM Maintenance Renewal -DT-STD (Per License) q $541.45 $5,414.50 10 $541.45 5 414.50 Sub -Total $59,614.50 WebEOC Plug -Ins SW-CIMS7-RMB WebEOC®Resource Manager SW-CIMS7-GSM WebEOC®GISmp 0 $15,000.00 $0.00 SW-CIMS7-TMB WebEOC® Team Management 0 $15,000.00 $0.000 SW-CIMS7-MPR WebEOC®Ma Mapper - Professional $15,000.00 $0.00 0 $15,000.00 $0.00 WebEOC Interfaces SW-CIMS7-MIR MIR3Interface 0 $15.000.00 $0.00 WebEOC Software Support SS-CIMS7-GSM. Software Support Renewal - WebEOC® GISmp 0 SS-CIMS7-RMB Software Support Renewal - WebEOC® Resource Manager 0 $7.500.00 $0.00 SS-CIMS7-TMB Software Support Renewal - WebEOC®Team Management 0 $3,000.00 $0.00 SS-CIMS7-MPR Software Support Renewal - WebEOC® Mapper -Professional 0 $3,000.00 $3,000.00 $0.00 WebEOC Interface Software Support Plans $0.00 SS-CIMS7-MIR MIR3Interface 0 $3,000.00 $0.00 Third Party Software Support SS-DTADV-BM Maintenance Renewal-DT-ADV (Per License) 0 $914.55 $0.00 Price List - Issue # 1.45 November 1, 2007 Page 2 of 2 --$ ESi Aoquistion, Inc. 699 Broad ta, GA 3090Suite 1100 Aug WebEOC 7.0 Volume Discount Structure Office: (706) 823-0911 Toil Free: (800) 596-0911 Fax: (706)826-9911 Website: www.esi9lI.com Discount pricing applies to a single volume purchase, or one or more POs received at the same time from like/related agencies, totaling the number of licenses needed to achieve the level discount (an example of like/related agencies would be individual county EMAs within a region (e.g. MARC, BMPC, NCR) or State. Where individual POs are submitted to achieve the quantity necessary for each price point, all POs must be received before the discount will be honoredforder filled. DISCOUNTS ARE NOT CUMULATIVE. For example: an order is filled for a single purchase of 13 WebEOC licenses (Level B). This is followed later by another PO from the same customer for an additional 5 WebEOC® licenses (Level A). This new order would be quoted at the SW-CIMS-PRS05 (Level A) rate. In this same example, any number of additional licenses (<5) would be at the SW-CIMS-PRS single server software rate. Hardware, 3rd party software, installation and training quoted separately. ESi must pre -approve all Volume Purchase Proposals. Licenses Purchased. Discount Level 05 — 09 licenses Level A -15% 10 —14 licenses Level B - 30% 15 —19 licenses Level C - 35% 20 — 24 licenses Level D - 40% 25 — 29 licenses Level E - 45°% 30 or more Level F - 50% Product ID Description QTY Unit Price Extended Price WebEOC Software (Volume Pricing) SW-CIMS-PRS05 WebEOC®Professional - Std (per license) - Level A 0 $42,075.00 $0.00 SW-CIMS-PRS10 WebEOCOProfessional - Sid (per license) - Level B 0 $34,650.00 $0.00 SW-CIMS-PRS15 WebEOC®Professional - Std (per license) - Level C 0 $32,175.00 $0.00 SW-CIMS-PRS20 WebEOCOProfessional - 8td (per license) - Level D 0 $29,700.00 $0.00 SW-CIMS-PRS25 WebEOC®Professional - Std (per license) - Level E 0 $27,225,00 $0.00 SW-CIMS-PRS30 WebEOCBProfessional - Std (per license) - Level F 0 $24,750.00 $0.00 SW-CIMS-MPR05 WebEOCO Mapper Professional (per license) - Level A 0 $12,750.00 $0.00 SW-CIMS-MPR10 WebEOC® Mapper Professional (per license) -Level B 0 $10,500.00 $0.00 SW-CIMS-MPR15 WebEOC® Mapper Professional (per license) - Level C 0 $9,750.00 $0.00 SW-CIMS-MPR20 WebEOC® Mapper Professional (per license) - Level D 0 $9,000.00 $0.00 SW-CIMS-MPR25 WebEOC® Mapper Professional (per license) - Level E 0 $8.250.00 $0.00 SW-CIMS-MPR30 WebEOCO Mapper Professional (per license) -Level F 0 $7,500.00 $0.00 30 SW-CIMS-RMB05 WebEOC® Resource Manager - (per license) - Level A 0 $12,750.00 $0.00 SW-CIMS-RMB10 WebEOM Resource Manager - (per license) - Level B 0 $10,500.00 $0.00 SW-CIMS-RMB15 WebEOC® Resource Manager - (per license) - Level C 0 $9,750.00 $0.00 SW-CIMS-RMB20 WebEOC® Resource Manager - (per license) - Level D 0 $9,000.00 $0.00 SW-CIMS-RMB25 WebEOC® Resource Manager - (per license) - Level E 0 $8,250.00 $0.00 SW-CIMS-RMB30 WebEOC® Resource Manager - (per license) - Level F 0 $7.500.00 $0.00 Price List - issue # 1.45 November 1, 2007 Page 1 of 1 Hover -Susan From: Cross, Randy M. [rmcross@ci.miramar.fl.us] Sent: Wednesday, September 16, 2009 3:14 PM To: Tezanos-.lose Cc: Santiago, Maria Subject: Re: WebEOC Attachments: image.jpg N image.jpg (40 KB) Jose, You have permission to piggyback on the bid. Randy Cross Commander, Support Services Bureau Miramar Police Department 3064 North Commerce Parkway Miramar, Florida 33025 Office 954.602.4290 Fax 954.602.3525 Cell 954.868.5930 Email rmcross@ci.miramar.fl.us Web www.miramarpd.org [cid:3335958855 327470] From: Jose Tezanos <tezanos-Jose@monroecounty-fl.gov> Date: Mon, 14 Sep 2009 09:40:38 -0400 To: "Randy M. Cross" <rmcross@ci.miramar.fl.us> Cc: Marta Santiago <msantiago@ci.miramar.fl.us> Subject: WebEOC Good morning Randy, As you are aware, we are in the process of purchasing WebEOC from ESI and we have the option to "piggyback" from the City of Miramar competitive bid to take advantage of the pricing received. We must first verify specifications and award information and receive permission from both your entity and the vendor to piggyback. Mould you be agreeable to provide us a letter giving Monroe County permission to piggyback from your competitive bid? An email will suffice as long as it states who is from and the project you are allowing us to piggyback. Your assistance is appreciated. Thank you, Jose Tezanos 305-289-6325 Nothing will ever be attempted if all possible objections must first be overcome.---- Samuel Johnson 1 0ur.-.. M.---'--•:'�- WIN lf-'.'�S: "^zr\,<;,. '"vim'_ �„.�✓✓'' gg Emergency Services integrators • 823 Broad Street Augusta, GA 30901 • Fax: 706-826-9911 • Phone: 706-823-0911 • www.esi911.com November 25, 2009 Mrs. Irene Toner, Director Monroe County Emergency Management 490 63`d Street Marathon, FL 33050 Re: WebEOC Dear Mrs. Toner: This letter is to confirm that ESi Acquisitions, Inc. will provide the Monroe County Emergency Management with WebEOC and Services under the same terms and conditions as specified in Palm Beach County Quote12529, dated February 17, 2009 and the City of Miramar contract with ESi negotiated in response to RFP#08-11-01, "Emergency Management Command, Control, and Collaboration System Software and Related Services for All Governmental Agencies and Federally Recognized Tribes Located within Broward, Miami -Dade, Monroe, and Palm Beach Counties". Should you have any questions, please contact me at 850.432.2207 Sincerely, Curt MacDonald Chief Operating Officer WebEOV &oundkn Copxbomllan Page 1 of 1 Tezanos-Jose From: Matt Cronin [mcronin @ pbcgov.org] Sent: Tuesday, November 24, 2009 3:45 PM To: Toner -Irene Cc: Tezanos-Jose Subject: WebEOC Purchase Dear Mrs. Toner: Palm Beach County hereby grants the Monroe County Board of County Commissioners permission use our Quote No. Q12529 and subsequent purchase of WebEOC and services from ESI Acquisitions, Inc. Should you have any questions, please contact me at 561-712-6320. Sincerely, Matt Cronin Matthew A. Cronin Palm Beach County Department of Public Safety Division of Emergency Management Administration Manager Office: (561) 712-6320 Cell: (561) 889-2666 Email: MCronin@pbcgov.org Under Florida law, e-mail addresses are public records. It you do not want your e-mail address released in response to a public records request, do not send electronic mail to this entity. Instead, contact this office by phone or in writing. 12/7/2009 ESI Acquisition, Inc 823 Broad Street Augusta, GA 30901 Office (706) 823-0911 Toll Free (800) 596-0911 Fax (706) 826-9911 Website www.esi911.com Customer: Palm Beach County Document Number: Q12529 Address: 20 S. Military Trail West Palm Beach, FL 33415 Page 1 of 2 Title: IT Dept Contact: Matthew Cronin Phone: 561-889-2666 Reference: Summary: Revised quote for WebEOC, Mapper, RM and services Date: 02/17/2009 Quote Expires: 08/16/2009 Disclaimer: Unless otherwise specified, quotations are valid for 90 days from Date of Issue. Items not manufactured by ESi are subject to change. Substitutes will be provided for customer consideration and approval. Product ID Description QTY Price Extended Price SW-CIMS7-PRS-M WebEOC® Professional - Standard Edition 7.0 SW-CIMS7-PR2 WebEOC® Second Server Software SW-CIMS7-RMB WebEOC®Resource Manager - (per license) SW-CIMS7-MPR WebEOC® Mapper Professional (per license) SW-DTSTD-BM TP - Double -Take® Standard w/1YR SA (per license) TS-ADLOS-ES Tech Svcs - Each Additional Day Onsite Needs Assessment TE-TVLEX-ES TE - Travel and Per Diem Travel for Needs Assessment TS-PGMNR-ES Tech Svcs - Normal Hourly Rate (Programmer) Board Development TS-INST5-ES 5-Day Onsite-Training, Planning, Installation or Implement HW/ DB Installation / Regional Implementation TE-TVLEX-ES TE - Travel and Per Diem HW/DB Installation/Regional Implementation TS-INST-MPR Tech Svcs - WebEOC®Mapper Professional Installation TE-TVLEX-ES TE - Travel and Per Diem Travel for Mapper Installation (3GIS) TS-INST2-ES 2-Day Onsite-Training, Planning, Installation or Implement Admin Training TE-TVLEX-ES TE - Travel and Per Diem Travel for Admin Training TS-PROJM-ES Tech Svcs - Project Management - Normal Hourly Rate 1 49,500.00 49,500.00 1 5,000.00 5,000.00 1 15,000.00 15,000.00 1 15,000.00 15,000.00 2 2,530.78 5,061.56 5 1,500.00 7,500.00 1 3,678.59 3,678.59 24 150.00 3,600.00 1 7,500.00 7,500.00 1 3,678.59 3,678.59 1 4,000.00 4,000.00 1 2,946.00 2,946.00 1 3,000.00 3,000.00 1 2,703.59 2,703.59 30 187.50 5,625.00 No Tax 133,793.33 0.00 ESI Acquisition, Inc 823 Broad Street Augusta, GA 30901 Office (706) 823-0911 Toll Free (800) 596-0911 Fax (706) 826-9911 Website www.esi911.com Customer: Palm Beach County Document Number: Q12529 Address: 20 S. Military Trail West Palm Beach, FL 33415 Page 2 of 2 Title: IT Dept Contact: Matthew Cronin Phone: 561-889-2666 Reference: Summary: Revised quote for WebEOC, Mapper, RM and services Date: 02/17/2009 Quote Expires: 08/16/2009 Disclaimer: Unless otherwise specified, quotations are valid for 90 days from Date of Issue. Items not manufactured by ESi are subject to change. Substitutes will be provided for customer consideration and approval. Product ID Description QTY Price Extended Price Sum E 133,793.33 U.S. Department of Homeland Security Washington, DC 20472 ���FEMA Grant Programs Directorate Information Bulletin No. 336 November 20, 2009 TO: All State Administrative Agency Heads All State Administrative Agency Points of Contact All Urban Areas Security Initiative Points of Contact All State Homeland Security Directors All State Emergency Management Agency Directors All Tribal Nation Points of Contact All Public and Private Sector Port Security Partners All Eligible Regional Transit Agencies All Private Sector Transportation Security Partners FROM: Timothy W. Manning Deputy Administrator National Preparedness Federal Emergency Management Agency SUBJECT: Maintenance Costs Recently, the Federal Emergency Management Agency (FEMA) has examined the issue of sustainment as it relates to purchasing maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees with preparedness grant funding. The purpose of this information bulletin (IB) is to provide up-to-date guidance regarding the use of grant funding for these items. Effective immediately, the use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Grantees are reminded to be sensitive to supplanting issues. Maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees previously purchased with State and or local funds cannot be replaced with Federal grant funding. The intent of this IB is to provide direct support to the critical capabilities developed using FEMA preparedness grants and other Department of Homeland Security (DHS) support activities. Routine upkeep (i.e. gasoline, tire replacement, routine oil changes, monthly inspections, grounds and facility maintenance etc.) is the responsibility of the grantee and may not be funded with preparedness grant funding. Maintenance Contracts and Warranties: In past years, maintenance agreements and warranties were allowable costs, provided they were procured at the time of purchase, but could not exceed the period of performance of the original grant used to purchase the equipment. To increase the useful life of the equipment, FEMA has determined that maintenance contracts and warranties may be purchased using grant funding from one fiscal year (FY) to cover equipment purchased with funding from a different fiscal year. The use of grant funding for the purchase of maintenance contracts and warranties must meet the following conditions: Maintenance contracts and warranties may only be purchased for equipment that has been purchased using FEMA preparedness grant funding [Homeland Security Grant Program (HSGP), Tribal Homeland Security Grant Program (THSGP), Emergency Management Performance Grant Program (EMPG), Interoperable Emergency Communications Grant Program (IECGP), Buffer Zone Protection Program (BZPP), Operation Stonegarden (OPSG), Driver's License Security Grant Program (DLSGP), Transit Security Grant Program (TSGP), Port Security Grant Program (PSGP), and Intercity Passenger Rail (Amtrak)]. To avoid supplementing Congressional appropriations for specific programs, maintenance contracts and warranties must be purchased using funds from the same grant program used to purchase the original equipment (i.e. if equipment was purchased with HSGP grant funds, the maintenance contract or warranty must be purchased using HSGP grant funds). The term of the maintenance contract or warranty shall not exceed the period of performance of the grant to which the contract is being charged. Equipment provided to States and local jurisdictions by the Commercial Equipment Direct Assistance Program (CEDAP) is also eligible for support through maintenance contracts and warranties since CEDAP is a one-time equipment grant program and not a recurring grant. Funding from State Homeland Security Program (SHSP) or Urban Areas Security Initiative (UASI) only should be used for this purpose unless otherwise approved by the FEMA Program Analyst. Equipment and support provided directly to States and local jurisdictions by any DHS component is also eligible for support through maintenance contracts or warranties once funding for those programs has ended. This includes the Domestic Nuclear Detection Office's (DNDO) limited duration programs such as the Southeast Transportation Pilot (SETCP), West Coast Maritime Pilot (WCMP), and Securing the Cities (STC). Funding from SHSP or UASI only should be used for this purpose unless otherwise approved by the FEMA Program Analyst. This IB will amend the Maintenance section within IB 293. Maintenance contracts will be an allowable cost using Port Security Grant Program funding as described above. All other portions of IB 293 will remain in effect. www.fema.gov Repair and Replacement Costs: The cost of repair and replacement parts for equipment purchased using FEMA preparedness grant funding (HSGP, THSGP, EMPG, IECGP, BZPP, OPSG, DLSGP, TSGP, PSGP, and Amtrak) is now an allowable expense. • Repair and replacement parts may only be purchased for equipment that has been purchased using FEMA preparedness grant funding from those programs listed above. • To avoid supplementing Congressional appropriations for specific programs, repair and replacement parts must be purchased using the same grant program used to purchase the original equipment. (i.e. if original equipment was purchased with HSGP grant funds, the repair and or replacement parts must be purchased using HSGP grant funds). • Repair and replacement parts for equipment provided to States and local jurisdictions by CEDAP are also eligible for support since CEDAP is a one-time equipment grant program and not a recurring grant. Funding from SHSP or UASI only should be used for this purpose unless otherwise approved by the FEMA Program Analyst. • Repair and replacement parts for equipment provided directly to States and local jurisdictions by any DHS component are also eligible for support once funding for those programs has ended. This includes the DNDO's limited duration programs such as the SETCP, WCMP, and STC. Funding from SHSP or UASI only should be used for this purpose unless otherwise approved by the FEMA Program Analyst. Upgrades: FEMA preparedness grant funding (HSGP, THSGP, EMPG, IECGP, BZPP, OPSG, DLSGP, TSGP, PSGP, and Amtrak) may be used to upgrade previously purchased allowable equipment. For example, if the grantee purchased risk management software with HSGP funds in FY 2005 and would like to use FY 2009 grant funding to upgrade the software, this is considered allowable. • Upgrades may only be purchased for equipment that has been purchased using FEMA preparedness grant funding from programs listed above. • To avoid supplementing Congressional appropriations for specific programs, upgrades must be purchased using the same grant program used to purchase the original equipment. (i.e. if equipment was purchased with HSGP grant funds, the upgrades must be purchased using HSGP grant funds). • Upgrades for equipment provided to States and local jurisdictions by CEDAP are also eligible for support since CEDAP is a one-time equipment grant program and not a recurring grant. Funding from SHSP or UASI only should be used for this purpose unless otherwise approved by the FEMA Program Analyst. • Upgrades for equipment provided directly to States and local jurisdictions by any DHS component are also eligible for support once funding for those programs has ended. This includes the DNDO's limited duration programs such as the SETCP, WCMP, and STC www.fema.gov Funding from SHSP or UASI only should be used for this purpose unless otherwise approved by the FEMA Program Analyst. T Ner fees - User fees are viewed as costs for specific services required to maintain and provide continued operation of equipment or systems. An example would be the recurring service fees associated with handheld radios or mobile data computers. • User fees may only be paid for equipment that has been purchased using FEMA preparedness grant funding (HSGP, THSGP, EMPG, IECGP, BZPP, OPSG, DLSGP, TSGP, PSGP, and Amtrak). • To avoid supplementing Congressional appropriations for specific programs, user fees must be paid for using the same grant program used to purchase the original equipment. (i.e. if equipment was purchased with HSGP grant funds, the user fees must be paid for using HSGP grant funds). • The service time purchased shall not exceed the period of performance of the grant to which the user fee is being charged. • User fees for equipment provided to States and local jurisdictions by CEDAP is also eligible for support since CEDAP is a one-time equipment grant program and not a recurring grant. Funding from SHSP or UASI only should be used for this purpose unless otherwise approved by the FEMA Program Analyst. • User fees for equipment provided directly to States and local jurisdictions by any DHS component also eligible for support once funding for those programs has ended. This includes the DNDO's limited duration programs such as the SETCP, WCMP, and STC are Funding from SHSP or UASI only should be used for this purpose unless otherwise approved by the FEMA Program Analyst. Requests for maintenance, repair, or replacement costs, upgrades, or user fees for equipment purchased with funds from FEMA preparedness grants that no longer exist [i.e. Law Enforcement Terrorism Prevention Program (LETPP)] are allowable. Sufficient documentation should be maintained to identify the original grant used to purchase the equipment. SHSP or UASI funding only should be used for this purpose unless otherwise approved by the FEMA Program Analyst. Implementation: Planned or actual expenditures for maintenance contracts and warranties, repair and replacement costs, upgrades and user fees must be reflected in the Initial Strategy Implementation Plan (ISIP) or Biannual Strategy Implementation Report (BSIR). With this increased flexibility, grantees are reminded that they must comply with all the requirements in 44 CFR Part 13 and 2 CFR Part 215. If you have additional questions please contact your FEMA Headquarters or Regional Program Analyst. www.fema.gov BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: _ January 20, 2010 Division: Emergency Services Bulk Item: Yes x No — Department: Fire Rescue Staff Contact Person/Phone#: Claudia Wilkerson 305-289-5014 AGENDA ITEM WORDING: Acceptance of the Monroe County Length of Service Award Program (LOSAP) actuarial valuation report for the Plan Year 2009; transfer of funds for Plan Year 2009 and 1988 into the LOSAP Trust Fund; approval of Resolution authorizing each eligible participant in LOSAP to be credited with additional year of service. ITEM BACKGROUND: These actuarial valuations and/or cost determinations were prepared and completed by Glenn F. Mouton, on behalf of Mouton & Company, Inc. They meet the requirements and intent of Part VII, Chapter 112, Florida Statutes (Actuarial Soundness of Retirement Systems). PREVIOUS RELEVANT BOCC ACTION: On June 9, 1999, the Board adopted Ordinance No. 025-1999, providing for the creation of a Length of Service Awards Plan, providing benefits to eligible volunteer fire fighters and emergency medical services volunteers. CONTRACT/AGREEMENT CHANGES: Not an agreement. STAFF RECOMMENDATIONS: Acceptance of actuarial report and transfer of funds for Plan Years 2009 and 1988 into the LOSAP Trust Fund in the amount of $23,714.00. TOTAL COST. $23,714.00* INDIRECT COST: BUDGETED: Yes X No *Cost of year 2009 is $23,272.00; cost of year 1988 is $442.00, computing to a net cost of $23,714.00 to accept both years. 141-11500-530340 COST TO COUNTY: $23,714.00 SOURCE OF FUNDS: Ad valorem taxation REVENUE PRODUCING: Yes _ No X ft MOUNT PER MONTH Year APPROVED BY. County Atty urcchasing Risk Management DOCUMENTATION: Included X Not Required DISPOSITION: AGENDA ITEM # Revised 1/09 Monroe County Division of Emergency Services 490 63rd Street, Marathon, FL 33050 Phone: (305) 289-6088 Fax: (305) 289-6007 ADDITIONAL INFORMATION MEMO TO: Monroe County Board of County Commissioners FROM: James Callahan, Fire Chief Emergency Services Division RE: Agenda Item: Acceptance of the Monroe County Length of Service Award Program (LOSAP) actuarial valuation report for the Plan Year 2009; transfer of funds for Plan Years 2009 and 1988 into the LOSAP Trust Fund; approval of Resolution authorizing each participant in LOSAP to be credited with additional year of service. DATE: January 20, 2010 Ordinance No 026-1999, adopted by the Board of County Commissioners on June 9, 1999, provided that upon reaching the age of 60, each volunteer firefighter or EMS provider who had at least 10, but not more than 25 years of active service would receive a pension benefit in a predefined amount based on length of service. The same Ordinance further provided that for each Plan Year beginning in 1999, the BOCC would contribute an amount necessary to fund the pension benefit, based on an actuarial report that projected the cost of that future pension benefit in today's dollars. In addition, each year, the BOCC could elect to contribute an amount to provide a pension benefit for a past year provided that the volunteer was an active member during that time. Thus, in 1999 the BOCC funded the Plan with an amount equal to provide a pension benefit not only for verified active 1999 volunteers, but also for 1998 volunteers. In each subsequent year, after reviewing and accepting the actuarial report, the BOCC has approved the contribution of funds not only for the immediate Plan Year, but also for one additional successive past year. The LOSAP Trust Fund balance currently stands at $817,512.22. The actuarial report for Plan Year 2009 shows that the amount necessary to fund future obligations for Plan Year 2009 is $23,272.00. The same actuarial report shows that the amount necessary to cover pension benefits for volunteers in Plan Year 1988 is $442.00. These figures represent the actual fixed cost for these two respective Plan Years, and are computed by multiplying (a) number of qualified volunteers in that Plan Year, by (b) the annual benefit shown in Section 5 of the LOSAP (Ordinance 026-1999), and by (c) the statistical probability that the volunteer will actually receive benefits as determined by the actuary. Overall, the net cost for accepting both years is $23,714.00. Staff is now asking for the acceptance of the actuarial report and transfer funds into the LOSAP Trust Fund in the amount of $23,714.00. These funds were approved in the Fiscal Year 2010 budget process. James Callahan Emergency Services RESOLUTION NO. -2010 A RESOLUTION OF THE BOARD COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, AUTHORIZING EACH PARTICI- PANT IN THE LENGTH OF SERVICE AWARDS PROGRAM (LOSAP) TO BE CREDITED WITH AN ADDITIONAL YEAR OF SERVICE BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, as follows: 1. Each Participant in the Length of Service Awards Program ("LOSAP") shall be credited with an additional Year of Service actually earned in the Year 1988, providing the Participant: (A) was enrolled as a member of the non-profit corporation or MSTU; and (B) was eligible for and received reimbursement of expenses for nine or more months of the Year 2008, thus resulting in a credit for the Plan Year 2009. 2. The total number of Years of Service that may be credited for service accrued prior to the Effective Date of LOSAP shall not exceed a maximum of one Year of Service actually earned by each Participant prior to the Effective Date of LOSAP. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the day of , 2010. Mayor Sylvia J. Murphy Mayor Pro Tern Heather Carruthers Commissioner Kim Wigington Commissioner George Neugent Commissioner Mario Di Gennaro (SEAL) Attest: DANNY L. KOLHAGE, Clerk Deputy Clerk BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA fla Mayor/Chairman MONROE COUNTY ATTORNEY LPOV D AS T P R Y T AL. HA L ASSIST NT OQUj� N 1 Aj�RNEY Bate ®re MONROE COUNTY FLORIDA VOLUNTEER FIREFIGHTER AND EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN ACTUARIAL REPORT JANUARY 1, 2009 November 13, 2009 Monroe County Board of County Commissioners Fire Chief James Callahan 490 63rd Street Marathon, FL 33050 Dear Plan Administrator: We are pleased to present the attached Report as of January 1, 2009, covering the actuarial aspects of the "Monroe County LOSAP" for the Plan Year ending December 31, 2009 and the County's fiscal year ending September 30, 2010. A brief overview of the results can be obtained by looking at the following figures for the past three years: 2007 2008 2009 Item Plan Year Plan Year Plan Year Participants 83 80 61 Covered Payroll $ na $ na $ na Cutxent EOY Plan Costs * $28,477 $24,777 $23,714 assuming an additional years past service benefit and includes provisions for expenses and provisions for Funding Standard Account debit balances Due to Key Largo terminating from the County plan effective October 1, 2006, we have not assigned any costs to them. We have kept the vested participants for Key Largo's Fire and EMS and assets estimated to be sufficient for those participants and reallocated the remaining assets to the other participating departments. Should additional vested participants arise from a future census, we will include them with the future year's valuation and recapture the assets for those benefits. Additionally, in the future, should assets not be sufficient to cover those benefits, an additional recapture of assets may be needed. These recaptures, if any, will be made in the same ratio as the reallocation was determined, which split assets available for reallocation equally among the remaining active departments. Monroe County Board of County Commissioners November 13, 2009 Page Two Assuming that the recommended funding is made and that the asset performance becomes consistent with our current assumption, it is our opinion that the Plan will be proceeding with a funding program, which can be expected to support the benefits promised by the Plan on an adequate and timely basis. Respectfully submitted, Glenn. F. Mouton, FSA Consulting Actuary GFM/nm Enclosures 1 R F Tr November 13, 2009 ACTUARIAL REPORT PLAN: Monroe County, Florida Volunteer Firefighter and Emergency Medical Services Length of Services Award Plan PLAN YEAR: January 1, 2009 through December 31, 2009 SPONSOR FISCAL YEAR: October 1, 2009 through September 30, 2010 VALUATION DATE: January 1, 2009 This report presents the results of the Actuarial Valuation as of Valuation Date shown above of the Plan. The principal purposes of this report are - To present the financial condition of the Plan - To satisfy the requirements of Chapter 112 of the Florida Statutes - To present the contributions required to adequately fund the Plan during the current year, according to the plan's current funding methodology - To present disclosures required by Governmental Accounting Standards Board, Statements #25 Mouton and Company, Inc. was retained by the Plan Administrator of the Plan for this report. This actuarial valuation and/or cost determination was prepared and completed by me or under my direct supervision, and I acknowledge responsibility for the results. To the best of my knowledge, the results are complete and accurate, and in my opinion, the techniques and assumptions used are reasonable and meet the requirements and intent of Part VII, Chapter 112, Florida Statutes. There is no benefit or expense to be provided by the plan and/or paid from the plan's assets for which liabilities or current costs have not been established or otherwise taken into account in the valuation. All known events or trends which may require a material increase in plan costs or required contribution rates have been taken into account in the valuation. Date Glenn F. Mouton Enrollment #08-2773 On Behalf of Mouton & Company, Inc. MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND EMERGENCY MEDICAL SERVICES LENGTH OF SERVICES AWARD PLAN Actuarial Valuation as of January 1, 2009 TABLE OF CONTENTS EXHIBIT I VALUATION RESULTS Schedule A — Development of Actuarial Assets I Schedule B — Plan Description — After Changes 2 Schedule B — Plan Description — Before Changes 3 Schedule C - Development of Current Year's Costs 4 Schedule D — Development of Historical and Projected FSA 5 Schedule E - Participant Data 6 Schedule F - Assets 6 Schedule G - Liabilities 6 Schedule H - Actuarial Present Value of Accrued Benefits 7 Schedule I - Statement of Changes in Total Actuarial Present Value of All Accrued Benefits .7 Schedule J - Pension Cost g Schedule K - Past Contributions g Schedule L - Comparison of Actual to Assumed Earnings 9 EXHIBIT 2 PARTICIPANT DEMOGRAPHICS Schedule A - Coverage 10 Schedule B — Year of Credited Service 10 Schedule C - Participant Reconciliation I 1 EXHIBIT 3 PLAN ASSET INFORMATION Schedule A - Statement of Net Assets Available for Benefits at Market Values 12 Schedule B - Statement of Changes in Net Assets Available for Benefits 13 EXHIBIT 4 PLAN SUMMARY 14 EXHIBIT 5 COST METHOD AND ASSUMPTIONS 17 EXHIBIT 6 PENSION COST RATIONALE 19 EXHIBIT 7 GASB 25 INFORMATION 20 N g N [� °n W � o � N i 15 y N 7 c+ O r vi N N O O M 000 V p 00 Ql Ol r tD N v� tCD Oi Q iV co r C�CD n i 1 O p v Q n N ZZ p [1 M M N N of r- M E M m � y H 1 N w O O n O O n O O n O O O O O 0 Q t 00% cl Q mOm0 r o It ItC3 n 00 04 h" rn o0 v o ' cr N 00 c W N m O m N o7 v1 7 �}' v� G+ N i N 0 [� O O� O N,r- ON Q ' W a N M �p m It CD m i vs iG Op Vl O+ M d� � K N W m U V N i 7 O O O O O O O O O i 0 n O vn N O v O vi a O N N v N 00 00 K.' _O 00 N O O O O O -r O ..., O O n O O OIm . O 00 r 00 o0 .. fJ U; on ti ai a� rn n v nt h a o CD o v a "0 r m rn p a o rn a � o o I n a i CJ C cy R O to 7 ti V i • jG �, b N O O h O N I E � 1 i U I I ! N d' M N W. O ,O y i � � ! ? 'L O 1 y qyq jE O •.Oi Gh`. IN+ cp o N ¢ }4 C M N 'I• Q O• O Q 3 1 ' G U� °v •4 N � O O N •D •° � a� r•] .n.. a N i 0 � ' z � I i U ^� 0�0 C• W h V` N � I I o�Q r O rn o oho pT'i m In a� N •p O t_'i m b n � L N E W , I i a b ry � u > • ' 4 C u CC I flr '� r] � o O '' 0o •p F n' F cr h j � w'^7 N N 00 T , 00 i c w m vy O I I N v ry N •°V ^ ^ O ' ry O , , a rxr i s y° ---------------------- c G V � i6 W O O N � tom+ C cVi 0 y N s.0 O. V% F (� Vl IIII! d U G W •j N E C z I N C b •O b O b E V' M pU U V O U t3 G5, V U I CO GD y T CO > fl. 6 L1I ¢ I L -rl sn 5 U cn O G � N W •- O fl. � f T � s a G .n � a g, o m a G v a� � d � L� r _ U � E i n � oNO.V � N 11 Cj i i h % I i � d 7 !�I V 00 W m �D h b z ' O le QQQ O Si n R> m EII Q r0 OMO m T N W� lO ` W � 4t ° m I ry n �� o 0o m rn ih a lc vV5' r (rOV C C N tL ? u N N �O �➢ — � V I N a L C ---------------------- U P O C (S((( G U .a. U C M i G en a. ° y 4 F � 3 o m m x ae z zWX -4 MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND Page 4 of 23 EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of January 1, 2009 CURRENT VALUATION RESULTS EXHIBIT I Development of Current Year's Costs Schedule C Before Change After Change * Current Year Current Year Prior Year A. Present Value of Future Obligations: 01-Jan-2009 01-Jan-2009 — 01-Jan-2008 I. Active Members 549,268 551,821 551,807 2. Inactive Members 289,726 289,726 297,365 3. Retired Members 0 0 0 4. Survivors on Benefit 0 0 0 5. Disabled Members 0 D 0 Total Actuarial Accrued Liabihty: 838,994 —841,547 849,172 B. Less Present Value of 1. Member Contributions 0 0 0 2. Florida Premium Tax Rebates 0 0 0 0 ----- ---------- 0 ----- -..-_------ 0 C. Less Actuarial Plan Assets 817,512 817,512 782,060 D. Amount to be Funded by County (A-B-C) -------- ---- 21,482 — — 24,035 ------- ------- 67,M (Unfunded Actuarial Accrued Liability) E. Aggregate Normal Costs from District Calculations 5,480 5,922 12,304 F. Expenses not paid directly by the County 5,200 5,200 5,200 G. Interest Adjustments not included elsewhere 0 0 0 H. Total Plan Normal Costs = GASB 25 ARC •---------- 10,680 .- ------ 11,122 -------- ------ 17,504 * Change is the crediting of 1989 as an additional year of potential past credited service. MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND Page 5 of 2? EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of January 1, 2009 CURRENT VALUATION RESULTS EXHIBIT 1 Development of Historical and Projected Funding Standard Account Balances Schedule D Before Changes After Changes Projected Projected Current Current Plan Year Plan Year Prior Year O1-Jan-2009 01-Jan-2009 01-Jan-2008 A. Beginning Balance 11,456 11,456 287 Interest Adjustment to End of Year 286 286 7 sub -total 11,742 11,742 - 294 B. Less Charges to Account I . Normal Costs for the Year (BOY) 5,480 5,922 12,304 2. Provision for Expenses 5,200 5,200 5,200 2, Amortization Charges (net) (BOY) 0 0 0 3. Interest Adjustment to End of Year 2.50% 0 0 0 C. Plus Credits to Account 10,680 11,122 17,504 1. Contributions Credited During the Year 0 0 28,477 2. Amortization Charges (net) (BOY) 0 0 .6 3. Interest Adjustment to End of Year 0 0 189 0 _ 0 28,666 D. Ending Balance* 1,062 620 11,456 Date Made Amount Interest 26-Sep-08 18,826 125 Expenses Paid 26-Sep-08 9,651 64 0 0 0 0 28,477 189 * Note; A positive ending balance represents the accumulation of past contributions in excess o€required minimums. Such a balance is available to the sponsor in the current or future years to adjust normal funding requirements. For the current year, Contributions Credited are determined as the lowest amount which would avoid an ending negative balance, under the assumption that the contribution is received on the last day of the plan year, a MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND Page 6 of 23 EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of January 1, 2009 CURRENT VALUATION RESULTS EXHIBIT 1 Participant Data Schedule E - ------------------------------------------------------------------------------------------------------------------------------------------------------- Next Current Year Prior Year Prior Year 01-Jan-2009 01-Jan-2008 01-Jan-2007 Number Included Active Members 32 44 51 Inactive Members 22 34 30 Retired Members 7 2 2 Current Beneficiaries 0 0 0 Disabled Members 0 0 0 Total Annual Payroll of Actives 0 0 0 Total Annual Benefits: to Retired Members 18,720 6,120 5,850 to Current Beneficiaries 0 0 0 to Disabled Members 0 0 0 Assets Schedule F ------------------------------------------------------------------- Actuarial Value 817,512 782,060 725,508 Market Value 817,512 782,060 725,508 Liabilities -------------------------------------------------------------------------------------- ----------------------------------------------------------------------- Schedule G Before Changes After Changes Current Current Prior Plan Year Plan Year Plan Year 01-Jan-2009 0t-Jan-2009 01-Jan-2008 Present Value of Future Benefits _ Active Members 549,268 551,821 551,807 Inactive Members 289,726 289,726 297,365 Retired Members 0 0 0 Current Beneficiaries 0 0 0 Disabled Members 0 0 0 Total ---- 838,994 -- 841,547- ----849,- 172 Less Present Value Future Member Contributions 0 0 0 Future State Contributions 0 0 0 0 ------------ -- Actuarial Accrued Liability --------------- 838,994 --------------- 841,547 --------------- 849,172 less Actuarial Plan Assets (817,512) (817,512) (782,060) Unfunded Actuarial Accrued Liability --- - 21,482- ----- 24,035 ----- 67,112 LIT ly, MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND Page 7 of 23 EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of January 1, 2009 CURRENT VALUATION RESULTS EXHIBIT 1 Actuarial Present Value of Accrued Benefits -------------------------------------------------------------------------------------------------------------------------------------------------------------------- Schedule H Before Changes After Changes Current Year Current Year Prior Year O1-Jan-2009 01-Jan-2009 01-Jan-2008 Vested Accrued Benefits - Inactive Members & Beneficiaries 289,726 289,726 297,365 Active Members 285,674 290,721 280,017 Total -------------- 575,400 -------------- 580,447 -------------- 577,382 Nonvested Accrued Benefits 71,618 71,555 72,634 Total -------------- 644,665 -------------- 649,649 ------ ------- 647,689 Statement of Changes in Total Actuarial Present Value of All Accrued Benefits -------------------------------------------------------------------------------------------------------------------------------------------------------------------- Schedu4a I Before Changes After Changes Current Year Current Year 01-Jan-2009 01-Jan-2009 Present Value of Accrued Benefits at Beginning of Year 647,689 647,689 Increase (Decrease) During Year Attributable to (where applicable): Plan Adoption 0 0 Plan Amendment 0 0 Changes in Valuation -- interest rate 0 0 Increase due to Survivorship 0 0 Increase for less Interest Discount 15,958 15,958 Benefits Accrued, net of excluded participants 44,089 44,089 Benefits Paid (18,720) (18,720) Other Changes - terminations (44,351) (44,351) Net Increase (Decrease) ( ---- (3,024) ----- (3,024) Actuarial Present Value of Accrued Benefits at End of Year 644,665 649,649 jlq PW, ri= T�F� MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND Page 8 of 23 EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of January 1, 2009 CURRENT VALUATION RESULTS EXH1131T 1 Pension Cost Required Funding Costs Current and Prior Unfunded Administrative Expense Interest Adjustment Total Required County Contribution As % of Payroll Estimated Participant Contributions As % of Payrol I Estimated Premium Tax Refund As % of Payroll Remaining Amount to be Contributed by County As % of Payroll Past Contributions For the fiscal year ended 12/31/08 Total Contribution Required Actual Contribution Made By: State County Participants Schedule J Before Changes After Changes Current Current Prior Plan Year Plan Year Plan Year 01-Jan-2009 01-Jan-2009 01-Jan-2008 5,480 5,922 12,304 (6,256) (6,256) 4,913 (286) (286) (7) (1,062) (620) --17,210 N/A NIA NIA 0 0 0 NIA NIA NIA 0 0 0 NIA NIA NIA (1,062) (620) 17,210 N/A N/A NIA 17,210 0 28,477 0 28,477 Schedule K MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of January 1, 2009 CURRENT VALUATION RESULTS Page 9 of 23 EXHIBIT I Comparison of Actual to Assumed Earnings ---------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Schedule L (Assuming uniform income and disbursements, Employer Contributions assumed at End of Year) Benefits Valuation Beginning Ending Investment Other and Date Assets Assets Earnings Income Expenses 31-Dec-1999 0 150,113 0 0 0 31-Dec-2000 150,113 313,549 2,751 0 0 31-Dec-2001 313,548 389,408 13,821 0 4,210 31-Dec-2002 389,408 474,729 4,284 0 8,400 31-Dec-2003 474,729 562,738 9,169 0 0 3I-Dec-2004 562,738 626,637 8,412 0 8,417 31-Dec-2005 626,637 700,939 20,872 0 7,620 31-Dec-2006 700,939 725,508 15,466 0 10,130 31-Dec-2007 725,508 782,060 38,439 0 6,120 31-Dec-2008 782,060 817,512 30,628 0 23,653 Valuation Net Expected Actual 3 Year 5 Year AssuruZd Date Increase Earnings Experience Average Average Factor 31-Dec-1999 0 0 0.00% na na 5.00% 31-Dec-2000 2,751 7,506 1.83% na na 5.00% 31-Dec-2001 9,611 15,572 3.09% na na 5.00% 31-Dec-2002 (4,116) 19,260 -1.07% 1.28% na 5.00% 31-Dec-2003 9,169 23,736 1.93% 1.32% na 5.00% 31-Dec-2004 (5) 27,926 0.00% 0.29% 0.58% 5.00% 31-Dec-2005 13,252 24,913 2.13% 1.35% 0.85% 4.00% 31-Dec-2006 5,336 20,876 0.77% 0.96% 1.04% 3.00% 31-Dec-2007 32,319 18,061 4.47% 2.46% 1.28% 2.50% 31-Dec-2008 6,975 19,256 0.91% 2.05% 1.42% 2.50% 1999 is the first plan year and no assets were present prior to the end of the year, other than County accrued contributions. Current earning rates are artificially depressed due to the plan only recently starting its funding. Future assets will be invested assets and are expected to earn at or above the assumed factor, net of investment expenses. F 5 MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND Page 10 of 23 EMERGENCY MEDICAL, SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of J PARTICIPANT DEMOGRAPHICS EXHIBIT 2 Coverage Schedule A This valuation includes the following 61 persons covered by the plan as of December 31, 2008. Category Number Amount Active Participants 32 0 Other Inactive Participants 22 0 ** Retirees on Benefit 7 0 ** Survivors on Benefit 0 0 ** Participants on Disability Benefit 0 0 *k Terminated Vested Participants 0 0 ** TOTAL ---- 61 ----------- N/A * Annual covered pay only ** Annual Benefit 26 persons (included in the data furnished to us) were ineligible for participation as of the valaution date, Participant data was furnished by the County of Monore and was as of December 31, 2008. Years of Credited Service -- all Participants Years of Service --------------------------------------------------------------------------------------------------------------------------------- < 1 1 1-4 ----------- I ----------- ( 5-9 I 10-14 I 15-19 I 20-24 I 25-29 I 30-34 Attained I I ----------- I I ----------- I I ----------- )----------- I ----------- 1-------- I I I 1 Age Count I Count I Count j Count I Count I Count I Count I Count Under 25 I 2 1 1 1 ) 26-29 30-34 I 3 1 1 1 1 1 I I I 35-39 ( 6 1 2 1 ( ( I I 40-44 I 2 1 I 1 1 1 1 I I 45-49 I 3 1 4 j 2 1 2 1 I I 50-54 j 3 j 2 1 6 1 1 1 I 55-59 I I I 5 1 1 1 I 60-64 I I I 7 1 I I I 64-69 I I I I 2( I I Over 70 0 22 10 22 7 0 0 Schedule B Totals I 3 I 3 I 5 I 8 4 I 11 I 12 I 6 I 7 I 2 I 0 0 61 MON.ROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND Page 11 of 23 EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of January 1, 2009 PARTICIPANT DEMOGRAPHICS EXHIBIT 2 Participant Reconciliation Schedule C Retired Survivor on on Active Benefit Benefit Disabled Inactive Total Participants at 01-Jan-2008 44 2 0 0 34 73 New 4 4 Retirement 0 5 -5 0 Death 0 0 Non -Vested Termination -2 -16 (j) Vested Termination -14 9 (5) Lump Sum Settlement 0 0 New Survivors 0 0 Participants at 31-Dec-2008 ------- 32 ------- 7 ------- ------- 0 0 ------- 22 ------- 61 MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Page 12 of 23 Actuarial Valuation as of January 1, 2009 PLAN ASSET INFORMATION EXHIBIT 3 Statement of Net Assets Available for Benefits* Schedule A 31-Dec-2007 31-Dec-2008 ------------------------------------------------------------------------------------------------------------_----------_-------------- Market Value Money Market 782,059.96 817,512.22 Accrued Contribution - Employer 0.00 0.00 ---------------- 782,059.96 ---------------- 817,512.22 Liabilities Accounts Payable 0.00 0.00 Deferred Revenues 0.00 0.00 0.00 0.00 Net Assets Available 782,059.96 817,512.22 * As reported by the County MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND ` ' hi' EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Page 13 of 23 Actuarial Valuation as of January 1, 2009 PLAN ASSET INFORMATION EXHIBIT 3 Statement of Changes in Market Value of Net Assets Schedule B Plan Year Ending: -------------------------------------------------_----------------------------------------------------- 31-Dec-2007 ------------------------------------------------------------ 31-Dec-2008 INCREASES Earnings on investments 38,438.81 I 30,627.76 Unrealized Appreciation (Depreciation) 0.00 I 0.00 State Insurance Contributions 0.00 I 0.00 Employee Contributions 0.00 I 0.00 Employer Contributions: 24,233.00 I 28,477.00 Accrued 0.00 ----------------- I I I 0.00 ----------------- I 24,233.00 I ----------------- 28,477.00 62,671.81 I --- 59,104,76 DECREASES ----------------- I Expenses Professional pees 0.00 I (4,932.50) Professional Fees 0.00 I 0.00 PMA Fees 0.00 ----------------- I 0.00 0.00 I (4,932.50) Paid to Participants I Retirees (6,120.00) j (18,720.00) Survivors 0.00 I 0.00 Disabled 0.00 I 0.00 Overpayment due to City 0.00 ----------------- I 0.00 I (6,120.00) I ----------------- ----------------- (18,720.00) (6,120.00) I (23,652.n) Net Increase/(Decrease) ---------------- I 56,551.81 j ----------------- 35,452.26 I NET MARKET VALUE OF ASSETS AVAILABLE FOR BENEFITS: Beginning of Year 725,508.15 I 782,059,96 End of Year ------------------- 782,059.96 I -- 817,512.22 MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND EMERGENCY MEDICAL SERVICES LENGTH OF SERVICES AWARD PLAN Actuarial Valuation as of January 1, 2009 Page 14 of 23 PLAN SUMMARY EXHIBIT 4 I. Generallnfon-nation (a) Plan Name: Monroe County, Florida Volunteer Firefighter and Emergency Medical Services Length of Service Award Plan (b) Plan Year: January 1 through December 31 (c) Plan Sponsor: County of Monroe, Florida (d) Sponsor Fiscal Year: October 1 through September 30 (e) Plan Administrator: Board or such other person or entity as designated by the Board to administer the Plan (I} Effective Date: January 1, 1999 2. Eligibility for Participation The Plan Administrator shall, in its sole discretion, determine those Volunteer Firefighters and EMS Volunteers ("Volunteers") eligible to participate in the Plan. Any Volunteer who was age 60 or older on January 1, 1999 shall not be eligible to participate in the Plan. In addition, any Volunteers who are age 60 or older at the time they commence volunteer service, or who commence service at a time that will not permit them to earn ten Years of Service by their Normal Retirement Age shall not eligible to participate. 3. Years of Service Each year of volunteer service, a participant will accrue a year of benefit accrual if the participant was: A. enrolled as a member of the nonprofit corporation or MSTU; and B. was eligible for and received reimbursement of expenses for nine or more months of the year. In the event that a non -vested Participant fails to accrue a Year of Service during any three consecutive Plan Years, the Participant shall incur a "break -in-service", and any Years of Service earned by the Participant prior to the break -in-service, shall be disregarded for purposes of the Plan. In addition, in the event that any Participant ceases to be carried on an active membership roll as a Volunteer Firefighter or EMS Volunteer MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND EMERGENCY MEDICAL SERVICES LENGTH OF SERVICES AWARD PLAN Actuarial Valuation as of January 1, 2009 Page 15 of 23 9 5. PLAN SUMMARY EXHIBIT 4 and later returns to active membership roll, only Years of Service earned after the Participant's return to the active membership roll shall be counted for purposes of the Plan No Years of Service shall be earned for any year of volunteer service after the Participant has attained age sixty (60). Contributions Each Plan Year, the Board shall appropriate funds from the budgets of the various volunteer fire/rescue MSTU's to fund the accrued or prospective benefits for Participants on an actuarially sound basis. Normal Retirement Benefit (a) Eligibility: Completion of 10 years of service. (b) Benefit: An annual benefit based on the following schedule: Benefit Schedule Years of Monthly Annual Service Benefit Benefit 25 $375 $4500 24 360 4320 23 345 4140 22 330 3960 21 315 3780 20 300 3600 19 285 3420 18 270 3240 17 255 3060 16 240 2880 15 225 2700 14 210 2520 13 195 2340 12 180 2160 11 165 1980 10 150 1800 (c) Form of Payment: Benefit payments are payable monthly for a period of ten years MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND EMERGENCY MEDICAL SERVICES LENGTH OF SERVICES AWARD PLAN Actuarial Valuation as of January 1, 2009 Page 16 of 23 PLAN SUMMARY EXHIBIT 4 6. Vesting (a) Eligibility: Completion of 10 years of service prior to attainment of Normal Retirement Age (b) Volunteer Firefighters: Attained the rank of Structural Firefighter, Non -Structural Firefighter and/or Emergency Vehicle Driver -Operator prior to being credited with 10 years of service. (c) Volunteer EMS: Attained the certification of Emergency Medical Technician or Paramedic or met all requirements by the State of Florida necessary to drive an .. emergency medical care and transportation vehicle (ambulance) prior to being credited with 10 years of service. 7. Death Benefits rior to Attaining Normal Retirement A e (a) Eligibility: Death of a vested Participant. (b) Benefit: The present value of vested accrued benefits. MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND EMERGENCY MEDICAL SERVICES LENGTH OF SERVICES AWARD PLAN Actuarial Valuation as of January 1, 2009 Page 17 of 23 COST METHOD EXHIBIT 5-A COST METHOD: A variation of the aggregate actuarial cost method is being used to value the benefits. The present value of the projected benefits is calculated using the provisions of the plan and the actuarial assumptions. The actuarial value of assets is based on market value. The balance to be funded is allocated over the present value of a level annuity for the average future service of active participants. Total plan results are determined by summing the results calculated by aggregating participants by fire district, and in the case of Key Largo, separately by fire personnel and EMS personnel. A department's normal cost is not allowed to become negative. Expenses are shown unallocated and are assumed to be paid directly by the County. MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Page 18 of 23 Actuarial Valuation as of January 1, 2009 ACTUARIAL ASSUMPTIONS EXHIBIT 5 - B Actuarial Study as of: 01-Jan-2009 Valuation Date Adjustment: 0 Completed months to participate 0 Maximum, number of credited Service Months at program inception: For vesting purposes: 120 For benefit accrual purposes: 12 Annual Benefit Accrued :for each completed year of service 180 Maximum Annual Benefit Accrued for each completed year of service 4500 . y Vesting Schedule Yrs Vesting 0 0% 10 100% Termination Assumption: Godwin's Table 1, V Select & Ultimate Table, w/ 50% termination prob. for YOS<I . Interest rate function assumptions is 2.50% v: 0.97561 d: 0,02439 107.65056 a(10)due: 8.97088 i(12): 0.206% v(12): 099794 d(I 2): 0.00206 a(120)due: 106.41486 Maximum annual benefit accrual limited by IRC 3,000 334.42 Present value of maximum benefit: 40,369 Present value of annual benefit accrual 1,615 Year First Allowed for Benefit Accrual Purposes: After: 1989 Before: 1990 Maximum Credited Years for Benefit Accrual as of the Valuation Date: 21 n), MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND EMERGENCY MEDICAL SERVICES LENGTH OF SERVICES AWARD PLAN Actuarial Valuation as of January 1, 2009 Page 19 of23 PENSION COST RATIONALE EXHIBIT 6 When one speaks of pension costs, one must distinguish between "true" costs and "actuarial" costs. The true cost of a pension plan, depends on its experience and is equal to: Total Benefits Paid Total Expense to Run the Plan Investment Earnings Because this true cost is not apparent until many years into the future, and then only in retrospect; 4 the actuary scientifically estimates what the true cost will be and then assesses a share against the current year's operations. In order to estimate the true cost elements, the actuary must try to predict the future happenings which will affect them -- such as death, employee turnover, expenses, investment earnings, etc. The assessment to each current year is made using a particular "cost method", selected by the actuary considering tax implications to the Employer, future cost versus future earnings patterns, present and projected makeup of employee force, etc. Based on these considerations, the actuarial costs are found to be as shown in this report. It is important to remember that these annual costs are estimates of the actuary, which, if his projections are realized, will accumulate according to certain future patterns, as dictated by the cost method, to meet the true costs on an adequate and timely basis. MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND Page 20 of 23 EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of January 1, 2009 EXHIBIT 7 GASB 25 Notes to the Financial Statements a. (1) The above PERS administrator is a single -employer with only one contributing county employer and no nonernployer and no contributors. (2) Only Volunteer .Firefighters and EMS Volunteers are eligible at the sole discretion of the Plan Administrator. Any Volunteer who was age 60 or older on January 1, 1999 shall not be eligible to participate. In addition, any Volunteers who are age 60 or older at the time they commence volunteer service, or who commence service at a time that will not permit them to earn ten Years if Service by their Normal Retirement Age shall not be eligible to participate in this Plan. Inactive Participants by category: Retirees currently receiving benefits 7 Beneficiaries currently receiving benefits 0 Terminated employees entitled to benefits 22 29 Fully vested and past normal retirement date 37 Partially vested 0 Non -vested 24 61 (3) The benefit provisions are as follows: —_ Benefit Schedule Years of Monthly Annual Service Benefit Benefit 25 $375 $4,500 24 360 $4,320 23 345 $4,140 22 330 $3,960 21 315 $3,780 20 300 $3,600 19 285 $3,420 18 270 $3,240 17 255 $3,060 16 240 $2,880 15 225 $2,700 14 210 $2,520 13 195 $2,340 12 ISO $2,160 11 165 $1,980 10 150 $1,800 (4) Volunteer Firefighters must attain the rank of Structural Firefighter, Non -Structural Firefighter and or Emergency Vehicle Driver-Perator prior to being credited with ten Years of Service. EMS Vounteers must meet all requirements as defined by the State of Florida necessary to drive an emergency medical care and transporation vehicle (ambulance) and/or attain certification as an Emergency Medical Technician or Paramedic prior to being credited with ten Years of Service. Eligibility for vesting is completion of 10 years of service. The Plan shall be administered in accordance with the requirements of Chapter 112, Part VII, Florida Statutes. MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND Page 21 of 23 EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of January 1, 2009 EXHIBIT 7 GASB 25 Notes to the Financial Statements For each Plan Year, the Board shall appropriate funds from the budgets of the various fire/rescue MSTU's, such funds to be applied as a contribution to the LOSAP trust account in an amount as determined by the Plan Administrator as is necessary to fund the accrued or prospective benefits for Participants on an actuarially sound basis and in accordance with Part VII of Chapter 112, Florida Statutes. There are no Participant contribution requirements. The authority under which those obligations are established is the Monroe County Ordinance No. 026-1999 b. (1) The accounting policies include the Accrual basis of accounting, and assets are reported at Market Value. Exchanges or "swaps" of securities are accounted for in the income. (2) We are aware of no investments (other than U.S. government and U.S. government -guaranteed obligations) which represented more than 5% of net assets available for benefits. (3) We are aware of no investments in, loans to, or leases with any PERS official, government employer official, party related to a PERS official or governmental employer official, nonemployer contributor, or organization included in the reporting entity. The Actuarial Present Value of credited projected benefits, is a standardized disclosure measure of the present value of pension benefits, adjusted for the effects of projected salary increases and any step -rate benefits, estimated to be payable in the future as a result of employee service to date. There are no salaries paid to the Participants. MONROE COUNTY, FLORIDA VOLUNTEER FIREFIGHTER AND Page 22 of 23 EMERGENCY MEDICAL SERVICES LENGTH OF SERVICE AWARD PLAN Actuarial Valuation as of January 1, 2009 EXHIBIT 7 GASB 25 Notes to the Financial Statements The significant actuarial assumptions used to compute the pension benefit obligation were. Investment Yield: 2.50% for both present and future. Mortality Pattern: Not applicable Salary Increases. Not applicable Termination: Godwin's Table 1, V Select & Ultimate Table, with 50% termination prob. for YOS<L The System's funding policy, as mandated by ordinance, provides for actuarially determined periodic contributions The Actuarial Funding Method is a variation of the aggregate actuarial cost method. The present value of the projected benefits is calculated using the provisions of the plan and the actuarial assumptions. The actuarial value of assets includes only the value of assets. There are no member contributions, nor any State premium tax refunds. The GASB 25 Actuarial Funding Method is the Aggregate Method. Since there is no salary, allocations are based on service. Aggregation is used by fire district, in order to pen -nit the county to allocate costs by district. Under this method, gains and Iosses are spread over future normal costs. V jJJE L N � E `a Cp M W I I a PO V G : y CL 3 � I !I f I i I I � F � I I I I 1 1 � 9 N G G W I a to i3{ c W � � p, II II y O •a vi y ry [i o Q� N C T Q I O a i O .O R L7 O O W U O _ n O. O dI O uz�E W I v o W Z a [wit F U U v' Q R oo per, o c a o a c o p �oC^m' CC oa j o 0 0 ' 00 O OQ 00 90 Rw 00 O CEO C'ef 00C' CC r O o0 0o b OCV p.N+ a ° o o pop v�yo h o Q f� BOOM pN pp O� O 0 0 0 O O 0 N O ON 0 0 191 o p p 0 0 0 o M O M o p p d O O O V l O V 0 0 Ob 0000 0 0 0 RO 0 0 0 � p.� 0 O b i N Nbd � Goo N M O Q p p o00o OOQ90 O Oc ^ M rl V N06 V If b l 00 O DO C2 N [�00 r• nO� CN C N � N O O1 07 v 0 0 0 0 .fl _ F _ u F Q F x y BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20.2010 Division: Emergency Services Bulk Item: Yes X No Department:, Emergency Management Staff Contact Person: Jose Tezanos X6325 AGENDA ITEM WORDING: Approval of a Memorandum of Agreement with the City of Miami dated September 30, 2009 concerning an Unified States Department of Homeland Security's Office of Grants & Training (OG&T), through the State of Florida Division of Emergency Management (FDEM) sub -grant (Agreement # IODS-48-11-23-02-195), fully grant funded and no county match, and authorization for the County Administrator to execute any other required documentation in relation to the application process. ITEM BACKGROUND: The United States Department of Homeland Security's Office of Grants & Training (OG&T), through the State of Florida .Division of Emergency Management (FDEM), has subgranted the Urban Area Security Initiative (UASI) Grant Program, FY 2008, to the City of Miami, Miami -Dade and Monroe Counties, and the City of Hialeah in the amount of $11,271,885.00. This program targets homeland security funding to "high threat" urban areas in order to prevent, respond, and recover from threats or acts of terrorism. Monroe County is receiving $320,004.00 and it breaks down as follows; MCSO $201,720,00, and MCEM $118,284.00. PREVIOUS RELEVANT BOCC ACTION: The UASI FY05, FY06, and UASI FY07 were approved on the March 15, 2006, May 11, 2007 and March 1.9, 2008 BOCC meeting respectively. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: It is appropriate to accept UASI FY08 Grant award. The .Monroe County Sheriff Office to provide the MCBOCC a MOU to apply for reimbursement of funds. A revenue fund to be established by OMB. TOTAL COST: $320 004.00 INDIRECT COST: BUDGETED: Yes No DIFFERENTIAL OF LOCAL PREFERENCE: COST TO COUNTY: None SOURCE OF FUNDS: UASI Grant REVENUE PRODUCING: Yes No X AMOUNT PER MONTH Year APPROVED BY: County Atty X OMB/Purchasing X Risk Management X DOCUMENTATION: lncluded X Not Required DISPOSITION: Revised 07/09 AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: City of Miami Contract IODS-48-11-23-02-195 Effective Date: November 20, 2009 Expiration Date: May 31, 201I Contract Purpose/Description: The United States Department of Homeland Security's Office of Grants & Training (OG&T), through the State of Florida Division of Emergency Management (FDEM), has subgranted the Urban Area Security Initiative (UASI) Grant Program, FY 2008, to the City of Miami, Miami -Dade and Monroe Counties, and the City of Hialeah in the amount of 11 620 600.00. Monroe Cojmty is receiving $320 004.00 and it breaks down as follows; MCSO $201,720.00, and the MCEM $118,284.00. The MCBOCC will need a MOU from the MC Sheriff Office. A revenue fund needs to be established. Contract Manager: Irene Toner 6065 14 (Name) (Ext-) (Department/Stop #) for BOCC meeting on Jan. 20, 2010 Lends Deadline: Jan. 5, 2010 CONTRACT COSTS Total Dollar Value of Contract: $ 320,004.00 Current Year Portion: $ Budgeted? Yes❑ No ® Account Codes: 125- - - - Grant: $ 320,004.00 - - - County Match: $ 0 ADDITIONAL COSTS j Estimated Ongoing Costs: $Q/yr For: NIA (Not included in dollar value above) (e . maintenance, utilities, janitorial, st Date In Division Director 1 -5 -1 O Risk Management -5- 0 O.IVfB./Purchasing 15 ID County Attorney )� lb o 1 Comments: CONTRACT REVIEW 320,004.00 etc. Changes Date Out - Needed Zvi 6r Yes❑ No[ra/ _ A.------- Yes[] No[ ]j Yes❑ NoF. A� M bo Yes❑ NoB/ PEDRO G. HERNANDEZ City Manager December 7, 2009 Jose Tezanos Emergency Management Planner Monroe County 490 63`d Street Ocean, #150 Marathon, FL 33050 RE: Memorandum of Understandine for UASI FY 2008 State Contract Number IODS48-11-23-02-195 Dear Mr. Tezanos: MAURICE L. KEMP Fire Chief Please find enclosed the executed 2008 UASI agreement, its Resolution, as well as the Memorandum of Agreement between the City of Miami and Monroe County, establishing the parties' responsibilities in connection with the implementation and support of the Urban Area Security Initiative Grant Project FY 2008 administered by the City of Miami's Department of Fire -Rescue. Please process and sign and return (3) originals. Should you have any questions concerning this submittal or require further information, please contact me at (305) 416-5429 or kjordahl(@miami og v.com. Ikj Enclosed Sincerely, Kristin . Jordahl Project Coordinator Miami Urban Area Security Initiative City of Miami Department of Fire -Rescue DEPARTMENT OF FIR E-RESCiE/Administration 1151 N.W. 7"' Street I Miami, F133136 I (305) 575-5216 MEMORANDUM OF AGREEMENT FOR PARTICIPATING MIAMI UASI GRANT 2008 AGENCY "Monroe County" This Agreement is entered into this day of , 2009, by and between the City of Miami, a municipal corporation of the State of Florida, (the "Sponsoring Agency") and Monroe County, (the "Participating Agency") RECITALS WHEREAS, the U.S, Department of Homeland Security (USDHS) is providing financial assistance to the Miami urban area in the amount $11,271,885 dollars through the Urban Area Security Initiative (UASI) Grant Program 2008; and WHEREAS, the Sponsoring Agency is the coordinating agent for the Miami UASI Grant Program 2008; and WHEREAS, as the USDHS requires that the urban areas selected for funding take a regional metropolitan area approach to the development and implementation of the UASI Grant Program 2008 and involve core cities, core counties, contiguous jurisdictions, mutual aid partners, and State agencies; and WHEREAS, the 2008 Urban Area has been defined as the City of Miami, Miami - Dade and Monroe Counties, and the City of Hialeah, and anticipates sub -granting a portion of the UASI funds in accordance with the grant requirements; and WHEREAS, the City Commission, by Resolution No. adopted o S , has authorized the City Manager to enter into this Agreement with each participating agency on behalf of the City of Miami; and WHEREAS, the Sponsoring Agency wishes to work with the participating agencies through the Urban Area Working Group process to enhance Miami and its surrounding jurisdictions ability to respond to a terrorist threat or act. Page I of 10 NOW THEREFORE, in consideration of the foregoing, the parties hereto agree as follow: I. PURPOSE A. This Agreement delineates responsibilities of the Sponsoring Agency and the Participating Agencies for activities under the UASI Grant Program 2008 which was made available by the U.S. Department of Homeland Security and the State of Florida Division of Emergency Management (FDEM). B. This Agreement'serves as the Scope of Work between the Participating Agency and the Sponsoring Agency. II. SCOPE A. The provisions of this Agreement apply to UASI Grant Program 2008 activities to be performed at the request of the federal government, provided at the option of the Sponsoring Agency, and in conjunction with, preparation for, or in anticipation of, a major disaster or emergency related to terrorism and or weapons of mass destruction. B. No provision in this Agreement limits the activities of the Urban Area Working Group or its Sponsoring Agency in performing local and state functions. III DEFINITIONS A. Critical Infrastructure. Any system or asset that if attacked would result in catastrophic loss of life and/or catastrophic economic loss management of resources (including systems for classifying types of resources); qualifications and certification; and the collection, tracking, and reporting of incident information and incident resources. Page 2 of 10 B. Core County. The county within which the core city is geographically located. The core city is the City of Miami. C. UASI Grant Program 2008. The UASI Grant Program 2008 reflects the intent of Congress and the Administration to enhance and quantify the preparedness of the nation to combat terrorism. D. National Incident Management System (NIMS). This system will provide a consistent nationwide approach for federal, state, and local governments to work effectively and efficiently together to prepare for, respond to, and recover from domestic incidents, regardless of cause, size, or complexity. To provide for interoperability and compatibility among Federal, State, and local capabilities, the NIMS will include a core set of concepts, principles, terminology, and technologies covering the incident command system; multi -agency coordination systems; unified command; training; identification and E. Urban Area Working Group (UAWG). The State Administrating Agency Point of Contact (SAA POC) must work through the Mayor/CEOs from all other jurisdictions within the defined urban area to identify POCs from these jurisdictions to serve on the Urban Area Working Group, The Urban Area Working Group will be responsible for coordinating development and implementation of all program elements, including the urban area assessment, strategy development, and any direct services that are delivered by the grant. F. UASI Grant Program 2008. This grant is being provided to address the unique equipment, training, planning, and exercise needs of large high threat urban areas, and program activities must involve coordination by the identified core city, core county/counties, and the respective State Administrative Agency. Funding for the UASI Grant Program 2008 was appropriated by U.S. Congress and is authorized by Public Law 108-11, the Emergency Wartime Supplemental Appropriations Act, 2003. The funding will provide assistance to build an enhanced and sustainable capacity to prevent, respond to, and recover from threats or acts of terrorism for the selected urban areas. Page 3 of 10 G. Urban Area. An urban area is limited to inclusion of jurisdictions contiguous to the core city and county/counties, or with which the core city or county/counties have established formal mutual aid agreements. IV. SPONSORING AGENCY SHALL BE RESPONSIBLE FOR: A. Providing an administrative department, which shall be the City of Miami Fire - Rescue Department, authorized to carry out the herein agreed upon responsibilities of the Sponsoring Agency. B. Coordinating with named counties and cities, with the respective State Administrative Agency, and with the FDEM and USDHS. C. Conducting a comprehensive Urban Area Assessment, which will in turn guide the development of an Urban Area Homeland Security Strategy. D. Ensuring the participation of the following critical players in the assessment and strategy development process: law enforcement, emergency medical services, emergency management, the fire service, hazardous materials, public works, governmental administrative, public safety communications, healthcare and public health. E. Developing a comprehensive Urban Area Homeland Security Strategy and submit to the SAA POC. F. Complying with the requirements or statutory objectives of federal law. G. Ensuring satisfactory progress toward the goals or objectives set forth in the grant application. H. Following grant agreement requirements and/or special conditions. Page 4 of 10 I. Submitting required reports. V. THE PARTICIPATING AGENCIES SHALL SE RESPONSIBLE FOR: A. Providing an administrative department, which shall be the main liaison and partner with the City of Miami Fire -Rescue Department, authorized to carry out the herein agreed upon responsibilities of the Sponsoring Agency. B. Developing sub -grants for municipalities within each county id accordance with UASI Grant Program 2008 requirements. Participating Agencies and sub -grantees must abide by the grant requirements including budget authorizations, required accounting and reporting on fund usage, use of funds only for the intended purpose, and tracking of federally funded assets. C. Submitting monthly budget detail worksheets to the City of Miami on the progress of direct purchases of equipment or services. D. Complying with all UASI Grant Program 2008 requirements. E. Participating as a member of the Urban Area Working Group to include coordinating with and assisting the City of Miami in conducting a comprehensive Urban Area Assessment, which in turn will guide development of an Urban Area Homeland Security Strategy. F. Ensuring the participation of the following critical players in the assessment and strategy development process: law enforcement, emergency medical services, emergency management, the fire service, hazardous materials, puo11c worxs, governmental administrative, pudic safety communications, healthcare and public health. G. Assisting the sponsoring agency in development of a comprehensive Urban Area Homeland Security Strategy. Page 5 of 10 H. Complying with the requirements or statutory objectives of federal law. 1. Ensuring satisfactory progress toward the goals or objectives set forth in the grant application. J. Following UASI Grant Program 2008 agreement requirements and/or special conditions. K. Submitting required reports as prescribed by the Sponsoring Agency. L. Maintaining an equipment inventory of UASI purchased items. VI. THE SPONSORING AGENCY AND THE PARTICIPATING AGENCY AGREE: A. That funding acquired and identified for the Urban Area Security Initiative will be administered solely by the Sponsoring Agency. B. The Participating Agencies will provide financial and performance reports to the sponsoring agency in a timely fashion. The Sponsoring Agency will prepare consolidated reports for submission to the State of Florida. C, The Sponsoring Agency is not responsible for personnel salaries, benefits, workers compensation or time related issues of the Participating Agency personnel. D, Sponsoring Agency and Participating Agency are subdivisions as defined in Section 768.28, Florida Statutes, and each party agrees to be fully responsible for the respective acts and omissions of its agents or employees to the extent permitted by law. Nothing herein is intended to serve as a waiver of sovereign immunity by any party to which sovereign immunity may be applicable. Nothing herein shall be construed as consent by a state agency or subdivision of the State of Florida to be sued by third parties in any manner arising out of this Agreement or any other contract. Page 6 of 10 E. This is a reimbursement grant that requires the Participating Agencies to purchase, receive, and pay invoices in full for equipment, services, and allowable personnel costs PRIOR to submitting the same for reimbursement to the Sponsoring Agency. VII. FINANCIAL AGREEMENTS A. Financial and Compliance Audit Report: Recipients that expend $300,000 or more of Federal funds during their fiscal year are required to submit an organization -wide financial and compliance audit report. The audit must be performed in accordance with the U-S. General Accounting Office Government Auditing Standards and OMB Circular A-133. B. The Secretary of Homeland Security and the Comptroller General of the United States shall have access to any books, documents, and records of recipients of UASI Grant Program 2008 assistance for audit and examination purposes, provided that, in the opinion of the Secretary of Homeland Security or the Comptroller General, these documents are related to the receipt or use of such assistance. The grantee will also give the sponsoring agency or the Comptroller General, through any authorized representative, access to and the right to examine all records, books, papers or documents related to the grant. C. Financial Status Reports are due within 45 days after the end of each calendar quarter. A report must be submitted for every quarter that the award is active, including partial calendar quarters, as well as for periods where no grant activity occurs. D. Submit Categorical Assistance Progress Report to describe progress to date in implementing the grant and its impact on homeland security in the state. E. All financial commitments herein are made subject to the availability of funds and the continued mutual agreements of the parties. Page 7 of 10 Vlll. CONDITIONS, AMENDMENTS, AND TERMINATION A. The Participating Agency will not illegally discriminate against any employee or applicant for employment on the grounds of race, color, religion, sex, age, or national origin in fulfilling any and all obligations under this Agreement. B. Any provision of this Agreement later found to be in conflict with Federal law or regulation, or invalidated by a court of competent jurisdiction, shall be considered inoperable and/or superseded by that law or regulation. Any provision found inoperable is severable from this Agreement, and the remainder of the Agreement shall remain in full force and effect. C. This Agreement may be modified or amended only with the written agreement of each of the parties. D. This Agreement may be terminated by either party on thirty (30) days written notice to the other party. E. This Agreement shall be considered the full and complete agreement between the undersigned parties, and shall supersede any prior Memorandum of Agreement among the parties, written or oral, except for any executory obligations that have not been fulfilled. F. This Agreement may be executed in several parts, each of which shall be considered a valid Agreement, provided that each of the parties to the Agreement has executed at least one (1) original copy of the Agreement and has transmitted copy of the signature page hereof to the other parties. G. This Agreement will end on May 31, 2011, unless otherwise extended, at which time the parties may agree to renew the association. Renewal will be based on evaluation of the Sponsoring Agency's ability to conform to procedures, training and equipment standards as prescribed by the grant. Page 8 of 10 ATTEST: SPONSORING AGENCY THE CITY OF MIAMI, a municipal Corporation of the State of Florida BY: & BY: Priscilla A. ThompsonPedro G. Hern dez City Clerk Z ^ 3 City Manager APPROVED AS TO FORM AND APPROVED AS TO,INS,URANCE CORRECTNESS: REQUIREMENTS;/ / BY: B rUM�y Julie 0. Bru LeAnn Br m, Director C,ity Attorney Risk Management PARTICIPATING AGENCY "Monroe County" ATTEST: BY: Name: NAME: Title: TITLE: MONROE COUNTYATTORNEY fAFO V D AQ, �O F Page 9 of 10 YNT#- IA L. HALL ASSISTANT COUNTS` ATTORNEY nn+o I'j—f�.�l7 ` APPROVED AS TO FORM AND CORRECTNESS: Partici ating Agency Attorney 17, - (5 ` 2609 Page 10 of 10 STATE OF FLORIDA DIVISION'OF.EMERGENCY MANAGEMENT FINANCIAL. HISTORY REPORT/QUARTERLY STATUS REPORT FORMS',1 AND � GRANTEE: AGREEMENT # (check the quarter of submission along with year) QUARTERLY REPORTING DUE DATES JANUARY 1 — MARCH 31 — Due no later than April 30, APRIL 1 — JUNE 30 — Due no later than July 31, JULY 1 — SEPTEMBER 30 — Due no later than OCTOBER 31, _ OCTOBER 1 - DECEMBER 31 — Due no later than January 31, FINANCIAL ,HISTORY REPORT; TH1S'IS A REQUIRED bOCUMENT AND. MUST BESUBMITTED QUARTERLY CUMULATIVE FUNDS EXPENDED 1. Planning Costs 2. Organizational Activities limited to 25% of the total UASI award 3. Training Costs 4. Exercise Costs 5. E ui ment Ac uisition Costs 5. Management and Administration Costs limited to 3% of the total award 7. TOTAL EXPENDITURES TOTAL PAYMENTS PREVIOUSLY RECEIVED I hereby certify that the above costs are true and valid costs incurred in accordance with the project agreement. Signed This information must be clearly linked to the project TIMELINE, DELIVERABLES AND THE SCOPE OF WORK. Report events, progress, delays, etc. that pertain to this project (Attach additional pages(s) if needed) STATE OF FLORIDA DIVISION OF EMERGENCY MANAGEMENT Department of Homeland Security 2008 Urban Areas Security Initiative (UASI) CONTRACTUAL FORMS and -REQUIREMENTS Quarterly Financial History Report/ Status Report (Form 'I and Form 2): These reports must be completed in full quarterly. These are required reports and must be submitted within 30 days of the end of each report period in order to be considered in compliance with the terms of the contract. These reports are to include, but not be limited to, the work that has been completed, the work in progress and the timeline of the work left to be completed. If any delays from the original timeline have occurred, specify the reason and revise the completion timeline. If expenditures do not occur during a given report period, Forms 1 and 2 should be submitted with complete information clearly linked to the project. Reimbursement Request (Form 3), Detail of Claims (Form 4) and Budget Detail Worksheet (Form 4B): 1 These forms are to be filed as needed. Complete Reimbursement Request by entering all information needed for reimbursement. 2 The Detail of Claims form must accompany the Reimbursement Request form, along with the Budget detail Worksheet. 3. The Reimbursement Request form must be signed by the contract manager or someone with equal authority. Claims are to be submitted to the following address: STATE OF FLORIDA DIVISION OF EMERGENCY MANAGEMENT BUREAU OF RESPONSE DHS GRANTS UNIT—Attn: (Carolyn Washington) 2555 SHUMARD OAK BOULEVARD TALLAHASSEE, FLORIDA 32399-2100 Close Out Report - (Form 5): Close Out Reports are due as soon as the final payment has been made and all final expenditures have occurred. The contract cannot be considered closed until the Close Out Report has been received. Documentation of project expenditures: 1. Grantees must maintain documentation of expenditures for a minimum period of five years following the close of project/program operations unless audits require a longer period of time. 2. Grantees should maintain a financial file with copies of back-up documentation for all paid project/program expenditures made by the grantee during the grant period. Documentation of expenditures against the program will be reviewed and verified during on -site monitoring visits or when necessary by the DEM staff. Acceptable documentation includes copies of purchase orders and paid vouchers, paid invoices or cancelled checks, payroll vouchers, journal transfers, etc. These documents should be submitted when requesting reimbursement. 3. In order to document hours worked on the program by permanent or temporary staff, the grantee may use its own time and attendance forms. 4. All claims for reimbursement of expenditures must be submitted on the approved DCA financial reporting forms. Claims not submitted on the proper form cannot be processed and will be returned for corrections. IF YOU WISH TO OBTAIN THESE FORMS ELECTONICALLY, PLEASE NOTIFY YOUR CONTRACT MANAGER STATE OF: FLORIDA. 'DIVISION 'OF EMERGENCY MANAGEMENT ..-:.:.:REIMBURSEMENT REQUEST FORM 3 Grantee Payment date Address Pa meat # Phone# -Agreement # Agreement Amount COSTS INCURRED DURING THE PERIOD OF: through I ACCOMPANIED DETA m: "FEXPENDItukLR .......FO. .. ... 1 . Planning Expenditures 2. Organization Activities Expenditures (limited to 25% of the total UASI award) 3. Training Expenditures 4. Exercise Expenditures 5. Equipment Acquisition Expenditures 6. Management and Administration Expenditures (limited to 3% of the total award) 7. Total Expenditures I hereby certify that the above costs are true and valid costs incurred in accordance with the project agreement. Signed Contract Manager or Financial Officer AGREEMENT AMOUNT PREVIOUS PAYMENT(S) THIS PAYMENT REMAINING BALANCE TOTAL AMOUNT TO BE PAID ON THIS INVOICE c F z W 2 W W GC t9 a LL O a 0 LU a. LU 1- z R 0 w UJ W � F O z ? N h ;z .Wp :a U) w c� utii z y w a x LU a o rLu-.c? =Q a �- o a z a 0 LL Z_ v. 0 ;a z =L1J. wW LU LU �z uj mg 13 tu �O U.- OW G � �Q CL 22 OO 0 0 W (.) ma wN Dm 22 22 w19 00 STATE OF; FLORIDA DIVISION OF EMERGENCY MANAGEMENT DETAIL OF CLAIMS FORM 4B THIS FORM IS BACKUP AND MUST ACCOMPANY THE REIMBURSEMENT REQUEST AND DETAIL OF CLAIMS, FORM 4A Altawabte Ptannrng Costs Quantity Unrt Cost Total Cost `; Public Education/Outreach Develop and implement homeland security support programs and adopt ongoing DHS national initiatives Develop and enhance plans and protocols Develop or conduct assessments Establish, enhance, or evaluate Citizen Corps -related volunteer programs Hiring of full or part-time staff or contractors/consultants to assist with planning activities (not for the purpose of hiring public safety personnel fulfilling traditional public safety duties) Conferences to facilitate planning activities Materials required to conduct planning activities Travel/per diem related to planning activities Overtime and backfill costs — Payment of overtime expenses will be for work performed by award (SAA) or sub -award employees in excess of the established work week (usually 40 hours) related to the planning activities for the development and implementation of the programs under HSGP. Other projects areas with prior approval from G&T Allowable Organizational Activities jlimrted to 25°/a ofi the total UAS 0' " tJCost Total quantity nrt Overtime for information, investigative, and intelligence sharing activities Reimbursement of select operational expenses associated with increased security measures at critical infrastructure sites, incurred during time periods of DHS-declared Code Orange or Yellow (limited to 10%) or Code Orange (limited to the remaining15%). Funds may only be used in the following authorized categories: • Backfill and overtime expenses for staffing state or local EOCs • Hiring of contracted security for critical infrastructure sites • Public safety overtime • National Guard deployments to protect critical infrastructure sites • Increased border security activities in coordination with CBP. Hiring of contractors/consultants for participation in inform ationlintelligence analysis and sharing groups or intelligence fusion center activities Allpwabl� Trarriing Costs ` QuanElty Unit Cosf Total Cost . 1 Overtime and backfill funding for emergency preparedness and response personnel attending G&T-sponsored and approved training classes. Grantees may also use G&T grant funds to cover overtime and backfill expenses for part-time and volunteer emergency response personnel participating in G&T training. UASI funds may also be used for training pitizens in awareness, prevention, protection. response and recovery skills Training Workshops and Conferences -. Full or Part -Time Staff or Contractors/Consultants Travel Supplies Other items A complete list of G&T approved courses may be found at www,ojp,usdoa.gov/odi)ldocs/TED Course Catalog2007.pdf Exercise Planning Workshop - Grant funds may be used to plan and conduct an Exercise Planning Workshop to include costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel and exercise plan development. Full or Part -Time Staff or Contractors/Consultants - Full or part-time staff may be hired to support exercise -related activities. Payment of salaries and fringe benefits must be in accordance with the policies of the state or local unit(s) of government and have the approval of the state or the awarding agency, whichever is applicable. The services of contractors/consultants may also be procured to support the design, development, conduct and evaluation of CBRNE exercises. The applicant's formal written procurement policy or the Federal Acquisition Regulations (FAR) must be followed. Overtime and backfill costs — Overtime and backfill costs associated with the design, development and conduct of CBRNE exercises are allowable expenses. Grantees may also use G&T grant funds to cover overtime and backfill expenses for part-time and volunteer emergency response personnel participating in G&T exercises. Travel - Travel costs (i.e., airfare, mileage, per diem, hotel, etc.) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the exercise project(s). These costs must be in accordance with state law as highlighted in the OJP Financial Guide. States must also follow state regulations regarding travel. If a state or territory does not have a travel policy they must follow federal guidelines and rates, as explained in the OJP Financial Guide. For further information on federal law pertaining to travel costs please refer to www.oip.usdoi..qov/fin.guide06/. Supplies Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g.; copying paper, gloves, tape, non -sterile masks, and disposable protective Other Items - These costs include the rental of spaceilocations for exercise planning and conduct, exercise signs, badges, etc. e.g., 1.12.2.1, Covers, Outer Footwear Cyber securltyenhancement equipment Interoperable communications equipment CBE2NE incidenf response vehicles Terrorism incident prevention equipm.en# CBRNE logistical support equipment I Intervention equipment Other authorized equipment costs (include any construction or renovation costs in this category; Written approval must be provided by G & T prior to the use of any FY 2006 UASI funds for construction or renovation Personnel Up to 15% of programmatic spending may be used to support the hiring of full or art -time staff to conduct eligible programmatic activities Eligible Management and Administration Costs Hiring of full-time or part-time staff or coptractorstconsultants: • To assist with the management of FY06 HSGP. • To assist with design, requirements, and implementation of FY06 HSGP_ • To assist with the implementation and administration of the State Homeland Security Strategy, as it may relate to the individual grant program. Hiring of full-time or part-time staff or contractors/consultants and expenses related to: • HSGP application submission management activities and application requirements. • Meeting compliance with reporting/data collection requirements, including data calls. Development of operating plans for information collection and processing necessary to respond to DHS/G & T data calls. Overtime and backfill costs — Payment of overtime expenses will be for work performedby award (SAA) or sub -award employees in excess of the established work week (usually 40 hours) related to the M&A activities for the development and implementation of the programs under HSGP. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or local unit(s) of government and has the approval of the state or the awarding agency, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e_g., 1:00 pm to 5:00 pm), even though such work may benefit both activities. Fringe benefits on overtime hours are limited to Federal Insurance Contributions Act (FICA), Workers' Compensation and Unemployment Compensation. Travel expenses Meeting -related expenses (For a complete list of allowable meeting - related expenses, please review the OJP Financial Guide at Acquisition of authorized office equipment, including personal computers, laptop computers, printers, LCD projectors, and other equipment or software which may be required to support the The following are allowable only within the contract period: • Recurring fees/charges associated with certain equipment, such as cell phones, faxes, etc. • Leasing and/or renting of space for newly hired personnel to administer programs within FY06 UASI. TOTAL GRANTEE AGREEMENT# ADDRESS AGREEMENT AMOUNT CITY AND STATE AGREEMENT PERIOD COST CATEGORIES :. TOTAL' EXPENDITURES 1 Plannin Costs 2. Organizational Activities limited to 25% of the total UASI award 3. Training Costs 4. Exercise Costs 5. Equipment Acquisition Costs 6 Management and Administration Costs limited to 3% of total UASI award 7. TOTAL EXPENDITURES Total Funds Received From The Division of Emergency Management Agreement (column 4, Line 7) Less Total Grant Award Expenditures (Col. 2, Line 7) Equal Balance of Agreement Owed to DEM Refund Due to State? Yes No If Yes, Refund Check Enclosed? Yes No If No, Enter Date Refund will be submitted Refund and/or final interest check are due no later than ninety (90) days after the expiration date of the Agreement. Make Check Payable to: Cashier Department of Community Affairs Mail to: Department of Community Affairs Division of Emergency Management 2555 Shumard Oaks Boulevard Tallahassee, Florida 32399-2100 (3) . (4) FUNh5 RECEIVED UNDER THIS AGREEMENT Date .'. Amount 7. TOTAL A reement Amount . Less Total Funds Received under this Agreement Column 4,Line 7 Balance ofA reement I hereby certify that the above costs are true and valid costs incurred in accordance with the project Agreement, and that the matching funds, in -kind or cash, were utilized toward the project in this Agreement. Signed Date Contract Manager or Financial Officer Contract Number: 10DS-48-11-23-02-195 CFDA Number: 97.007 FEDERALLY -FUNDED SUBGRANT AGREEMENT THIS AGREEMENT is entered into by the State of Florida, Division of Emergency Management, with headquarters in Tallahassee, Florida (hereinafter referred to as the "Division"), and the City of Miami, (hereinafter referred to as the "Recipient"). THIS AGREEMENT IS ENTERED INTO BASED ON THE FOLLOWING REPRESENTATIONS: A. The Recipient represents that it is fully qualified and eligible to receive these grant funds to provide the services identified herein; and B. The Division has received these grant funds from the State of Florida, and has the authority to subgrant these funds to the Recipient upon the terms and conditions below; and C. The Division has statutory authority to disburse the funds under this Agreement. THEREFORE, the Division and the Recipient agree to the following: (1) SCOPE OF WORK. The Recipient shall perform the work in accordance with the Budget and Scope of Work, Attachment A of this Agreement. (2) INCORPORATION OF LAWS, RULES, REGULATIONS AND POLICIES The Recipient and the Division shall be governed by applicable State and Federal laws, rules and regulations, including those identified in Attachment B. (3) PERIOD OF AGREEMENT. This Agreement shall begin upon execution by both parties, and shall end 30 months after the date of execution, but no later than May 31, 2011, unless terminated earlier in accordance with the provisions of Paragraph (12) of this Agreement. (4) MODIFICATION OF CONTRACT Either party may request modification of the provisions of this Agreement. Changes _ which are agreed upon shall be valid only when in writing, signed by each of the parties, and attached to the original of this Agreement. (5) RECORDKEEPING (a) As applicable, Recipient's performance under this Agreement shall be subject to the federal Common Rule: Uniform Administrative Requirements for State and Local Governments" (53 Federal Register 8034) or OMB Circular No. A-110, "Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations," and either OMB Circular No. A-87, "Cost Principles for State and Local Governments," OMB Circular No. A-21, "Cost Principles for Educational 1 Institutions," or OMB Circular No. A-122, "Cost Principles for Nonprofit Organizations." if this Agreement is made with a commercial (for -profit) organization on a cost -reimbursement basis, the Recipient shall be subject to Federal Acquisition Regulations 31.2 and 039.2. (b) The Recipient shall retain sufficient records to show its compliance with the terms of this Agreement, and the compliance of all subcontractors or consultants paid from funds under this Agreement, for a period of five years from the date the audit report is issued, and shall allow the Division or its designee, the State Chief Financial Officer or the State Auditor General access to the records upon request. The Recipient shall ensure that audit working papers are available to them upon request for a period of five years from the date the audit report is issued, unless extended in writing by the Division. The five year period may be extended for the following exceptions: 1. It any litigation, claim or audit is started before the five year period expires, and extends beyond the five year period, the records shall be retained until all litigation, claims or audit findings involving the records have been resolved. 2. Records for the disposition of non -expendable personal property valued at $5,000 or more at the time it is acquired shall be retained for five years after final disposition. 3. Records relating to real property acquired shall be retained for five years after the closing on the transfer of title. (c) The Recipient shall maintain all records for the Recipient and for all subcontractors or consultants to be paid from funds provided under this Agreement, including documentation of all program costs, in a form sufficient to determine compliance with the requirements and objectives of the Budget and Scope of Work - Attachment A - and all other applicable laws and regulations. (d) The Recipient, its employees or agents, including all subcontractors or consultants to be paid from funds provided under this Agreement, shall allow access to its records at reasonable times to the Division, its employees, and agents. "Reasonable" shall ordinarily mean during normal business hours of 8:00 a.m. to 5:00 p.m., local time, on Monday through Friday. "Agents" shall include, but not be limited to, auditors retained by the Division. (6) AUDIT REQUIREMENTS (a) The Recipient agrees to maintain financial procedures and support documents, in accordance with generally accepted accounting principles, to account for the receipt and expenditure of funds under this Agreement (b) These records shall be available at reasonable times for inspection, review, or audit by state personnel and other personnel authorized by the Department or the Division. "Reasonable" shall ordinarily mean normal business hours of 8:00 a.m. to 5:00 p.m., local time, Monday through Friday. (c) The Recipient shall provide the Department with the records, reports or financial statements upon request for the purposes of auditing and monitoring the funds awarded under this Agreement. 2 (d) If the Recipient is a State or local government or a non-profit organization as defined in OMB Circular A-133, as revised, and in the event that the Recipient expends $500,000 or more in Federal awards in its fiscal year, the Recipient must have a single or program -specific audit conducted in accordance with the provisions of OMB Circular A-133, as revised. EXHIBIT 1 to this Agreement shows the Federal resources awarded through the Division by this Agreement, In determining the Federal awards expended in its fiscal year, the Recipient shall consider all sources of Federal awards, including Federal resources received from the Division. The determination of amounts of Federal awards expended should be in accordance with the guidelines established by OMB Circular A-133, as revised. An audit of the Recipient conducted by the Auditor General in accordance with the provisions of OMB Circular A-133, as revised, will meet the requirements of this paragraph. In connection with the audit requirements addressed in this Paragraph 6 (d) above, the Recipient shall fulfill the requirements for auditee responsibilities as provided in Subpart C of OMB Circular A-133, as revised. If the Recipient expends less than $500,000 in Federal awards in its fiscal year, an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, is not required. In the event that the Recipient expends less than $500,000 in Federal awards in its fiscal year and chooses to have an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, the cost of the audit must be paid from non -Federal funds. (e) Send copies of reporting packages for audits conducted in accordance with OMB Circular A-133, as revised, and required by subparagraph (d) above, when required by Section .320 (d), OMB Circular A-133, as revised, by or on behalf of the Recipient to: The Division at each of the following addresses: Department of Community Affairs Office of Audit Services 2555 Shumard Oak Boulevard Tallahassee, Florida 32399-2100 [also send an electronic copy to aurilia.parrish@dca.state.fl.us] and Division of Emergency Management Bureau.of Response 2555 Shumard Oak Boulevard Tallahassee, Florida 32399-2100 The Federal Audit Clearinghouse designated in OMB Circular A-133, as revised (submit the number of copies required by Sections .320(d)(1) and (2), OMB Circular A-133, as revised), at the following address: Federal Audit Clearinghouse Bureau of the Census 1201 East 10`h Street Jeffersonville, IN 47132 3 Other Federal agencies and pass -through entities in accordance with Sections .320 (e) and (f), OMB Circular A-133, as revised. (f) Pursuant to Section _320 (0, OMB Circular A-133, as revised, the Recipient shall send a copy of the reporting package described in Section .320 (c), OMB Circular A-133, as revised, and any management letter issued by the auditor, to the Division at the following addresses: Department of Community Affairs Office of Audit Services 2555 Shumard Oak Boulevard Tallahassee, Florida 32399-21 DO [also send an electronic copy to aurilla.parrish@dca.state.fl_us] and Division of Emergency Management Bureau of Response 2555 Shumard Oak Boulevard Tallahassee, Florida 32399-2100 (g) By the date due, send any reports, management letter, or other information required to be submitted to the Division pursuant to this Agreement in accordance with OMB Circular A-133, Florida Statutes, and Chapters 10.550 (local governmental entities) or 10,650 (nonprofit and for -profit organizations), Rules of the Auditor General, as applicable. (h) Recipients should state the date that the reporting package was delivered to the Recipient when submitting financial reporting packages to the Division for audits done in accordance with OMB Circular A-133 or Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General, (i) If the audit shows that all or any portion of the funds disbursed were not spent in accordance with the conditions of this Agreement, the Recipient shall be held liable for reimbursement to the Division of all funds not spent in accordance with these applicable regulations and Agreement provisions within thirty days after the Division has notified the Recipient of such non-compliance. 0) The Recipient shall have all audits completed by an independent certified public accountant (IPA), either a certified public accountant or a public accountant licensed under Chapter 473, Fla. Stat. The IPA shall state that the audit complied with the applicable provisions noted above. The audit must be received by the Division no later than nine months from the end of the Recipient's fiscal year. (7) REPORTS (a) The Recipient shall provide the Division with quarterly reports and a close-out report. These reports shall include the current status and progress by the Recipient and all subrecipients and subcontractors in completing the work described in the Scope of Work and the expenditure of funds under this Agreement, in addition to any other information requested by the Division. 4 (b) Quarterly reports are due to the Division no later than 30 days after the end of each quarter of the program year and shall be sent each quarter until submission of the administrative close- out report. The ending dates for each quarter of the program year are March 31, June 30, September 30 and December 31. (c) The close-out report is due 60 days after termination of this Agreement or 60 days after completion of the activities contained in this Agreement, whichever first occurs. (d) If all required reports and copies are not sent to the Division or are not completed in a manner acceptable to the Division, the Division may withhold further payments until they are completed or may take other action as stated in Paragraph (11) REMEDIES. "Acceptable to the Division" means that the work product was completed in accordance with the Budget and Scope of Work. (e) The Recipient shall provide additional program updates or information that may be required by the Division. (8) MONITORING. The Recipient shall monitor its performance under this Agreement, as well as that of its subcontractors and/or consultants who are paid from funds provided under this Agreement, to ensure that time schedules are being met, the Schedule of Deliverables and Scope of Work are being accomplished within the specified time periods, and other performance goals are being achieved. A review shall be done for each function or activity in Attachment A to this Agreement, and reported in the quarterly report. In addition to reviews of audits conducted in accordance with paragraph: (6) above, monitoring procedures may include, but not be limited to, on -site visits by Division staff, limited scope audits, and/or other procedures. The Recipient agrees to comply and cooperate with any monitoring procedures/processes deemed appropriate by the Division. In the event that the Division or the Department determines that a limited scope audit of the Recipient is appropriate, time Recipient agrees to comply with any additional instructions provided by the Division or the Department to the Recipient regarding such audit. The Recipient further agrees to comply and cooperate with any inspections, reviews, investigations or audits deemed necessary by the Florida Chief Financial Officer or Auditor General. In addition, the Division will monitor the performance and financial management by the Recipient throughout the contract term to ensure timely completion of all tasks, (9) LIABILITY' (a) Unless Recipient is a State agency or subdivision, as defined in Section 768.28, Fla. Stat., the Recipient is solely responsible to parties it deals with in carrying out the terms of this Agreement, and shall hold the Division harmless against all claims of whatever nature by third parties arising from the work performance under this Agreement. For purposes of this Agreement, Recipient agrees that it is not an employee or agent of the Division, but is an independent contractor. (b) Any Recipient which is a state agency or subdivision, as defined in Section 768.28, Fla. Stat., agrees to be fully responsible for its negligent or tortious acts or omissions which result in claims or suits against the Division, and agrees to be liable for any damages proximately caused by the acts or omissions to the extent set forth in Section 768.28, Fla. Stat. Nothing herein is intended to serve as a waiver of sovereign immunity by any Recipient to which sovereign immunity applies. Nothing herein shall be construed as consent by a state agency or subdivision of the State of Florida to be sued by third parties in any matter arising out of any contract. (10) DEFAULT. If any of the following events occur ("Events of Default"), all obligations on the part of the Division to make further payment of funds shall, if the Division elects, terminate and the Division has the option to exercise any of its remedies set forth in Paragraph (11). However, the Division may make payments or partial payments after any Events of Default without waiving the right to exercise such remedies, and without becoming liable to make any further payment: (a) If any warranty or representation made by the Recipient in this Agreement or any previous agreement with the Division is or becomes false or misleading in any respect, or if the Recipient fails to keep or perform any of the obligations, terms or covenants in this Agreement or any previous agreement with the Division and has not cured them in timely fashion, or is unable or unwilling to meet its obligations under this Agreement; (b) If material adverse changes occur in the financial condition of the Recipient at any time during the term of this Agreement and the Recipient fails to cure this adverse change within thirty days from the date written notice is sent by the Division. (c) If any reports required by this Agreement have not been submitted to the Division or have been submitted with incorrect, incomplete or insufficient information; (d) If the Recipient has failed to perform and complete on time any of its obligations under this Agreement. . (11) REMEDIES. If an Event of Default occurs, then the Division may, after thirty calendar days written notice to the Recipient and upon the Recipient's failure to cure within those thirty days, exercise any one or more of the following remedies, either concurrently or consecutively: (a) Terminate this Agreement, provided that the Recipient is given at least thirty days prior written notice of the termination. The notice shall be effective when placed in the United States, first class mail, postage prepaid, by registered or certified mail-retum receipt requested, to the address in paragraph (13) herein; Agreement; (b) Begin an appropriate legal or equitable action to enforce performance of this (c) Withhold or suspend payment of all or any part of a request for payment; (d) Require that the Recipient refund to the Division any monies used for ineligible purposes under the laws, rules and regulations governing the use of these funds. 0 law. (e) Exercise any corrective or remedial actions, to include but not be limited to: 1. request additional information from the Recipient to determine the reasons for or the extent of non-compliance or lack of performance, 2, issue a written warning to advise that more serious measures may be taken if the situation is not corrected, 3. advise the Recipient to suspend, discontinue or refrain from incurring costs for any activities in question or 4. require the Recipient to reimburse the Division for the amount of costs incurred for any items determined to be ineligible; (f) Exercise any other rights or remedies which may be available under (g) Pursuing any of the above remedies will not stop the IDMsion from pursuing any other remedies in this Agreement or provided at law or in equity. if the Division waives any right or remedy in this Agreement or fails to insist on strict performance by the Recipient, it will not affect, extend or waive any other right or remedy of the Division, or affect the later exercise of the same right or remedy by the Division for any other default by the Recipient. (12) TERMINATION. (a) The Division may terminate this Agreement for cause after thirty days written notice. Cause can include misuse of funds, fraud, lack of compliance with applicable rules, laws and regulations, failure to perform on time, and refusal by the Recipient to permit public access to any document, paper, letter, or other material subject to disclosure under Chapter 119, Fla Stat., as amended. (b) The Division may terminate this Agreement for convenience or when it determines, in its sole discretion that continuing the Agreement would not produce beneficial results in line with the further expenditure of funds, by providing the Recipient with thirty calendar days prior written notice. (c) The parties may agree to terminate this Agreement for their mutual convenience through a written amendment of this Agreement. The amendment will state the effective date of the termination and the procedures for proper closeout of the Agreement (d) In the event that this Agreement is terminated, the Recipient will not incur new obligations for the terminated portion of the Agreement after the Recipient has received the notification of _ termination. The Recipient will cancel as many outstanding obligations as possible_ Costs incurred after receipt of the termination notice will be disallowed. The Recipient shall not be relieved of liability to the Division because of any breach of Agreement by the Recipient. The Division may, to the extent authorized by law, withhold payments to the Recipient for the purpose of set-off until the exact amount of damages due the Division from the Recipient is determined. 7 (13) NOTICE AND -CONTACT. (a) All notices provided under or pursuant to this Agreement shall be in writing, either by hand delivery, or first class, certified mail, return receipt requested, to the representative named below, at the address below, and this notification attached to the original of this Agreement- (b) The name and address of the Division contract manager for this Agreement is: Carolyn. Washington, Community Assistance Consultant Division of Emergency Management Bureau of Response 2555 Shumard Oak Boulevard Tallahassee, Florida 32399-2100 Telephone: (850) 410-1271 Fax: (850) 488-7842 Email: carolyn.washington(a7em.mVflorida.com (c) The name and address of the Representative of the Recipient responsible for the administration of this Agreement is: Reginald K.Duren, Assistant Chief 1151 NW 70' Street, P Floor Miami, Florida 33136 Telephone: 305-416-5402 Fax: 305-416-5444 Email: RDuren@miamigov.com (d) In the event that different representatives or addresses are designated by either party after execution of this Agreement, notice of the name, title and address of the new representative will be provided as outlined in (13)(a) above. (14) SUBCONTRACTS If the Recipient subcontracts any of the work required under this Agreement, a copy of the unsigned subcontract must be forwarded to the [Division for review and approval before it is executed by the Recipient. The Recipient agrees to include in the subcontract that (i) the subcontractor is bound by the terms of this Agreement, (ii) the subcontractor is bound by all applicable state and federal laws and regulations, and (iii) the subcontractor shall hold the Division and Recipient harmless against all claims of whatever nature.arising out of the subcontractors performance of work under this Agreement, to the extent allowed and required by law. The Recipient shall document in the quarterly report the subcontractor's progress in performing its work under this Agreement. For each subcontract, the Recipient shall provide a written statement to the Division as to whether that subcontractor is a minority vendor, as defined in Section 288.703, Fla. Stat. (15) TERMS AND CONDITIONS This Agreement contains all the terms and conditions agreed upon by the parties. 8 (16) ATTACHMENTS (a) All attachments to this Agreement are incorporated as if set out fully. (b) In the event of any inconsistencies or conflict between the language of this Agreement and the attachments, the language of the attachments shall control, but only to the extent of the conflict or inconsistency. (c) This Agreement has the following attachments: Exhibit 1 - Funding Sources Attachment A — Budget and Scope of Work Attachment B — Program Statutes and Regulations Attachment C — Justification of Advance Attachment D — Warranties and Representations Attachment E -- Certification Regarding Debarment Attachment F — Statement of Assurances (17) FUNDING/CONSIDERATION (a) This is a cost -reimbursement Agreement. The Recipient shall be reimbursed for costs incurred in the satisfactory performance of work hereunder in an amount not to exceed $11,271,885, subject to the availability of funds. (b) Any advance payment under this Agreement is subject to Section 216.181(16), Fla Stat. nd is contingent upon the Recipient's acceptance of the rights of the Division under Paragraph (12)(b) of this Agreement. The amount which maybe advanced may not exceed the expected cash needs of the Recipient within the first three months of the contract term. For a federally funded contract, any advance payment is also subject to federal OMB Circulars A-87, A-110, A-122 and the Cash Management Improvement Act of 1990. If an advance payment is requested below, the budget data on which the request is based and a justification statement shall be included in this Agreement as Attachment C. Attachment C will specify the amount of advance payment needed and provide an explanation of the necessity for and proposed use of these funds. An advance payment of $_ is requested (c) After the initial advance, if any, payment shall be made on a reimbursement basis as needed. The Recipient agrees to expend funds in accordance with the Budget and Scope of Work, Attachment A of this Agreement. If the necessary funds are not available to fund this Agreement as a result of action by the United States Congress, the federal Office of Management and Budgeting, the State Chief Financial Officer or under subparagraph (20)(h) of this Agreement, all obligations on the part of the Division to make any further payment of funds shall terminate, and the Recipient shall submit its closeout report within thirty days of receiving notice from the Division. (18) REPAYMENTS All refunds or repayments due to the Division under this Agreement are to be made payable to the order of "Department of Community Affairs" and mailed directly to the following address: Department of Community Affairs Cashier Finance and Accounting 2555 Shumard Oak Boulevard Tallahassee FL 32399-2100 In accordance with Section 215.34(2), Fla. Stat., if a check or other draft is retumed to the Division for collection, Recipient shall pay the Division a service fee of $15.00 or 5% of the face amount of the returned check or draft, whichever is greater. (19) MANDATED CONDITIONS (a) The validity of this Agreement is subject to the truth and accuracy of all the information, representations, and materials submitted or provided by the Recipient in this Agreement, in any later submission or response to a Division request, or in any submission or response to fulfill the requirements of this Agreement. All of said information, representations, and materials is incorporated by reference. The inaccuracy of the submissions or any material changes shall, at the option of the Division and with thirty days written notice to the Recipient, cause the termination of this Agreement and the release of the Division from all its obligations to the Recipient. (b) This Agreement shall be construed under the laws of the State of Florida, and venue for any actions arising out of this Agreement shall be in the Circuit Court of Leon County. If any provision of this Agreement is in conflict with any applicable statute or rule, or is unenforceable, then the provision shall be null and void to the extent of the conflict, and shall be severable, but shall not invalidate any other provision of this Agreement. (c) Any power of approval or disapproval granted to the Division under the terms of this Agreement shall survive the term of this Agreement. (d) This Agreement may be executed in any number of counterparts, any one of which may be taken as an original. (e) The Recipient agrees to comply with the Americans With Disabilities Act (Public Law 101-336, 42 U.S.C. Section 12101,et seg. , which prohibits discrimination by public and private entities on the basis of disability in employment, public accommodations, transportation, State and local government services, and telecommunications. (f) Those who have been placed on the convicted vendor list following a conviction for a public entity crime or on the discriminaiory vendor list may not submit a bid on a contract to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to a public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or 10 consultant under a contract with a public entity, and may not transact business with any public entity in excess of $25,000.00 for a period of 36 months from the date of being placed on the convicted vendor list or on the discriminatory vendor list. (g) Any Recipient which is not a local government or state agency, and which receives funds under this Agreement from the federal government, certifies, to the best of its knowledge and belief, that it and its principals; 1. are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by a federal department or agency; 2. have not, within a five-year period preceding this proposal been convicted of or had a civil judgment rendered against them for fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under 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; 3. are not presently indicted or otherwise criminally or civilly charged by a govemmentat entity (federal, state or focal) with commission of any offenses enumerated in paragraph 19(g)2. of this certification; and 4. have not within a five-year period preceding this Agreement had one or more public transactions (federal, state or focal) terminated for cause or default. If the Recipient is unable to certify to any of the statements in this certification, then the Recipient shall attach an explanation to this Agreement. In addition, the Recipient shall send to the Division (by email or by facsimile transmission) the completed "Certification Regarding Debarment, Suspension, Ineligibility And Voluntary Exclusion" (Attachment E) for each intended subcontractor which Recipient plans to fund under this Agreement. The form must be received by the Division before the Recipient enters into a contract with any subcontractor. (h) The State of Florida's performance and obligation to pay under this Agreement is contingent upon an annual appropriation by the Legislature, and subject to any modification in accordance with Chapter 216, Fla. Stat. or the Florida Constitution. (i) All bills for fees or other compensation for services or expenses shall be submitted in detail sufficient for a proper preaudit and postaudit thereof. Fla. Stat. (j) Any bills for travel expenses shall be submitted in accordance with Section 112.061, (k) The Division reserves the right to unilaterally cancel this Agreement if the Recipient refuses to allow public access to all documents, papers, letters or other material subject to the provisions of Chapter 119, Fla. Stat., which the Recipient created or received under this Agreement. 11 (1) If the Recipient is allowed to temporarily invest any advances of funds under this Agreement, any interest income shall either be returned to the Division or be applied against the Division's obligation to pay the contract amount. (m) The State of Florida will not intentionally award publicly -funded contracts to any contractor who knowingly employs unauthorized alien workers, constituting a violation of the employment provisions contained in 8 U.S.C. Section 1324a(e) (Section 274A(e) of the Immigration and Nationality Act ("INA")]. The Division shall consider the employment by any contractor of unauthorized aliens a violation of Section 274A(e) of the INA. Such violation by the Recipient of the employment provisions contained in Section 274A(e) of the INA shall be grounds for unilateral cancellation of this Agreement by the Division. (n) The Recipient is subject to Florida's Government in the Sunshine Law (Section 286.011, Fla. Stat. with respect to the meetings of the Recipient's governing board or the meetings of any subcommittee making recommendations to the governing board. All of these meetings shall be publicly noticed, open to the public, and the minutes of all the meetings shall be public records, available to the public in accordance with Chapter 119, Fla. Stat. (o) All unmanufactured and manufactured articles, materials and supplies which are acquired for public use under this Agreement must have been produced in the United States as required under 41 U.S.C. 10a, unless it would not be in the public interest or unreasonable in cost. (20) LOBBYING PROHIBITION (a) No funds or other resources received from the Division under this Agreement may be used directly or indirectly to influence legislation or any other official action by the Florida Legislature or any state agency. (b) The Recipient certifies, by its signature to this Agreement, that to the best of his or her knowledge and belies: No Federal appropriated funds have been paid or will be paid, by or on behalf of the Recipient, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any 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 Recipient shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying." 12 3. The Recipient shall require that this certification be.included in the award documents for all subawards (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose. 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. (21) COPYRIGHT. _PATENT AND TRADEMARK ANY AND ALL PATENT RIGHTS ACCRUING UNDER OR IN CONNECTION WITH THE PERFORMANCE OF THIS AGREEMENT ARE HERESY RESERVED TO THE STATE OF FLORIDA. ANY AND ALL COPYRIGHTS ACCRUING UNDER OR IN CONNECTION WITH THE PERFORMANCE OF THIS AGREEMENT ARE HEREBY TRANSFERRED BY THE RECIPIENT TO THE STATE OF FLORIDA. (a) If the Recipient has a pre-existing patent or copyright, the Recipient shall retain all rights and entitlements to that pre-existing patent or copyright unless the Agreement provides otherwise. (b) If any discovery or invention is developed in the course of or as a result of work or services performed under this Agreement, or in any way connected with it, the Recipient shall refer the discovery or invention to the Division for a determination whether the State of Florida will seek patent protection in its name. Any patent rights accruing under or in connection with the performance of this Agreement are reserved to the State of Florida. If any books, manuals, films, or other copyrightabie material are produced, the Recipient shall notify the Division. Any copyrights accruing under or in connection with the performance under this Agreement are transferred by the Recipient to the State of Florida. (c) Within thirty days of execution of this Agreement, the Recipient shall disclose all Intellectual properties relating to the performance of this Agreement which he or she knows or should know could give rise to a patent or copyright. The Recipient shall retain all rights and entitlements to any pre-existing intellectual property which is disclosed. Failure to disclose will indicate that no such property exists. The Division shall then, under Paragraph (b), have the right to all patents and copyrights which accrue during performance of the Agreement. 13 (22) LEGAL AUTHORIZATION. The Recipient certifies that it has the legal authority to receive the funds under this Agreement and that it's governing body has authorized the execution and acceptance of this Agreement. The Recipient also certifies that the undersigned person has the authority to legally execute and bind Recipient to the terms of this Agreement. (23) ASSURANCES. The Recipient shall comply with any Statement of Assurances incorporated as Attachment F. IN WITNf�S WHEREOF, the parties hereto have executed this Agreement. RECIPIENT: CV OF MIAMI By: V _ \ j Name and title: Pedro 9. HerinandtZCity Manager Date: FID#: 5M000375 STATE OF FLORIDA DIVISION OF EMERGENCY MANGEMENT Date: Z0a 1 14 "Urban Area Security Initiative ("UASI"),Grant Program 2008 & Memoranda of Agreements" ATTEST: - Mn�� Priscilla A. Thompson City Clerk 7 (( APPROVED AS TO FORM AND CORRECTNESS: Julie 0.8ru City AttorR6 CITYPF%MjAMI, FLORIDA Pedro G. Hernandez City Manager APPROVED AS TO REQUIRENMENTS/ LeeAnn Risk M2 ion N (n� EXHIBIT —1 THE FOLLOWING FEDERAL RESOURCES ARE AWARDED TO THE RECIPIENT UNDER THIS AGREEMENT: NOTE. If the resources awarded to the Recipient are from more than one Federal program, provide the same information shown below for each Federal program and show total Federal resources awarded. Federal Program Federal agency: Urban Area Security Initiative (UASI) Catalog of Federal Domestic Assistance title and number. 97.067 Award amount: $ $11,271,885 THE FOLLOWING COMPLIANCE REQUIREMENTS APPLY TO THE FEDERAL RESOURCES AWARDED UNDER THIS AGREEMENT: NOTE: If the resources awarded to the Recipient represent more than one Federal program, list applicable compliance requirements foreach Federal program in the same manneras shown below. Federal Program: List applicable compliance requirements as follows: 1. Recipient is to use funding to perform eligible activities as identified in the Office of Grants and Training Fiscal Year 2008-2009 State Homeland Security Grant Program (SHSGP), consistent with the Department of Homeland Security State Strategy. 2. Recipient is subject to all administrative and financial requirements or will be in violation with the terms of the agreement. NOTE: Instead of listing the specific compliance requirements as shown above, the State awarding agency may elect to use language that requires the Recipient to comply with the requirements of applicable provisions.of specific laws, rules, regulations, etc. For example, for Federal Program 1, the language may state that the Recipient roust comply with specific laws, rules, or regulations that pertain to how the awarded resources must be used or how eligibility determinations are to be made. The State awarding agency, if practical, may want to attach a copy of the specific law, rule, or regulation referred to. NOTE: Section .400(d) of OMB Circular A-133, as revised, and Section 215.97(5)(a), Florida Statutes, require that the information about Federal Programs and State Projects included in Exhibit 1 be provided to the Recipient. 15 Proposed Program Budget 4. .Below is a general budget which outlines eligible categories and their allocation under this award. The Recipient is to utilize the "Proposed Prog am Budget" as a guide for completing the "Budget Detail Wor3shtet" below. 4. The equipment category will require a "Detailed Budget Workshcet' including the proposed equipment to be purchased and the corresponding FY2008 Authorized Equipment List (AEL) reference number. The AEL can be found at www.rkb,rtipt.org. 4 The transfer of funds between the tategories listed in the "Proposed Program Budget" is permitted. However, at the discretion of the; Recipient, funds allocated to Management and Administration costs (as described in the "Proposed Program Budget") may be put towards Programmatic costs instead. No more than 3% of each Recipient's total award may be expended on Management and Administration costs. City ofMiami Homeland Security Grant Program — Urban Arta Seet,rity Initiative - lssue 64 wo City of Miami Allocation S11,620,500 State Management and Administration withheld $349,615 3% City afMiami Remaining Award after 3% J SI1,271.985 reduction j S11,271,885) This amount is not in addition to the remaining award amount but instead S2,817,971 signifies the amount needed to meet the % 5 requirement. City of Miami eligible Management and Administration (3%ofS11,271,88S) This amount is act in addition to the remaining S33BJ 56 aWard amount but instead signifies the amount eligible for M&A Miami UASI 2008 Budget a Ui d Description of Project z 2008 UASI Budget Primary Grantee AEL Y 2008-001 CBRNEEmerqBncy Planning Coordinator S 70000 Hialeah 11RE-0D-RFCB N 2008-D02 Citizen Corp Training, Equipment, and Exercise $ 5,661 Hialeah 21GN-00-TRNG Y 2008-003 Portable Radio Equipment $ 10,950 Hialeah 06CP-01-PORT N 2008-004 Portable Radio Transceivers $ 100,000 Hialeah 06CP-01-PORT N 2008-0D5 UHF Repeater $ 15,024 Hialeah 06CP-01-KEPT Y 2008-006Mobile Data Terminals $ 480,0D0 Hialeah 04HW-01-MOBL N 2008-007 ITacdcal Rescue Team Equipment Cache and Transporl $ 150,DD0 Hialeah 20TE-00-NTRY Y 2008-0OB CBRNE Response Vehicle; HAZMAT Response Vehicle $ 380,000 Hialeah I 12VE-00-MISS N 2008-009 Crime Lab cyanosafe filtered fuming chamber $ 6,126 Hialeah 07BS-DI-KBPA Y 2008-010 Specialized vehicles designed to support CBRNE mission area e ui meet transportation uiremanls $ 40.000 Hialeah 12VE-00-MISS N 2008-011 Inte�rated Weather Risk Management System $ 40,000 Hialeah 07SE-03-ENVS Y 20tie-012 Computer Aided Dispatch System $ 270,000 Hialeah 04AP-01-CADS N 20D8-013 Communications: Trailer Sustainment for UASI purchased 10- channel communication trailer $ 5,000 Miami 12TR-00-TEQP Y 2008-014 Automated Fingerprint identification System (AFIS) $ 43,644 Miami 20FP-MARS N 2008-015 Air Ba S stem Prime Mover $ 40.000 Miami 12TR-00-MOVR N 200"16 AM Radio Sustainment: Sustain UASI purchased AM Radio System & services. $" 5,000 Miami 06CP-03-PRAC N 2008-017 JBackup Bunker Gear to replace contaminated geLrh $ 200.DDD Miami 02PE-02-CLTH N 200"18 Maintain & Sustain UASI Rurchased Blackberries & services, $ 130,DOD Miami 05HS-D0-FRNS N 2008-019 Build -out of Backuptl3isaster Recovery ("DR") Site $ 200,000 Miami 04SW-04-NETIN Y 2008-020 Security Cameras for Marinas $ 25,000 Miami 64MD-01-VCAM N 2008-021 CBRNE Compliant SCBA $ 150,D00 Miami OIAR-01-SCBA Y 2008-022 Closed Circuii Surveillance System $ 436,447 Miami 01AR-01-SCBA N 2008-023 IPlanning support to maintain the CEMP $ 50,000 Miami Planning N 2008-024 Sustain the City of Miami's CERT program. $ 4,999 Miami PT&E N 2008-025 Digital Vehicle Repeater (DVRS) & VRS Suitcase $ 25,000 Miami DSCP-W-REPT N 20DS-026 Emergency Generators $ 100,000 Miami 10GE-00-GENR N 2008-027 Emergency Management Planner $ 230,000 Miami Planning N 2008-028 Emergency Response to Terrorism Training (ERT): Continued funding for ERT for the Miami Region provided by University of Miami $ 50,000 Meml 21 GN-00-TRNG N 20OM29 EOC Equipment $ 205,459 Miami 21 GN-00-oCEQ N 20OM30 EOC Laptop Sustainment $ 50,000 Miami 04HW-01-NTBK N 2008-031 Maintain & Sustain two UASI purchased plotters. $ 2,583 Miami 04HW-02-PLOT Y 2008-032 Explosive detection equipment for Bomb Squad $ 4,743 Miami 07ED-03-SWPE N 2008-033 Fire Prevention Data Collection & information Sharing: $ 10,000 Miami 131T-00-DEXC N 2008-034 Handheld. Radio Accessories . - . $ ..23,80o Miami 46CP-03PRAC N 2008-035 Maintain & sustain UASI amergeny. Mena ernent a ui menL $ 25,000 Miami 21 GN-00-MAIN N 2008-036 Maintain&sustain UASI fire -rescue equipment $ 186,000 Miami 21GN-00-MAIN N 20OM37 Miami UASI Management and Administration: Includes staff (Project Coordinator and Fiscal Assistant), travel and indirect cast. $ 338,156 Miami M&A_ N 2OD8-038 Microwave Link for Public Safety Answering Points $ 100,000 Miami D6CP-03-MWAV N 2008-039 Web -based emergency notification sysfem $ 50,000 Miami 13[T-00-ALRT N 20OM40 Mobile Command Unit Sustainment $ 5,000 Miami 12VE-00-CMDV N 2DOM41 P25 Compliant Radios, Batteries & Chargers $ 25,000 Miami 06CP-01-PORT N 2006-042 PAPR Sustainment Sustainment for UASI purchased PAPRs and accessories $ 15,000 Miami 01AR-03-PAPA 20OM43 Physical Security Enhancements for critical infrastructure roteciion to fire stations2008-044 10" $ 10,DDDMiami 13LE-00-BURN Planning, Training, & Exercises $ 197,800 Miami PT&E f Miami UASI 2008 Budget rn o Description of Project 2 2ti08 UA51 Budget Primary Grantee AEL N 2008-045 Personal Protective Equipment Cache $ 50,ODO Miami OISP-01 Y 2DOM46 Personal Protective Equipment for Bomb Squad $ 23,720 Miami 02EX-02 TLEX Y 2DD8-047 Remote Control System for Bomb Squad $ 28,464 Miami 02EX-02-TLRO N 2008-048 Web -based emergency notification system for citizen notifications $ 20,000 Miami 131T-00-ALRT N 2008-049 Maintain & Sustain UASI purchased Satellite phones & services. $ 50,000 Miami 06CC-03-SATM Y 20OM50 Self -Contained Breathing Apparatus for SWAT $ 100,000 Miami 01AR-01-SCBA N 2008-051 CBRNE Equipment Storage Shelves $ 5,000 Miami 19MH-00-CONT N 2008-052 Tenet Health Disaster Training $ 15,000 Miaml 21GN-00-TRNG Y 20OD-053 Terrorism Literature for Public Education $ 24,000 Miami 21GN-DO-TRNG N 2008-054 Training Overtime $ 150,000 Miami 21GN-00-TRNG Y 208-055 Transportable Radio Base Stations $ 15,000 Miami 06CP-01-BASE N 2008-056 Video Tele-Conferencin2 Project Sustainment $ 40,000 Miami 131i-004NTL N 2008-057 Two -wheeled Transporters: for fully suited bomb technicians $ 5,984 Miami 12VE-00-MISS Y 2008-058 Data & information sharing web -based software for fire & police to enhance situation awareness $ 25,000 Miami 131T-DD4NTL N 2008-059 IMaintain & Sustain weather monitoring equipment & services. $ 12,000 Miami 07SE-03-ENVS N 2008-060 UASI Project Planning and Coordination - Sustain Project Office, Training Coordination, UAWG support, etc. $ 556,000 Miami PT&E Y 2003-061 Virtual Fusion Center- One Intel Analysts and Project Manager $ 283,100 Miami Planning Y 2008-062 Critical Infrastructure Coordinator (FDLE) $ 75,000 Miami Planning Y 2DD8-063 Bomb Squad equipmentto enhance capabilities to prevent, detect, and respond to Improvised Explosive Device (]ED) events. $ 350,000 Miami 02PE-01-RCON Y 2008-D64 Sustain re ional Elanning, training and exercise program $ 1,0D0,000 Miami PT&E Y 2008-065 Virtila1 Fusion Center - Information Systems and connectivity equipment $ 30,0DO Miami 13IT-00-f NTL Y 20OM55 V€rtuaI Fusion Center- Information Systems and connectivity equipment $ 30,000 Miami Planning Y 2008-067 Bomb Disposal Unit Response Vehicle $ 200,000 Miami -Dade 02EX-02-TLPB N 20OB-068 CEMPICOOPI T & E for the City of Doral. $ 30,000 Miami -Dade PT&E N 2008-069 CEMPICOOPI T & E for the City of Homestead $ 30,000 Miami -Dade PT&E N 20OH70 Community Preparedness/Awareness Campaign $ 64,258 Miami -bade Planning N 2008.071 Coun Medical Examiner Casualty Recove - Portable X-Ray $ 40,000 Miami -Dade 02EX-01-XRAP Y 2008-072 Cyberterrorism incident Response Team $ 135,780 Miami -Dade 21 GN-00-TRNG N 2005-073 Disaster Assistance Employee Management $ 55,038 Miami -Dade 14SW-07-SlDP N 2008-074 Disaster Recovery Plant for 311: , $ -- :30,000 Miaml-Dade ... Planning. N 2008-075 Emergency preparedness trainingpr Jackson Memorial $.: 15,000 Miami -Dade 21GN-00-TRNG N 20OM76 EMS Mass Casualty Prime Mover $ 50,000 Miamf-Dade 12VE-00-ABUS N 2008-0T7 Enhance Care for Vulnerable Population $ 85,000 Miami -Dade Plann€rig N 2008 078 Domestic Security Division Awareness Training $ 42,700 Miami -Dade 21 GN-00-TRNG N 2008-079 FIU Campus Alert System $ 80,000 Miami -Dade 04AP-09-ALRT N 2008-081)GIS Application for Web Base Initial Damage Assessment $ 50,000 Miami -Dade 04AP-03-GISS N 20OMB1 Larg a Animal Rescue Trailer $ 30,039 Miaml-Dade 12TR-00TEQP N 2D08-082 Hydrant Decontamination Nozzle System $ 50,OOD Miami -Dade 08D2-02-MCDS N 20D8-083 Miamf-Dade College Campus Alert System $ 80,000 Miami -Dade 04AP-09-ALRT N 20OB-084 Planning, Training, & Exercises $ 200,000 Miami -Dade PT&E Y 2008-OB5 Public Safety Video Streaming System $ 1.200,000 Miami -Dade 14SW-01-VIDA Y 2008-066 Regional Investigative Equipment $ 110,000 Miami -Dade 02EX-00-PBIE N 2DD8-087 Rehab Trailer and Primer Mover $ 90,000 Miami -Dade 12TR-00-MDVR N 2008-088 Risk Management System $ 237,300 Miami-Dade1 D4AP-04-RISK Miami UASI 2008 Budget a Description of Project 2008 UASI Budget Primary Grantee AEL N 2003-069 Sustainment for UASI purchased Nerve Agent Antidote Kit NAAK $ 15,op0 Miami -Dade 09PH-05-NAAK N 2008-090 Temporary Shelter for Emergency Operations Center $ 36,000 Miami -Dade 19SS-00-SHEL N 2008-091 Miami Microwave InLemperabIlity, Solution $ 66,755 Miami -bade OGCP-03-MWAV Y 2D08-092 SWAT Hazmat Buildup $ 30,000 Miami -Dade 01CB-02-ENSM N 2008-093 Technical Rescue Trainln2 $ 111,400 Miami -Dade 21GN-00-TRNG N 2008-094 Incident interoperability Software/Hardware $ 55,192 Miami -bade 04AP-05-CDSS N 20013-095 Backup Power Generator for Mid Beach Fire Radio Repeater $ 75,000 Miami -Dade 10GE-00-GENR Y 200B-096 CBRNE logistical Support Equipment (shelter system) $ 35,000 Miami -Dade 19SS-00-SHEL N 2008-097 City wide full scale hands on drill and tabletops $ 23,978 Miami -Dade PT&E Y 2008-098 ECC Satellite Communications Link Bandwidth $ 13 0OO Miami -Dade 05CC-04-SSFT u 2OO"99 US&R Training $ 35,000 Mlami-Dade 21 GN-00-TRNG N 2008-100 Radios for deployment and mutual aid units $ 45,600 Miami -Dade 06CP-01 N 2008-101 Parsonal Protective Equipment for Public Works responders $ 16,300 Miami -Dade 01VT-01-ENSM Y 2008-102 Ba]listic Shield $ 20,000 Miami -Dade 01LE-01-SHLD Y 2008-103 Bomb Lockers $ 10,000 Miami -Dade 02EX-00-EXMP Y 2008-104 Regional SWAT Response Capabilities $ 15,500 Miami -Dade 01 LE-02 Y 2008-105 Post Incident Emergency Vehicular Communications Radio 3 37,500 Miami -Dade D6CP-0I-PORT N 2008-106 Regional Citizen Corps Council planning, training, and exercises and equipment $ 6,8a1 Monroe 21GN-00-TRNG N 2008-107 800 MHz Radios (P25 Compliant) $ 118,284 Monroe 06CP-01-PORT q 2008-108 Mobile Law Enforcement Surveillance Equipment $ 201,720 Monroe I 13LE-00-SURV Total $ 11,271,885 Budget Detail Worksheet The Recipient is required to provide a completed budget detail workshcct, to the Division, which accounts for the total award for issue as described in the "Proposed Program Budget". If any changes need to be made to the "Budget Detail Worksheet", gft_cr the execution of this contract, contact the contract manager listed in this contract via email or letter. d � ite'7 � � , z �' : a'f.t fi e 7,� �+°� h .r'' ` �• �'+i i ���� '��r a ' 4 €�� r� pis. ,;i�a: $udget Retail W;orsheelgr�lcvat;ies a�va rttun rian iiti: IN o Public Education/Outreach Develop and implement homeland security support programs and adopt ongoing DFIS national initiatives, including State Preparedness Reports Develop and enhance plans and protocols Develop or conduct assessments Establish, enhance, or evaluate Citizen Corps -related volunteer programs Hiring of full or part-time staff or contractorsloonsuitants to assist with planning activities (not for the purpose of hiring public safety personnel fulfilling traditional public safety duties) Conferences to facilitate planning activities Materials required to conduct planning activities Travel/per diem related to planning activities Overtime and backfill costs —Payment of overtime expenses will be for work performed by award (SAA) or sub -award employees in excess of the established work week (usually 40 hours) related to the planning activities for the development and implementation of the programs under HSGP. Mer projects areas with prior approval from FEMA Allowable LETP Planning Costs Quantity Unit Cost Total Cost Conducting point vulncmbility analyses and assessments Soft target security planning (public gatherings) Developing border security operations plans in coordination with CBP Developing, implementing, and reviewing Area Maritime Security Plans for Ports, vt+5E! a s, and coastal areas Updating and refining threat matrices Integrating and coordinating private sector participation with fusion center activities Developing and implementing civil rights, civil liberties and privacy policies, procedures, and protocols. Acquiring systems allowing connectivity to State, local, and Federal data networks, such as the National Crime Information Centet (NC1C) and lntegvttrd Automated Fin&erprint Identification System IAFIS , as ro riate Designing and developing State and local geospatiai data systems 17 Establishment / Enhancement of Fusion Centers • Hiring an rr specialist to plan, develop, and implement the IT applications necessary for the fusion center • Developing and planning for informa€ionriniclligtnee sharing groups • Hiring contractors and consultants to maize recommendations on the development of the fusion center fl ° Overtime for information, investigative, and intelligence sharing activities (up to 25 percent ofthe allocation) Reimbursement of select operational expenses associated with increased security measures at critical infrastructure sites, incurred during time periods of DHS-declared alerts. (up to 25 percent of the allocation). • Back#ill and overtime expenses for staffing state or local EOCs • Hiring of contracted security for critical infrastructure. sites • Public safety Overtime • National Guard deployments to protect critical infrastructure sites, including all resources that are part of the standard National Guard deployment ■ Increased border security activities in coordination with C$P Hiring of new staff position contractors/consulmnts for participation in informatiort/tntelligence analysis and sharing groups or intelligence fusion center activities n tlttn S ,ttaor �i ero � y Overtime and ba&fiill for emergency preparedness and response persannel attending FEMA-sponsored and approved training classes. Grantees may also use FEMA grant funds to cover overtime and bad ill expenses for part-time and volunteer emergency response personnel participating in F'EMA training. UASI funds may also be used for training citizens in awareness, prevention, rotation, response, and recovery skips Training Workshops and Conferences Full or Part -Time Staff or CoatraetorS/COMLI Ito nU Travel Supplies Tuition for higher education Other items .."IOY'fl�iC}'SST.:aliltng:OSSA,Fn.�hi�liittl ��a',.a05�,:? r..:;.?�.: FM..�� � 4 1j;41'71r4J1'-r �.y3tl'95fri °; h } �.•Ofl1,C Farticipstion in DUS approved intelligence analyst training Participation in up to three non-FE11+.€A approved i ateiligence analyst training A complete list ofFEMA approved courses may be found at www.oi2.usdoi.gc)v/FEMAJdocsOieible Federal Courseq.pdf is Design, Develop, Conduct and Evaluate an Exercise Exercise Planning Workshop -Grant funds may be used to plan and conduct anExcrcise Planning Workshop to include costs related to planning, meeting space and other meeting costs, facilitation costs, maicriais and supplies, travel and exercise plan dcvtlopment Full or Part -Time Staff or Contractors/Consultants - Full or part-time staff may be hired to support exercise -related activities. Payment of salaries and fringe benefits must be in accordance with the policies of the state or local unit(s) ofgovernment and have the approval ofthe state or the awarding agency, whichever is applicable. The services of contractors/consultants may also be procured to support the design, development, conduct and evaluation of CBRNE exercises. The applicant's formal wriiien procurement policy or the Federal Acquisition Regulations (FAR) must be followed. Overtime and backfill costs —Overtime and backfill costs associated with the design, development and conduct of CBRNE exercises are allowable expenses. Grantees may also use FEMA grant funds to cover overtime and backfill expenses for part-time and volunteer emergency response personncl participating in FEMA exercises. Implementation o[HSEEP Travel - Travel costs (i.e., airfare, mileage, per diem, hotel, etc.) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct ofthe exercise project(s). These costs must be in accordance with state law as highlighted in the OJP Financial Guide. States must also follow state regulations regarding travel. If n state or territory does not have a travel policy they must follow federal guidelines and rates, as explained in the OJP Financial Guide. For further information on federal law pertaining to travel costs please refer to http-/Iwww.oin.usdoi.QovIFinGuide. Supplies - Supplies are items that are expended or consumed during the course of the planning and conduct ofthe exercise project(s) (e.g., copying paper, gloves, tape, non -sterile masks, and disposable protective equipment). Other Items - These costs include the rental ofspawAocations for exercise planning and conduct; exercise signs, badges, etc. N �raiseC�os �tait ` M IM �t �-nsf } :Deer . a Exercises to evaluate the effectiveness of information sharing plans, policies, procedures, and prRtocols Exercises to evaluate NIMS implementation. This includes costs associated with exercising components ofthe NIIuS National Crcdcntialing Framework - Exercises to evaluate facility and/or vessel security protection Exercises to evaluate area maritime security protection Exercises to evaluate threat recognition capabilities Exercises to evaluate cyber security capabilities Exercises Io evaluate agricultural/food security capabilities Exercises to evaluate prevention readiness and techniques J "Red Team" (force on force) exercises intsropembtc communications exercises Critical infrastructure vulnerability, protection, and/or attack exercises t Eligible utgrnentr}cquislhon Costs The ta61e fiel whighlights the r�u:pmcnt catagorics for this 9a7lowable -award omprchenstvcftsttng oftM§rYllawablc equlpsi ent cafegones and spec - t + " equipment ejtglble under oath category 'can be fovi3cf on thr1we based', s ,Svtho ze3l;qu�iment3mst.tethnor ua4rkh,m113torg E ` "* ReglstGr o� tiiewebsita "' ' { Qu>3tthty 13nrt Cosy ; = otal Cost tnto fitc` 0 Fl.e lic7 �n "seatththc TtKB G1�ckon NHS SCP Aui SortzedEgu�pment L€st (Pi) FYiD08 z you,Nvtsh�lolpurcnrLsoapaece�fegurptneniiram r �, l+rafegorybe7Q�v, '� �fr� 4f• � •i- 4 i�'1� T'f d. f i wM1 { -�,r"yben�att�thespart.g�yenfaelgavthafcatcgory,put'tho ,,�,El.ctttttnucrsber" �.j„ PLC ! �' � _ � x t q b ;�}, �P�'f�1,S!!� CiL �1 ��1%����, .+ ��r � do , � ` 4� .h��l 5i ��. - yF i fi f Y,� =t .. & ���°<,rc`'T.�,t;E59c�;r ..«.4�, Yt .,H s. 3 , � , • Y - t � J a„,,,Ze y.�s . ri x ,ic l� }� •...� �` i - . ti I y� �tZ., 4,ia �Lk ' -k'� _ rtai-•- ,S.i utptucn ' o raleGfue a r F terc+ ecabiCcomm�caf[4 ur mWL w ' ,�'-r�;{x �°�,�� s� � �'� �' ��s �rs�` ti P -� ?�s�1,�Pr_ c"":F'�r�� x•�:,_ .rfi'-�4.e�Y�,;r ��;?iLzi^ ni�r';u.�a,.,+?;;.,,�fR ' x "^e�r,��+�.s •��+w ?�^i�nS�.:�. .>+,...�s:'�'•^.i:::��. s�.,lyw �'�.on+s,.>� .' }"' �Y �C. w 1 -C ,¢yc;V• F ±eOn. n] t11C �.;,�"�III`� r u 9 P k rite . :e A + Wk � g,,.�` S yac;.�ft��tt� "r i:.4i5.�15�rTSX,�"t.^'lari�`?i y F .•�y� hr. _ 7 k7 F:4"� dy,.t'i�1 !a,— ti $536. rY,�nr M'�;. 3 PV6 WI�FJ 'jdir"ry',]d iJ..j."Ht NGr' Myi1, lA �'�xMj LggS /yi�Yj"(��yT •= w1�tSnp�llAl1LL11mtG3�`iQ�nprlriu•iy" i�i+t1�1F'�`"�'ri J.P^."fn� V'[Y?N 4y"yyRM$'j!{�¢��y�-y''�i+� W �'•'�. (, �f`�' • 3iuUur'dT'�5'T�^.�:+s4 i. .6', .�.Y {•%�Ii•� �i°� •"i SOSt f�"�W,y.�f ... ..d .. ..K .. �l S+ `rT 1'^S6 � Wi ,( Yf+.Cnl.t;FW$a'T$7N�l.d�3 20 +ja'._L^R� ' � �-- 49:it it '''1%w'S.-�1 l� � ii�n.W�Sk S§; F'L.� f�r�("i'.`" '� }7 �5:�� .s" dt t^_ {•�,L.S,B�'yY,(�V_^i.�.1,.,��yrt �,ti:�2•rt 4-l..j, `�'yy S: ��'�a'i;..�,�m.'��a����'N:'�"�1''�G:�.'w.'.r4.r�•�{�J%�..Y.�J�.«'1�.._�Zt-.•�:�SLI•�i;. 1pecuaz�d�zscxntngsysrf�ns���,}w culture'�erronsut""�,rev�entions�tespaizse'�ztd3,li(zgats"oq�quzpm�nt��; �' -He--�nA N�5.7.. ..-`K4..w�.... .' :1,-,`{: >.I�tA`3 .�_'�\ i.!¢'a�.6'.r.W :. .�`T�•e:n JJ.hi, �l[ICi uv�s...: � Y.... '�.•�r�a N..�'+��yy '!��'N3ty�diL�'^`r eY r ;� "` f rik 'RS.._��{gy'q•�,ggm ter' es rinse. vatercra#t r�a x , + , r�, y, = . S:L.kty mg—,s,^ctC.G'�.n 3R..':l i u-ux, �vw.Wr Y.if.v.A61w [s ttr fi yG'S'JF-. i�^.S,i�,iW�tr i-:t..FA' r*,L k ry�Ya{p nkenCS y.tS r-.i +`^7 7 ul r'al pr t_ �—+�� ��°i)a ;�L.. „w.t7! '!'i-t•T'p < :,,vt5 t�1f1r„; 'iLV[..'��� z�{ �a�F,f pE�i uriteSlF eA�`:�� �iP,g;' iC•6"Mt-- 9J Yy'?ff1P`...rcv,i_2 r •7 e `nsx.%r+s�«•. ,�=,�A: ter¢untr�� mene�'�1 x�"l„�- s �`�t ''sew €��`;,�.. n `..:..[�..aFu.1a ��� ,;,:r x��t,. j�� ,��,• [,�• �s��� ��c . Y::',:.*5'1....x t tai•t�, -:�...kasft-sm..sr . a„wu�:i.'a # lOrl7C�� Ei3 meFl S 1DC'� nSlFiiCilnn F OY.atl rrWS9= yGB�C ..4it LII� .prOV.alaIIlllst•.� 151V C1C{xI ]r:•fi:3'. •�i,�� f��4 8�` L��'�ds�o� � �rpn'Ovaho r�� ,+�'•�.z3� �v ���.�1�'m nding may be used to supportthe hiring of full =progammatic ible programmatic activities rnrnts o Hiring of full-time or part-time staff or contractors/consultants: • To assist with the management ofFY08 HSGP. • To assist with design, requirements, and implementation of FY08 HSGP. • To assist with the implementation and administration of the State Homeland Security Strategy, as it may relate to the individual grant program. Hiring of full-time or part-time staff or contractorsfronsultants and expenses related to: • HSGP application submission management activities and application requirements, • Meeting compliance with reporting/data collection requirements, including data calls. Development of operating plans for information collection and processing necessary to respond to DHSFFEMA data calls. Overtime and badSll costs — Payment of overtime expenses will be for work performed by award (SAA) or sub -award employees in excess of the established work week (usually 40 hours) related to the M&A activities for the development and implementation of the programs under HSGP. These costs an allowed only.tgthe extcatthe payment for such. services is in accordance with the policies of the state or Ioca[ unit(s) of govemment and has the approval of the state or.the awarding agency, whichever is applicable: in no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their trait or agency of government AND from an award for a single period of time (e.g., 1:00 pm to 5:00 pm), even though sueb work may benefit both activities. Fringe benefits on overtime hours are limited to Federal Insurance Contributions Act (FICA), Workers' Compensation and Unemployment Compensation. Travel expenses Meeting -related expenses (For a complete list of allowable meeting -related expenses, please review the OJP Financial Guide at http)iwww.ojp.usdoj.govlFinGuide). 21 Acquisition of authorized office equipment, including personal computers, laptop computcrs,pnnters, I✓MD projectors, and other equipment or software which may be required to support the implementation of the homeland security strategy. The following are allowable only within the contract period: a Recurring fecs/charges associated with certain equipment, such as cell phones, faxes, etc. • Leasing and/or renting ofspace for newly hired personnel to administer programs Mthin FY08 UASL 22 B. Scope of Work Funding is provided to perform eligible activities as identified in the Office of Grants and Training Fiscal Year 2D0$ Urban Area Security Initiative (UASI) Grant Program, consistent with the Department of Homeland Security State Strategy and the Urban Area Strategy. Eligible activities are outlined in the Scope of Work for each category below; Categories and Eligible Activities Urban Area Security Initiative FY2008 UASI allowable costs are divided into the following categories: planning, organization, equipment, training and exercises, management and Administration cost are allowable cost. At least 25% of UASI funds must be dedicated towards law enforcement terrorism prevention -oriented planning organization, training, exercise and equipment activities. Each category's allowable costs have been listed in more detail in the "Budget Detail Workshect" above, A. Planning Developing scenario plans that incorporate the range of prevention, protection, response, and recovery activities for a scenario Developing and implementing bomeland security support programs and adopting DHS national initiatives including but not limited to the fallowing: 4. Implementing the National Preparedness Guidelines 4, Costs associated with the adoption, implementation and adherence to NIMS compliance requirements; including implementing the NIMS National Credentialing Framework 4- Modifying existing incident management and EOPs to ensure proper alignment with the NRF coordinating structures, processes, and protocols 4- Establishing or enhancing mutual aid agreements it Developing communications and interoperability protocols and solutions � Conducting local, regional, and Tribal program implcmcntation meetings 4. Developing or updating resource inventory assets in accordance to typed resource definitions issued by the NIMS Integration Center (NIC) 4. Designing State and local gcospatW data systems * Conducting public education and outreach campaigns, including promoting individual, family and business emergency preparedness; alerts and wamings education; and evacuation plans as well as IED or bombing prevention awareness 4- Preparing materials for the Stan Preparedness Report (SPR) Developing related terrorism prevention activities including: 4. Developing law enforcement prevention activities, to include establishing and/or enhancing a fusion center -L Firing an IT specialist to plan, develop, and implement the IT applications necessary for a fusion center 4 Developing and planning for informationlintelligence sharing groups .41 hiring contractors and consultants to make recommendations on the development of a fusion center 4- Integrating and coordinating private sector participation with fusion center activities 4 Acquiring systerns-allowing connectivity to State, local, and Federal data networks, such as the National Crime Information Center (NCIC) and Integrated Automated Fingerprint Identification System (TAFIS), as appropriate 4- Planning to enhance security during heightened alerts, during terrorist incidents, and/or during mitigation and recovery 46 Multi -discipline preparation across first responder community, including EMS for response to catastrophic events and acts of terrorism 4 Public information/education: printed and electronic materials, public service announcements, seminars/town hall meetings, web postings coordinated through local Citizen Corps Councils 4. Citizen Corps volunteer programs and other. activities to strengthen citizen participation rl. Conducting public education campaigns, including promoting individual, family and business emergency preparedness; promoting theAeady campaign,,- and/or creating State, regional or local emergency preparedness effort that build upon the Ready campaign 4- Evaluating CIP security equipment andlorpersonnel requirements to protect and secure sites -1 CIP cost assessments, including resources (e.g., financial, personnel) required for security enhancemeals/dep€oyments 4- Multi-.iurisdiction Bombing Prevention Plans (M7BPP) 4- Underwater Terrorist Protection Plans Developing and enhancing plans and protocols, including but not limited to: 4. Developing or enhancingEOPs and operating procedures 4` Devclopingterrorism prevention/deterrence plans 4- Developing plans, procedures, and requirements for the management of infrastructure and resources related to HSGP and implementation of State or Urban Area Homeland Security Strategies 4- Developing or enhancing border security plans 4 Developing or enhancing cyber security plans 4_ Developing or enhancing cybcr risk mitigation plans 23 it Developing or enhancing agriculturdfood security risk mitigation, response, and recovery plans 4 Developing public/private sector partnership emergency response, assessment, and resource sharing plans 4, Developing or enhancing plans to engage and interface with, and to increase the capacity of private sectorinon- governmental entities working to meet the human service response and recovery needs of victims 4- Developing or updating local or regional communications plans 4- Developing plans to support and assist special needs jurisdictions, such as port authorities and rail and mass transit agencies ,L. Developing or enhancing continuity of operations and continuity of government plans 4- Developing or enhancing existing catastrophic incident response and recovery plans to include and integrate Federal assets provided under the NU 4 Developing or enhancing evacuation plans 4- Developing or enhancing citizen surge capacity :i Developing or enhancing plans for donations and volunteer management and the engagement/integration of private sector/non-governmental entities in preparedness, response, and recovery activities -t Developing or enhancing Bombing Prevention Plans 4 Developing school preparedness plans -L Ensuring jurisdiction EOPs adequately address warnings, emergency public information, evacuation, mass care, resource management from non -governmental sources, unaffiliated volunteer and donations management, and volunteer resource integration to support each Emergency Support Function, to include appropriate considerations for special needs populations 4 Developing and implementing civil rights, civil liberties and privacy policies, procedures, and protocols 4- Designing and developing State and local geospatial data systems Developing or conducting assessments, including but not limited to- 4- Conducting point vulnerability assessments at critical infrastructure site-Acy assets and develop remediadon/sccurity plans ;L Developing border security operations plans in coordination with CBP 4� Developing, implementing, and reviewing Area Maritime Security Plans for ports, waterways, and coastal areas 4� Updating and refining threat matrices 4- Conducting cyber risk and vulnerability assessments -L Conducting assessments and exercising existing catastrophic incident response and recovery plans and capabilities to identify critical gaps that cannot be met by existing local and State resources 'L Conducting Bombing Prevention Capability Analysis -1 Activities that directly support the identification ofspccific catastrophic incident priority response and recovery projected needs across disciplines (e.g. law enforcement, fire, EMS, public health, behavioral health, public works, agriculture, information technology, and citizen preparedness) ;t. Activities that directly support the identification ofpre-designared temporary housing sites 4- Conducting community assessments, surveys, and research ofvulnerabilities and resource needs, and determine citizen education and participation to meet the needs 4L Conducting Citizen Corps program assessments and evaluations, citizen preparedness surveys, volunteer impact studies, and costlbenefit analysis ~;l. Soft target security planning (public gatherings) Other eligible planning activities are listed in the Budget Detail Worksheet" above. B. Organizational Activities No more than 25 percent of each individual UASI award amount may be used for operational expenscs and overtime costs for the three (3) Organizational Activities noted below. Operational Overtime Costs. In support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism, operational overtime costs are a€lowable for increased security measures at critical infrastructure sites during DHS-declared periods of Orange or Red threat levels. Subject to these elevated threat level conditions, FX 2009 UASI funds for organizational costs may be used to support select operational expenses associated with increased security rgemmw at critical infrastructure sites in the following authorized categories: Bacic-il[ acid 6^vcrtimc expenses for staffing state or iocat EM 4 Hiring of contracted security for critical infrastructure sites 'i Public safety overtime 4- National Guard deployments to protect critical infrastructure sites, including al€ resources that are part of the standard National Guard deployment package (consumable costs, such as fuel expenses, are not allowed except as part of the standard National Guard deployment package) :t Increased border security activities in coordination with CBP. Consumable costs, such as fuel expenses, arc not allowed except as part of the standard National Guard deployment package. States with UASI jurisdictions can use funds retained at the State level to reimburse eligible operational overtime expenses incurred by the State (up to a maximum of 15 percent of the State share of the UASI grant). However, those activities must directly support increased security measures enacted in the UASI jurisdictions. 24 Overtime Cost. Overtime costs ane also allowable for personnel to participate in information, investigative, and intelligence sharing activities specifically related to homeland security. This includes activities such as anti- terrorism task forces, Joint Terrorism Taskforces (TfTT), Area Maritime Security Committees (as required by the Maritime Transportation Security Act of 2002), DHS Border Enforcement Security Task Forces, and Integrated Border Enforcement. Intelligence Analysts. UASI funds may be used to hire new staff and/or contractor positions to serve as intelligence analysts to enable informationfintelligence sharing capabilities. In order to be hired as an intelligence analyst, staff and/or contractor personnel must meet at least one of the following criteria: 4 Successfully complete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or, :L Previously served as an intelligence analyst for a minimum of two years either in a Federal intelligence Agency, the military, or State andlor local taw enforcement intelligence unit. Costs associated with hiring new intelligence analysts are allowable only for two years, after which States and Urban Areas shall be responsible for supporting the systainment costs for those intelligence analysts. Use of funds for the hiring of intelligence analysts represents a commitment by the grantee to sustain Federally -funded positions after the rwo-year Federal funding period with non -Federal resources. Failure to sustain such positions will result in disqualification of grantees from hiring analysts with Federal funds in future program years. In order to receive funds for hiring intelligence analysts, the SAA must retain certification on file stating that the responsible jurisdiction will assume responsibility for supporting the costs of the hired analysts following the two-year Federal funding period. This certification must also be accompanied by a budget plan providing the details ofthis arrangement. All intelligence analyst training should be in accordance with Global's Minimum Criminal Intelligence Training Standards for Imv Enforcement and Other Criminal Justice Agencies in the United Slates, which outlines the minimum categories of training needed for intelligence analysts. These include subject -matter expertise, analytic methodologies, customer -service ethics, information handling and processing skills, critical thinking stalls, computer literacy, and objectivity and intellectual honesty_ A certificate of completion of such training must be on file with the SAA and must be made available to Preparedness Officers upon request. Under no circumstances may jurisdictions exceed 25 percent of their UASI award for these activities. C. Equipment Acquisition Any equipment purchased, under this contract, must be in accordance with the Authorized Equipment List (AEL), located at htm:l/www.rkb,us. D. Training FY 2008 UASI funds may be used to enhance the capabilities of State and local govemment and non -governmental emergency preparedness and response personnel through development of a State homeland security training program. Allowable training -related costs include: Funds used to develop, deliver, and evaluate training, including costs related to administering the training, planning scheduling, facilities, materials and supplies, reproduction of materials, and equipment Overtime and Baclfill costs, as defined in this guidance, associated with attending, or teaching FEMA- sponsored and/or approved training courses and programs are allowed. These costs are allowed only to the extent the payment for such services is in accordance with the policies ofthe State or unit(s) of local government and has the approval of the State or the awarding agency, whichever is applicable. In no ease is dual compensation allowable. That is, an employee of a unit of goveramentmay not receive compensation from both their unit or agency of government AND from an award for a single period of time (e.g., 1.00 pm to S.00 pm), even though such work may. benefit both activities. Further, overtime casts associated, with employ= who participate in training in a teaching role for which they are compensated are not allowed. Fringe benefits on overtime hours are limited to Federal Insurance Contributions Act (FICA), Workers' Compensation and Unemployment Compensation. Travel costs (c.g., airfare, mileage, per diem, hotel) are allowable as expenses by employees who are on travel status for official business related to approved training. Hiring of Full or Part -Time Staffor Contractors/Consultants to support training -related activities. Payment of salaries and fringe benefits must be in accordance with the policies of the State or unit(s) of local government and have the approval of the State or awarding agency, whichever is applicable. Such costs must be included within the funding allowed for program management personnel expenses, which must not exceed 15 percent of the total allocation. Certification/Recertification of Instructors is an allowable cost. States are encouraged to follow the FEMA Instructor Quality Assurance Program to ensure a minimum level of competency and corresponding levels of evaluation ofstudent learning. This is particularly important for those courses that involve training of trainers. 25 E. Exercises All Urban Areas are required to develop a Multiyear Training and Exercise Plan and submit it to FEMA on an annual basis. This plan must tic into the Multi -year Training and Exercise Plan developed by the State and aligns with the Urban Area Homeland Security Strategy. Further, Urban Areas are encouraged to develop a Multi -year Plan and Schedule that takes into consideration anticipated training needs of the Urban Area for at least the immediate year, with exercises being timed to provide responders the opportunity to utilize training received. Further guidance concerning Training and Exercise Plan Workshops can be found in the HSEEP Volumes, Allowable exercise -related costs include: -;L Funds Used to Design, Develop, Conduct and Evaluate an Exercise— includes costs related to planning, meeting space and other mecting costs, facilitation costs, materials and supplies, travel, and documentation. 4, Miring of Full or Pert Time Staff or Contractors/Consultants-- Full or pan -time staffmay be hired to support exercise-rclamd activities. Such costs must be included within the funding allowed for program management personnel expenses, which must not exceed 15 percent ofthe total allocation. The applicant's formal written procurement policy or the Federal Acquisition Regulations (FAR)— whichever is more stringent —must be followed. In no case is dual compensation allowable. 4- Overtime and Bac€cfall— Overtime and bac€cfill costs associated with the design, development, and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and bas the approval ofthe state or the awarding agency, whichever is applicable, in no case is dual compensation allowable (see above). Fringe benefits on overtime hours arc limited to FICA, Workers' Compensation and Unemployment Compensation. -2- Travel — Travel costs arc allowable as aglenses by employers who are on travel status for official business related to the planning and conduct of exercise project(s). «i Supplies --Supplies are items that arc expended or consumed during the course ofthe planning and conduct of the exercise project(s) (e.g., copying paper, gloves, tape, non -sterile masks, and disposable protective equipment). 4. Other Items —These costs include the rental of space/locations for exercise planning and conduct, rental of equipment (e.g., portable toilets, tents), food, refreshments, gasoline, exercise signs, badges, etc. Unauthorized exercise -related costs include: 4 Reimbursement for the maintenance and/or wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances). 4- Equipment that is purchased for permanent installation and/or use, beyond the scope ofexercise conduct (e.g, electronic messaging signs). Exercise Scenarios. The scenarios used in exercises must be based on the Urban Area's Homeland Security Strategy and plans. Acceptable scenarios for UASI exercises include chemical, biological, radiological, nuclear, explosive, cyber, agricultural and natural or technological disasters. Exercise scenarios must be catastrophic in scope and size, as defined by the National Response Framework. The scenarios used must focus on validating existing capabilities and must be large enough in scope and size to exercise multiple tasks and warrant involvement from multiple jurisdictions and disciplines and non -governmental organizations. Exercise scenarios should also be based on the Multi -year Training and Exercise Plan. If a Urban.Area will be hosting an upcoming special event (e.g., Super Bowl, G-8 Summit); they anticipate participating in a Tier 2 National -Level Exercise as defined by the National Exercise Program Implementation Plan (NET [-Plan); or they anticipate that they will apply to be a venue for a Tier ]National Uvel Exercise, as defined by the [-Plan, they should plan to use UASI funding to finance training and exercise activities in preparation for that event. Urban Areas should also consider exercises at major venues (e.g., arenas, convention centers) that focus on evacuations, communications, and command and control. States should also anticipate participating in at least one Regional Exercise annually. States must include all confirmed or planned special events in the Muld-year Training and Exercise Plans. F. Personnel Personnel hiring overtime, and backfill expenses are permitted under ibis grant in order to perform allowable FY 2p08 HSGP planning, training exercise, and equipment activities. Additional information can be found in your FY 2008 grant guidance. 4- For SHSP and UASI, a personnel cap of up to 15 percent of each of the total program funds may be used. Grantees who wish to seek a waiver from the 15 percent personnel cap must provide documentation explaining why the 15 percent personnel cap is unacceptable; waiver requests will be considered only under extreme circumstances. 4- The category of personnel costs does not apply to contractors. 26 G. Management and Administration - no more than 3% of each sub -recipient's total award maybe expended on Management and Administration costs by the sub -recipients. Hiring of full -tame or part-time staff or contractorsiconsultants: Al- To assist with the management of the FY2008 UASI 4. To assist with design requirements and the implementation of the FY2008 UASI I;JL To assist with the implementation and administration of the Urban Area Homeland Security Strategy, as it may relate to the PY2008 UASI Hiring of full-time or part-time staff or contractorsfconsu€tants and expenses related to: •f Meeting compliance reportingldata collectlon requirements, including data calls development of operating plans for information collection and processing necessary to respond to DHS/FEMA data calls Overtime and backfill costs - Payment of overtime expenses will be for wort, performed by award (SAA) or sub -award employees in excess of the established work week (usually 40 hours) related to the M&A activities for the development and implementation of the -programs under HSGP. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or local unit(s) of government and has the approval of the state or the awarding agency, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of govemmcnt may not receive compensation from thoir unit or agency ofgovtmmatt AND from an award for a single period of time {e.g., 1:00 pm to 5:00 pm), even though such work may benefit both activities. Fringe benefits on overtime hours are limited to Federal Insurance Contributions Act (FICA), Workers' Compensation and Unemployment Compensation. Travel expenses Meeting -related expenses (For a complete list of allowable meeting -related expenses, please review the OJP Financial Guide at htto:/Aw w.oiti.usdoi.gov/FinGu€de . Acquisition of authorized office equipment The following are allowable only within the period of performance of the contract: ;L Recurring fees/charges associated with certain equipment, such as cell phones, fazes, etc. 41 Leasing and/or renting of space for newly hired personnel to administer programs within the FY2008 UASI FL Construction and Renovation Project construction and renovation not exceeding 51,000,000 is also allowable, as deemed necessary by the Office of FEM., under the FY 2009 UASL Such construction and renovation shall be strictly limited and allowable only when it is necessary component of a security system at critical infrastructure facilities. The following actions and improvements are considered to constitute construction or renovation: 4L Construction and/or renovation to guard facilities; 4 Renovation ofand modifications; including the installation of security and communication equipment, to buildings and structures that are 50 years old or older; €k Communications antennas; Any other construction or renovation efforts that change or expand the footprint of a facility or structure, including security enhancements to improve perimeter security; and ++k Physical security enhancements, including but not limited to: • Lighting .... Fencing • Closed-circuit television (CCT1>) systems r Motion dif�ction systems • Barriers, doors, gates and related security enhancements Approval Process: In order for granters to drawdown funds for construction and renovation costs, the grantee must provide the Division with: A description of the asset or facility, asset location, whether the infrastructure is publicly or privately owned, and the construction or renovation project; +� Certification that a facility vulnerability assessment has been conducted for the facility; A description of how the construction or renovation project will address the identified vuinerability(ies) from the assessment; A statement on the consequences of not implementing the construction or renovation project; and, ;i- Completed National Environmental Policy Act MPA) Compliance Checklist. 27 Note: Written approval must be provided by FEMA prior to the use of any FY 2008 UASI funds for construction or renovation. Overtime end Backrill Guidance Overtime. Expenses incurred by those personnel who, as a result of FEMA-approved activities, are performing over and above their normal, scheduled work hours or work week $ackfill-related overtime. Expenses incurred by those personnel who are working over and above their normal, scheduled work hours, or worst week, in order to perform the duties ofother personnel who are temporarily assigned to FEMA- approved activities outside their core responsibilities. The O.1P OC does not distinguish between Overtime and Overtime as Backfill — they are both viewed as overtime regardless of whether the individual has performed morn hours in their normally assigned place of duty or if the overtime accrued as a result of being re -assigned to a different place of duty. Overtime and backfill do not result in an increase offull-time employees (FIEs). Allowable Planning, Training, and Exercise Cost Specific to Yaw Enforcement Terrorism Prevention (i.ETP)-oriented Activities. At least 25°1 ofUASI funds must be dedicated towards law enforcement terrorism prevention -oriented planning, organization, training, exercise and equipment activities. LETP Planning Activities: a- Conducting point vulnerability analyses and assessments 4- soft target security planning (public gatherings) 4- Developing border security operations plans in coordination with COP 4. Developing, implementing, and reviewing Area Maritime Security Plans for ports, waterways, and coastal areas 4- Updating and relining threat matrices 4 Integrating and coordinating private sector participation with fusion center activities * Developing and implementing civil rights, civil liberties and privacy policies, procedures, and protocols. * Acquiring systems allowing connectivity to State, local, and Federal data networks, such as the National Crimp Information Center (NCIC) and Integrated Automated Fingerprint identification System (IAFIS), as appropriate ;l• Designing and developing State and local geospatial data systems 4- Costs associated with the adoption, implementation and adherence to NIMS compliance requirements, including implementing the NIMS National Credentialing Framework. 4. Integrating and coordinating private sector participation with fusion center activities Establishment / ]Enhancement of Fusion Centers :4 Hiring an IT specialist to plan, develop, and implement the IT applications necessary for the fusion center 4- Developing and planning for information/intelligence sharing groups ct: Hiring contractors and consultants to make recommendations on the development of the fusion tenter YC LETP Training Activities: Law enforcement terrorism prevention protection -oriented fiords may be used for a range of law enforcement terrorism prevention related training activities to enhance the capabilities of State and local personnel, including the fallowing: Establishment /Enhancement affiaion Centers Grant funds may be used to support intelligence analyst training in the following manners: -4- Participation in i]HS approved intelligence analyst training: States wishing to develop or sponsor intelligence analyst comes for a national audience should submit courses to FEMA for review and approval in accordanta with the process outlined in Parts VI and VU of the FY2008 grant guidance. The list of approved courses will be constantly updated and can be accessed in the FEMA catalog at ham•/lgnMi�:�rstre�7 n�d�,Xr i irr �v1��i�ehforms 4- Limited participation in jinn -FERIA approved intelligence analyst training: States may send students to attend non -approved intelligence analysis courses for up to three offerings in accordance with the training process outlined in Parts VI and VII of the FY 2008 grant guidance. A certificate of completion of all intelligence analysts training must be on file with the SAA and must be made available to Preparedness Officers upon request upon the hiring of personnel. Allowable costs include training courses that focus on: r2- Building information sharing capacities (especially among law enforcement, nonlaw enforcement, other government agencies, and the private sector) :L Methods of target hardening .t- Facility law enforcement security personnel, to include facilities, vessels and ports 4 CBRNE, agriculture, and cyber threats 4- History ofterrorism and social environments contributing to threats 4- Surveillance and counter -surveillance techniques 29 iL Privacy, civil rights, and civil liberties regulations, policies, procedures, and protocols 4 Critical Infrastructure Protection training, to include identifying/assessing critical iniramcwre assets, vulnerabilities, and threats :1. Cyber/agriculture/food security threats recognition and protective measures training .t. Cultural awareness training for community engagement activities and undercover operations related to terrorist organizations a Languages, such as Arabic, Urdu, or Farsi, which are spoken by known terrorists and terrorist organizations 4- Joint training with other homeland security entities (e.g., U.S. Secret Service, CBP) 4- Use of interoperable communications equipment 4- Collection, analysis, trapping, integration, and dissemination of geospatial data and imagery ;L Geospatial database use, design, development, and management training iL Volunteer participation to support law enforcement and community policing activities related to increased citizen awareness of terrorism activities, to include the Volunteers in Police Service and Neighborhood Watch programs L. 1.ETP Exercise Activities Law enforcement terrorism prevention protection -oriented funds may be used to design, develop, conduct, and evaluate terrorism prevention -related exercises, including the fallowing. 4- Exercises to evaluate the effectiveness of information sharing plans, policies, procedures, and protocols 4- Exercises to evaluate NIMS implementation. This includes costs associated with exercising components of the NIMS National Credentialing Framcwork. .L Exercises to evaluate facility and/or vessel security protection ,;. Exercises to evaluate area maritime security protection .a. Exercises to evaluate threat recognition capabilities 4- Exercises to evaluate cyber security capabilities :L Exercises to evaluate agriculturallfood security capabilities 4 Exercises to evaluate prevention readiness and techniques 4- "Red Team" (force on force) exercises 4. Interoperable communications exercises .t- Critical infrastructure vulnerability, protection, and/or attack exercises Where practical, these exercises should involve the public sector, non-govenunental partners, trained citizen volunteers, and the general public. State and local governments should work with their Citizen Corps Councils to include volunteers from programs such as Volunteers in Police Service, Neighborhood Watch, and the general public. National Incident Management Systeng (NIMS) Compliance HSPD-5, "Management ofDornesricIncidents," mandated the creation of NIMS and the National Response Plan (PW). NIMS provides a consistent framework for entities at all jurisdictional levels to work together to manage domestic incidents, regardless ofcausc, size, or complexity. To promote interoperability and compatibility among Federal, State, local, and tribal capabilities, NIMS includes a core set of guidelines, standards, and protocols for command and management, preparedness, resourec management, communications and information management, supporting technologies, and management and maintenance of NIMS. The NRP, using the template established by NIMS, is an 0- discipline, all -hazards plan that provides the structure and mechanisms to coordinate operations for evolving or potential Incidents of National Significance, which are major events that "require a coordinated and effective response by an appropriate combination of Federal, State, local, tribal, private sector, and nongovernmental entities." The NIMS Integration Center (NIC) recommends 38 NIMS Compliance Objectives for nongovernmental organizations that support NIMS implementation. These activities closely parallel the implementation activities that have been required of State, territorial, tribal, and local governments since 2004 and can be found at www.femaeoyl d emerven /n' s/n o df. To integrate nonprofit organizations into the broader national preparedness effort, DHS encourages grantees to consider pursuing these recommended activities_ Additionally, nongovernmental organizations grantees and sub -grantees will be required to meet certain NIMS compliance requirements. This includes all emergency preparedness, response, and/or security personnel in the organization participating in the development, implementation, and/or operation of resources and/or activities awarded through this grant myg complete training programs consistentwith the NIMS National Standard Curriculum Development Guide. Minimum traininlg includes 16-700 NIMS: An introduction. In addition, IS-800.aNRP An Introduction, Incident - Command System (ICS-100), Incident Command System OCS200), Intermediate Incident Command System (G-300), and Advanced Incident Command System (G400) are also recommended. For additional guidance on NIMS training, please refer to htto"//www.fema eov/emergencylnimslnims_trainin¢.shtm. Additional information about NIMS implementation and resources for achieving compliance are available through the NIMS Integration Center (NIC), at htto://www.fema.gov/emergency/nims/. III. Reporting Requirements 1. Quarterly Programmatic Reporting: The Quarterly Programmatic Report is due within 30 days after the end of the reporting periods (March 30, June 30, September 30 and December 30) for the life of this contract. If a report(s) is delinquent, future financial reimbursements will be withheld until the Recipient's reporting is current. Prnarnmmfi it rlennrtinv firheduIr Reporting Period Report due to DEM no later than January 1 through March 31 April 30 ril I through June 30 Jul 3l July 1 through September 30 October 31 October 1 throu2 December 31 Jana 31 2. Programmatic Rcporting-JISIR At the end of each biannual reporting period (Jan to June and July to Dec), and for the life of the award, the subgranicc/retipient will report information for the federally required Biannual Strategy and implementation Report (BS[R). 3. Reimbursement Requests: A request for reimbursement may be sent to your contract manager for review and approval at anytime during the contract period. The Recipient should include the category's corresponding line item number in the "Detail of Claines" form. This number can be found in the "PropoW Program Budget". A line item number is to be included for every dollar amount listed in the "Detail of Claims" form. 3. Close-out Programmatic Reporting: The Closoout Report is due to the Florida Division of Emergency Management no later than 60 days after the contract is either completed or the contract has Expired. 4. Monitoring: Florida Division of Lmergency Alanagement US Department of Homeland Security Grants Program Grant Monitoring Process Florida has enhanced the state and local capability and capacity to prevent, prepare and respond to terrorist threats since 1999 through various funding sources including federal grant funds. As the steward ofthe State Homeland Security Grant Program funds, projects and equipment the Florida Division of Emergency Management (FDEK has a responsibility to track and monitor the status ofthe grant activity and items purchased The monitoring process detailed in this document is designed to assess a recipient agency's compliance with applicable state and federal guidelines. The FDEM is responsible for monitoring the financial, programmatic and capability portion ofthe grant to include equipment procurement and compliance with applicable SHSGP grant guidance and statutory regulations. Monitoring is aceomphsbed utilizing various methods including desk monitoring and on -site visits. There are two primary areas reviewed during monitoring activities - financial and programmatic/capability. Financial monitoring is the review of records associated with the purchase and disposition of property, projects and contracts. Capability review is the observation of equipment purchased, protocols and other associated records. Various levels of financial and prograrntnatic review may be accomplished during this process. Desk monitoring is defined as the review of projects, financial activity and technical assistance between the program office and the applicant via e-mail and telephone. Site visits are defined as actual visits to the recipient agency's location by a team or members of the FDEM or their designee, to actually observe records, procedures and equipment Freguenev of anma] monitoring sefivity: Each year the FDEM will identify up to 50% ofsub-granters for site visit monitoring. It is important to note that although a given grant has been closed successfully, it is still subject to either desk or on -site monitoring. Examples of areas that may be examined include_ Management and administrative procedures Grant folder maintenance Equipment accountability and sub -hand receipt procedures Program for obsolescence Status of equipment purchases Status oftraining forpurchased equipment Status and number of response trainings conducted to include number trained Status and number of exercises Status of planning activity Anticipated projected completion Specific difficulties completing the project. 30 Agency N1M5/ICS compliance documentation In certain circumstances, the FDEM may request additional monitoring/information if the activity, or lack there of, on the part of the specific recipient has generated questions from the region, the sponsoring state agency or the FDEM leadership. The method of gathering this information will be determined on a case -by -case basis. Desk monitoring is an on -going process. Agency recipients will be required to participate in desk top monitoring on an annual basis and as determined by the FDEM. The agency recipients will compete and submit the desk top monitoring within 14 business calendar days of receipt This contact will provide an opportunity to identify the nerd for technical assistance (TA) and/or a site visit if the FDEM determines that a recipient is having difficulty completing their project As diffrculdes/deficiencies are identified, the respective region or sponsoring agency will be notified by the program office via email. Information Hrill include the grant recipient agency name, year and project description and the nature of the issue in question. Many of the issues that arise may be resolved at the regional or sponsoring agency level. Issues that require further TA will be referred to the FDEM for assistance. Examples of TA include but are not limited to: ➢ Equipment selection or available vendors ➢ Eligibility of items or services D Coordination and partnership with other agencies within or outside the region or discipline. Site Visits Site visits will be conducted by the FDEM or their designated personnel. Site visits will be scheduled in advanced with the recipient agency POC designated in the grant agreement Monitoring questionnaires will be provided in advance of the visit The FDEM will also conduct coordinated financial and grant file monitoring. These monitoring visits will be coordinated with the capability review visits, Subject matter experts from other agencies within the region or state may be called upon to assist in the fort Of a peer review as needed. All findings related to the capability review will be documented and maintained within the FDEM. Site Visit Protocol The following outlines the monitoring protocol for the FDEM. The site visits will begin with those grantees that are currently spending or have completed spending for that federal fiscal year (FFY). Site visits may be combined when geographically convenient. There is a site visit checklist to assist in the completion of all required tasks. Site Visit Preparation A letter will be sent to recipient agency Point of Contact (POC) stating the purpose of the site visit and sent at least 30 calendar days before the planned arrival date. FDEM personnel will call within the next 10 calendar days to schedule an appointment to review the grantee's program. The physical location of any equipment located at an alternate site should be confirmed with a representative from that location and the address should be documented in the grantee folder before the site visit. The appointment should be confirmed with the grantee in writing (email is acceptable) and documented in the grantee folder. Any personnel from the FDEM attending the site visit will review the grantee's corresponding folder(s) before the visit, Prior to the visit, individual roles will be identified for the site visit Copies of applicable documents will be made and distributed to the site visit team at a minimum of five (5) calendar days before the visit, A reminder e-mail should be sent to all team members and the recipient POC one business day in advance of the site visit ite Visit Once FDEM personnel have arrived at the site, an orientation conference will be conducted. During this time, the purpose of the site visit and the items FDEM intends to examine will be identified. Ifftnancial monitoring visit will be conducted, they will then explain their objectives and will proceed to perform the financial review. FDEM personnel will review all files and supporting documentation. Once the supporting documentation has been reviewed, a tour/visuallspot inspection of equipment will be conducted. Each item should be visually inspected whenever possible. Bigger items (computers, response vehicles, etc.) should have an asset decal (information/serial number) placed in a prominent location on each piece of equipment as per recipient agency requirements. The serial number should correspond with the appropriate receipt to confirm purchase. Photographs should be taken ofthe equipment (large capitol expenditures in excess of 51,000. per item). 31 If an item is not available (being used during time of the site visit), the appropriate documcritation must be provided to account for that particular piece of equipment. Once the tour/visual/spot inspection of equipment has been completed, the FDEM personnel will then conduct an exit conference with the grantee to review the findings. Other programmatic issues can be discussed at this time, such as missing quarterly reports, payment voucher/reimbursement, equipment, questions, etc. Post Site Visit FDFM personnel will review the site visit worksheet as a team and receive notes from the Financial Review Team, if applicable. Within 30 calendar days of the site visit, a monitoring report will be generated and sent to the grantee explaining any issues and eorreztive actions required or recommendations. Should no issues or findings be identified, a monitoring report to that effect will also be generated and sent to the grantee. The grantee will submit a Corrective Action Plan within a timeliamr as determined by the FDF_M, The Site Visit Worfsheet, report and photographs will then be included in the granter's file along with any documents distributed at the site visit by the grantee. K. Proctrammatic Point of Contact Contractual Point of Contact Programmatic Point of Contact Carolyn Washington Nicole Stanley FDEM FDEM 2555 5humard Oak Blvd. 2555 5humard Oak Blvd. Tallahassee, FL 32399.2100 Tallahassee, FL 32399-2100 .(850) A 10-1271 (850) 410-3457 Carolyn.washinotoneem.mvfloridacom Nicole.stanlnv @em.mvtlorida.com L. Contractual Responsibilities • The FIDEM shall determine eligibility of projects and approve changes in scope of work. • The FDEM shall administer the financial processes. 32 Attachment 13 Program Statutes and Regulations 1) 53 Federal Register 8034 2) Section 1352, Title 31, US Code 3) Chapter 473, Florida Statutes 4) Chapter 215, Florida Statutes 5) E.O. 12372 and Uniform Administrative Requirements for Grants and Cooperative Agreements 28 CFR, Part 66, Common rule, 6) Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 7) Section 102(a) of the Flood Disaster Protection Act of 1973, Public Law 93-234, 87 Stat_ 975 8) Section 106 of the [National Historic Preservation Act of 1966 as amended (16 USC 470), Executive Order 11593 9) Archeological and Historical Preservation Act of 1966 (16 USC 569a-1 et seq.) 1 a) Title I of the Omnibus Crime Control and Safe Streets Act of 1968, 11) Juvenile Justice and Delinquency Prevention Act, or the Victims of Crime Act 12) 28 CFR applicable to grants and cooperative agreements 13) Omnibus Crime Control and Safe Streets Act of 1968, as amended, 14) 42 USC 3789(d), or Victims of Crime Act (as appropriate); 15) Title VI of the Civil Rights Act of 1954, as amended; 16) Section 504 of the Rehabilitation Act of 1973, as amended; 17) Subtitle A, Title 11 of the Americans with Disabilities Act (ADA) (1990); 18) Title IX of the Education Amendments of 1972; 19) Age Discrimination Act of 1975; Department of Justice Non -Discrimination Regulations, 20) 28 CFR Part 42, Subparts C,D,E, and G 21) Department of Justice regulations on disability discrimination, 28 CFR Part 35 and Part 39. 33 Attachment C JUSTIFICATION OF ADVANCE PAYMENT RECIPIENT: Indicate by checking one of the boxes below, if you are requesting an advance. If an advance payment is requested, budget data on which the request is based must be submitted. Any advance payment under this Agreement is subject to s. 216.181(16), Florida Statutes. The amount which may be advanced shall not exceed the expected cash needs of the Recipient within the initial three months of the Agreement. [ X l NO ADVANCE REQUESTED No advance payment is requested. Payment will be solely on a reimbursement basis. No additional information is required. ADVANCE REQUEST WORKSHEET l I ADVANCE REQUESTED Advance payment of $ is requested. Balance of payments will be made on a reimbursement basis. These funds are needed to pay staff, award benefits to clients, duplicate forms and purchase start-up supplies and equipment. We would not be able to operate the program without this advance. If you are requesting an advance, complete the following worksheet (A) (B) (C) (D) FFY FFY FFY Total 2005-2006 2006-2007 2007-2008 DESCRIPTION 1 INITIAL CONTRACT ALLOCATION 2 FIRST THREE MONTHS CONTRACT EXPENDITURES' 3 AVERAGE PERCENT EXPENDED IN FIRST THREE MONTHS Divide line 2 by line 1. First three months expenditures need only be provided for the vears in which vau requested an advance. if you do not have this information, call your consultant and he or she will assist you. MAXIMUM ADVANCE ALLOWED CALULATION: X $ Cell D3 DEM Award (Do not include any match) REQUEST FOR WAIVER OF CALCULATED MAXIMUM MAXIMUM ADVANCE j ) Recipient has no previous DCAIDEM contract history. Complete Estimated Expenses chart and Explanation of Circumstances below. j Recipient has exceptional circumstances that require an advance greater than the Maximum Advance calculated above. 34 Complete Estimated Expenses chart and Explanation of Circumstances below. Attach additional pages If needed. FRTIMATM FXPFNRFR 2008-2009 Anticipated Expenditures for First Three Months of BUDGET CATEGORY Contract ADMINISTRATIVE COSTS Include Secondary Administration. PROGRAM EXPENSES TOTAL EXPENSES Explanation of Circumstances: 35 Attachment D Warranties and Representations 1=inancial Management Recipient's financial management system shall provide for the following: (1) Accurate, current and complete disclosure of the financial results of this project or program (2) Records that identify the source and use of funds for all activities. These records shall contain information pertaining to.grant awards, authorizations, obligations, unobligated balances, assets, outlays, income and interest (3) Effective control over and accountability for all funds, property and other assets. Recipient shall safeguard all assets and assure that they are used solely for authorized purposes. (4) Comparison of expenditures with budget amounts for each Request For Payment. Whenever appropriate, financial information should be related to performance and unit cost data. (5) Written procedures to determine whether costs are allowed and reasonable under the provisions of the applicable cost principles and the terms and conditions of this Agreement. (6) Cost accounting records that are supported by backup documentation. Competition. All procurement transactions shall be conducted in a manner to provide open and free competition, The Recipient shall be alert to conflicts of interest as well as noncompetitive practices emong contractors that may restrict or eliminate competition or otherwise restrain trade. In order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, invitations for bids and/or requests for proposals shall be excluded from competing for such procurements. Awards shall be made to the bidder or offer or whose bid or offer is responsive to the solicitation and is most advantageous to the Recipient, considering the price, quality and other factors. Solicitations shall clearly set forth all requirements that the bidder or offer or must fulfill in order for the bid or offer to be evaluated by the Recipient Any and all bids or offers may be rejected when it is in the Recipient's interest to do so. Codes of conduct. The Recipient shall maintain written siandards'of conduct governing the performance of its employees engaged in the award and administration of contracts. No employee, officer, or agent shall participate in the selection, .award,. or administration of a contract supported by public grant funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in the firm selected for an award. The officers., employees, and agents of the Recipient shall neither solicit nor accept gratuities, favors, or anything of monetary value from contractors, or parties to subcontracts. The standards of conduct shall provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the Recipient. 36 'Business Hours The Recipient shaft have its offices open for business, with the entrance door open to the public, and at least one employee on site, from Licensing and Permitting All subcontractors or employees hired by the Recipient shall have all current licenses and permits required for all of the particular work for which they are hired by the Recipient. 37 Attaghinent E ( 2) Subcontractor Covered Transactions co�,TPOI.# .1�4 (1) The prospective contractor of the Recipient, University of Miami - Gordon Center for Research In Medical Education—, certifies, by submission of this dOCumenl, that neither it 6or Its principals is presently debarred, suspended, proposed -for debarment, declared ineligible, or voluntarily excluded from particlpalibn In this fransaclion by any Federal department or agency. (2) Where the Recipient's contractor Is unable to cerilfy to the above statement, the prospective contractor shall attach an explanation to lhls form. SUBCONTRACTOR: University of Miami— GordonWCeniter Research in Medical Educationgy; Cit of Miami SignaRecipient`s Name Numbni Interim Vice President 4917S•46-11-23-02 Name and Title Division Contract Number Business Services, University of Miami PO Box 248106 Street Address Coral -Gables, FL 33124-1432 City, State, Zip March 2, 2009 ^' Date r v� l: M1 •tip Attachment E (.zX) Subcontractor Covered Transactions (1) The prospective contractor of the Recipient, Davist-ogic, Inc. dba All Hands Consulting, certifies, by submission of this document, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. (2) Where the Recipient's contractor is unable to certify to the above statement, the prospective contractor shall attach an explanation to this form. SUBCONTRACTOR: Steven C. Davis By: / Signature Steven C. Davis President Name and Title 10025 Ma le Ave. Street Address Columbia, MD. 21046 City, State, Zip January, 13, 2009 --- Date u � s Q ir! � Ct of Miami Recipient's Name 09DS-48-11-23-02 Division Contract Dumber Attachment F Statement of Assurances The Recipient hereby assures and certifies compliance with ail Federal statutes, regulations, policies, guidelines and requirements, including OMB Circulars No. A-21, A-110, A-122, A-128, A-87; F.O. 12372 and Uniform Administrative Requirements for Grants and Cooperative Agreements 28 CFR, Part 66, Common rule, that govern the application, acceptance and use of Federal funds for this federally -assisted project. Also the Applicant assures and certifies that: 1. It will comply with requirements of the provisions of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (P.L. 91-646) which provides for fair and equitable treatment of persons displaced as a result of Federal and federally -assisted programs. 2. it will comply with provisions of Federal law which limit certain political activities of employees of a State or local unit of government whose principal employment is in connection with an activity financed in whole or in part by Federal grants. (5 USC 1501, et seq.) 3. it will comply with the minimum wage and maximum hours provisions of the Federal Fair Labor Standards Act. 4. It will establish safeguards to prohibit employees from using their positions for a purpose that is or gives the appearance of being motivated by a desire for private gain for themselves or others, particularly those with whom they have family, business, or other ties. 5. It will give the sponsoring agency or the Comptroller General, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the grant. 6. It will comply with all requirements imposed by the Federal sponsoring agency concerning special requirements of law, program requirements, and other administrative requirements. 7_ It will insure that the facilities under its ownership, lease or supervision which shall be utilized in the accomplishment of the project are not listed on the Environmental Protection Agency's (EPA) list of 'Violating Facilities and that it will notify the Federal grantor agency of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA. 8. It will comply with the flood insurance purchase requirements of Section 1 o2(a) of the Flood Disaster Protection Act of 1973, Public Law 93-234, 87 Stat. 975, approved December 31, 1976, Section 102(a) requires, on. and after March.2, 1975, the purchase of flood insurance in communities where such insurance is avaliable as a condition for the. receipt of any Federal financial assistance for.construction or acquisition purposes for use in any area that has been identified by the Secretary of the Department of Housing and urban Development as an area having special flood hazards. The phrase "Federal financial assistance' includes any form of loan, grant, guaranty, insurance payment, rebate, subsidy, disaster assistance loan or grant, or any other form of direct or indirect Federal assistance. 9. It will assist the Federal grantor agency in its compliance with Section 106 of the National Historic Preservation Act of 1966 as amended (16 USC 470), .Executive Order 11593, and the Archeological and Historical Preservation Act of 1966 (16 USC 569a-1 et seq.) by (a) consulting with the State Historic Preservation Officer on the conduct of Investigations, as necessary, to identify properties listed in or eligible for inclusion in the National Register of Historic Places that are subject to adverse effects (see 36 CFR Part 800.8) by the activity, and notifying the Federal grantor agency of the existence of any such 39 properties and by (b) complying with all requirements established by the Federal grantor agency to avoid or mitigate adverse effects upon such properties. 10. It will comply, and assure the compliance of all Its subgrantees and contractors, with the applicable provisions of Title I of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, the Juvenile Justice and Delinquency Prevention Act, or the Victims of Crime Act, as appropriate; the provisions of the current edition of the Office of Justice Programs Financial and Administrative Guide for Grants, M7100.1; and all other applicable Federal laws, orders, circulars, or regulations. 11. It will comply with the provisions of 28 CFR applicable to grants and cooperative agreements including Part 18, Administrative Review Procedure; Part 20, Criminal Justice Information Systems; Part 22, Confidentiality of Identifiable Research and Statistical Information; Part 23, Criminal Intelligence Systems Operating Policies; Part 30, Intergovernmental Review of Department of Justice Programs and Activities; Part 42, Nondiscrimination/Equal Employment Opportunity Policies and Procedures; Part 61, Procedures for Implementing the National Environmental Policy Act; Part 63, Floodplain Management and Wetland Protection Procedures; and Federal laws or regulations applicable to Federal Assistance Programs. 12, It will comply, and all its contractors will comply, with the non-discrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789(d), or Victims of Crime Act (as appropriate); Title Vi of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1973, as amended; Subtitle A, Title 11 of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non -Discrimination Regulations, 28 CFR Part 42, Subparts C,D,E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and Part 39, 13. In the event a Federal or State court or Federal or State administrative agency makes a finding of discrimination after a due process hearing on the Grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the recipient will forward a copy of the finding to the Office for Civil Rights, Office of Justice Programs, 14. It will provide an Equal Employment Opportunity Program if required to maintain one, where the application is for $500,000 or more. 15. It will comply with the provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 USC 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 16. DRUG -FREE WORKPLACE (GRANTEES OTHER THAN INDIVIDUALS) As required by the [Drug - Free Workplace Act of 1988, and implemented at 28 CFR Part 67, Subpart F, for grantees, as defined at 28 CFR Part 67 Sections 67.615 and 67.620. M APPROVED AS 70 INSURANCE REQUIREMENTS: B: LeeAnn [Director Management APPROVED AS TO FORM AND CORRECTNESS: By: Julie rv; f City�a Y ATTEST: By, Axiauljr.�— -0=,- 2L& Priscilla A. Thompson, ,City Clerk 1O'q— o q 41 SPONSOR AGENCY THE C Y MIAMI, _a. municipal CorT)o a i of the State of Florida By: Pedro G. r City Manager z by ui' AGENDA ITEM SUMMARY FORM ��w.. FILE ID:......�� Date: 3/18/2009 Requesting Department: Fire -Rescue Law Department Commission Meeting ,Date: ! LW -A�l District Impacted: Matter ID No. Type: [I Resolution [] Ordinance ElEmergency Ordinance ❑ Discussion Item 09-1760 ❑ Other Subject: Urban Area Security Initiative Grant Program 2008 & Memoranda of Agreements Purpose of Item: Resolution to establish a special revenue project titled the Urban Area Security Initiative ("UASI") Grant Program 2008; appropriating fiords in the amount of $11,271,885; received from the U.S. Department of Homeland Security; passed directly through the State of Florida Division of Emergency Management; and authorizing the City Manager to execute Memoranda of Agreements with Miami -Dade and Monroe counties and the City of Hialeah; setting forth their responsibilities in connection with the support of the UASI Project administered by the City of Miami Department of Fire -Rescue. Background Information: (ATTACHMENT) co _J a U') L= i Budtet_Im- -pact Analysis 1-1 NO Is this item related to revenue? YES Is this item an expenditure? If so, please identify funding source General Account No: Special Revenue Account No: UASI Grant Project CIP Project No: NO Is this item funded by Homeland Defense/Neighborhood Improv Start Up Capital Cost: $0.00 Maintenance Cost: $0.00 Total Fiscal Impact: $0.00 Final Aoorovals AND DATE) Bud Risk Dept City M WE —1 n. I kq to Background Nformation: (continued) fThe United States Department of Horrlieland Security, through the State of Florida Division of Emergency Management (DEM), has sub -granted the Urban Area Security Initiative (UASI) Grant Program 2008 to the City of Miami and its contiguous counties (Miami -Dade and Monroe, and the City of Hialeah) in the amount of $11,271,885. This program targets homeland security handing to "high threat" urban areas in order to prevent, respond, and recover from threats or acts of terrorism and other disasters of natural or man-made origin. These fads will be used, as stipulated by the grant, for the purchase of specialized equipment, exercise, training, administrative services and development of the Urban Area Homeland Security Strategy, and other planning activities needed to ensure a successful program. It is now appropriate to accept said grant award, establish a special revenue fund, and appropriate the said grant award therein. In addition, the City Commission authorizes the City Manager to execute Memorandum of Agreements with contiguous counties, Miami -Dade and Monroe Counties, and the City of Hialeah, setting forth the parties'. responsibilities in connection with the development and support of the UASI Program 2008 which is administered by the City of Miami Department of Fire -Rescue. . oa U-) CIO A � LO V CD U U? a: o� ri Q C v tu w rb n C o r e+ ro ° 3 m Qtx C) c ro 3 -n 03 roCL o E C `n w c m o � 4n �f V F' Y 00 W Ul V7 F City of Miami Master Report Resolution R-09-0413 City Hall 3500 Pan American Drive Miami, FL 33133 www.miamigov.com File ID #: 09-00899 Enactment Date: 9/10/09 Version: 1 Controlling Office ofthe City status: Passed Body: Clerk Title: A RESOLUTION OF THE MIAMI CITY COMMISSION, WITH ATTACHMENT(S), ESTABLISHING A NEW SPECIAL REVENUE PROJECT ENTITLED: "URBAN AREA SECURITY INITIATIVE ("UASI") GRANT PROGRAM FISCAL YEAR 2008", AND APPROPRIATING FUNDS FOR THE OPERATION OF SAME, IN THE AMOUNT OF $11,271,885, CONSISTING OF A GRANT FROM THE UNITED STATES DEPARTMENT OF HOMELAND SECURITY, DIRECTLY TO THE STATE OF FLORIDA DIVISION OF 1 RGENCY MANAGEMENT; AUTHORIZING THE CITY MANAGER TO ACCEPT SAID GRANT AWARD AND TO EXECUTE THE NECESSARY DOCUMENTS TO IMPLEMENT ACCEPTANCE OF PRID GRANT AWARD; AUTHORIZING THE EXPENDITURE OF FUNDS TO VARIOUS " s VERNTAL AGENCIES DESIGNATED FOR HOMELAND SECURITY EXPENSE PURSUANT TO 7- THE Ub GRANT GUIDELINES; FURTHER AUTHORIZING THE CITY MANAGER TO EXECUTE tC-) i- &MCLQNDUM OF AGREEMENT(S), IN SUBSTANTIALLY THE ATTACHED FORM(S), WITH ITS ;CONTf&JOUS COUNTIES, MIAMI-DADS AND MONROE, AND THE CITY OF HIALEAH, SETTING 2"E"RTH THE PARTIES' RESPONSIBILITIES IN CONNECTION WITH THE DEVELOPMENT AND &IPPORT OF THE UASI PROJECT ADMINISTERED BY THE CITY OF MIAMI DEPARTMENT OF q�R.E-RESCUE, CONTINGENT UPON FUNDING OF SAID PROJECT BEING SECURED. Reference: Introduced: 8/18/09 Name: Establish Revenue Proj.-UASI 2008 Grant Prgm Requester: Department of Cost: Final Action: 9/10/09 Fire -Rescue Notes: Sections: Indexes: Attachments: 09-00899 Legislation.pdf, 09-00899 Exhibit I.pdf 09-00899 Exhibit 2.pdf, 09-00899 Exhibit 3.pdf 09-008W Exhibit 4.pdf, 09-00899 Summary Form.pdf, 09-00899 FUND TITLE.pdf Action History Ver. Acting Body Date Action Sent To Due Date Returned Result I Office of the City Attorney 8/31/09 Reviewed and Approved City of Miami Page 1 Printed on 9/2112009 I City Commission 9110/09 ADOPTED l A motion was made by Marc David Samoff, seconded by Angel Gonzalez, that this matter be ADOPTED. The motion carried by the following vote: Aye: 5 - Angel Gonzalez, Marc David Samoff, Joe Sanchez, Tomas Regalado and Michelle Spence -Janes 1 Office of the Mayor 9/15/09 Signed by the Mayor Office of the City Clerk 1 Office of the City Clerk 9/16/09 Signed and Attested by City Clerk Y t�1 M_ �f (55 Q < uj _. C—� CZ-1 M r City of Miami Page 2 Printed on 9/2112009 of City of Miami City Hall 3500 Pan American Legislation Drive Miami, FL 33133 www.miamigov.com Resolution Pile Number: 09-00899 Final Action Bate: A RESOLUTION OF THE MIAMI CITY COMMISSION, WITH ATTACHMENT(S), ESTABLISHING A NEW SPECIAL REVENUE PROJECT ENTITLED: "URBAN AREA SECURITY INITIATIVE ("UASI") GRANT PROGRAM FISCAL YEAR 2008", AND APPROPRIATING FUNDS FOR THE OPERATION OF SAME, INTHE AMOUNT OF $11,271,885, CONSISTING OF A GRANT FROM THE UNITED STATES DEPARTMENT OF HOMELAND SECURITY, DIRECTLY TO THE STATE OF FLORIDA DIVISION OF EMERGENCY MANAGEMENT; AUTHORIZING THE CITY MANAGER TO ACCEPT SAID GRANT AWARD AND TO EXECUTE THE NECESSARY DOCUMENTS TO IMPLEMENT ACCEPTANCE OF SAID GRANT AWARD; AUTHORIZING THE EXPENDITURE OF FUNDS TO VARIOUS GOVERNMENTAL AGENCIES DESIGNATED FOR HOMELAND SECURITY EXPENSE PURSUANT TO THE UASI GRANT GUIDELINES; FURTHER AUTHORIZING THE CITY MANAGER TO EXECUTE MEMORANDUM OF AGREEMENT(S), IN SUBSTANTIALLY THE ATTACHED FORM(S), WITH ITS CONTIGUOUS COUNTIES, MIAMI-DADE AND MONROE, AND THE CITY OF HIALEAH, SETTING FORTH THE PARTIES' RESPONSIBILITIES IN QONNECTION WITH THE DEVELOPMENT AND SUPPORT OF THE UASI !�20 CT ADMINISTERED BY THE CITY OF MIAMI DEPARTMENT OF SIR ESCUE, CONTINGENT UPON FUNDING OF SAID PROJECT BEING �� ECG ED v Cr WHEREAS, the United States Department of Homeland Security ("USDHS"), is authorized by the Eme&ency artime Supplemental Appropriations Act 2003, to provide funds to states for subsequent distribution to selected urban areas to address the unique equipment, training, planning, exercise and operational needs for large urban areas, and to assist them in building an enhanced and sustainable capacity to prevent, respond to, and recover from threats or acts or terrorism; and WHEREAS, the USDHS, through .the State of Florida Division of Emergency. Management, has sub-granted.an Urban.Area Security Initiative ("UASI") Grant Project M08 to the City of Miami ("City") in the amount of $11,271,885; and WHEREAS, the City's Department of Fire -Rescue will use said funds to continue to address the unique equipment, training, planning, exercise and operational needs of the City, its contiguous counties Miami -Dade and Monroe, and the City of Hialeah, and to continue building an enhanced and sustainable capacity to prevent, respond to, and recover from threats or acts of terrorism; and WHEREAS, in accordance with the UASI Grant Program 2008, the attached Memorandum of Agreements with the City's contiguous counties, Miami -Dade and Monroe Counties, and the City of Hialeah, will provide the necessary guidelines to coordinate the UASI Grant Program 2008 and will permit the City to reimburse Miami -Dade and Monroe Counties, and the City of Hialeah for its City of Miand I Page l of 2 Printed On: W412009 File Number. 09-00899 expenditures that are compliant with said project; NOW, THEREFORE, BE IT RESOLVED BY THE COMMISSION OF THE CITY OF MIAMI, FLORIDA: Section 1. The recitals and findings contained in the Preamble to this Resolution are adopted by reference and incorporated as if fully set forth in this Section. Section 2. The following new Special Revenue Fund is established and resources are appropriated as described below: PROJECT TITLE: Urban Area Security Initiative Grant Program Fiscal Year 2008 RESOURCES: Department of Homeland Security directly to the $11,271,885 State Of Florida Division of Emergency Management APPROPRIATIONS: $11,271,885 Section 3. The City Manager is authorized {1} to accept said grant award and to execute the necessary documents to implement the acceptance of said grant award. T Sec#conk, The City Manager is authorized (1) to execute Memorandum of Agreement(s), in substantially tht-nttached form(s), with its contiguous counties, Miami -Dade and Monroe, and the City of Hialepk-sett forth the parties' responsibilities in connection with the development and support of the U&kProjast administered by the City of Miami Department of Fire -Rescue, an UASI sponsoring agenc�.:6ontiF§ent Pon funding of said project being secured. ecton 5. his Resolution shall become effective immediately upon its adoption and signature of the tayc {2} APPROVED AS TO FORM AND CORRECTNESS: JULIE O. BRU CITY ATTORNEY Footnotes: {1} The herein authorization is further subject to compliance with all requirements that may be imposed by the City Attorney, including but not limited to those prescribed by applicable City Charter and Code provisions. {21 If the Mayor does not sign this Resolution, it shall become effective at the end of ten calendar days from the date it was passed and adopted. If the Mayor vetoes this Resolution, it shall become effective immediately upon override of the veto by the City Commission. City of Miand Page 2 of 2 Printed On. 812412009 BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: Countv Administrator Bulk Item: Yes X No — Department: Office of Management & Budget Staff Contact Person/Phone #: Emie Coughlin X4315 AGENDA ITEM WORDING: Approval of various resolutions for the transfer of funds and resolutions for the receipt of unanticipated revenue. ITEM BACKGROUND: See attached schedule of items. PREVIOUS RELEVANT BOCC ACTION: See attached schedule of items. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval TOTAL COST: N/A COST TO COUNTY: N/A BUDGETED: Yes No SOURCE OF FUNDS:N/A REVENUE PRODUCING: Yes _ No X AMOUNT PER MONTH Year APPROVED BY: County Atty X M rchasing X Risk Management N/A DOCUMENTATION: DISPOSITION: Revised 11/06 Included X Not Required AGENDA ITEM # H 7 O a O V W M EA 00 O N O O Lf EA O LO O! T EA O N CO N EA O O CO EA 00 00 O N O O O p O O � O COO Ln O V3 O O O V EA O M of 0 EA 00 O � O 0 V3 O O O N EA O O N uL C C E E z N ID O N O ow O co co m O_ U C7 C7 Q Q Q Q Q Q i a C O C O -O N E -O a) C t0 C t0 C O C t0 C t0 C t0 C t0 C O C O C O LLI = V LL m Z z o O a C o O a o N o o N o Z 0 N O 0 N O 0 N O 0 N O Z Z z pl N O N O Q Q Q Q Q Q L d 4 2 O LL .y An E E U N N N N N N N N N V O 'O m O m T Z (� Y a m �o N LL m o_ -O Q N LL m o_ -O Q C O J N o o. t N O U ~ C C (0 (7 m C O < < C O J O 0 o. t N O U o ~ C O C m 6 m C O < <N N O O Y LL O t0 O O Y u- O N N 'O lL m o i Q N � O Y LL O N t0 � O Y LL O N t0 � o Y LL O N N � O Y u- O N J LL C a) > x O Q J LL C a) > x O Q J LL C a) > x O Q 15 7 O U d O L '2 0 d L � � a) C o O p O O M m W y C Z O 7 M J O N W O O O CC1 O O O o LO E U O of o) O 'O C LL O o)N (J LM n N N aai U N C7 U co N Lfi C LL N O O 0 N LO N N � a o E LL N U of co N N Lo C . LL J U o> N U U O V COO O Lo C LL o E o a > M U 0 V COO O Lo C LL E LL W Y O) O O O M C LL m M O — O O co Ln o Lo C LL U O — O co Ln o Lo C LL N U 1_ O — O N co Ln o Lo C LL W M Lo O — O V coE Ln o Lo C LL to Q U of Lo C LL E E O U C O a Lo O O of Lo C LL C W N J r O) N W o O C LLO O O v C J C J C C C C C C C C C C C 0 4) Z O LL W 'O W N C w w 41 N N C J LL ' N N w 41 N t0 C J LL 'N w 41 N t0 C J w 41 N t0 C J w 41 t0 t0 C J w 41 t0 t0 C J w 41 t0 t0 C J w 41 t0 t0 C J w 41 t0 t0 C J w 41 t0 t0 C J w 41 t0 t0 C J w 41 t0 t0 C J w 41 t0 C t0 C J t (� O O E O O E O O O O O O O O O O O O a 41 o O _a a 41 o O a) 41 a) 41 a) 41 a) 41 a) 41 a) 41 a) 41 a) 41 a) 41 a) 41 a) 41 _ 41 41 O a) O 41 41 41 41 41 41 41 41 41 41 41 w w N w N w w w w w w w w w w w o O U o O U N O O o U N O O o U o O U O o U o O U O o U O o U o O U o O U O o U O o U o O U C O C O C O C O C O C O C O C O C O C O C O C O C O C O C O C O O O O O O O O O O O O O O O O O N 41 N 41 N 41 N 41 N 41 N 41 N 41 N 41 N 41 N 41 N 41 N 41 N 41 N 41 N 41 N 41 t0 t0 t0 t0 t0 t0 t0 t0 t0 t0 t0 t0 t0 t0 t0 t0 O O O O O O O O O O O O O O O O — — — — — — — — — — — — — — — — > O > O > O > O > O > O > O > O > O > O > O > O > O > O > O > O Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q W N M v o w 1-. W O O N M Y7 CD H I r.. 0 LL OMB Schedule Item Number 1 Resolution No. - 2009 A RESOLUTION CONCERNING THE TRANSFER OF FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to make budgeted transfers in the Monroe County Budget for the Fiscal Year 2010, now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that there shall be transfers of amounts previously set up in the Monroe County Budget for the Fiscal Year 2010 as, hereinafter set forth to and from the following accounts: Fund # 148 Plan, Build, Zoning From: 148-5130-50001-530318 Legal Cost Center #50001 Growth Mgmt Admin For the Amount: $132,840.00 To: 148-5150-51000-530340 Other Contractual Svcs Cost Center #51000 Comp Plan BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above, is hereby authorized and directed to make necessary changes of said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 18" day of January, AD 2010. Mayor Murphy Mayor Pro Tem Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA LN (Seal) Attest: DANNY L. KOLHAGE, Clerk Mayor/Chairman Item I fund 148 trsf fm 50001 to 51000 Resolution No. -2010 OMB Schedule Item Number 2 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund # 001 General Fund Cost Center # 04598 Wind Storm Actuarial Function # 5100 Activity # 5110 Official/Division # 1000 Revenue: 001-04598-366915 Cont-City of KW $41,000.00 001-04598-366916 Cont-Key Colony Bch $ 2,250.00 001-04598-366917 Cont-Layton $ 300.00 001-04598-366918 Cont-Ocean Reef $ 2,700.00 001-04598-366919 Cont-Marathon $ 21,000.00 Total Revenue $67,250.00 Appropriations: 001-5110-04598-530340 Other Contractual Svcs $ 67,250.00 Total Appropriations: $67,250.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20th day of January AD 2010. Mayor Murphy Mayor Pro Tent Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro Lo (Seal) Attest: DANNY L. KOLHAGE, Clerk BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman Item 2 uant 001 04598 Wind Storm Acturial OMB Schedule Item Number 3 Resolution No. -2010 A RESOLUTION RESCINDING RESOLUTION NO. 316-2009 WHEREAS, Resolution Number 316-2009, heretofore enacted for the purpose of receipt of unanticipated funds, contains an erroneous information, and WHEREAS, it is the desire of the Commission to rectify by amendment such errors, now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that Resolution No. 316-2009 previously .set up in the Monroe County Budget for the purpose of receipt of unanticipated funds in Fiscal Year 2010 contained certain erroneous information and said resolution, passed and adopted on October 21" , 2009, is hereby rescinded: Fund #125 Gov. Fund Type Grants Cost Center # 22537 Geiger Crk Bridge Repair Project# GM0901 Geiger Crk Bridge Repair Function 5400 Activity 5410 Official Division 1013 FPN 426355-1-58-01 Revenue: 125-22537-33149OCT 125-22537-381102GT Total Revenue Appropriations: 125-5410-22537-560630 Total Appropriations: Federal Transportation Grant $625,489.00 Transfer fin Fund 102 $143,011.00 -------------- $768,500.00 Capital Outlay -Infrastructure $ 768,500.00 ---------------- $ 768,500.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above, is hereby authorized and directed to make the necessary changes of said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20'h day of January AD 2010. Mayor Murphy Mayor Pro Tem Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA LIN Mayor/Chairman (Seal) Attest: DANNY L. KOLHAGE, Clerk Item 3 rescind reso#316-2009 unant fund 125 22537 fy 10 rtvr Resolution No. -2010 OMB Schedule Item Number 4 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund # 125 Gov. Fund Type Grants Cost Center # 22537 Geiger Crk Bridge Repair Project # GM0901 Geiger Crk Bridge Repair Function # 5400 Activity # 5410 Official/Division # 1013 FPN 426355-1-58-01 Revenue: 125-22537-331490CT-GM0901 125-22537-381102GT-GM0901 Total Revenue Appropriations: 125-5410-22537-560630-GM0901-560630 Total Appropriations: Federal Transportation Grant $768,500.00 Transfer fin Fund 102 $188,457.00 -------------- $956,957.00 Capital Outlay -Infrastructure $ 956,957.00 --------------- $ 956,957.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20th day of January AD 2010. Mayor Murphy Mayor Pro Tern Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman (Seal) Attest: DANNY L. KOLHAGE, Clerk Item 4 uant 125 22537 GM0901 Geiger Creek Brdg Rep OMB Schedule Item Number 5 Resolution No. -2010 A RESOLUTION RESCINDING RESOLUTION NO. 317-2009 WHEREAS, Resolution Number 317-2009, heretofore enacted for the purpose of receipt of unanticipated funds, contains an erroneous information, and WHEREAS, it is the desire of the Commission to rectify by amendment such errors, now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that Resolution No. 317-2009 previously set up in the Monroe County Budget for the purpose of receipt of unanticipated funds in Fiscal Year 2010 contained certain erroneous information and said resolution, passed and adopted on October 21s' , 2009, is hereby rescinded: Fund #125 Gov. Fund Type Grant Cost Center # 22538 Palm Dr Baypoint Bdg Repr Project# GM0902 Palm Dr Baypoint Bdg Repr Function 5400 Activity 5410 Official Div 1013 FPN 4261821-1-58-01 Revenue: 125-22538-33442OCT 125-22538-381102GT Total Revenue Appropriations: 125-5410-22538-560630 Total Appropriations: State Transportation Grant $296,620.00 Transfer from Fund 102 $ 3,000.00 --------------- $299,620.00 Capital Outlay -Infrastructure $299,620.00 -------------- $299,620.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above, is hereby authorized and directed to make the necessary changes of said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20'h day of January AD 2010. Mayor Murphy Mayor Pro Tem Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman (Seal) Attest: DANNY L. KOLHAGE, Clerk Item 5 rescind reso#317-2009 unant fund 125 22538 fy 10 rlvr Resolution No. -2010 OMB Schedule Item Number 6 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund #125 Gov. Fund Type Grant Cost Center # 22538 Palm Dr Baypoint Bdg Repr Project# GM0902 Palm Dr Baypoint Bdg Repr Function 5400 Activity 5410 Official Div 1013 FPN 4261821-1-58-01 Revenue: 125-22538-33442OCT-GM0902 125-22538-381102GT-GM0902 Total Revenue Appropriations: 125-5410-22538-560630-GM0902-560630 Total Appropriations: State Transportation Grant $153,609.00 Transfer from Fund 102 $ 3,000.00 --------------- $156,609.00 Capital Outlay -Infrastructure $156,609.00 $156,609.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20th day of January AD 2010. Mayor Murphy Mayor Pro Tem Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COUNTY (70MMISSIO'NMRS OF MONROE COUNTY, FLORMA Mayor/Chairman (Seal) Attest: DANNY L. KOLHAGE, Clerk Item 6 uant 125 22538 GM0902 Palm Dr Baypoint Brdg Rep Resolution No. -2010 OMB Schedule Item Number 7 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund #125 — Governmental Fund Type Grants Cost Center # 06040 Drug Court Pgm Urin Lab Project # GG1012 Drug Court Pgm urin Lab Function #5600 Activity #5690 OffcUDiv# 1000 Contract # 2010-JAGC-MONR-4-4X-113 CFDA # 16.738 Revenue: 125-06040-334690O11- GG1012 State Grants $ 46,725.00 Total Revenue $ 46,725.00 Appropriations: 125-06040-530490-GG1012-530340 Other Contractual Services $46,725.00 Total Appropriations: $ 46,725.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20th day of January AD 2010. Mayor Murphy Mayor Pro Tem Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro IC (Seal) Attest: DANNY L. KOLHAGE, Clerk BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman Item 7 unant 125 06040 GGI012 Drug Court Pgm Urin Lab Resolution No. - 2010 OMB Schedule Item Number 8 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund #125 — Governmental Fund Type Grants Cost Center # 06041 WIT Recidivism Prevention Project # GG1013 WIT Recidivism Prevention Function #5600 Activity #5690 Offcl/Div# 1000 Contract # 2010-JAGC-MONR-I-4X-112 CFDA # 16.738 Revenue: 125-06041-334690OH- GG1013 State Grants $ 21,700.00 Total Revenue $ 21,700.00 Appropriations: 125-06041-530490-GG1013-530340 Other Contractual Services $21,700.00 ----- --------- Total Appropriations: $ 21,700.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20th day of January AD 2010. Mayor Murphy Mayor Pro Tem Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COI TNTY COMIMISSIONFR_S OF MONROE COUNTY, FLORIDA Mayor/Chairman (Seal) Attest: DANNY L. KOLHAGE, Clerk Item 8 unant 125 06041 GG1013 WIT Recidivism Prevention Resolution No. - 2010 OMB Schedule Item Number 9 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund # 153 Local Housing Assistance Cost Center # 0100910 KW Impact Fee Proviso Funding Function #5500 Activity #5540 Offcl/Div# 1000 Revenue: 153-335501SE Total Revenue Appropriations: 153-0100910-530492 St. Shared -SHIP IPF Funding Shelter Total Appropriations: $ 2,000,000.00 $ 2,000,000.00 $2,000,000.00 $ 2,000,000.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20th day of January AD 2010. Mayor Murphy Mayor Pro Tem Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman (Seal) Attest: DANNY L. KOLHAGE, Clerk Item 9 unant 153 0100910 KW IFP funding OMB Schedule Item Number 10 Resolution No. - 2010 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund #125 - Governmental Fund Type Grants Cost Center # 6153010 - Older Americans Act -HI B Offcl/Div# 1016 Function 5600 Activity 5640 Revenue: 125-6153010-3316900H Federal Grants $109,569.00 125-6153010-38100IGT Transfer fm Gen Fund $ 0.00 Total Revenue ------------- $109,569.00 Appropriations: 125-6153010-510120-Salaries $ 86,869.00 125-6153010-510210-Fica 5,000.00 125-6153010-510220-Retirement 5,000.00 125-6153010-510230-Group Insurance 8,000.00 125-6153010-510240-Worker's Compensation 1,000.00 125-6153010-530310-Professional Services 500.00 125-6153010-530400-Travel 1,000.00 125-6153010-530410-Communications & Postage 600.00 125-6153010-530440-Rentals 600.00 125-6153010-530451-Risk Management 500.00 125-6153010-530470-Printing 100.00 125-6153010-530498-Advertising 100.00 125-6153010-530510-Office Supplies 100.00 125-6153010-530520-Operating Supplies 100.00 125-6153010-530540-Books/Pubs/Subs 100.00 Total Appropriations: ------------ $109.569.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 201h day of January AD 2010. Mayor Murphy Mayor Pro Tern Carruthers Commissioner Wigington Commissioner Neugent Coo- missioner Di (,ennare By: (Seal) Attest: DANNY L. KOLHAGE, Clerk BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman Item 10 unant oaa 3b AA- 1015 6153010 OMB Schedule Item Number 11 Resolution No. - 2010 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund #125 — Governmental Fund Type Grants Cost Center # 6153110 — Older Americans Act —CI Offcl/Div# 1016 Function 5600 Activity 5640 Revenue: 125-6153110-3316900H Federal Grants $142,600.00 125-6153110-38100IGT Transfer fm Gen. Fund $ 0.00 Total Revenue ------------- $142,600.00 Appropriations: 125-6153110-510120-Salaries $ 77,000.00 125-6153110-510210-Fica 10,000.00 125-6153110-510220-Retirement 10,000.00 125-6153110-510230-Group Insurance 10,000.00 125-6153110-510240-Worker's Compensation 1,000.00 125-6153110-530310-Professional Services 500.00 125-6153110-530400-Travel 500.00 125-6153110-530410-Communications & Postage 500.00 125-6153110-530440-Rentals 500.00 125-6153110-530451-Risk Management 5,000.00 125-6153110-530470-Printing 300.00 125-6153110-530491-Food 27,000.00 125-6153110-530510-Office Supplies 100.00 125-6153110-530520-Operating Supplies 100.00 125-6153110-530540-Books/Pubs/Subs 100.00 Total Appropriations: ------------ $142,600.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 201h day of January AD 2010. Mayor Murphy Mayor Pro Tem Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA By: (Seal) Attest: DANNY L. KOLHAGE, Clerk Mayor/Chairman Item I 1 unant oaa c I AA- 1015 6153110 OMB Schedule Item Number 12 Resolution No. -2010 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund #125 — Governmental Fund Type Grants Cost Center # 6153210 — Older Americans Act —C2 Offcl/Div# 1016 Function 5600 Activity 5640 Revenue: 125-6153210-3316"OH Federal Grants $210,832.00 125-6153210-381001GT Transfer fm Gen. Fund $ 0.00 Total Revenue ------------- $210,832.00 Appropriations: 125-6153210-510120-Salaries $100,000.00 125-6153210-510210-Fica 10,000.00 125-6153210-510220-Retirement 10,000.00 125-6153210-510230-Group Insurance 10,000.00 125-6153210-510240-Worker's Compensation 7,000.00 125-6153210-530310-Professional Services 100.00 125-6153210-530400-Travel 500.00 125-6153210-530410-Communications & Postage 500.00 125-6153210-530440-Rentals 500.00 125-6153210-530451-Risk Management 5,000.00 125-6153210-530491-Food 65,732.00 125-6153210-530470-Printing 100.00 125-6153210-530498-Advertising 100.00 125-6153210-530510-Office Supplies 100.00 125-6153210-530520-Operating Supplies 100.00 125-6153210-530528-Gasoline 1,000.00 125-6153210-530540-Books/Pubs/Subs 100.00 Total Appropriations: $210,832.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20`h day of January AD 2010. Mayor Murphy Mayor Pro Tern Carruthers Commissioner Wigington Commissioner Neugent C01,111;SS:Vner Di Gennare BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA By: (Seal) Attest. DANNY L. KOLHAGE, Clerk Item 12 unant oaa c2 AA- 1015 6153210 Mayor/Chairman OMB Schedule Item Number 13 Resolution No. -2010 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY. FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund #125 — Governmental Fund Type Grants Cost Center # 6153410 — Older Americans Act —IIIE Offcl/Div# 1016 Function 5600 Activity 5640 Revenue: 125-6153410-3316900H Federal Grants $56,560.00 125-6153410-38100IGT Trsfr fm Gen. Fund $ 0.00 Total Revenue ------------- $56,560.00 Appropriations: Y 125-6153410-510120-Salaries $9,060.00 125-6153410-510210-Fica 1,000.00 125-6153410-510220-Retirement 1,000.00 125-6153410-510230-Group Insurance 1,000.00 125-6153410-510240-Worker's Compensation 1,000.00 125-6153410-530310-Professional Services 500.00 125-6153410-530340-Other Contractual Services 40,000.00 125-6153410-530400-Travel 500.00 125-6153410-530410-Communications & Postage 500.00 125-6153410-530440-Rentals 500.00 125-6153410-530451-Risk Management 500.00 125-6153410-530460-Repair & Maint 500.00 125-6153410-530470-Printing 100.00 125-6153410-530498-Advertising 100.00 125-6153410-530510-Office Supplies 100.00 125-6153410-530520-Operating Supplies 100.00 125-6153410-530540-Books/Pubs/Subs 100.00 Total Appropriations: $56,560.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 201h day of January AD 2010. Mayor Murphy Mayor Pro Tern Carruthers Commissioner Wigington Commissioner Neugent Cunnnissiuner Di Gen aro BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA By: (Seal) Attest: DANNY L. KOLHAGE, Clerk Mayor/Chairman Item 13 unant oaa 3e AA- 1015 6153410 Resolution No. - 2010 OMB Schedule Item Number 14 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for Fiscal Year 2010, now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010, be and the same is hereby increased by the amount hereinafter set forth: Fund #158 Misc. Spec. Revenue Fund Revenue: 158-348141SC Misc. Special Revenue Fund $4,019.89 ------------- Total Revenue $4,019.89 Appropriations: 158-5640-04586-530340 Other Contractual Service $4,019.89 Total Appropriations: $4,019.89 Revenue: 158-348142SC Misc. Special Revenue Fund $4,019.89 ------------- Total Revenue $4,019.89 Appropriations: r� 158-5810-86549-590001 Budgeted Transfers $4,019.89 Total Appropriations: $4,019.89 Revenue: 158-348145SC Misc. Special Revenue Fund $4,019.88 ------------- Total Revenue $4,019.88 Appropriations:------�� 158-5210-68627-530340 Other Contractual Service $4,019.88 Total Appropriations: $4,019.88 Item 14 unant fund 158 crim add costs page 1 Revenue: 158-348144SC Misc. Special Revenue Fund $4,019.88 ------------- Total Revenue $4,019.88 Appropriations: 158-6010-82506-530340 Other Contractual Service $4,019.88 Total Appropriations: $4,019.88 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20`h day of January AD 2010. Mayor Murphy Mayor Pro Tern Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman (Seal) Attest: DANNY L. KOLHAGE, Clerk Item 14 unant fund 158 Grim add costs page 2 OMB Schedule Item Number 15 Resolution No. -2010 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010 now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund #158 — Misc Spec Revenue Fund Cost Center # 10505 — Interagency Communications Offcl/Div# 1012 Function# 5200 Activity # 5210 Revenue: 158-354005SS Local Ord -Radio Comm $201,000.00 158-361005GI Interest Earnings 0.00 ------------- Total Revenue $201,000.00 Appropriations: 158-10505-530340 Other Contractual Svcs. $201,000.00 ------------ Total Appropriations: $201,000.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20`h day of January AD 2010. Mayor Murphy Mayor Pro Tern Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman (Seal) Attest: DANNY L. KOLHAGE, Clerk Item 15 unant Fund 158 Interagency Communications 10505 OMB Schedule Item Number 16 Resolution No. -2010 A RESOLUTION CONCERNING THE RECEIPT OF UNANTICIPATED FUNDS WHEREAS, it is necessary for the Board of County Commissioners of Monroe County, Florida, to increase items to account for unanticipated funds in the Monroe County Budget for the Fiscal Year 2010, now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that the following accounts of the Monroe County Budget for the Fiscal Year 2010 be and the same is hereby increased by the amount hereinafter set forth: Fund #101 Fine & Forfeiture Cost Center #68629 Sheriff Law Enforcement Revenue: 101-34290OSS Pub Safety/Other Svcs $1,730.00 Appropriations: 101-5210-68629-560640 Capital Outlay $1,730.00 BE IT FURTHER RESOLVED BY SAID BOARD, that the Clerk of said Board, upon receipt of the above unanticipated funds, is hereby authorized and directed to place funds in said items, as set forth above. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 20th day of January, AD 2010. Mayor Murphy Mayor Pro Tem Carruthers Commissioner Wigington Commissioner Neugent Commissioner Di Gennaro BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA LIM Mayor/Chairman (Seal) Attest: DANNY L. KOLHAGE, Clerk Item 16 unant Fund 101 68629 Sheriff Law Enforcement BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20,2010 Bulk Item: Yes ® No ❑ Division: OMB Department: Grant Management Staff Contact Person: Lisa Tennvson AGENDA ITEM WORDING: Authorization for the Mayor to execute the Certificate of Acceptance of Subgrant Award for funds for enhancements to the urinalysis lab for the Drug Court Program, using funds provided under the FDLE Recovery Act Edward Byrne Memorial Justice Assistance Grant program, for the period from October 1, 2009 through September 30, 2010. ITEM BACKGROUND: Federal funds are provided through the Florida Department of Law Enforcement. Substance Abuse Policy Advisory Board (SAPAB) reviews proposals and makes recommendations to BOCC for local funding of programs. PREVIOUS RELEVANT BOCC ACTION:_Approval to apply for grant funds given at July 2009 meeting. MOU with the Drug Court also on the agenda for this meeting. CONTRACT/AGREEMENT CHANGES: STAFF RECOMMENDATION: Approval TOTAL COST: $46,725.00 BUDGETED: Yes ® No ❑ COST TO COUNTY: $0 SOURCE OF FUNDS: FDLE REVENUE PRODUCING: Yes ❑ No ® AMOUNT PER MONTH YEAR APPROVED BY:000NTY ATTY(I O /P CHASING ❑ RISK MANAGEMENT DOCUMENTATION: INCLUDED: ® NOT REQUIRED: ❑ DISPOSITION: AGENDA ITEM #: MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: Florida Department of Law Effective Date: 10/01/09 Enforcement Expiration Date: 09/30/10 Contract Purpose/Description: Funds provided through FDLE Agreement to provide funds for the Drug Court's urinalysis lab. Contract Manager: Lisa Tennyson (Name) for BOCC meeting on 1/20/10 4444 OMB/Grants Mgt. (Ext.) (Department) nda Deadline: 1/05/10 CONTRACT COSTS Total Dollar Value of Contract: $46,725.00 Current Year Portion: $46,725.00 Budgeted? Yes X No Account Codes: 125- -- -XXXXXX Grant: $46,725.00 County Match: $0 Date In Division Director Risk Mana ement O.M.B./Pure as�ig County Attorney Comments: ADDITIONAL COSTS CONTRACT REVIEW Changes Date Out Needed Reviewer Yes❑ No❑ Yes❑ NoPK 0 Yes❑ No� Yes[-] No® ai4k a e OMBFormRevised 9/11/95 MCP #2 Revised 2/95 FILE Florida Department of Law Enforcement Gerald M. Bailey Commissioner NOV 2 5 2GG9 Office of Criminal Justice Grants Post Office Box 1489 Tallahassee, Florida 32302-1489 (850) 617-1250 www.fdle.state.fl.us The Honorable George Neugent Mayor Monroe County Board of Commissioners 1100 Simonton Street Key West, FL 33040-3110 Re: Contract No. 2010-JAGC-MONR-4-4X-113 Dear Mayor Neugent: Charlie Crist, Governor Bill McCollum, Attorney General Alex Sink, Chief Financial Officer Charles H. Bronson, Commissioner of Agriculture The Florida Department of Law Enforcement is pleased to award an Edward Byrne Memorial Justice Assistance Grant to your unit of government in the amount of $ 46,725.00 for the project entitled, DRUG COURT PROGRAM -URINALYSIS LAB ENHANCEMENT. These funds shall be utilized for the purpose of reducing crime and improving public safety. A copy of the approved subgrant application with the referenced contract number is enclosed for your file. All correspondence with the Department should always refer to the project number and title. Your attention is directed to the Standard Conditions of the subgrant. Changes were made to these conditions after your application was received in this office. Therefore, these Standard Conditions should be reviewed carefully by those persons responsible for project administration to avoid delays in project completion and costs reimbursements. The enclosed Certification of Acceptance should be completed and returned to the certificate constitu Department within 30 calendar days from the date of award. This tes official acceptance of the award and must be_reeeived-by the Department prior to the reimbursement of any project expenditures. Committed to Service • Integrity • Respect • Quality The Honorable George Neugent Page Two We look forward to working with you on this project. If we can be of further assistance, please contact Janice Parish at 850/617-1250. Sincerely, Clayton H. Wilder Administrator C H W/J P/jj Enclosures State of Florida Office of Criminal Justice Grants Florida Department of Law Enforcement 2331 Phillips Road Tallahassee, Florida 32308 CERTIFICATE OF ACCEPTANCE OF SUBGRANT AWARD The subgrantee, through its authorized representative, acknowledges receipt and acceptance of subgrant award number 2010-JAGC-MONR-4-4X-113, in the amount of $ 46,725.00, for a project entitled, DRUG COURT PROGRAM -URINALYSIS LAB ENHANCEMENT, for the period of 10/01/2009 through 09/30/2010, to be implemented in accordance with the approved subgrant application, and subject to the Florida Department of Law Enforcement's Standard Conditions and any special conditions governing this subgrant. (Signature of Subgrantee's Authorized Official) (Typed Name and Title of Official) (Name of Subgrantee) (Date of Acceptance) MONROE COUNTY ATTORNEY APPROVrD AS TO FORM: r . CFTRISTINE M. LIMBERT-BARROWS ASSISTANT COUNTY ATTORNEY Date L4 j a I (1 q Rule Reference 11 D-9.006 OCJG-012 (Rev. October 2005) State of Florida Office of Criminal Justice Grants Florida Department of Law Enforcement 2331 Phillips Road Tallahassee, Florida 32308 SUBGRANT AWARD CERTIFICATE Subgrantee: Monroe County Board of Commissioners Date of Award: 1/' a 3v 01 Grant Period: From: 10/01/2009 TO: 09/30/2010 Project Title: DRUG COURT PROGRAM -URINALYSIS LAB ENHANCEMENT Grant Number: 2010-JAGC-MONR-4-4X-113 Federal Funds: $ 46,725.00 State Agency Match: Local Agency Match: $ 0.00 Total Project Cost: $ 46,725.00 State Purpose Area: A : State/Local Initiatives - Coordinate/Organize Local Initiatives/State Initiatives CFDA Number: 16.738 Award is hereby made in the amount and for the period shown above of a subgrant under Title I of the Omnibus Crime Control and Safe Streets Act of 1968, P.L. 90- 351, as amended, and the Anti -Drug Abuse Act of 1988, P.L. 100-690, to the above mentioned subgrantee and subject to any attached or special conditions. This award is subject to all applicable rules, regulations, and conditions as contained in the Financial and Administrative Guide for Grants, Guideline Manual 7100 1 D, Office of Justice Programs, Common Rule for State and Local Governments and A- 87, or OMB Circulars A-110 or A-102, as applicable, and A-21, in their entirety. It is also subject to such further rules, regulations and policies as may be reasonably prescribed by the State or Federal Government consistent with the purposes and authorization of P.L. 90-351, as amended, and P.L. 100-690. SUBGRANT AWARD CERTIFICATE (CONTINUED) This grant shall become effective on the beginning date of the grant period provided that within 30 days from the date of award, a properly executed Certificate of Acceptance of Subgrant Award is returned to the Department. ) AuthorizedjOfficial Clayton H. Wilder Administrator //- 02 3- Date ( ) This award is subject to special conditions (attached). Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement Addendum To Standard Conditions For Subgrant Recipients receiving Edward Byrne Memorial Justice Assistance Grant (JAG) Program funds under Federal Grant No. 2009-DJ-BX-1077, the following additional conditions apply: 1. Reporting Potential Fraud, Waste, Abuse, and Similar Misconduct The subgrant recipient must promptly refer to the Florida Department of Law Enforcement, Office of Criminal Justice Grants any credible evidence that a principal, employee, agent, contractor, subcontractor, or other person has either 1) submitted a false claim for grant funds under the False Claims Act; or 2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct involving grant funds. 2. Task Force Training Requirement The subgrant recipient agrees that within 120 days of award, for any law enforcement task force funded with these funds, the task force commander, agency executive, task force officers, and other task force members of equivalent rank, will complete required online (internet-based) task force training to be provided free of charge through BJA's Center for Task Force Integrity and Leadership. This training will address task force effectiveness as well as other key issues including privacy and civil liberties/rights, task force performance measurement, personnel selection, and task force oversight and accountability. Additional information will be provided by BJA regarding the required training and access methods via BJA's web site and the Center for Task Force Integrity and Leadership (www.ctfli.org). SFY 2010 Page 1 Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Subgrant Recipient Organization Name: Monroe County Board of Commissioners County: Monroe Chief Official Name: George Neugent Title: Mayor Address: 1100 Simonton Street City: Key West State: FL Zip: 33040-3110 Phone: 305-289-6039 Ext: Fax: 305-872-9195 Email: boccdis1@monroecounty-fl.gov Chief Financial Officer Name: Danny Kolhage Title: Clerk Address: 500 Whitehead Street City: Key West State: FL Zip: 33040 Phone: 305-292-3550 Ext: Fax: 305-295-3663 Email: dkolhage@monroe-clerk.com Application Het it 2010-JAGC-1081 Section #1 Page 1 of 2 Contract 2010-JAGC-MONR-4-4X-113 Rule Reference 11 D-9 006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Implementing Agency Organization Name: Monroe County Board of Commissioners County: Monroe Chief Official Name: George Neugent Title: Mayor Address: 1100 Simonton Street City: Key West State: FL Zip: 33040-3110 Phone: 305-289-6039 Ext: Fax: 305-872-9195 Email: boccdis1@monroecounty-fl.gov Project Director Name: Lisa Tennyson Title: Grants Administrator Address: 1100 Simonton Street Room 2-213 City: Key West State: FL Zip: 33040 Phone: 305-292-4444 Ext: Fax: Email: Tennyson-Lisa@monroecounty-fl_gov Application Ref # 2010-JAGC-1081 Section #1 Page 2 of 2 Contract 2010-JAGC-MONR-4-4X-113 Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide General Project Information Project Title: Subgrant Recipient: Implementing Agency Project Start Date: Problem Identification 1. Problem Identification: DRUG COURT PROGRAM -URINALYSIS LAB ENHANCEMENT Monroe County Board of Commissioners Monroe County Board of Commissioners 10/1/2009 End Date: 9/30/2010 The 16th Judicial Circuit Drug Court Laboratory Program is a comprehensive urinalysis facility providing drug -testing services to hundreds of adults, youth and families throughout Monroe County. Over the past four years, demand for the high -quality urinalysis/drug testing services of the Drug Court Program Laboratory has risen considerably. Originally designed to serve the Monroe County Drug Courts, the Drug Court Lab's certified drug -testing service is now called upon by many other law enforcement agencies throughout the County. In an effort to promote public safety, the Drug Court Lab struggles to meet this increased demand and maximize its tremendous resources, at the same time it has experienced reduced funding. This grant will enhance the capacity of the Drug Court Laboratory, by allowing us to add a new position, a Laboratory Manager. With the addition of this key staffperson, the Lab will be able to respond to the increased demand for urinalysis/drug testing services from law enforcement entities throughout the Florida Keys. (The Lab Manager position will be an employee of Monroe County and will work 100% on this project.) a. Problem Description: The demand for drug testing for substance abusing offenders in Monroe County far exceeds the present Drug Court Laboratory's present capacity. In 1990 the urinalysis component began under the Pretrial Services Program for criminal defendant's arrested for substance related charges, released to the community, pending disposition of their cases. The need for urinalysis services multiplied with the insurgence of Adult Diversion Drug Court in 1993, Juvenile Drug Court in 1996, and Family Treatment Dependency Drug Court in 2000. The 2008 Lab numbers have significantly increased. For the current fiscal year, we have added three new testing contracts. Additionally, we are installing a new analyzer, the "Olympus 400 Delivery System". This state -of -the-art machine will allow the lab to double its capacity and maintain a cost that is significantly below other commercial rates in and out of Monroe County. In conjunction with the analyzer installation, we are negotiating additional Lab service contracts. The new machine allows us to increase our volume with subsequent cost benefits passed along to numerous agencies throughout the Keys. However, as a result of recent budget cuts, the Lab currently lacks sufficient staff resources to maximize the Lab's valuable resources. Staffing is critical in the Lab, as proper drug -testing procedures require certified staff (Drug and Alcohol Testing Industry Associated Certified Professional Collections Trainers) and that staff must ensure compliance with strict chain of custody requirements, and that all testing procedures Application Ref # 2010-JAGC-1081 Contract 2010-JAGC-MONR-4-4X- Section #2 Page 1 of 5 Rule Reference 11D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide _�. �,. �Ofa .'44'r tP rear .3'�d �§=_ —..,. .. — - '.."�—", accord with national standards for the Drug Courts, and commonly recognized guidelines such as those established by the American Probation and Parole Association, and the Department of Transportation. b. Problem Significance: Substance abuse is a significant problem in Monroe County. Data from the Monroe County Sheriffs Office indicates 6,447 substance abuse related bookings (19,631 jail days) were reported in 2007-2008. The Monroe County Detention Center reports over 80% of those arrested have substance abuse problems and high rates of recidivism. Records of HELPLINE, a 24-hour crisis intervention and referral service in Monroe County reports 2,355 substance abuse related calls last year. Other community service providers, such as our shelters and mental health providers similarly report high numbers of substance abusing clients. Drug testing promotes public safety by alerting the referral agent of drug use and increased risk of criminal activity. It also allows for immediate intervention by such agencies at the point of relapse. Abstinence from alcohol or other drug use is critical if a client is to benefit from participation in a treatment program. Testing urine for the presence of alcohol or other drugs serves to monitor and confirm client drug use or abstinence. Prompt and accurate test results promote open and honest communication among all parties. Positive test results compel clients to accept responsibility for their actions and reduce their tendency to deny their drug use. Frequent court -ordered alcohol and other drug testing is essential. An accurate, certified, testing program is the most objective and efficient way to establish a framework for accountability and to gauge each participant's progress. The Drug Court Laboratory provides this accurate, certified testing service in Monroe County for an assortment of law enforcement entities in the County including: the Courts per Judicial request, Adult Diversion Drug Court, Family Treatment Dependency Drug Court, Juvenile Drug Court, The Department of Juvenile Justice, IDDS(Intensive Delivery of Diversion Services), A Positive Step, for adjudicated delinquents, The Department of Children and Families Protective Investigations unit, Teen Court, and Pretrial Services. The Drug Court Lab requires additional resources in order to meet the growing need for drug testing services. The program must be staffed with certified, gender -specific collection observers during operational hours. However, as a result of 2008 budget cuts, the Key West part-time tech position was cut, and now other Drug Court employees, such as counselors must help with supervising the specimen submissions in Key West. The counselors are providing the necessary staffing support and spending valuable, limited time supervising urine submissions, which could otherwise be spent treating clients. The funding of the new manager position will eliminate the need for the Drug Court counselors to supervise urine drops, and allow them to properly focus their time on treating clients. c. Needs Assessment: Application Ref # 2010-JAGC-1081 Contract 2010-JAGC-MONR-4-4X- Section #2 Page 2 of 5 Rule Reference 11 D-M06 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide 4"_ f Numerous indicators tell us that substance abuse is significant and on the rise in Monroe County. The need for certified, accurate drug -tests has continued to increase. Each year the number of referrals to the Drug Court Lab rises significantly, as does the number of agencies and service providers requesting the Lab's services. The Lab performs upwards of 2,000 tests per month; sometimes as many as 150 per year per referral (some clients are tested as frequently as 3x per week.) The Drug Court Lab reports that they have experienced a 48% increase in the number of clients/referrals and a 62% increase in the number of tests from 2005 to 2008. This growth requires additional staff. Project Summary The Drug Court Laboratory's urinalysis drug -testing service promotes public safety by alerting the Court and other law enforcement agencies to drug use and the increased risk of associated criminal activity. It also allows for immediate intervention by Drug Court counselors at the point of relapse. With this grant, the Drug Laboratory will be able to add a critical new staff position, Laboratory Manager. The addition of this position will enable the Lab to: 1) provide additional testing services to meet the growing needs of law enforcement in Monroe County; 2) improve/expedite the processing of the increased number of testing service requests; 3) maximize its new state of the art testing equipment; 4) provide testing services at a greatly reduced cost at a time when cost factors are a grave concern for law enforcement programs and agencies throughout the County; and 5) provide thorough administration of protocols and procedures, and proper supervision, support and training of Lab technicians. The Lab Manager will work at the Drug Court Laboratory located at 3139 Riviera Drive in Key West, Florida. The Manager will supervise the daily operations of the Lab. He/She will also supervise the operations and activities of the Drug Court Lab satellite sites located in the Middle Keys at the Marathon Court House Annex operating Mondays and Thursdays from 5:30pm to 7:00pm; and in the Upper Keys at the Plantation Key Drug Court Office in Tavernier, Florida. The Drug Court Lab Manager will oversee and process testing service requests from a wide spectrum of law enforcement entities in Monroe County including open Court, Adult Diversion Drug Court, Family Treatment Dependency Drug Court, Juvenile Drug Court, The Department of Juvenile Justice, IDDS (Intensive Delivery of Diversion Services), A Positive Step (adjudicated delinquents), The Department of Children and Families protective investigations unit, Teen Court, and Pretrial Services. The Lab Manager will oversee and ensure the Drug Testing Chain of Custody Procedures which consists of the following steps: Certified Urinalysis Program Technicians provide clients with specific information relevant to the basic rules and regulations of specimen collection, handling of samples, analysis, testing and result reporting. This information is reviewed with clients to make certain they understand it. Clients are informed about how drug test results are used, who receives the test result information, and the consequences of either a positive test result or a refusal to test. The client is informed that a refusal to test may be considered a missed drop, which may be a violation of their program participation. This information will be reported to the Referral Agent. The Lab Manager will ensure that drug testing is as valid and reliable a procedure as Application Ref # 2010-JAGC-1081 Section #2 Page 3 of 5 Contract 2010-JAGC-MONR-4-4X- Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide possible. Contributing to this validity and reliability are the following: Urine specimen collection is directly observed. Clients are required to produce a sample observed by the collector. Temperature and measurement of creatine levels are verified to determine the extent of water loading. Urine analysis reports are completed and reported to the designated authority within 48 hours of testing. When a client tests positive, refuses testing, submits the sample of another person, or alters a sample, it is communicated to the Referral Agent immediately. The Laboratory Manager will have credentials and experience noted on the job description, in accordance with laboratory certification mandates. He/she will be a full-time employee of Monroe County, working 40 hours per week. The grant will pay for his/her salary and benefits. The Laboratory Manager will work 100% for this program. The grant will pay for 85% of the position's salary and benefits. The balance will be paid by Monroe County Drug Court. This position represents one net new hire. Application Ref # 2010-JAGC-1081 Section #2 Page 4 of Contract 2010-JAGC-MONR-4-4X- Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide I Section Questions: Question: Does the Subgrantee receive a single grant in the amount of $500,000 or more from the U.S. Department of Justice? Answer: No Question: Does the Implementing Agency receive a single grant in the amount of $500,000 or more from the U.S. Department of Justice? Answer: No Application Ref # 2010-JAGC-1081 Section #2 Page 5 of 5 Contract 2010-JAGC-MONR-4-4X- Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide General Performance Info: Performance Reporting Frequency: Quarterly Federal Purpose Area: 005 - Drug Treatment Programs State Purpose Area: A - State/Local Initiatives - Coordinate/Organize Local Initiatives/State Initiatives Activity Description Activity: Drug Testing Target Group: Offenders of all types Geographic Area: County -Wide Location Type: Other Address(es) : Drug Court Laboratory 3139 Riviera Drive Key West, FL 33040 Activity Description Activity: Urinalysis Target Group: Offenders of all types Geographic Area: County -Wide Location Type: Other Objectives and Measures Objective: 03.A.DS' - Number of program participants receiving services Measure: Part 1 Number of program participants to receive services during the grant period Goal: 680 Measure: Part 2 Number of program participants to receive services during each reporting period Goal: 170 Objective: 58.A.S1 - Number of existing local initiatives Measure: Part 1 Will this grant continue a local initiative that was begun with any other Application Ref # 2010-JAGC-1081 Section #3 Page 1 of 3 Contract 2010-JAGC-MONR-4-4X- Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide funding source, including a prior year's grant? Goal: Yes Application Ref # 2010-JAGC-1081 Section #3 Page 2 of 3 Contract 2010-JAGC-MONR-4-4X- Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Section Questions: Question: If 'other" was selected for the geographic area, please describe. Answer: NA Question: If 'other" was selected for location type, please describe. Answer: The site is the Drug Court Laboratory Facility located at 3139 Riviera Drive, Key West, Florida, 33040. Application Ref # 2010-JAGC-1081 Section #3 Page 3 of 3 Contract 2010-JAGC-MONR-4-4X- Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide General Financial Info: Note: All financial remittances will be sent to the Chief Financial Officer of the Subgrantee Organization. Financial Reporting Frequency for this Subgrant: Quarterly Is the subgrantee a state agency?: No FLAIR I Vendor Number: 596000749 Budget: Budget Category Federal Match Total Salaries and Benefits $46,725.00 $0.00 $46,725.00 Contractual Services $0.00 $0.00 $0.00 Expenses $0.00 $0.00 $0.00 Operating Capital $0.00 $0.00 $0.00 Outlay Indirect Costs $0.00 $0.00 $0.00 -- Totals -- $46,725.00 $0.00 $46,725.00 Percentage 100.0 0.0 100.0 Project Generated Income: Will the project earn project generated income (PGI) ? No Application Ref # 2010-JAGC-1081 Section #4 Page 1 of 3 Contract 2010-JAGC-MONR-4-4X- Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Budget Narrative: TOTAL BUDGET: $ 46,725 SALARIES: Lab Manager F/T: $ 32,025 (100% on project, 1 new net hire) ( 85% grant -funded, balance to be paid by Drug Court.) BENEFITS: FICA: $ 2,460 Retirement: 3,235 Group Insurance: 7,593 Workers Comp: 1,412 TOTAL SALARY AND BENEFITS: $46,725 Application Ref # 2010-JAGC-1081 Section #4 Page 2 of 3 Contract 2010-JAGC-M0NR44X- Rule Reference 1104006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide �Section Questions: Question: If salaries and benefits are included in the budget as actual costs for staff in the implementing agency, is there a net personnel increase, or a continued net personnel increase from the previous Byrne program? Answer: Yes Question: If benefits are to be included, are they reflected in the budget narrative? Answer: Yes Question: Indicate the Operating Capital Outlay threshold established by the subgrantee or implementing agency, if it is the sheriffs office. Answer: Monroe County's OCO threshold is $1,000. Question: If indirect cost is included in the budget, indicate the basis for the plan (e.g. percent of salaries and benefits), and provide documentation of the appropriate approval of this plan. Answer: NA Question: If the budget includes services based on unit costs, provide a definition and cost for each service as part of the budget narrative for contractual services. Include the basis for the unit costs and how recently the basis was established or updated. Answer: NA Application Ref # 2010-JAGC-1081 Section #4 Page 3 of Contract 2010-JAGC-MONR-4-4X- Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement Standard Conditions Conditions of agreement requiring compliance by units of local government (subgrant recipients), implementing agencies, and state agencies upon signed acceptance of the subgrant award appear in this section. Upon approval of this subgrant, the approved application and the following terms of conditions will become binding. Failure to comply with provisions of this agreement will result in required corrective action up to and including project costs being disallowed and termination of the project, as specified in item 17 of this section. 1. All Subgrant Recipients must comply with the financial and administrative requirements set forth in the current edition of the U.S. Department of Justice, Office of Justice Programs (OJP) Financial Guide (Financial Guide) and the Edward Byrne Memorial Justice Assistance Grant (JAG) program guidance as well as Federal statutes, regulations, policies, guidelines and requirements and Florida laws and regulations including but not limited to: • Florida Administrative Code, Chapter 11D-9, "Edward Byrne Memorial State and Local Law Enforcement Assistance Formula Grant Program" • Office of Management and Budget (OMB) Circular A-21 (2 CFR 220), "Cost Principles for Educational Institutions" • OMB Circular A-87 (2 CFR 225), "Cost Principles for State, Local and Indian Tribal Governments" • OMB Circular A-102, "Grants and Cooperative Agreements with State and Local Governments" • OMB Circular A-110 (2 CFR 215), "Uniform Administrative Requirements for Grants and Cooperative Agreements" • OMB Circular A-122 (2 CFR 230), "Cost Principles for Non -Profit Organizations" • OMB Circular A-133, "Audits of States, Local Governments, and Non -Profit Organizations" • 28 CFR 38, "Equal Treatment for Faith -Based Organizations" • 28 CFR 66, "U.S. Department of Justice Common Rule for State And Local Governments" (Common Rule) • 28 CFR 83, "Government -Wide Requirements for Drug -Free Workplace (Grants)" • 28 CFR 18, 22, 23, 30, 35, 42, 61, and 63 • Public Law 109-162, Title XI —Department of Justice Reauthorization, Subtitle B— Improving the Department of Justice's Grant Programs, Chapter 1—Assisting Law Enforcement and Criminal Justice Agencies, Sec. 1111. Merger of Byrne Grant Program and Local Law Enforcement Block Grant Program • 42 U.S.C. 3711 et seq., "Omnibus Crime Control and Safe Streets Act of 1968" 2. Allowable Costs a. Allowance for costs incurred under the subgrant shall be determined according to the general principles and standards for selected cost items set forth in the Office of Justice Programs Financial Guide, U.S. Department of Justice Common Rule for State And Local Governments and federal OMB Circular A-87, "Cost Principles for State, Local and Indian Tribal Governments," or OMB Circular A-21, "Cost Principles for Educational Institutions." b. All procedures employed in the use of federal funds for any procurement shall be according to U.S. Department of Justice Common Rule for State and Local Governments, or OMB Circular A-110, or OMB Circular A-102, and Florida law to be eligible for reimbursement. SFY 2010 Page 1 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 3. Reports a. Project Performance Reports (1) Reporting Time Frames:The subgrant recipient shall submit Quarterly Project Performance Reports to the Florida Department of Law Enforcement, hereafter known as the Department, within 15 days after the end of the reporting period. In addition, if the subgrant award period is extended beyond the "original" project period, additional Quarterly Project Performance Reports shall be submitted. Failure to submit Quarterly Performance Reports that are complete, accurate, and timely may result in sanctions, as specified in item 17, Performance of Agreement Provisions. (2) Report Contents: Performance reports must include a response to all objectives included in your subgrant. A detailed response is required in the narrative portion for yes/no performance objectives. The narrative must also reflect on accomplishments for the quarter and identify problems with project implementation and address actions being taken to resolve the problems. b. Financial Reports (1) Project Expenditure Reports (a) The subgrant recipient shall have a choice of submitting either a Monthly or a Quarterly Project Expenditure Report to the Department. Project Expenditure Reports are due thirty-one (31) days after the end of the reporting period. In addition, if the subgrant award period is extended, additional Project Expenditure Reports shall be submitted. Project Expenditure Reports for grants made under the Recovery Act must be submitted monthly. See the Recovery Act Conditions for additional information. (b) All project expenditures for reimbursement of subgrant recipient costs shall be submitted on the Project Expenditure Report Forms prescribed and provided by the Office of Criminal Justice Grants (OCJG) through the Subgrant Information Management ON -line (SIMON) system. (c) All Project Expenditure Reports shall be submitted in sufficient detail for proper pre - audit and post -audit. (d) Before the "final" Project Expenditure Report will be processed, the subgrant recipient must submit to the Department all outstanding project reports and must have satisfied all special conditions. Failure to comply with the above provisions shall result in forfeiture of reimbursement. (e) Reports are to be submitted even when no reimbursement is being requested. (2) The Financial Closeout Documentation shall be submitted to the Department within forty- five (45) days of the subgrant termination date. (3) If applicable, the subgrant recipient shall submit Quarterly Project Generated Income Reports to the Department within 31 days after the end of the reporting period covering subgrant project generated income and expenditures during the previous quarter. If any PGI remains unspent after the subgrant ends, the subgrant recipient must continue SFY 2010 Page 2 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement submitting quarterly PGI reports until all funds are expended. (See Item 10, Program Income.) c. Other Reports The recipient shall report to the Uniform Crime Report and other reports as may be reasonably required by the Department. 4. Fiscal Control and Fund Accounting Procedures a. The subgrant recipient shall establish fiscal control and fund accounting procedures that assure proper disbursement and accounting of subgrant funds and required non-federal expenditures. All funds spent on this project shall be disbursed according to provisions of the project budget as approved by the Department. b. All expenditures and cost accounting of funds shall conform to the Office of Justice Programs Financial Guide, the Common Rule, and OMB Circulars A-21, A-87, and A-110, or A-102 as applicable, in their entirety. c. All funds not spent according to this agreement shall be subject to repayment by the subgrant recipient. 5. Payment Contingent on Appropriation and Available Funds The State of Florida's performance and obligation to pay under this agreement is contingent upon an annual appropriation by the Florida Legislature. Furthermore, the obligation of the State of Florida to reimburse subgrant recipients for incurred costs is subject to available federal funds. 6. Obligation of Subgrant Recipient Funds Subgrant funds shall not under any circumstances be obligated prior to the effective date or subsequent to the termination date of the subgrant period. Only project costs incurred on or after the effective date and on or prior to the termination date of the subgrant recipient's project are eligible for reimbursement. Advance Funding Advance funding shall be provided to a subgrant recipient upon a written request to the Department. 8. Trust Funds a. The unit of local government must establish a trust fund in which to deposit JAG funds. The trust fund may or may not be an interest bearing account. b. The account may earn interest, but any earned interest must be used for program purposes and expended before the subgrant end date. Any unexpended interest remaining at the end of the subgrant period must be submitted to the Office of Criminal Justice Grants for transmittal to the Bureau of Justice Assistance. 9. Travel and Training The cost of all travel shall be reimbursed according to the subgrant recipient's written travel policy. If the subgrant recipient does not have a written travel policy, cost of all travel will be reimbursed according to § 112.061, Fla. Stat. SFY 2010 Page 3 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 10. Program Income (also known as Project Generated Income) a. All income generated as a direct result of a subgrant project shall be deemed program income. b. Any project that will potentially earn PGI must submit an Earnings and Expenditures Report to report how much PGI was earned during each quarter. A report must be submitted each quarter even if no PGI was earned or expended. c. PGI expenditures require prior written approval from the Office of Criminal Justice Grants. Program income must be used for the purposes of and under the conditions applicable to the award. If the cost is allowable under the Federal grant program, then the cost would be allowable using program income. d. Program income should be used as earned and expended as soon as possible. Any unexpended PGI remaining at the end of the Federal grant period must be submitted to the Office of Criminal Justice Grants for transmittal to the Bureau of Justice Assistance. 11. Approval of Consultant Contracts The Department shall review and approve in writing all consultant contracts prior to employment of a consultant when the consultant's rate exceeds $450 (excluding travel and subsistence costs) for an eight -hour day. Approval shall be based upon the contract's compliance with requirements found in the Financial Guide, the Common Rule, and in applicable state statutes. The Department's approval of the subgrant recipient agreement does not constitute approval of consultant contracts. If consultants are hired through a competitive bidding process (not sole source), the $450 threshold does not apply. 12. Property Accountability a. The subgrant recipient agrees to use all non -expendable property for criminal justice purposes during its useful life or dispose of it pursuant to § 274, Fla. Stat. The subgrant recipient shall establish and administer a system to protect, preserve, use, maintain and dispose of any property furnished to it by the Department or purchased pursuant to this agreement according to federal property management standards set forth in the Office of Justice Programs Financial Guide, U.S. Department of Justice Common Rule for State and Local Governments or the federal OMB Circular A-110 or A-102, as applicable. This obligation continues as long as the subgrant recipient retains the property, notwithstanding expiration of this agreement. 13. Ownership of Data and Creative Material Ownership of material, discoveries, inventions, and results developed, produced, or discovered subordinate to this agreement is governed by the terms of the Office of Justice Programs Financial Guide{as amended), and the U.S.-Department of Justice Common Rule for State and Local Governments, or the federal OMB Circular A-110 or A-102, as applicable. 14. Copyright The awarding agency reserves a royalty -free non-exclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use, for Federal government purposes: a. The copyright in any work developed under an award or subaward, and SFY 2010 Page 4 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement b. Any rights of copyright to which a subgrant recipient or subrecipient purchases ownership with support funded under this grant agreement. 15. Publication or Printing of Reports The subgrant recipient shall submit for review and approval one copy of any curricula, training materials, or any other written materials that will be published, including web -based materials and web site content, through funds from this grant at least thirty (30) days prior to the targeted dissemination date. All materials publicizing or resulting from award activities shall contain the following statements: "This project was supported by Award No. [contact the Office of Criminal Justice Grants for award number] awarded by the Bureau of Justice Assistance, Office of Justice Programs. The opinions, findings, and conclusions or recommendations expressed in this publication/program/exhibition are those of the author(s) and do not necessarily reflect the views of the Department of Justice." 16. Audit Subgrant recipients that expend $500,000 or more in a year in Federal awards shall have a single or program -specific audit conducted for that year. The audit shall be performed in accordance with the federal OMB Circular A-133 and other applicable federal law. The contract for this agreement shall be identified in the Schedule of Federal Financial Assistance in the subject audit. The contract shall be identified as federal funds passed through the Florida Department of Law Enforcement and include the contract number, CFDA number, award amount, contract period, funds received and disbursed. When applicable, the subgrant recipient shall submit an annual financial audit that meets the requirements of § 11.45, Fla. Stat. , "Definitions; duties; authorities; reports; rules."; § 215.97, Fla. Stat. , "Florida Single Audit Act"; and Rules of the Auditor General, Chapter 10.550, "Local Governmental Entity Audits" and Chapter 10.650, "Florida Single Audit Act Audits Nonprofit and For -Profit Organizations." b. A complete audit report that covers any portion of the effective dates of this agreement must be submitted within 30 days after its completion, but no later than nine (9) months after the audit period. In order to be complete, the submitted report shall include any management letters issued separately and management's written response to all findings, both audit report and management letter findings. Incomplete audit reports will not be accepted by the Department. c. The subgrant recipient shall have all audits completed by an Independent Public Accountant (IPA). The IPA shall be either a Certified Public Accountant or a Licensed Public Accountant. d. The subgrant recipient shall take appropriate corrective action within six (6) months of the issue date of the audit report in instances of noncompliance with federal laws and regulations. e. The subgrant recipient shall ensure that audit working papers are made available to the Department, or its designee, uponrequestfor-period_of three (3) years from the date the audit report is issued, unless extended in writing by the Department. Subgrant recipients that expend less than $500,000 in Federal awards during a fiscal year are exempt from the audit requirements of OMB Circular A-133 for that fiscal year. In this case, written notification, which can be in the form of the "Certification of Audit Exemption" form, shall be provided to the Department by the Chief Financial Officer, or designee, that the subgrant recipient is exempt. This notice shall be provided to the Department no later than March 1 following the end of the fiscal year. SFY 2010 Page 5 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement g. If this agreement is closed out without an audit, the Department reserves the right to recover any disallowed costs identified in an audit completed after such closeout. h. The completed audit report or written notification of audit exemption should be sent to the following address: Florida Department of Law Enforcement Office of Criminal Justice Grants 2331 Phillips Road Tallahassee, Florida 32308 17. Performance of Agreement Provisions In the event of default, non-compliance or violation of any provision of this agreement by the subgrant recipient, the subgrant recipient's consultants and suppliers, or both, the Department shall impose sanctions it deems appropriate including withholding payments and cancellation, termination, or suspension of the agreement in whole or in part. In such event, the Department shall notify the subgrant recipient of its decision thirty (30) days in advance of the effective date of such sanction. The subgrant recipient shall be paid only for those services satisfactorily performed prior to the effective date of such sanction. 18. Commencement of Project a. If a project is not operational within 60 days of the original start date of the award period, the subrecipient must report by letter to the Department the steps taken to initiate the project, the reasons for delay, and the expected start date. b. If a project is not operational within 90 days of the original start date of the award period, the subrecipient must submit a second statement to the Department explaining the implementation delay. c. Upon receipt of the ninety (90) day letter, the Department shall determine if the reason for delay is justified or shall, at its discretion, unilaterally terminate this agreement and re - obligate subgrant funds to other Department approved projects. The Department, where warranted by extenuating circumstances, may extend the starting date of the project past the ninety (90) day period, but only by formal written adjustment to this agreement. 19. Excusable Delays a. Except with respect to defaults of consultants, the subgrant recipient shall not be in default by reason of any failure in performance of this agreement according to its terms (including any failure by the subgrant recipient to make progress in the execution of work hereunder which endangers such performance) if such failure arises out of causes beyond the control and without the fault or negligence of the subgrant recipient. Such causes include, but are not limited to, acts of God or of the public enemy, acts of the government in either its sovereign or contractual capacity, fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes, and unusually severe weather, but in every case, the failure to perform shall be beyond the control and without the fault or negligence of the subgrant recipient. b. If failure to perform is caused by failure of a consultant to perform or make progress, and if such failure arises out of causes beyond the control of subgrant recipient and consultant, and without fault or negligence of either of them, the subgrant recipient shall not be deemed in default, unless: (1) Supplies or services to be furnished by the consultant were obtainable from other sources, SFY 2010 Page 6 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement (2) The Department ordered the subgrant recipient in writing to procure such supplies or services from other sources, and (3) The subgrant recipient failed to reasonably comply with such order. c. Upon request of the subgrant recipient, the Department shall ascertain the facts and the extent of such failure, and if the Department determines that any failure to perform was occasioned by one or more said causes, the delivery schedule shall be revised accordingly. 20. Written Approval of Changes in this Approved Agreement a. Subgrant recipients must obtain prior approval from the Department for major substantive changes such as changes in project activities, target populations, service providers, implementation schedules, project director, and designs or research plans set forth in the approved agreement and for any budget changes that will transfer more than 10% of the total budget between budget categories. b. Subgrant recipients may transfer up to 10% of the total budget between current, approved budget categories without prior approval as long as the funds are transferred to an existing line item c. Under no circumstances can transfers of funds increase the total budgeted award. 21. Disputes and Appeals a. The Department shall make its decision in writing when responding to any disputes, disagreements, or questions of fact arising under this agreement and shall distribute its response to all concerned parties. The subgrant recipient shall proceed diligently with the performance of this agreement according to the Department's decision. b. If the subgrant recipient appeals the Department's decision, the appeal also shall be made in writing within twenty-one (21) calendar days to the Department's clerk (agency clerk). The subgrant recipient's right to appeal the Department's decision is contained in § 120, Fla. Stat., and in procedures set forth in Rule 28-106.104, Florida Administrative Code. Failure to appeal within this time frame constitutes a waiver of proceedings under § 120, Fla. Stat. 22. Conferences and Inspection of Work Conferences may be held at the request of any party to this agreement. At any time, a representative of the Department, of the U.S. Department of Justice, or the Auditor General of the State of Florida, have the right of visiting the project site to monitor, inspect and assess work performed under this agreement. 23. Access To Records a. The Department of Lave Enforcement, the Auditor General of the -Stag of Florida, the U.S. Department of Justice, the U.S. Comptroller General or any of their duly authorized representatives, shall have access to books, documents, papers and records of the subgrant recipient, implementing agency and contractors for the purpose of audit and examination according to the Financial Guide and the Common Rule. b. The Department reserves the right to unilaterally terminate this agreement if the subgrant recipient, implementing agency, or contractor refuses to allow public access to all documents, papers, letters, or other materials subject to provisions of § 119, Fla. Stat. , and SFY 2010 Page 7 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement made or received by the subgrant recipient or its contractor in conjunction with this agreement. c. The subgrant recipient will give the awarding agency or the General Accounting Office, through any authorized representative, access to and the right to examine all paper or electronic records related to the financial assistance. 24. Retention of Records The subgrant recipient shall maintain all records and documents for a minimum of three (3) years from the date of the final financial statement and be available for audit and public disclosure upon request of duly authorized persons. 25. Signature Authority The Subgrant Recipient Authorizing Official or Designated Representative and the Implementing Agency Official, Administrator or Designated Representative, who sign the Signature Page, have the authority to request changes to the approved agreement. The prior mentioned individuals have authority to sign or make amendments to the Sole Source, ADP Justification and the Privacy Certification forms. The Project Director has authority to submit requests for approval of specific travel, and Performance Reports, with the exception of the Financial and Closeout Package, which also requires the signature by the Chief Financial Officer of the Subgrant Recipient or authorized designee. 26. Delegation of Signature Authority When the authorized official of a subgrant recipient or the implementing agency designates some other person signature authority for him/her, the chief officer or elected official must submit to the Department a letter or resolution indicating the person given signature authority. The letter indicating delegation of signature authority must be signed by the chief officer or elected official and the person receiving signature authority. The letter must also specify the authority being delegated. 27. Personnel Changes Upon implementation of the project, in the event there is a change in Chief Executive Officers for the Subgrant recipient or Implementing Agency, Project Director, or Contact Person, the Department must be notified in writing with documentation to include appropriate signatures. 28. Background Check Whenever a background screening for employment or a background security check is required by law for employment, unless otherwise provided by law, the provisions of § 435, Fla. Stat. shall apply. a. All positions in programs providing care to children, the developmentally disabled, or vulnerable adults for 15 hours or more per week- all permanent and temporary employee positions of the central abuse hotline-, and all persons working under contract who have access to abuse records are deemed to be persons and positions of special trust or responsibility and require employment screening pursuant to § 435, Fla. Stat., using the level 2 standards set forth in that chapter. b. All employees in positions designated by law as positions of trust or responsibility shall be required to undergo security background investigations as a condition of employment and continued employment. For the purposes of the subsection, security background investigations shall include, but not be limited to, employment history checks, fingerprinting SFY 2010 Page 8 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement for all purposes and checks in this subsection, statewide criminal and juvenile records checks through the Florida Department of Law Enforcement, and federal criminal records checks through the Federal Bureau of Investigation, and may include local criminal records checks through local law enforcement agencies. (1) Any person who is required to undergo such a security background investigation and who refuses to cooperate in such investigation or refuses to submit fingerprints shall be disqualified for employment in such position or, if employed, shall be dismissed. (2) Such background investigations shall be conducted at the expense of the employing agency or employee. When fingerprinting is required, the fingerprints of the employee or applicant for employment shall be taken by the employing agency or by an authorized law enforcement officer and submitted to the Department of Law Enforcement for processing and forwarding, when requested by the employing agency, to the United States Department of Justice for processing. The employing agency shall reimburse the Department of Law Enforcement for any costs incurred by it in the processing of the fingerprints. 29. Drug Court Projects A Drug Court Project must comply with § 397.334, Fla. Stat., "Treatment -Based Drug Court Programs." 30. Overtime for Law Enforcement Personnel Prior to obligating funds from this award to support overtime by law enforcement officers, the U.S. Department of Justice encourages consultation with all allied components of the criminal justice system in the affected jurisdiction. The purpose of this consultation is to anticipate and plan for systemic impacts such as increased court dockets and the need for detention space. 31. Criminal Intelligence System The subgrant recipient agrees that any information technology system funded or supported by the Office of Justice Programs funds will comply with 28 C.F.R. Part 23, Criminal Intelligence Systems Operating Policies, if the Office of Justice Programs determines this regulation to be applicable. Should the Office of Justice Programs determine 28 C.F.R. Part 23 to be applicable, the Office of Justice Programs may, at its discretion, perform audits of the system, as per 28 C.F.R. 23.20(g). Should any violation of 28 C.F.R. Part 23 occur, the recipient may be fined as per 42 U.S.C. 3789g(c)-(d). Recipient may not satisfy such a fine with federal funds. 32. Confidential Funds A signed certification that the project director or the head of the Implementing Agency has read, understands, and agrees to abide by all of the conditions for confidential funds as set forth in the effective edition of the Office of Justice Programs Financial Guide is required from all projects that are involved with confidential funds. The signed certification must be submitted at the time of grant application. 33. Equal Employment Opportunity (EEO) a. Federal laws prohibit recipients of financial assistance from discriminating on the basis of race, color, national origin, religion, sex, disability, or age in funded programs or activities. All subgrant recipients and implementing agencies must comply with any applicable statutorily - imposed nondiscrimination requirements, which may include the Omnibus Crime Control and Safe Streets Act of 1968 (42 U.S.C. § 3789d); the Victims of Crime Act (42 U.S.C. § 10604(e)); The Juvenile Justice and Delinquency Prevention Act of 2002 (42 U.S.C. § SFY 2010 Page 9 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 5672(b)); the Civil Rights Act of 1964 (42 U.S.C. § 2000d); the Rehabilitation Act of 1973 (29 U.S.C. § 7 94); the Americans with Disabilities Act of 1990 (42 U.S.C. § 12131-34); the Education Amendments of 1972 (20 U.S.C. §§1681, 1683, 1685-86); the Age Discrimination Act of 1975 (42 U.S.C. §§ 6101-07); and Department of Justice Non -Discrimination Regulations 28 CFR Part 42; see Ex. Order 13279 (equal protection of the laws for faith - based and community organizations). b. A subgrant recipient or implementing agency must develop an EEO Plan if it has 50 or more employees and it has received any single award of $25,000 or more from the Department of Justice. The plan must be prepared using the on-line short form at http://www.ojp.usdoj.gov/about/ocr/eeop_comply.htm, must be retained by the subgrant recipient or implementing agency, and must be available for review or audit. The organization must also submit an EEO Certification to FDLE. c. If the subgrant recipient or implementing agency is required to prepare an EEO Plan and has received any single award of $500,000 or more from the Department of Justice, it must submit its plan to the Department of Justice for approval. A copy of the Department of Justice approval letter must be submitted to FDLE. The approval letter expires two years from the date of the letter. d. A subgrant recipient or implementing agency is exempt from the EEO Plan requirement if it is has fewer than 50 employees or if it does not receive any single award of $25,000 or more from the Department of Justice or if it is a nonprofit organization, a medical or educational institution, or an Indian Tribe. If an organization is exempt from the EEO Plan requirement, it must submit an EEO Certification to FDLE. e. The subgrant recipient and implementing agency acknowledge that failure to comply with EEO Requirements within 60 days of the project start date may result in suspension or termination of funding, until such time as it is in compliance. f. In the event a Federal or State court of Federal or State administrative agency makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the recipient will forward a copy of the finding to the Office for Civil Rights, Office of Justice Programs. 34. Americans with Disabilities Act Subgrant recipients must comply with the requirements of the Americans with Disabilities Act (ADA), Public Law 101-336, which prohibits discrimination by public and private entities on the basis of disability and requires certain accommodations be made with regard to employment (Title 1), state and local government services and transportation (Title 11), public accommodations (Title III), and telecommunications (Title IV). 35. Immigration and Nationality Act No public funds will intentionally be awarded to any contractor who knowingly employs unauthorized alien workers, constituting a violation of the employment provisions contained in 8 U_S.C. Section 1324a(e), _Section 274A(e) of the Immigration and Nationality Act ("INA"). The Department shall consider the employment by any contractor of unauthorized aliens a violation of Section 274A(e) of the INA. Such violation by the subgrant recipient of the employment provisions contained in Section 274A(e) of the INA shall be grounds for unilateral cancellation of this contract by the Department. 36. National Environmental Policy Act (NEPA) a. The subgrant recipient agrees to assist FDLE in complying with the NEPA, the National Historic Preservation Act, and other related federal environmental impact analyses SFY 2010 Page 10 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement requirements in the use of subgrant funds by the subgrant recipient. This applies to the following new activities whether or not they are being specifically funded with these subgrant funds. That is, it applies as long as the activity is being conducted by the subgrant recipient or any third party and the activity needs to be undertaken in order to use these subgrant funds, (1) New construction; (2) Minor renovation or remodeling of a property either (a) listed on or eligible for listing on the National Register of Historic Places or (b) located within a 100-year flood plain; (3) A renovation, lease, or any other proposed use of a building or facility that will either (a) result in a change in its basic prior use or (b) significantly change its size; and (4) Implementation of a new program involving the use of chemicals other than chemicals that are (a) purchased as an incidental component of a funded activity and (b) traditionally used, for example, in office, household, recreational, or educational environments. (5) Implementation of a program relating to clandestine methamphetamine laboratory operations, including the identification, seizure, or closure of clandestine methamphetamine laboratories. b. The subgrant recipient understands and agrees that complying with NEPA may require the preparation of an Environmental Assessment and/or an Environmental Impact Statement, as directed by the Bureau of Justice Assistance. The subgrant recipient further understands and agrees to the requirements for implementation of a Mitigation Plan, as detailed by the Department of Justice, for programs relating to methamphetamine laboratory operations. c. For any of a subgrant recipient's existing programs or activities that will be funded by these subgrants, the subgrant recipient, upon specific request from the Department and the U.S. Department of Justice, agrees to cooperate with the Department of Justice in any preparation by Department of Justice of a national or program environmental assessment of that funded program or activity. 37. Non -Procurement, Debarment and Suspension The subgrant recipient agrees to comply with Executive Order 12549, Debarment and Suspension and 2 CFR 180, "OMB Guidelines To Agencies On Governmentwide Debarment And Suspension (Nonprocurement)" These procedures require the subgrant recipient to certify it shall not enter into any lower tiered covered transaction with a person who is debarred, suspended, declared ineligible or is voluntarily excluded from participating in this covered transaction, unless authorized by the Department. If the subgrant is $100,000 or more, the subgrant recipient and implementing agency certify that they and their principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial -of -Federal benefits by -a State, _or -Federal -court -or--voluntarfly- excluded from covered transactions by any Federal department or agency; b. Have not within a three-year period preceding this application 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; SFY 2010 Page 11 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental 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 had one or more public transactions (Federal, State, or local) terminated for cause or default. 38. Federal Restrictions on Lobbying a. Each subgrant recipient agrees to comply with 28 CFR Part 69, "New Restrictions on Lobbying" and shall file the most current edition of the Certification And Disclosure Form, if applicable, with each submission that initiates consideration of such subgrant recipient for award of federal contract, grant, or cooperative agreement of $100,000 or more. b. This certification is a material representation of fact upon which reliance was placed when this agreement was made. Submission of this certification is a prerequisite to entering into this agreement subject to conditions and penalties imposed by 31 USC 1352. Any person who fails to file the required certification is subject to a civil penalty of not less than $10,000 and not more than $100,000 for each failure to file. c. As required by 31 USC 1352, and implemented at 28 CFR 69, for persons entering into a grant or cooperative agreement over $100,000, as defined at 28 CFR 69, the applicant certifies that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making of any Federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal grant 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 grant or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure of Lobbying Activities," 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 subgrants, contracts under grants and cooperative agreements, and subcontracts) and that all sub -recipients shall certify and disclose accordingly. 39. State Restrictions on Lobbying In addition to the provisions contained in Item 39, above, the expenditure of funds for the purpose of lobbying the iegistature or a state agency is prohibited under this contract. 40. Additional Restrictions on Lobbying Recipient understands and agrees that it cannot use any federal funds, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government, without the express prior written approval of the Office of Justice Programs. SFY 2010 Page 12 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 41. "Pay — to — Stay" Funds from this award may not be used to operate a "pay -to -stay" program in any local jail. Furthermore, no funds may be given to local jails that operate "pay -to -stay" programs. "Local jail," as referenced in this condition, means an adult facility or detention center owned and/or operated by city, county, or municipality. It does not include juvenile detention centers. "Pay -to - stay" programs as referenced in this condition, means a program by which extraordinary services, amenities and/or accommodations, not otherwise available to the general inmate population, may be provided, based upon as offender's apparent ability to pay, such that disparate conditions of confinement are created for the same or similar offenders within a jurisdiction. 42. Mitigation of Health, Safety and Environmental risks dealing with Clandestine Methamphetamine Laboratories If an award is made to support methamphetamine laboratory operations the subgrant recipient must comply with this condition, which provides for individual site environmental assessment/impact statements as required under the National Environmental Policy Act. a. General Requirement: The subgrant recipient agrees to comply with Federal, State, and local environmental, health and safety laws and regulations applicable to the investigation and closure of clandestine methamphetamine laboratories and the removal and disposal of the chemicals, equipment, and wastes used in or resulting from the operation of these laboratories. Specific Requirements: The subgrant recipient understands and agrees that any program or initiative involving the identification, seizure, or closure of clandestine methamphetamine laboratories can result in adverse health, safety and environmental impacts to (1) the law enforcement and other governmental personnel involved; (2) any residents, occupants, users, and neighbors of the site of a seized clandestine laboratory; (3) the seized laboratory site's immediate and surrounding environment of the site(s) where any remaining chemicals, equipment, and waste from a seized laboratory's operations are placed or come to rest. Therefore, the subgrant recipient further agrees that in order to avoid or mitigate the possible adverse health, safety and environmental impacts from any of clandestine methamphetamine operations funded under this award, it will (1) include the nine, below listed protective measures or components; (2) provide for their adequate funding to include funding, as necessary, beyond that provided by this award; and (3) implement these protective measures directly throughout the life of the subgrant. In so doing, the subgrant recipient understands that it may implement these protective measures directly through the use of its own resources and staff or may secure the qualified services of other agencies, contractor or other qualified third party. (1) Provide medical screening of personnel assigned or to be assigned by the subgrant recipient to the seizure or closure if of clandestine methamphetamine laboratories; (2) Provide Occupational Safety and Health Administration (OSHA) required initial and refresher training for law enforcement officials and other personnel assigned by the subgrant recipient to either the seizure or closure of dandestine methamphetamine laboratories; (3) As determined by their specific duties, equip personnel assigned to the project with OSHA required protective wear and other required safety equipment; (4) Assign properly trained personnel to prepare a comprehensive contamination report on each closed laboratory; (5) Employ qualified disposal contractors to remove all chemicals and associated SFY 2010 Page 13 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement glassware, equipment, and contaminated materials and wastes from the site(s) of each seized clandestine laboratory; (6) Dispose of the chemicals, equipment, and contaminated materials and wastes removed from the sites of seized laboratories at properly licensed disposal facilities or, when allowable, properly licensed recycling facilities; (7) Monitor the transport, disposal, and recycling components of subparagraphs 5 and 6 immediately above in order to ensure proper compliance; (8) Have in place and implement an inter -agency agreement or other form of commitment with a responsible State environmental agency that provides for that agency's (i) timely evaluation of the environmental conditions at and around the site of a closed clandestine laboratory and (ii) coordination with the responsible party, property owner, or others to ensure that any residual contamination is remediated, if necessary, and in accordance with existing State and Federal requirements; and (9) Have in place and implement a written agreement with the responsible state or local service agencies to properly respond to any minor, as defined by state law, at the site. This agreement must ensure immediate response by qualified personnel who can (i) respond to the potential health needs of any minor at the site; (ii) take that minor into protective custody unless the minor is criminally involved in the meth lab activities or is subject to arrest for other criminal violations; (iii) ensure immediate medical testing for methamphetamine toxicity; and (iv) arrange for any follow-up medical tests, examinations, or health care made necessary as a result of methamphetamine toxicity. 43. Limited English Proficiency (LEP) In accordance with Department of Justice Guidance pertaining to Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d, recipients of Federal financial assistance must take reasonable steps to provide meaningful access to their programs and activities for persons with LEP. For more information on the civil rights responsibilities that recipients have in providing language services to LEP individuals, please see the website at http://www.lep.gov. 44. The Coastal Barrier Resources Act The subgrant recipient will comply and assure the compliance of all contractors with the provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 USC 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 45. Enhancement of Security If funds are used for enhancing security, the subgrant recipient agrees to: a. Have an adequate process to assess the impact of any enhancement of a school security measure that is undertaken on the incidence of dime in the geographic area where the enhancement is undertaken. b. Conduct such an assessment with respect to each such enhancement; and, submit to the Department the aforementioned assessment in its Final Program Report. 46. Environmental Protection Agency's (EPA) list of Violating Facilities The subgrant recipient assures that the facilities under its ownership, lease or supervision which shall be utilized in the accomplishment of the Program Purpose are not listed on the EPA's list of SFY 2010 Page 14 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement Violating Facilities and that it will notify the Department of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA. 47. Flood Disaster Protection Act The subgrant recipient will comply with Section 102(a) of the Flood Disaster Protection Act of 1973, Public Law 93-234, 87 Stat. 975, requiring that the purchase of flood insurance in communities where such insurance is available as a condition of the receipt of any federal financial assistance for construction or acquisition purposes for use in any area that has been identified as an area having special flood hazards. 48. National Historic Preservation Act It will assist the Department (if necessary) in assuring compliance with section 106 of the National Historic Preservation Act of 1966 (16 U.S.C. § 470), Ex. Order 11593 (identification and protection of historic properties), the Archeological and Historical Preservation Act of 1974 (16 U.S.C. § 469 a-1 et seq.), and the National Environmental Policy Act of 1969 (42 U.S.C. § 4321). 49. Omnibus Crime Control and Safe Streets Act The subgrant recipient will comply and assure the compliance of all contractors, with the applicable provisions of Title I of the Omnibus Crime Control and Safe Streets Act of 1968, as amended; the Juvenile Justice and Delinquency Prevention Act, or the Victims of Crime Act; as appropriate; the provisions of the current edition of the Office of Justice Program Financial and Administrative Guide for Grants; and all other applicable State and Federal laws, orders, circulars, or regulations. 50. Human Research Subjects Grantee agrees to comply with the requirements of 28 C.F.R. part 46 and all Office of Justice Programs policies and procedures regarding the protection of human research subjects, including obtainment of Institutional Review Board approval, if appropriate, and subject informed consent. 51. National Information Exchange Model specifications To support public safety and justice information sharing, the Office of Justice Programs requires the grantee to use the National Information Exchange Model (NIEM) specifications and guidelines for this particular grant. Grantee shall publish and make available without restriction all schemas generated as a result of this grant to the component registry as specified in the guidelines. For more information on compliance with this condition, visit http://www.niem.gov/implementationquide.php. 52. Reporting, Data Collection and Evaluation The subgrant recipient agrees to comply with all reporting, data collection and evaluation requirements, as prescribed by the Bureau of Justice Assistance in the program guidance for the Justice Assistance Grant (JAG). Compliance with these requirements will be monitored by the Bureau of Justice Assistance. SFY 2010 Page 15 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 53. Privacy Certification The subgrant recipient agrees to comply with all confidentiality requirements of 42 U.S.C. section 3789g and 28 C.F.R. Part 22 that are applicable to collection, use, and revelation of data or information. Grantee further agrees, as a condition of grant approval, to submit a Privacy Certificate that is in accord with requirements of 28 C.F.R. Part 22 and, in particular, section 22.23. 54. State Information Technology Point of Contact The subgrant recipient agrees to ensure that the State Information Technology Point of Contact receives written notification regarding any information technology project funded by this grant during the obligation and expenditures period. This is to facilitate communication among local and state governmental entities regarding various information technology projects being conducted with these grant funds. In addition, the recipient agrees to maintain an administrative file documenting the meeting of this requirement. For a list of State Information Technology Points of Contact, go to http://www.it.ojp.gov/defauIt.aspx?area=poIicyAndPractice&page=1046. 55. Interstate Connectivity To avoid duplicating existing networks or IT systems in any initiatives funded by the Bureau of Justice Assistance for law enforcement information sharing systems which involve interstate connectivity between jurisdictions, such systems shall employ, to the extent possible, existing networks as the communication backbone to achieve interstate connectivity, unless the subgrant recipient can demonstrate to the satisfaction of the Bureau of Justice Assistance that this requirement would not be cost effective or would impair the functionality of an existing or proposed IT system. 56. Supplanting The subgrant recipient agrees that funds received under this award will not be used to supplant State or local funds, but will be used to increase the amounts of such funds that would, in the absence of Federal funds, be made available for law enforcement activities. 57. Conflict of Interest The subgrant recipient and implementing agency will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 58. Uniform Relocation Assistance and Real Property Acquisitions Act The subgrant recipient will comply with the requirements of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (42 U.S.C. § 4601 et seq.), which govern the treatment of persons displaced as a result of federal and federally -assisted programs. 59. Limitations on Government -Employees Financed by federat Assistance - The subgrant recipient will comply with requirements of 5 U.S.C. §§ 1501-08 and §§ 7324-28, which limit certain political activities of State or local government employees whose principal employment is in connection with an activity financed in whole or in part by federal assistance. 60. Equal Treatment for Faith Based Organizations The grantee agrees to comply with the applicable requirements of 28 C.F.R. Part 38, the Department of Justice regulation governing "Equal Treatment for Faith Based Organizations" (the SFY 2010 Page 16 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement "Equal Treatment Regulation"). The Equal Treatment Regulation provides in part that Department of Justice grant awards of direct funding may not be used to fund any inherently religious activities, such as worship, religious instruction, or prose lytization. Recipients of direct grants may still engage in inherently religious activities, but such activities must be separate in time or place from the Department of Justice funded program, and participation in such activities by individuals receiving services from the grantee or a sub -grantee must be voluntary. The Equal Treatment Regulation also makes clear that organizations participating in programs directly funded by the Department of Justice are not permitted to discriminate in the provision of services on the basis of a beneficiary's religion. Notwithstanding any other special condition of this award, faith based organizations may, in some circumstances, consider religion as a basis for employment. See http://www.ojp.gov/about/ocr/equal_fbo.htm. 61. Certification for Employees Working Solely on a Single Federal Award Any project staff that are fully funded by the grant must certify that they worked solely on the grant. The certification must be prepared at least semi annually and must be signed by the employee and by a supervisory official having first hand knowledge of the work performed by the employee. SFY 2010 Page 17 CERTIFICATION FORM Recipient Name and Address: Monroe County Board of County Commissioners M Od S i(hDn tDh %. Grant Title: Drug Court Program -Laboratory K 330�la Enhancement Grant Number: 2010-JAGC-1081 Contact Person Name and Title: Lisa Tennyson Grants Administrator ward Amount: $46,725 Phone Number: (305) 292-4444 Federal regulations require recipients of financial assistance from the Office OfJustice Programs (OJP), its component agencies, Office of Community Oriented Policing Services (COPS) to prepare, maintain J file, submit to OOP for review, and implement Employment Opportunity Plan (EEOP) in accordance with 28 C.F.R g tes, and the the EEOP requirements. Other recipients, according to the regulations, must prepare, maintain on file and implement an EEOP,ent an Equal §§ 42.301-.308. The regulations exempt some recipients from all of do not need to submit the EEOP to OJP for review. Recipients that claim a complete exemption from the EEO complete Section A below. Recipients that claim the limited exemption from the submission requirement, must complete Section but they P requirement must below. A recipient should complete either Section A or Section B, not both. If a recipient receives multiple OJP or CO please complete a form for each grant, ensuring that any EEOP recipient certifies as completed and on file (if applicable has B prepared within two years of the latest grant. Please send the completed form(s) to the Office for Civil Rights, Office of Justice t c grants, U.S. Department of Justice, 810 7 Street, N.W. ) s been �n 0690 or TTY (202) 307-2027. Washington, D.C. 2053 I . For assistance in completing this form, please call (202)307 Programs, Section A- Declaration Claiming Complete Exemption from the EEOP Requirement. Please ch apply eck all the boxes that ❑ Recipient has less than 50 employees, ❑ Recipient is anon -profit organization, ❑ Recipient is an Indian tribe, ❑ Recipient is an educational institution, or ❑ Recipient is a medical institution, ❑ Recipient is receiving an award less than $25,000 I, (responsible official], certify that prepare an EEOP for the reasons) checked above, pursuant to 28 C. F.R §42.302. I further cert1Qfy that not required to laws that prohibit discrimination in em to [recipient] will comply with applicable Federal civil rights P yment and in the delivery of services. Print or type Name and Title Signature Date Section B- Declaration Claiming Exemption from the EEOP Submission Re uirement and C EEOP Is on File for Review. Certifying That an Ifa recipient agency has 50 or more employees and is receiving a single award or subaward for $25,000 or more, but less than then the recipient agency does not have to submit an EEOP to OJP for review as long as it certifies the following (42 C.F.R. n $500,000, I, Roman Gastesi, Jr., County Administrator § 42.305): the Monroe County Board of County Commissioners (responsible official], certify that employees and is receiving a single award or subaward for $25,000 or more, but less than $500,000, has form EEOP in accordance with 28 CFR §42.301, et seq., subpart E. I further (recipientj,whichhas 50 or more signed into effect within the past two years by the proper authority and that it is available for review formulated an certify that the ESOP has been formulated and the office of* Calvin Allen, EEO Officer, Monroe Count BOCC at 1100 Simonton Street, Key West, Florida 33040 The ESOP Is O, file in employees or for review or audit by officials of the relevant state planning agency or the Of (organization], Justice Programs, e S. Department of Justice, as required t s at ev ws (addrecefo r review h the public and Office for Civil Rights, Office of nd regulations. Roman Gastesi, Jr., County_ Administrator Printtype for for pe Name and Title ------- - --- �� ����1 Signature ------- --__. Date OMB Approval No. 1121-0140 Expiration Date_ 0 1/3 1/06 RESOLUTION NO. 239 - 2009 A RESOLUTION OF THE BOARD OF COMMISSIONERS OF MONROE COUNTY, FLORIDA AUTHORIZING THE SUBMISSION OF A GRANT APPLICATION TO THE FLORIDA DEPARTMENT OF LAW ENFORCEMENT FOR THE FISCAL YEAR 2010 EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT (JAG) PROGRAM WHEREAS, the Florida Department of Law Enforcement has announced the funding for Fiscal Year 2010 Edward Byrne Memorial Justice Assistance Grant (JAG) Program; and WHEREAS, the Monroe County Board of Commissioners agrees to serve as the coordinating unit of government in the preparation of the grant proposals and in the distribution of funds allocated to Monroe County in the amount of $142,873 with no cash match; and WHEREAS, the Monroe County Substance Abuse Policy Advisory Board, with concern given to the County's current drug control efforts, has recommended certain programs receive funding to provide the community with activities focused on drug and alcohol education, prevention, rehabilitation, and treatment; now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that: 1. The Board of County Commissioners concurs with the Monroe County Substance Abuse Policy Advisory Board's recommendations; and that 2. The County Administrator is hereby authorized to sign and submit the application packet for the Fiscal Year 2010 grant funds to the Florida Department of Law Enforcement Edward Byrne Memorial Justice Assistance Grant (JAG) Program; and that 3. This resolution shall become effective immediately upon adoption by the Board of County Commissioners and execution by the Presiding Officer and Clerk. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 19th day of August, A:p. _200�g Mayor Neugent Yes Mayor Pro Tern Murphy Yes Commissioner Carruthers Yes vN'i Commissioner DiGennaro Yes _ a Commissioner Wigington Yes (Seal)DAL,— i f Attest: �,,.tip C erk of Court Monroe County Board of Commissioners 1-n By- Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide In witness whereof, the parties affirm they each have read and agree to the conditions set forth in this agreement, have read and understand the agreement in its entirety and have executed this agreement by their duty authorized officers on the date, month and year set out below. Corrections on this page, including Strikeovers, whiteout, etc, are not acceptable. State -of Florida Department of Law Enforcement: Office of Criminal Justice Grants Signature: Typed Name and Title: ttr4a iolt H. Wilder, Administrato Date: //- �2 3- o Subgrant Recipient Authorizing Official of Governmental Unit (Commission Chairman, Mayor, or Designated Representative) Typed Name of S Signature: iW nt: 44 1 r1 V, ) e. Typed Name and Title: Rmj/V' c3'b2 Date: Typed Name of Signature: implementing Agency Official, Administrator or Designated Representative n y:� iuJt2vo" Typed Name and Title: ROW Date: �31 t � 7 l Application Ref # 2010-JAGC-1081 Section #6 Page 1 of 1 Contract -JAGC-MONR- - - Rule Reference 11D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide In witness whereof, the parties affirm they each have read and agree to the conditions set forth in this agreement, have read and understand the agreement in its entirety and have executed this agreement by their duty authorized officers on the date, month and year set out below. Corrections on this page, including Strikeovers, whiteout, etc. are not acceptable. State of Florida Department of Law Enforcement Office of Criminal Justice Grants Signature: (/lUu�/..�� Typed Name and Title: J Date: / /- ) 3, o Subgrant Recipient Authorizing Official of Governmental Unit (Commission Chairman, Mayor, or Designated Representative) Typed Name of Sui� l/: n C c�C9 Signature: Typed Name and Title: Cb (,;�, AA 1. D � u �c.� l� J K S Date: k1 Implementing Agency Official, Administrator or Designated Representative Typed Name of Imp �tinggency Signature: X 0 Typed Name and litre: &Y,A )rk olk 5�et Date: Application Ref # 2010-JAGC-1081 Section #6 Page 1 of 1 Contract -JAGC-MONK- - - Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January20,2010 Bulk Item: Yes ® No ❑ Division: OMB Department: Grant Management Staff Contact Person: Lisa Tennvson AGENDA ITEM WORDING: Authorization for the Mayor to execute the Certificate of Acceptance of Subgrant Award for the Women in Transition: Recidivism Prevention for Women with Histories of Substance Abuse and Incarceration Program using funds provided under the FDLE Recovery Act Edward Byrne Memorial Justice Assistance Grant program, for the period from October 1, 2009 through September 30, 2010. ITEM BACKGROUND: Federal funds are provided through the Florida Department of Law Enforcement. Substance Abuse Policy Advisory Board (SAPAB) reviews proposals and makes recommendations to BOCC for local funding of programs. PREVIOUS RELEVANT BOCC ACTION: -Approval to apply for grant funds given at July 2009 meeting. MOU with Samuel's House, provider of the program, is also on the agenda for this meeting. CONTRACT/AGREEMENT CHANGES: STAFF RECOMMENDATION: Approval TOTAL COST: $21,700.00 BUDGETED: Yes ® No ❑ COST TO COUNTY: $00 SOURCE OF FUNDS: FDLE REVENUE PRODUCING: Yes ❑ No ® AMOUNT PER MONTH 4 YEAR APPROVED BY:COUNTY A,Olf PURCHASING ❑ RISK MANAGEMENT DOCUMENTATION: INCLUDED: ® NOT REQUIRED: ❑ DISPOSITION: AGENDA ITEM #: MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: Florida Department of Law Effective Date: 10/01/09 Enforcement Expiration Date: 09/30/10 Contract Purpose/Description: Funds provided through FDLE Agreement to provide funds for the Women in Transition: Recidivism Prevention for Women with Histories of Substance Abuse and Incarceration Program. Contract Manager: Lisa Tennyson (Name) for BOCC meeting on 1/20/10 4444 OMB/Grants Mgt. (Ext.) (Department) enda Deadline: 1/05/10 CONTRACT COSTS Total Dollar Value of Contract: $21,700.00 Current Year Portion: $21,700.00 Budgeted? Yes X No Account Codes: 125- -- -XXXXXX Grant: $4',70,0.00 County Match: $0 ADDITIONAL COSTS CONTRACT REVIEW Changes Date In Needed Reviewer Division Director Yes❑ NoR Risk Management Yes❑ Noo \\a�� O.M.B./Purcha3ing Yes[:] NoZ ---� County Attorney Yes❑ Nod {- �t,9lLe of �(�ltcdzf ; mQ a Comments: OMB Form Revised 9/11/95 MCP #2 Revised 2/95 Date Out FILE Florida Department of Law Enforcement Gerald M. Bailey Commissioner N 0 V 2 5 CCq Office of Criminal Justice Grants Post Office Box 1489 Tallahassee, Florida 32302-1489 (850) 617-1250 www.fdle.state.fl.us The Honorable George Neugent Mayor Monroe County Board of Commissioners 1100 Simonton Street Key West, FL 33040-3110 Re: Contract No. 2010-JAGC-MONR-1-4X-112 Dear Mayor Neugent: Charlie Crist, Governor Bill McCollum, Attorney General Alex Sink, Chief Financial Officer Charles H. Bronson, Commissioner of Agriculture The Florida Department of Law Enforcement is pleased to award an Edward Byrne Memorial Justice Assistance Grant to your unit of government in the amount of $ 21,700.00 for the project entitled, WOMEN IN TRANSITION: RECIVIDISM PREVENTION PROGRAM FOR WOMEN WITH HISTORIES OF SUBSTANCE ABUSE AND INCARCERATION. These funds shall be utilized for the purpose of reducing crime and improving public safety. c.- A copy of the approved subgrant application with the referenced contract number is enclosed for your file. All correspondence with the Department should always refer to the project number and title. Your attention is directed to the Standard Conditions of the subgrant. Changes were made to these conditions after your application was received in this office. Therefore, these Standard Conditions should be reviewed carefully by those persons responsible for project administration to avoid delays in project completion and costs reimbursements. The enclosed Certification of Acceptance should be completed and returned to the Department within 30 calendar days from the date of award. This certificate constitutes official acceptance of the award and must be received by the Department prior to the reimbursement of any project expenditures. Committed to Service • Integrity • Respect • Quality The Honorable George Neugent Page Two We look forward to working with you on this project. If we can be of further assistance, please contact Janice Parish at 850/617-1250. Sincerely, 14 �aky4to-Wilder Administrator CHW/JP/jj Enclosures State of Florida Office of Criminal Justice Grants Florida Department of Law Enforcement 2331 Phillips Road Tallahassee, Florida 32308 CERTIFICATE OF ACCEPTANCE OF SUBGRANT AWARD The subgrantee, through its authorized representative, acknowledges receipt and acceptance of subgrant award number 2010-JAGC-MONR-1-4X-112, in the amount of $ 21,700.00, for a project entitled, WOMEN IN TRANSITION: RECIVIDISM PREVENTION PROGRAM FOR WOMEN WITH HISTORIES OF SUBSTANCE ABUSE AND INCARCERATION, for the period of 10/01/2009 through 09/30/2010, to be implemented in accordance with the approved subgrant application, and subject to the Florida Department of Law Enforcement's Standard Conditions and any special conditions governing this subgrant. (Signature of Subgrantee's Authorized Official) (Typed Name and Title of Official) (Name of Subgrantee) (Date of Acceptance) MONROE COUNTY ATTORNEY APPRO��,'vTD AS T�.11LZ CHRISTINE M. LIMBERT-BARROWS ASSISTANT COUNTY ATTORNEY Date la /1�A Q Rule Reference 11 D-9.006 OCJG-012 (Rev. October 2005) State of Florida Office of Criminal Justice Grants Florida Department of Law Enforcement 2331 Phillips Road Tallahassee, Florida 32308 SUBGRANT AWARD CERTIFICATE Subgrantee: Monroe County Board of Commissioners Date of Award: Grant Period: From: 10/01/2009 TO: 09/30/2010 Project Title: WOMEN IN TRANSITION: RECIVIDISM PREVENTION PROGRAM FOR WOMEN WITH HISTORIES OF SUBSTANCE ABUSE AND INCARCERATION Grant Number: 2010-JAGC-MONR-1-4X-112 Federal Funds: $ 21,700.00 State Agency Match: Local Agency Match: $ 0.00 Total Project Cost: $ 21,700.00 State Purpose Area: A : State/Local Initiatives - Coordinate/Organize Local Initiatives/State Initiatives CFDA Number: 16.738 Award is hereby made in the amount and for the period shown above of a subgrant under Title I of the Omnibus Crime Control and Safe Streets Act of 1968, P.L. 90- 351, as amended, and the Anti -Drug Abuse Act of 1988, P.L. 100-690, to the above mentioned subgrantee and subject to any attached or special conditions. This award is subject to all applicable rules, regulations, and conditions as contained in the Financial and Administrative Guide for Grants, Guideline Manual 7100 1 D, Office of Justice Programs, Common Rule for State and Local Governments and A- 87, or OMB Circulars A-110 or A-102, as applicable, and A-21, in their entirety. It is also subject to suc-h further rules, regulations and policies as may be reasonably prescribed by the State or Federal Government consistent with the purposes and authorization of P.L. 90-351, as amended, and P.L. 100-690. SUBGRANT AWARD CERTIFICATE (CONTINUED) This grant shall become effective on the beginning date of the grant period provided that within 30 days from the date of award, a properly executed Certificate of Acceptance of Subgrant Award is returned to the Department. Xu�thorizecll Official Clayton H. Wilder Administrator //- A5-o1) Date ( ) This award is subject to special conditions (attached). Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement Addendum To Standard Conditions For Subgrant Recipients receiving Edward Byrne Memorial Justice Assistance Grant (JAG) Program funds under Federal Grant No. 2009-DJ-BX-1077, the following additional conditions apply: 1. Reporting Potential Fraud, Waste, Abuse, and Similar Misconduct The subgrant recipient must promptly refer to the Florida Department of Law Enforcement, Office of Criminal Justice Grants any credible evidence that a principal, employee, agent, contractor, subcontractor, or other person has either 1) submitted a false claim for grant funds under the False Claims Act; or 2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct involving grant funds. 2. Task Force Training Requirement The subgrant recipient agrees that within 120 days of award, for any law enforcement task force funded with these funds, the task force commander, agency executive, task force officers, and other task force members of equivalent rank, will complete required online (internet-based) task force training to be provided free of charge through BJA's Center for Task Force Integrity and Leadership. This training will address task force effectiveness as well as other key issues including privacy and civil liberties/rights, task force performance measurement, personnel selection, and task force oversight and accountability. Additional information will be provided by BJA regarding the required training and access methods via BJA's web site and the Center for Task Force Integrity and Leadership (www.ctfli.org). SFY 2010 Page 1 Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Subgrant Recipient Organization Name: Monroe County Board of Commissioners County: Monroe Chief Official Name: George Neugent Title: Mayor Address: 1100 Simonton Street City: Key West State: FL Zip: 33040-3110 Phone: 305-289-6039 Ext: Fax: 305-872-9195 Email: boccdis1@monroecounty-fl.gov Chief Financial Officer Name: Danny Kolhage Title: Clerk Address: 500 Whitehead Street City: Key West State: FL Zip: 33040 Phone: 305-292-3550 Ext: Fax: 305-295-3663 Email: dkolhage@monroe-clerk.com Application Ref # 2010-JAGC-1062 Section #1 Page 1 of 2 Contract 2010-JAGC-M0NR-I-4X-112 Rule Reference 11D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Implementing Agency Organization Name: Monroe County Board of Commissioners County: Monroe Chief Official Name: George Neugent Title: Mayor Address: 1100 Simonton Street City: Key West State: FL Zip: 33040-3110 Phone: 305-289-6039 Ext: Fax: 305-872-9195 Email: boccdis1 @monroecounty-fl.gov Project Director Name: Lisa Tennyson Title: Grants Administrator Address: 1100 Simonton Street Room 2-213 City: Key West State: FL Zip: 33040 Phone: 305-292-4444 Ext: Fax: Email: Tennyson-Lisa@monroecounty-fl.gov Application Ref # 2010-JAGC-1062 Section #1 Page 2 of 2 Contract 2010-JAGC-MONR-1-4X-112 Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) 0 Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Subgrant Recipient Organization Name: Monroe County Board of Commissioners County: Monroe Chief Official Name: George Neugent Title: Mayor Address: 1100 Simonton Street City: Key West State: FL Zip: 33040 Phone: 305-289-6039 Ext: Fax: 305-872-9195 Email: boccdisl @monroecounty-fl.gov Chief Financial Officer Name: Danny Kolhage Title: Clerk Address: 500 Whitehead Street City: Key West State: FL Zip: 33040 Phone: 305-292-3550 Ext: Fax: 305-295-3663 Email: dkolhage@monroe-clerk.com Application Ref # 2010-JAGC-1062 Contract -JAGC-MONR- - - Section #1 Page 1 of 2 +try'(- OF y0 GRAWS Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Implementing Agency Organization Name: Monroe County Board of Commissioners County: Monroe Chief Official Name: George Neugent Title: Mayor Address: 1100 Simonton Street City: Key West State: FL Zip: 33040 Phone: 305-289-6039 Ext: Fax: 305-872-9195 Email: boccdis1 @monroecounty-fl.gov Project Director Name: Lisa Tennyson Title: Grants Administrator Address: 1100 Simonton Street Room 2-213 City: Key West State: FL - Zip: 33040 Phone: 305-292-4444 Ext: Fax: Email: Tennyson-Lisa@monroecounty-fl.gov Application Ref # 2010-JAGC-1062 Section #1 Page 2 of 2 Contract -JAGC-MONR- - - Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide General Project Information Project Title: WOMEN IN TRANSITION: RECIVIDISM PREVENTION PROGRAM FOR WOMEN WITH HISTORIES OF SUBSTANCE ABUSE AND INCARCERATION Subgrant Recipient: Monroe County Board of Commissioners Implementing Agency: Monroe County Board of Commissioners Project Start Date: 10/1/2009 End Date: 9/30/2010 Problem Identification The problem is the lack of funds necessary to provide drug testing as part of a comprehensive support program for women, referred to the program through the criminal justice system, who have a history of substance abuse and incarceration and are in a food and shelter crisis. Without comprehensive support, these women often end up re -arrested and re -incarcerated and unable to break the cycle of addiction. Samuel's House is a provider of emergency and long term shelter for homeless women and women with children. Most of the women who come to the shelter have substance abuse issues; many also have a history of incarceration. During 2008, Samuel's House provided up to 46 beds per night for 153 homeless women and their children - almost 17,000 nights of shelter. A large number of requests come from women who have either just been released from incarceration or have a history of arrests. An increasing number of these women are referred to the agency through the legal process - from Pre-trial services, jail diversion or court -mandated. Because of their drug and alcohol addiction, many of the women coming for shelter have been involved in the criminal justice system. Without the shelter, case management and other services offered to them by Samuel's House, the rate of recidivism is great. Agency statistics indicate that for 2008, almost 100% of the 153 women served at the shelter reported having substance abuse issues. Due to the prevalence of substance abuse history among clients, Samuel's House screens each woman for alcohol use prior to being admitted. Also, compliance with random drug testing is mandatory for continued participation in the program. The cost of one drug test is $13.00. In 2008, 1,470 tests were administered. It is expected that an increased number of tests will be required this year as the shelter is seeing increased referrals for women needing shelter and services. Just as the numbers of women requesting shelter from Samuel's House have increased from 2008, so have the numbers of women with substance abuse issues. Data from the Monroe County Sheriffs office indicate 6,447 substance abuse related bookings (19,631 jail days) were reported in 2007-08. The Monroe County Detention Center reports over 80% of those arrested have substance abuse problems and high rates of recidivism. Records of HELPLINE, a 24-hour crisis intervention, information and referral service in Monroe County report 2,355 substance abuse prevention calls in 2008. And, throughout Monroe County, an inordinate number of women - in -crisis are homeless due to substance -abuse. Once admitted to the shelter, each woman is provided case management services, through the Women -In -Transition (WIT) program, that include mental/physical health care, individualized counseling, help with finding a job, assistance with childcare, and Application Ref # 2010-JAGC-1062 Section #2 Page 1 of 3 Contract 2010-JAGC-MONR-1-4X-112 Rule Reference 11D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide � T7 recovery assistance. Drug testing is an important component to this program. Not only is staying drug and alcohol free necessary for remaining sheltered at Samuel's House, these are critical steps in avoiding incarceration or re -incarceration and moving toward a better life and future. Samuel's House has proven that random drug testing is an effective tool for encouraging a woman to remain sober and drug -free. The WIT program has reached beyond the targeted number of clients anticipated during the first year of operation. It was anticipated that 55 women would be served by WIT in a year. However, 111 women have participated in WIT during the first year, placing the program at 201 % of the anticipated enrollment goal. Significant reductions in alcohol and drug use were evident from admission to six -months. Significant reductions in stress and emotional problems related to alcohol and drug use were evident from admission to six months. Employment and health situations improved as did the number of women who were able to acquire permanent housing when they left Samuel's House. Unfortunately, grant funds for the Women in Transition program are restricted and do now allow for services such as drug testing. In addition, other grant funds are decreasing at a time when the need for shelter is increasing. The agency is increasingly financially -strained by rising costs, and cannot afford to cover the costs of drug -testing, a critical and effective component of the Women In Transition program. Project Summary With a grant from FDLE, Samuel's House will be able to provide drug -testing as part of its Women -In -Transition program, a comprehensive case-management/recovery support program for women with histories of substance abuse and incarceration. This grant will enable Samuel's House to provide drug testing for those women referred to the program through the criminal justice system -- Pre-trial services, jail diversion or through the courts. The goal of the WIT program is to provide substance abuse recovery and other supports to keep women alcohol and drug -free and to prevent incarceration or re -incarceration. Drug -testing is an important component of the program. Samuel's House partners with and has clients referred from the Monroe County Sheriffs Office, Pre -Trial Services, and the Monroe County Jail Diversion program. Application Ref # 2010-JAGC-1062 Section #2 Page 2 of 3 Contract 2010-JAGC-MONR-1-4X-112 Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Section Questions: Question: Does the Subgrantee receive a single grant in the amount of $500,000 or more from the U.S. Department of Justice? Answer: No Question: Does the Implementing Agency receive a single grant in the amount of $500,000 or more from the U.S. Department of Justice? Answer: No Application Ref # 2010-JAGC-1062 Section #2 Page 3 of 3 Contract 2010-JAGC-MONR-I-4X-112 Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide General Performance Info: Performance Reporting Frequency: Quarterly Federal Purpose Area: 005 - Drug Treatment Programs State Purpose Area: A - State/Local Initiatives - Coordinate/Organize Local Initiatives/State Initiatives Activity: Drug Testing Target Group: Females Geographic Area: County -Wide Location Type: Other Address(es) : Samuel's House 1614 Truesdell Court Key West, FL 33040 Activity Description Objectives and Measures Objective: 03.A.DS* - Number of program participants receiving services Measure: Part 1 Number of program participants to receive services during the grant period Goal: 150 Measure: Part 2 Number of program participants to receive services during each reporting period Goal: 150 Objective: 58.A.SI - Number of existing local initiatives Measure: Part 1 Will this grant continue a local initiative that was begun with any other funding source, including a prior year's grant? Goal: Yes Application Ref # 2010-JAGC-1062 Section #3 Page 1 of 2 Contract 2010-JAGC-MONR-1-4X- Rule Reference 11D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Section Questions: Question: If "other" was selected for the geographic area, please describe. Answer: NA Question: If "other" was selected for location type, please describe. Answer: Emergency and long-term shelter, Samuel's House. Application Ref # 2010-JAGC-1062 Section #3 Page 2 of 2 Contract 2010-JAGC-MONR-1-4X- Rule Reference I ID-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide General Financial Info: Note: All financial remittances will be sent to the Chief Financial Officer of the Subgrantee Organization. Financial Reporting Frequency for this Subgrant: Quarterly Is the subgrantee a state agency?: No FLAIR / Vendor Number: 596000749 Budget: Budget Category Federal Match Total Salaries and Benefits $0.00 $0.00 $0.00 Contractual Services $21,700.00 $0.00 $21,700.00 Expenses $0.00 $0.00 $0.00 Operating Capital $0.00 $0.00 $0.00 Outlay Indirect Costs $0.00 $0.00 $0.00 -- Totals -- $21,700.00 $0.00 $21,700.00 Percentage 100.0 0.0 100.0 Project Generated Income: Will the project earn project generated income (PGI) 7 No Application Ref # 2010-JAGC-1062 Section #4 Page 1 of 3 Contract 2010-JAGC-MONR-I-4X- Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Budget Narrative: BUDGET NARRATIVE CONTRACTUAL SERVICES: Samuel's House will administer 1,668 drug tests to women in its Shelter and Long Term Housing. One Unit = One drug test Unit Cost = $13.01 Total Units = 1,668 TOTAL BUDGET = 1,668 x $13.01 = 21,700 Application Ref # 2010-JAGC-1062 Contract -JAGC-MOLAR- - - Section #4 Page 2 of 3 Rule Reference 11 D-M06 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Section Questions: Question: If salaries and benefits are included in the budget as actual costs for staff in the implementing agency, is there a net personnel increase, or a continued net personnel increase from the previous Byrne program? Answer: NA Question: If benefits are to be included, are they reflected in the budget narrative? Answer: NA Question: Indicate the Operating Capital Outlay threshold established by the subgrantee or implementing agency, if it is the sheriffs office. Answer: Monroe County's OCO threshold is $1,000. Question: If indirect cost is included in the budget, indicate the basis for the plan (e.g. percent of salaries and benefits), and provide documentation of the appropriate approval of this plan. Answer: NA Question: If the budget includes services based on unit costs, provide a definition and cost for each service as part of the budget narrative for contractual services. Include the basis for the unit costs and how recently the basis was established or updated. Answer: Unit Cost Basis One Unit = One drug test Unit Cost = $1101 Total Units = 1,668 Total Budget = $21,700 Application Ref # 2010-JAGC-1062 Section #4 Page 3 of 3 Contract -JAGC-MONR- - - Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement Standard Conditions Conditions of agreement requiring compliance by units of local government (subgrant recipients), implementing agencies, and state agencies upon signed acceptance of the subgrant award appear in this section. Upon approval of this subgrant, the approved application and the following terms of conditions will become binding. Failure to comply with provisions of this agreement will result in required corrective action up to and including project costs being disallowed and termination of the project, as specified in item 17 of this section. I. All Subgrant Recipients must comply with the financial and administrative requirements set forth in the current edition of the U.S. Department of Justice, Office of Justice Programs (OJP) Financial Guide (Financial Guide) and the Edward Byrne Memorial Justice Assistance Grant (JAG) program guidance as well as Federal statutes, regulations, policies, guidelines and requirements and Florida laws and regulations including but not limited to: • Florida Administrative Code, Chapter 11D-9, "Edward Byrne Memorial State and Local Law Enforcement Assistance Formula Grant Program" • Office of Management and Budget (OMB) Circular A-21 (2 CFR 220), "Cost Principles for Educational Institutions" • OMB Circular A-87 (2 CFR 225), "Cost Principles for State, Local and Indian Tribal Governments" • OMB Circular A-102, "Grants and Cooperative Agreements with State and Local Governments" • OMB Circular A-110 (2 CFR 215), "Uniform Administrative Requirements for Grants and Cooperative Agreements" • OMB Circular A-122 (2 CFR 230), "Cost Principles for Non -Profit Organizations" • OMB Circular A-133, "Audits of States, Local Governments, and Non -Profit Organizations" • 28 CFR 38, "Equal Treatment for Faith -Based Organizations" • 28 CFR 66, "U.S. Department of Justice Common Rule for State And Local Governments" (Common Rule) • 28 CFR 83, "Government -Wide Requirements for Drug -Free Workplace (Grants)" • 28 CFR 18, 22, 23, 30, 35, 42, 61, and 63 • Public Law 109-162, Title XI —Department of Justice Reauthorization, Subtitle B— Improving the Department of Justice's Grant Programs, Chapter 1—Assisting Law Enforcement and Criminal Justice Agencies, Sec. 1111. Merger of Byrne Grant Program and Local Law Enforcement Block Grant Program • 42 U.S.C. 3711 et seq., "Omnibus Crime Control and Safe Streets Act of 1968" 2. Allowable Costs a. Allowance for costs incurred under the subgrant shall be determined according to the general principles and standards for selected cost items set forth in the Office of Justice Programs Financial Guide, U.S. Department of Justice Common Rule for State And Local Governments and federal OMB Circular A-87, "Cost Principles for State, Local and Indian Tribal Governments," or OMB Circular A-21, "Cost Principles for Educational Institutions." b. All procedures employed in the use of federal funds for any procurement shall be according to U.S. Department of Justice Common Rule for State and Local Governments, or OMB Circular A-110, or OMB Circular A-102, and Florida law to be eligible for reimbursement. SFY 2010 Page 1 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 3. Reports a. Project Performance Reports (1) Reporting Time Frames:The subgrant recipient shall submit Quarterly Project Performance Reports to the Florida Department of Law Enforcement, hereafter known as the Department, within 15 days after the end of the reporting period. In addition, if the subgrant award period is extended beyond the "original" project period, additional Quarterly Project Performance Reports shall be submitted. Failure to submit Quarterly Performance Reports that are complete, accurate, and timely may result in sanctions, as specified in item 17, Performance of Agreement Provisions. (2) Report Contents: Performance reports must include a response to all objectives included in your subgrant. A detailed response is required in the narrative portion for yes/no performance objectives. The narrative must also reflect on accomplishments for the quarter and identify problems with project implementation and address actions being taken to resolve the problems. b. Financial Reports (1) Project Expenditure Reports (a) The subgrant recipient shall have a choice of submitting either a Monthly or a Quarterly Project Expenditure Report to the Department. Project Expenditure Reports are due thirty-one (31) days after the end of the reporting period. In addition, if the subgrant award period is extended, additional Project Expenditure Reports shall be submitted. Project Expenditure Reports for grants made under the Recovery Act must be submitted monthly. See the Recovery Act Conditions for additional information. (b) All project expenditures for reimbursement of subgrant recipient costs shall be submitted on the Project Expenditure Report Forms prescribed and provided by the Office of Criminal Justice Grants (OCJG) through the Subgrant Information Management ON -line (SIMON) system. (c) All Project Expenditure Reports shall be submitted in sufficient detail for proper pre - audit and post -audit. (d) Before the "final" Project Expenditure Report will be processed, the subgrant recipient must submit to the Department all outstanding project reports and must have satisfied all special conditions. Failure to comply with the above provisions shall result in forfeiture of reimbursement. (e) Reports are to be submitted even when no reimbursement is being requested. (2) The Financial Closeout Documentation shall be submitted to the Department within forty- five (45) days of the subgrant termination date. (3) If applicable, the subgrant recipient shall submit Quarterly Project Generated Income Reports to the Department within 31 days after the end of the reporting period covering subgrant project generated income and expenditures during the previous quarter. If any PGI remains unspent after the subgrant ends, the subgrant recipient must continue SFY 2010 Page 2 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement submitting quarterly PGI reports until all funds are expended. (See Item 10, Program Income.) c. Other Reports The recipient shall report to the Uniform Crime Report and other reports as may be reasonably required by the Department. 4. Fiscal Control and Fund Accounting Procedures a. The subgrant recipient shall establish fiscal control and fund accounting procedures that assure proper disbursement and accounting of subgrant funds and required non-federal expenditures. All funds spent on this project shall be disbursed according to provisions of the project budget as approved by the Department. b. All expenditures and cost accounting of funds shall conform to the Office of Justice Programs Financial Guide, the Common Rule, and OMB Circulars A-21, A-87, and A-110, or A-102 as applicable, in their entirety. C. All funds not spent according to this agreement shall be subject to repayment by the subgrant recipient. 5. Payment Contingent on Appropriation and Available Funds The State of Florida's performance and obligation to pay under this agreement is contingent upon an annual appropriation by the Florida Legislature. Furthermore, the obligation of the State of Florida to reimburse subgrant recipients for incurred costs is subject to available federal funds. 6. Obligation of Subgrant Recipient Funds Subgrant funds shall not under any circumstances be obligated prior to the effective date or subsequent to the termination date of the subgrant period. Only project costs incurred on or after the effective date and on or prior to the termination date of the subgrant recipient's project are eligible for reimbursement. 7. Advance Funding Advance funding shall be provided to a subgrant recipient upon a written request to the Department. 8. Trust Funds a. The unit of local government must establish a trust fund in which to deposit JAG funds. The trust fund may or may not be an interest bearing account. b. The account may earn interest: but any earned interest mast be used for program purposes and expended before the subgrant end date. Any unexpended interest remaining at the end of the subgrant period must be submitted to the Office of Criminal Justice Grants for transmittal to the Bureau of Justice Assistance. 9. Travel and Training The cost of all travel shall be reimbursed according to the subgrant recipient's written travel policy. If the subgrant recipient does not have a written travel policy, cost of all travel will be reimbursed according to § 112.061, Fla. Stat. SFY 2010 Page 3 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 10. Program Income (also known as Project Generated Income) a. All income generated as a direct result of a subgrant project shall be deemed program income. b. Any project that will potentially earn PGI must submit an Earnings and Expenditures Report to report how much PGI was earned during each quarter. A report must be submitted each quarter even if no PGI was earned or expended. c. PGI expenditures require prior written approval from the Office of Criminal Justice Grants. Program income must be used for the purposes of and under the conditions applicable to the award. If the cost is allowable under the Federal grant program, then the cost would be allowable using program income. d. Program income should be used as earned and expended as soon as possible. Any unexpended PGI remaining at the end of the Federal grant period must be submitted to the Office of Criminal Justice Grants for transmittal to the Bureau of Justice Assistance. 11. Approval of Consultant Contracts The Department shall review and approve in writing all consultant contracts prior to employment of a consultant when the consultant's rate exceeds $450 (excluding travel and subsistence costs) for an eight -hour day. Approval shall be based upon the contract's compliance with requirements found in the Financial Guide, the Common Rule, and in applicable state statutes. The Department's approval of the subgrant recipient agreement does not constitute approval of consultant contracts. If consultants are hired through a competitive bidding process (not sole source), the $450 threshold does not apply. 12. Property Accountability a. The subgrant recipient agrees to use all non -expendable property for criminal justice purposes during its useful life or dispose of it pursuant to § 274, Fla. Stat. b. The subgrant recipient shall establish and administer a system to protect, preserve, use, maintain and dispose of any property furnished to it by the Department or purchased pursuant to this agreement according to federal property management standards set forth in the Office of Justice Programs Financial Guide, U.S. Department of Justice Common Rule for State and Local Governments or the federal OMB Circular A-110 or A-102, as applicable. This obligation continues as long as the subgrant recipient retains the property, notwithstanding expiration of this agreement. 13. Ownership of Data and Creative Material Ownership of material, discoveries, inventions, and results developed, produced, or discovered subordinate to this agreement is governed by the terms of the Office of Justice Programs Financial Guide (as amended), and the U.S. Department of Justice Common Rule for State and Local Governments, or the federal OMB Circular A-110 or A-102, as applicable. 14. Copyright The awarding agency reserves a royalty -free non-exclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use, for Federal government purposes: a. The copyright in any work developed under an award or subaward, and SFY 2010 Page 4 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement b. Any rights of copyright to which a subgrant recipient or subrecipient purchases ownership with support funded under this grant agreement. 15. Publication or Printing of Reports The subgrant recipient shall submit for review and approval one copy of any curricula, training materials, or any other written materials that will be published, including web -based materials and web site content, through funds from this grant at least thirty (30) days prior to the targeted dissemination date. All materials publicizing or resulting from award activities shall contain the following statements: "This project was supported by Award No. [contact the Office of Criminal Justice Grants for award number] awarded by the Bureau of Justice Assistance, Office of Justice Programs. The opinions, findings, and conclusions or recommendations expressed in this publication/program/exhibition are those of the author(s) and do not necessarily reflect the views of the Department of Justice." 16. Audit Subgrant recipients that expend $500,000 or more in a year in Federal awards shall have a single or program -specific audit conducted for that year. The audit shall be performed in accordance with the federal OMB Circular A-133 and other applicable federal law. The contract for this agreement shall be identified in the Schedule of Federal Financial Assistance in the subject audit. The contract shall be identified as federal funds passed through the Florida Department of Law Enforcement and include the contract number, CFDA number, award amount, contract period, funds received and disbursed. When applicable, the subgrant recipient shall submit an annual financial audit that meets the requirements of § 11.45, Fla. Stat. , "Definitions; duties; authorities; reports; rules."; § 215.97, Fla. Stat. , "Florida Single Audit Act"; and Rules of the Auditor General, Chapter 10.550, "Local Governmental Entity Audits" and Chapter 10.650, "Florida Single Audit Act Audits Nonprofit and For -Profit Organizations." b. A complete audit report that covers any portion of the effective dates of this agreement must be submitted within 30 days after its completion, but no later than nine (9) months after the audit period. In order to be complete, the submitted report shall include any management letters issued separately and management's written response to all findings, both audit report and management letter findings. Incomplete audit reports will not be accepted by the Department. C. The subgrant recipient shall have all audits completed by an Independent Public Accountant (IPA). The IPA shall be either a Certified Public Accountant or a Licensed Public Accountant. d. The subgrant recipient shall take appropriate corrective action within six (6) months of the issue date of the audit report in instances of noncompliance with federal laws and regulations. e. The subgrant recipient shall ensure that audit working papers are made available to the Department, or its designee, upon request for a period of three (3) years from the date the audit report is issued, unless extended in writing by the Department. Subgrant recipients that expend less than $500,000 in Federal awards during a fiscal year are exempt from the audit requirements of OMB Circular A-133 for that fiscal year. In this case, written notification, which can be in the form of the "Certification of Audit Exemption" form, shall be provided to the Department by the Chief Financial Officer, or designee, that the subgrant recipient is exempt. This notice shall be provided to the Department no later than March 1 following the end of the fiscal year. SFY 2010 Page 5 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement g. If this agreement is closed out without an audit, the Department reserves the right to recover any disallowed costs identified in an audit completed after such closeout. h. The completed audit report or written notification of audit exemption should be sent to the following address: Florida Department of Law Enforcement Office of Criminal Justice Grants 2331 Phillips Road Tallahassee, Florida 32308 17. Performance of Agreement Provisions In the event of default, non-compliance or violation of any provision of this agreement by the subgrant recipient, the subgrant recipient's consultants and suppliers, or both, the Department shall impose sanctions it deems appropriate including withholding payments and cancellation, termination, or suspension of the agreement in whole or in part. In such event, the Department shall notify the subgrant recipient of its decision thirty (30) days in advance of the effective date of such sanction. The subgrant recipient shall be paid only for those services satisfactorily performed prior to the effective date of such sanction. 18. Commencement of Project a. If a project is not operational within 60 days of the original start date of the award period, the subrecipient must report by letter to the Department the steps taken to initiate the project, the reasons for delay, and the expected start date. b. If a project is not operational within 90 days of the original start date of the award period, the subrecipient must submit a second statement to the Department explaining the implementation delay. c. Upon receipt of the ninety (90) day letter, the Department shall determine if the reason for delay is justified or shall, at its discretion, unilaterally terminate this agreement and re - obligate subgrant funds to other Department approved projects. The Department, where warranted by extenuating circumstances, may extend the starting date of the project past the ninety (90) day period, but only by formal written adjustment to this agreement. 19. Excusable Delays a. Except with respect to defaults of consultants, the subgrant recipient shall not be in default by reason of any failure in performance of this agreement according to its terms (including any failure by the subgrant recipient to make progress in the execution of work hereunder which endangers such performance) if such failure arises out of causes beyond the control and without the fault or negligence of the subgrant recipient. Such causes include, but are not limited to, acts of God or of the public enemy, acts of the government in either its sovereign or contractual capacity, fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes, and unusually severe weather, but in every case, the failure to perform shall be beyond the control and without the fault or negligence of the subgrant recipient. b. If failure to perform is caused by failure of a consultant to perform or make progress, and if such failure arises out of causes beyond the control of subgrant recipient and consultant, and without fault or negligence of either of them, the subgrant recipient shall not be deemed in default, unless: (1) Supplies or services to be furnished by the consultant were obtainable from other sources, SFY 2010 Page 6 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement (2) The Department ordered the subgrant recipient in writing to procure such supplies or services from other sources, and (3) The subgrant recipient failed to reasonably comply with such order. c. Upon request of the subgrant recipient, the Department shall ascertain the facts and the extent of such failure, and if the Department determines that any failure to perform was occasioned by one or more said causes, the delivery schedule shall be revised accordingly. 20. Written Approval of Changes in this Approved Agreement a. Subgrant recipients must obtain prior approval from the Department for major substantive changes such as changes in project activities, target populations, service providers, implementation schedules, project director, and designs or research plans set forth in the approved agreement and for any budget changes that will transfer more than 10% of the total budget between budget categories. b. Subgrant recipients may transfer up to 10% of the total budget between current, approved budget categories without prior approval as long as the funds are transferred to an existing line item c. Under no circumstances can transfers of funds increase the total budgeted award. 21. Disputes and Appeals a. The Department shall make its decision in writing when responding to any disputes, disagreements, or questions of fact arising under this agreement and shall distribute its response to all concerned parties. The subgrant recipient shall proceed diligently with the performance of this agreement according to the Department's decision. b. If the subgrant recipient appeals the Department's decision, the appeal also shall be made in writing within twenty-one (21) calendar days to the Department's clerk (agency clerk). The subgrant recipient's right to appeal the Department's decision is contained in § 120, Fla. Stat., and in procedures set forth in Rule 28-106.104, Florida Administrative Code. Failure to appeal within this time frame constitutes a waiver of proceedings under § 120, Fla. Stat. 22. Conferences and Inspection of Work Conferences may be held at the request of any party to this agreement. At any time, a representative of the Department, of the U.S. Department of Justice, or the Auditor General of the State of Florida, have the right of visiting the project site to monitor, inspect and assess work performed under this agreement. 23. Access To Records a. The Department of Law Enforcement, the Auditor General of the State of Florida, the U.S. Department of Justice, the U.S. Comptroller General or any of their duly authorized representatives, shall have access to books, documents, papers and records of the subgrant recipient, implementing agency and contractors for the purpose of audit and examination according to the Financial Guide and the Common Rule. b. The Department reserves the right to unilaterally terminate this agreement if the subgrant recipient, implementing agency, or contractor refuses to allow public access to all documents, papers, letters, or other materials subject to provisions of § 119, Fla. Stat. , and SFY 2010 Page 7 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement made or received by the subgrant recipient or its contractor in conjunction with this agreement. C. The subgrant recipient will give the awarding agency or the General Accounting Office, through any authorized representative, access to and the right to examine all paper or electronic records related to the financial assistance. 24. Retention of Records The subgrant recipient shall maintain all records and documents for a minimum of three (3) years from the date of the final financial statement and be available for audit and public disclosure upon request of duly authorized persons. 25. Signature Authority The Subgrant Recipient Authorizing Official or Designated Representative and the Implementing Agency Official, Administrator or Designated Representative, who sign the Signature Page, have the authority to request changes to the approved agreement. The prior mentioned individuals have authority to sign or make amendments to the Sole Source, ADP Justification and the Privacy Certification forms. The Project Director has authority to submit requests for approval of specific travel, and Performance Reports, with the exception of the Financial and Closeout Package, which also requires the signature by the Chief Financial Officer of the Subgrant Recipient or authorized designee. 26. Delegation of Signature Authority When the authorized official of a subgrant recipient or the implementing agency designates some other person signature authority for him/her, the chief officer or elected official must submit to the Department a letter or resolution indicating the person given signature authority. The letter indicating delegation of signature authority must be signed by the chief officer or elected official and the person receiving signature authority, The letter must also specify the authority being delegated. 27. Personnel Changes Upon implementation of the project, in the event there is a change in Chief Executive Officers for the Subgrant recipient or Implementing Agency, Project Director, or Contact Person, the Department must be notified in writing with documentation to include appropriate signatures. 28. Background Check Whenever a background screening for employment or a background security check is required by law for employment, unless otherwise provided by law, the provisions of § 435, Fla. Stat. shall apply. a. All positions in programs providing care to children, the developmentally disabled, or - vulnerable adults for 15 hours or more per week; all permanent and temporary employee positions of the central abuse hotline; and all persons working under contract who have access to abuse records are deemed to be persons and positions of special trust or responsibility and require employment screening pursuant to § 435, Fla. Stat., using the level 2 standards set forth in that chapter. b. All employees in positions designated by law as positions of trust or responsibility shall be required to undergo security background investigations as a condition of employment and continued employment. For the purposes of the subsection, security background investigations shall include, but not be limited to, employment history checks, fingerprinting SFY 2010 Page 8 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement for all purposes and checks in this subsection, statewide criminal and juvenile records checks through the Florida Department of Law Enforcement, and federal criminal records checks through the Federal Bureau of Investigation, and may include local criminal records checks through local law enforcement agencies. (1) Any person who is required to undergo such a security background investigation and who refuses to cooperate in such investigation or refuses to submit fingerprints shall be disqualified for employment in such position or, if employed, shall be dismissed. (2) Such background investigations shall be conducted at the expense of the employing agency or employee. When fingerprinting is required, the fingerprints of the employee or applicant for employment shall be taken by the employing agency or by an authorized law enforcement officer and submitted to the Department of Law Enforcement for processing and forwarding, when requested by the employing agency, to the United States Department of Justice for processing. The employing agency shall reimburse the Department of Law Enforcement for any costs incurred by it in the processing of the fingerprints. 29. Drug Court Projects A Drug Court Project must comply with § 397.334, Fla. Stat., "Treatment -Based Drug Court Programs." 30. Overtime for Law Enforcement Personnel Prior to obligating funds from this award to support overtime by law enforcement officers, the U.S. Department of Justice encourages consultation with all allied components of the criminal justice system in the affected jurisdiction. The purpose of this consultation is to anticipate and plan for systemic impacts such as increased court dockets and the need for detention space. 31. Criminal Intelligence System The subgrant recipient agrees that any information technology system funded or supported by the Office of Justice Programs funds will comply with 28 C.F.R. Part 23, Criminal Intelligence Systems Operating Policies, if the Office of Justice Programs determines this regulation to be applicable. Should the Office of Justice Programs determine 28 C.F.R. Part 23 to be applicable, the Office of Justice Programs may, at its discretion, perform audits of the system, as per 28 C.F.R. 23.20(g). Should any violation of 28 C.F.R. Part 23 occur, the recipient may be fined as per 42 U.S.C. 3789g(c)-(d). Recipient may not satisfy such a fine with federal funds. 32. Confidential Funds A signed certification that the project director or the head of the Implementing Agency has read, understands, and agrees to abide by all of the conditions for confidential funds as set forth in the effective edition of the Office of Justice Programs Financial Guide is required from all projects that are involved with confidential funds. The signed certification must be submitted at the time of grant application. 33. Equal Employment Opportunity (EEO) Federal laws prohibit recipients of financial assistance from discriminating on the basis of race, color, national origin, religion, sex, disability, or age in funded programs or activities. All subgrant recipients and implementing agencies must comply with any applicable statutorily - imposed nondiscrimination requirements, which may include the Omnibus Crime Control and Safe Streets Act of 1968 (42 U.S.C. § 3789d); the Victims of Crime Act (42 U.S.C. § 10604(e)); The Juvenile Justice and Delinquency Prevention Act of 2002 (42 U.S.C. § SFY 2010 Page 9 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 5672(b)); the Civil Rights Act of 1964 (42 U.S.C. § 2000d); the Rehabilitation Act of 1973 (29 U.S.C. § 7 94); the Americans with Disabilities Act of 1990 (42 U.S.C. § 12131-34); the Education Amendments of 1972 (20 U.S.C. §§1681, 1683, 1685-86); the Age Discrimination Act of 1975 (42 U.S.C. §§ 6101-07); and Department of Justice Non -Discrimination Regulations 28 CFR Part 42; see Ex. Order 13279 (equal protection of the laws for faith - based and community organizations). b. A subgrant recipient or implementing agency must develop an EEO Plan if it has 50 or more employees and it has received any single award of $25,000 or more from the Department of Justice. The plan must be prepared using the on-line short form at http://www.ojp.usdoj.gov/about/ocr/eeop_comply.htm, must be retained by the subgrant recipient or implementing agency, and must be available for review or audit. The organization must also submit an EEO Certification to FDLE. c. If the subgrant recipient or implementing agency is required to prepare an EEO Plan and has received any single award of $500,000 or more from the Department of Justice, it must submit its plan to the Department of Justice for approval. A copy of the Department of Justice approval letter must be submitted to FDLE. The approval letter expires two years from the date of the letter. d. A subgrant recipient or implementing agency is exempt from the EEO Plan requirement if it is has fewer than 50 employees or if it does not receive any single award of $25,000 or more from the Department of Justice or if it is a nonprofit organization, a medical or educational institution, or an Indian Tribe. If an organization is exempt from the EEO Plan requirement, it must submit an EEO Certification to FDLE. e. The subgrant recipient and implementing agency acknowledge that failure to comply with EEO Requirements within 60 days of the project start date may result in suspension or termination of funding, until such time as it is in compliance. f. In the event a Federal or State court of Federal or State administrative agency makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the recipient will forward a copy of the finding to the Office for Civil Rights, Office of Justice Programs. 34. Americans with Disabilities Act Subgrant recipients must comply with the requirements of the Americans with Disabilities Act (ADA), Public Law 101-336, which prohibits discrimination by public and private entities on the basis of disability and requires certain accommodations be made with regard to employment (Title 1), state and local government services and transportation (Title 11), public accommodations (Title III), and telecommunications (Title IV). 35. Immigration and Nationality Act No public funds will intentionally be awarded to any contractor who knowingly employs unauthorized alien workers, constituting a violation of the employment provisions contained in 8 U.S.C. Section 1324a(e), Section 274A(e) of the Immigration and Nationality Act ("INA"). The Department shall consider the employment by any contractor of unauthorized aliens a violation of Section 274A(e) of the INA. Such violation by the subgrant recipient of the employment provisions contained in Section 274A(e) of the INA shall be grounds for unilateral cancellation of this contract by the Department. 36. National Environmental Policy Act (NEPA) a. The subgrant recipient agrees to assist FDLE in complying with the NEPA, the National Historic Preservation Act, and other related federal environmental impact analyses SFY 2010 Page 10 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement requirements in the use of subgrant funds by the subgrant recipient. This applies to the following new activities whether or not they are being specifically funded with these subgrant funds. That is, it applies as long as the activity is being conducted by the subgrant recipient or any third party and the activity needs to be undertaken in order to use these subgrant funds, (1) New construction; (2) Minor renovation or remodeling of a property either (a) listed on or eligible for listing on the National Register of Historic Places or (b) located within a 100-year flood plain; (3) A renovation, lease, or any other proposed use of a building or facility that will either (a) result in a change in its basic prior use or (b) significantly change its size; and (4) Implementation of a new program involving the use of chemicals other than chemicals that are (a) purchased as an incidental component of a funded activity and (b) traditionally used, for example, in office, household, recreational, or educational environments. (5) Implementation of a program relating to clandestine methamphetamine laboratory operations, including the identification, seizure, or closure of clandestine methamphetamine laboratories. b. The subgrant recipient understands and agrees that complying with NEPA may require the preparation of an Environmental Assessment and/or an Environmental Impact Statement, as directed by the Bureau of Justice Assistance. The subgrant recipient further understands and agrees to the requirements for implementation of a Mitigation Plan, as detailed by the Department of Justice, for programs relating to methamphetamine laboratory operations. c. For any of a subgrant recipient's existing programs or activities that will be funded by these subgrants, the subgrant recipient, upon specific request from the Department and the U.S. Department of Justice, agrees to cooperate with the Department of Justice in any preparation by Department of Justice of a national or program environmental assessment of that funded program or activity. 37. Non -Procurement, Debarment and Suspension The subgrant recipient agrees to comply with Executive Order 12549, Debarment and Suspension and 2 CFR 180, "OMB Guidelines To Agencies On Governmentwide Debarment And Suspension (Nonprocurement)" These procedures require the subgrant recipient to certify it shall not enter into any lower tiered covered transaction with a person who is debarred, suspended, declared ineligible or is voluntarily excluded from participating in this covered transaction, unless authorized by the Department. If the subgrant is $100,000 or more, the subgrant recipient and implementing agency certify that they and their principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a Menial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency; b. Have not within a three-year period preceding this application 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; SFY 2010 Page 11 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental 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 had one or more public transactions (Federal, State, or local) terminated for cause or default. 38. Federal Restrictions on Lobbying a. Each subgrant recipient agrees to comply with 28 CFR Part 69, "New Restrictions on Lobbying" and shall file the most current edition of the Certification And Disclosure Form, if applicable, with each submission that initiates consideration of such subgrant recipient for award of federal contract, grant, or cooperative agreement of $100,000 or more. b. This certification is a material representation of fact upon which reliance was placed when this agreement was made. Submission of this certification is a prerequisite to entering into this agreement subject to conditions and penalties imposed by 31 USC 1352. Any person who fails to file the required certification is subject to a civil penalty of not less than $10,000 and not more than $100,000 for each failure to file. c. As required by 31 USC 1352, and implemented at 28 CFR 69, for persons entering into a grant or cooperative agreement over $100,000, as defined at 28 CFR 69, the applicant certifies that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making of any Federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal grant 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 grant or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure of Lobbying Activities," 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 subgrants, contracts under grants and cooperative agreements, and subcontracts) and that all sub -recipients shall certify and disclose accordingly. 39. State Restrictions on Lobbying In addition to the provisions contained in Item 39, above, the expenditure of funds for the purpose of lobbying the legislature or a state agency is prohibited under this contract. 40. Additional Restrictions on Lobbying Recipient understands and agrees that it cannot use any federal funds, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government, without the express prior written approval of the Office of Justice Programs. SFY 2010 Page 12 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 41. "Pay — to — Stay" Funds from this award may not be used to operate a "pay -to -stay" program in any local jail. Furthermore, no funds may be given to local jails that operate "pay -to -stay" programs. "Local jail," as referenced in this condition, means an adult facility or detention center owned and/or operated by city, county, or municipality. It does not include juvenile detention centers. "Pay -to - stay" programs as referenced in this condition, means a program by which extraordinary services, amenities and/or accommodations, not otherwise available to the general inmate population, may be provided, based upon as offender's apparent ability to pay, such that disparate conditions of confinement are created for the same or similar offenders within a jurisdiction. 42. Mitigation of Health, Safety and Environmental risks dealing with Clandestine Methamphetamine Laboratories If an award is made to support methamphetamine laboratory operations the subgrant recipient must comply with this condition, which provides for individual site environmental assessment/impact statements as required under the National Environmental Policy Act. a. General Requirement: The subgrant recipient agrees to comply with Federal, State, and local environmental, health and safety laws and regulations applicable to the investigation and closure of clandestine methamphetamine laboratories and the removal and disposal of the chemicals, equipment, and wastes used in or resulting from the operation of these laboratories. b. Specific Requirements: The subgrant recipient understands and agrees that any program or initiative involving the identification, seizure, or closure of clandestine methamphetamine laboratories can result in adverse health, safety and environmental impacts to (1) the law enforcement and other governmental personnel involved; (2) any residents, occupants, users, and neighbors of the site of a seized clandestine laboratory; (3) the seized laboratory site's immediate and surrounding environment of the site(s) where any remaining chemicals, equipment, and waste from a seized laboratory's operations are placed or come to rest. Therefore, the subgrant recipient further agrees that in order to avoid or mitigate the possible adverse health, safety and environmental impacts from any of clandestine methamphetamine operations funded under this award, it will (1) include the nine, below listed protective measures or components; (2) provide for their adequate funding to include funding, as necessary, beyond that provided by this award; and (3) implement these protective measures directly throughout the life of the subgrant. In so doing, the subgrant recipient understands that it may implement these protective measures directly through the use of its own resources and staff or may secure the qualified services of other agencies, contractor or other qualified third party. (1) Provide medical screening of personnel assigned or to be assigned by the subgrant recipient to the seizure or closure if of clandestine methamphetamine laboratories; (2) Provide Occupational Safety and Health Administration (OSHA) required initial and refresher training for law enforcement of#iciaisr and -other personnel assigned by the subgrant recipient to either the seizure or closure of clandestine methamphetamine laboratories; (3) As determined by their specific duties, equip personnel assigned to the project with OSHA required protective wear and other required safety equipment; (4) Assign properly trained personnel to prepare a comprehensive contamination report on each closed laboratory; (5) Employ qualified disposal contractors to remove all chemicals and associated SFY 2010 Page 13 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement glassware, equipment, and contaminated materials and wastes from the site(s) of each seized clandestine laboratory; (6) Dispose of the chemicals, equipment, and contaminated materials and wastes removed from the sites of seized laboratories at properly licensed disposal facilities or, when allowable, properly licensed recycling facilities; (7) Monitor the transport, disposal, and recycling components of subparagraphs 5 and 6 immediately above in order to ensure proper compliance; (8) Have in place and implement an inter -agency agreement or other form of commitment with a responsible State environmental agency that provides for that agency's (i) timely evaluation of the environmental conditions at and around the site of a closed clandestine laboratory and (ii) coordination with the responsible party, property owner, or others to ensure that any residual contamination is remediated, if necessary, and in accordance with existing State and Federal requirements; and (9) Have in place and implement a written agreement with the responsible state or local service agencies to properly respond to any minor, as defined by state law, at the site. This agreement must ensure immediate response by qualified personnel who can (i) respond to the potential health needs of any minor at the site; (ii) take that minor into protective custody unless the minor is criminally involved in the meth lab activities or is subject to arrest for other criminal violations; (iii) ensure immediate medical testing for methamphetamine toxicity; and (iv) arrange for any follow-up medical tests, examinations, or health care made necessary as a result of methamphetamine toxicity. 43. Limited English Proficiency (LEP) In accordance with Department of Justice Guidance pertaining to Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d, recipients of Federal financial assistance must take reasonable steps to provide meaningful access to their programs and activities for persons with LEP. For more information on the civil rights responsibilities that recipients have in providing language services to LEP individuals, please see the website at http://www.lep.gov. 44. The Coastal Barrier Resources Act The subgrant recipient will comply and assure the compliance of all contractors with the provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 USC 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 45. Enhancement of Security If funds are used for enhancing security, the subgrant recipient agrees to: a. Have an adequate process to assess the impact of any enhancement of a school security measure that is undertaken on the incidence of crime in the geographic area where the enhancement is undertaken. b. Conduct such an assessment with respect to each such enhancement; and, submit to the Department the aforementioned assessment in its Final Program Report. 46. Environmental Protection Agency's (EPA) list of Violating Facilities The subgrant recipient assures that the facilities under its ownership, lease or supervision which shall be utilized in the accomplishment of the Program Purpose are not listed on the EPA's list of SFY 2010 Page 14 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement Violating Facilities and that it will notify the Department of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA. 47. Flood Disaster Protection Act The subgrant recipient will comply with Section 102(a) of the Flood Disaster Protection Act of 1973, Public Law 93-234, 87 Stat. 975, requiring that the purchase of flood insurance in communities where such insurance is available as a condition of the receipt of any federal financial assistance for construction or acquisition purposes for use in any area that has been identified as an area having special flood hazards. 48. National Historic Preservation Act It will assist the Department (if necessary) in assuring compliance with section 106 of the National Historic Preservation Act of 1966 (16 U.S.C. § 470), Ex. Order 11593 (identification and protection of historic properties), the Archeological and Historical Preservation Act of 1974 (16 U.S.C. § 469 a-1 et seq.), and the National Environmental Policy Act of 1969 (42 U.S.C. § 4321). 49. Omnibus Crime Control and Safe Streets Act The subgrant recipient will comply and assure the compliance of all contractors, with the applicable provisions of Title I of the Omnibus Crime Control and Safe Streets Act of 1968, as amended; the Juvenile Justice and Delinquency Prevention Act, or the Victims of Crime Act; as appropriate; the provisions of the current edition of the Office of Justice Program Financial and Administrative Guide for Grants; and all other applicable State and Federal laws, orders, circulars, or regulations. 50. Human Research Subjects Grantee agrees to comply with the requirements of 28 C.F.R. part 46 and all Office of Justice Programs policies and procedures regarding the protection of human research subjects, including obtainment of Institutional Review Board approval, if appropriate, and subject informed consent. 51. National Information Exchange Model specifications To support public safety and justice information sharing, the Office of Justice Programs requires the grantee to use the National Information Exchange Model (NIEM) specifications and guidelines for this particular grant. Grantee shall publish and make available without restriction all schemas generated as a result of this grant to the component registry as specified in the guidelines. For more information on compliance with this condition, visit http://www.niem..qov/implementationguide.php. 52. Reporting, Data Collection and Evaluation The subgrant recipient agrees to comply with all reporting, data collection and evaluation requirements, as prescribed by the Bureau of Justice Assistance in the program guidance for the Justice Assistance Grant (JAG). Compliance with these requirements will be monitored by the Bureau of Justice Assistance. SFY 2010 Page 15 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 53. Privacy Certification The subgrant recipient agrees to comply with all confidentiality requirements of 42 U.S.C. section 3789g and 28 C.F.R. Part 22 that are applicable to collection, use, and revelation of data or information. Grantee further agrees, as a condition of grant approval, to submit a Privacy Certificate that is in accord with requirements of 28 C.F.R. Part 22 and, in particular, section 22.23. 54. State Information Technology Point of Contact The subgrant recipient agrees to ensure that the State Information Technology Point of Contact receives written notification regarding any information technology project funded by this grant during the obligation and expenditures period. This is to facilitate communication among local and state governmental entities regarding various information technology projects being conducted with these grant funds. In addition, the recipient agrees to maintain an administrative file documenting the meeting of this requirement. For a list of State Information Technology Points of Contact, go to http://www.it.ojp.gov/default.aspx?area=policyAndPractice&page=1046. 55. Interstate Connectivity To avoid duplicating existing networks or IT systems in any initiatives funded by the Bureau of Justice Assistance for law enforcement information sharing systems which involve interstate connectivity between jurisdictions, such systems shall employ, to the extent possible, existing networks as the communication backbone to achieve interstate connectivity, unless the subgrant recipient can demonstrate to the satisfaction of the Bureau of Justice Assistance that this requirement would not be cost effective or would impair the functionality of an existing or proposed IT system. 56. Supplanting The subgrant recipient agrees that funds received under this award will not be used to supplant State or local funds, but will be used to increase the amounts of such funds that would, in the absence of Federal funds, be made available for law enforcement activities. 57. Conflict of Interest The subgrant recipient and implementing agency will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 58. Uniform Relocation Assistance and Real Property Acquisitions Act The subgrant recipient will comply with the requirements of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (42 U.S.C. § 4601 et seq.), which govern the treatment of persons displaced as a result of federal and federally -assisted programs. 59. Limitations on Government Employees Financed by Federal Assistance The subgrant recipient will comply with requirements of 5 U.S.C. §§ 1501-08 and §§ 7324-28, which limit certain political activities of State or local government employees whose principal employment is in connection with an activity financed in whole or in part by federal assistance. 60. Equal Treatment for Faith Based Organizations The grantee agrees to comply with the applicable requirements of 28 C.F.R. Part 38, the Department of Justice regulation governing "Equal Treatment for Faith Based Organizations" (the SFY 2010 Page 16 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement "Equal Treatment Regulation"). The Equal Treatment Regulation provides in part that Department of Justice grant awards of direct funding may not be used to fund any inherently religious activities, such as worship, religious instruction, or proselytization. Recipients of direct grants may still engage in inherently religious activities, but such activities must be separate in time or place from the Department of Justice funded program, and participation in such activities by individuals receiving services from the grantee or a sub -grantee must be voluntary. The Equal Treatment Regulation also makes clear that organizations participating in programs directly funded by the Department of Justice are not permitted to discriminate in the provision of services on the basis of a beneficiary's religion. Notwithstanding any other special condition of this award, faith based organizations may, in some circumstances, consider religion as a basis for employment. See http://www.ojp.gov/about/ocr/equal_fbo.htm. 61. Certification for Employees Working Solely on a Single Federal Award Any project staff that are fully funded by the grant must certify that they worked solely on the grant. The certification must be prepared at least semi annually and must be signed by the employee and by a supervisory official having first hand knowledge of the work performed by the employee. SFY 2010 Page 17 CERTIFICATION FORM 11 o a 5► m orry) Recipient Name and Address: Monroe County Board of County Commissionersyt4 Weasu 330Na Grant Title: Women In Transition: Recividism Prevention Grant Number: 2010-JAGC-1 062 Award Amount: $21,700 Contact Person Name and Title: Lisa Tennyson, Grants Administrator Phone Number: (305) 292-4444 Federal regulations require recipients of financial assistance from the Office of Justice Programs (OJP), its component agencies, and the Office of Community Oriented Policing Services (COPS) to prepare, maintain on tile, submit to OJP for review, and implement an Equal Employment Opportunity Plan (EEOP) in accordance with 28 C.F.R §§ 42.301-.308. The regulations exempt some recipients from all of the EEOP requirements. Other recipients, according to the regulations, must prepare, maintain on file and implement an EEOP, but they do not need to submit the EEOP to OJP for review. Recipients that claim a complete exemption from the EEOP requirement must complete Section A below. Recipients that claim the limited exemption from the submission requirement, must complete Section B below. A recipient should complete either Section A or Section B, not both. If a recipient receives multiple OJP or COPS grants, please complete a form for each grant, ensuring that any EEOP recipient certifies as completed and on file (if applicable) has been prepared within two years of the latest grant. Please send the completed form(s) to the Office for Civil Rights, Office of Justice Programs, U.S. Department of Justice, 810 7`h Street. N.W., Washington, D.C. 20531. For assistance in completing this form, please call (202)307- 0690 or TTY (202) 307-2027. Section A- Declaration Claiming Complete Exemption from the EEOP Requirement. Please check all the boxes that apply. ❑ Recipient has less than 50 employees, ❑ Recipient is an Indian tribe, ❑ Recipient is a non-profit organization, ❑ Recipient is an educational institution, or ❑ Recipient is a medical institution, ❑ Recipient is receiving an award less than $25,000 [responsible official], certify that [recipient] is not required to prepare an EEOP for the reason(s) checked above, pursuant to 28 C.F.R §42.302. I further certify that [recipient] will comply with applicable Federal civil rights laws that prohibit discrimination in employment and in the delivery of services. Print or type Name and Title Signature Date Section B- Declaration Claiming Exemption from the EEOP Submission Requirement and Certifying That an EEOP Is on File for Review. If a recipient agency has 50 or more employees and is receiving a single award or subaward for $25,000 or more, but less than $500,000, then the recipient agency does not have to submit an EEOP to OJP for review as long as it certifies the following (42 C.F.R. § 42.305): 1, Roman Gastesi, Jr., County Administrator [responsible official], certify that the Monroe County Board of County Commissioners [recipient],which has 50 or more employees and is receiving a single award or subaward for $25,000 or more, but less than $500,000, has formulated an EEOP in accordance with 28 CFR §42.301, et seq., subpart E. I further certify that the EEOP has been formulated and signed into effect within the past two years by the proper authority and that it is available for review. The EEOP is on file in the office of. Calvin Allen, EEO Officer, Monroe County BOCC [organization], at 1100 Simonton Street, Key West, Florida 33040 [address],for review by the public and employees or for review or audit by officials of the relevant state plan g agency or the Office for Civil Rights, Office of Justice Programs, U. S. Department of Justice, as required by rel a t aws reg I ons. Roman Gastesi, Jr., County Administrator Print or type Name and Title Signature Date OMB Approval No. 1 121-0140 Expiration Date: 0 1/3 1/06 RESOLUTION NO. 239 - 2009 A RESOLUTION OF THE BOARD OF COMMISSIONERS OF MONROE COUNTY, FLORIDA AUTHORIZING THE SUBMISSION OF A GRANT APPLICATION TO THE FLORIDA DEPARTMENT OF LAW ENFORCEMENT FOR THE FISCAL YEAR 2010 EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT (JAG) PROGRAM WHEREAS, the Florida Department of Law Enforcement has announced the funding for Fiscal Year 2010 Edward Byrne Memorial Justice Assistance Grant (JAG) Program; and WHEREAS, the Monroe County Board of Commissioners agrees to serve as the coordinating unit of government in the preparation of the grant proposals and in the distribution of funds allocated to Monroe County in the amount of $142,873 with no cash match; and WHEREAS, the Monroe County Substance Abuse Policy Advisory Board, with concern given to the County's current drug control efforts, has recommended certain programs receive funding to provide the community with activities focused on drug and alcohol education, prevention, rehabilitation, and treatment; now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that- 1. The Board of County Commissioners concurs with the Monroe County Substance Abuse Policy Advisory Board's recommendations; and that 2. The County Administrator is hereby authorized to sign and submit the application packet for the Fiscal Year 2010 grant funds to the Florida Department of Law Enforcement Edward Byrne Memorial Justice Assistance Grant (JAG) Program; and that 3. This resolution shall become effective immediately upon adoption by the Board of County Commissioners and execution by the Presiding Officer and Clerk. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 191h day of August, A,Q.,.2POQ�? Mayor Neugent Yes Mayor Pro Tern Murphy Yes T N -.1 Commissioner Carruthers Yes cn O Commissioner DiGennaro Yes z, Commissioner Wigington Yes (Seal)DAANTL, ... „ C ,, Monroe,.Pounty Board of Commissioners Attest: By: C erk of Court Mayor y Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide In witness whereof, the parties affirm they each have read and agree to the conditions set forth in this agreement, have read and understand the agreement in its entirety and have executed this agreement by their duty authorized officers on the date, month and year set out below. Signature: Corrections on this page, including Strikeovers, whiteout, etc. are not acceptable. State of Florida Deparenent of Law Enforcement Office of Criminal Justice Grants /I Typed Name and Title: be an K Mder, Adii' 1n1s ta1w, Date: / /' a. S- 09 l' Subgrant Recipient Authorizing;off flat of Governmental Unit (Comrnission Chairman.._Mayar, or Designated Representathret , k ` Typed Naml Signature: Typed Name and Title: om a o Ce S I e 5 , to 1, 1 A Date: � I 1 1 Implementing Agency b officiate administrator or Designated Representative Typed Name of Im Signature: Typed Name and Title: Date: � ll z E Application Ref # 2010-JAGC-1062 Contract -JAGC-MONR- - - Wt Section #6 Page 1 of 1 Rule Reference 11 D4006 OCJG-005 (rev. April 2005) BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20,2010 Division: OMB Bulk Item: Yes ® No ❑ Department: Grants Administration Staff Person: Lisa Tennvson AGENDA ITEM WORDING: Authorization for the Mayor to execute a Memorandum of Understanding with Samuel's House to provide the Women in Transition: Recidivism Prevention for Women with Histories of Substance Abuse and Incarceration Program with funds provided under the Recovery Act Edward Byrne Memorial Justice Assistance Grant program, for the period from Oct 1, 2009 through Sept 30, 2010. ITEM BACKGROUND: Federal funds are provided through the Florida Department of Law Enforcement. Substance Abuse Policy Advisory Board (SAPAB) reviews proposals and makes recommendations to BOCC for local funding of programs. PREVIOUS RELEVANT BOCC ACTION: Approval to apply for grant funds given at July 2009 meeting. Certificate of Acceptance for Subgrant Award from FDLE is also on the agenda for this meeting. CONTRACT/AGREEMENT CHANGES: STAFF RECOMMENDATION: Approval TOTAL COST: $21,700 BUDGETED: Yes ® No ❑ COST TO COUNTY: $00 SOURCE OF FUNDS: FDLE REVENUE PRODUCING: Yes ❑ No ® AMOUNT PER MONTH YEAR APPROVED BY: COUNTY A7WT 01FPRCHASING ❑ RISK MANAGEMENTpM8' F'� DOCUMENTATION: INCLUDED: ® TO FOLLOW: ❑ NOT REQUIRED: ❑ DISPOSITION: AGENDA ITEM #: MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: Samuel's House Effective Date: 10/01/09 Expiration Date: 09/30/10 Contract Purpose/Description: Funds provided through FDLE Agreement for the Women in Transition: Recidivism Prevention for Women with Histories of Substance Abuse and Incarceration Program. Contract Manager: Lisa Tennyson (Name) for BOCC meeting on 1/20/09 4444 OMB/Grants Mgt. (Ext.) (Department) nda Deadline: 1/5/10 CONTRACT COSTS Total Dollar Value of Contract: $21,700 Current Year Portion: $21,700.00 Budgeted? Yes X No Account Codes: 125- - --XXXXXX Grant: $21,700.00 County Match: $0 Date In Division Director Risk Manag ens O.M.B./Pure s,14 L :T County Attorney I Comments: ADDITIONAL COSTS CONTRACT REVIEW Changes Date Out Needed Reviewer Yes❑ No❑ t Yes❑ Nozi- t� Yes❑ Nod_ Yes❑ No(g1��-R�GtJt1C[�� �aa OMB Form Revised W11/95 MCP #2 EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT PROGRAM FUNDS AGREEMENT THIS AGREEMENT is made and entered into this 20t" day of January, 2010, by and between MONROE COUNTY, a political subdivision of the State of Florida, whose address is 1100 Simonton Street, Key West, FL 33040, hereinafter referred to as "COUNTY," and Samuel's House, Inc., hereinafter referred to as "AGENCY." WITNESSETH WHEREAS, the Florida Department of Law Enforcement has awarded a sub - grant of Edward Byrne Memorial Justice Assistance to the COUNTY to implement the "Women in Transition: Recidivism Prevention for Women with Histories of Substance Abuse and Incarceration Program"; and WHEREAS, the County is in need of an implementing agency to provide said services under this Program; and WHEREAS, the AGENCY is the sole provider of this program; and WHEREAS, the COUNTY has agreed to disburse the Edward Byrne Memorial Assistance Grant funds to the AGENCY in accordance with the COUNTY'S application for the Edward Byrne Memorial Assistance Grant. NOW THEREFORE, in consideration of the mutual understandings and agreements set forth herein, the COUNTY and the AGENCY agree as follows: 1. TERM - The term of this Agreement is from October 1, 2009 through September 30, 2010, the date of the signature by the parties notwithstanding, unless earlier terminated as provided herein. 2. SERVICES - The AGENCY will provide services as outlined in the COUNTY'S Edward Byrne Memorial Justice Assistance Sub -grant Award, attached and made a part hereof. 3. FUNDS - The total project budget to be expended by the AGENCY in performance of the services set forth in Section 2 of this agreement shall be the total sum of $21,700. All funds shall be distributed and expended in accordance with the Project Budget Narrative submitted as outlined in the grant agreement. 4. INCORPORATION BY REFERENCE - The provisions of those certain documents entitled "State of -Florida Office of Criminal Justice Grants Florida - Department of Law Enforcement Sub -grant Award Certificate and Application" and all laws, rules and regulations relating thereto are incorporated by reference (Attachment C). 5. BILLING AND PAYMENT (a) The AGENCY shall comply with the special program and expenditure reporting requirements for Recovery Act funds. The AGENCY shall render to the COUNTY a detailed quarterly program report not later than three calendar days after the end of each calendar quarter. The AGENCY shall render to the COUNTY, at the close of each calendar month, an itemized invoice properly dated, describing the services rendered, the cost of the services, and all other information required by the Program Director. The original invoice shall be sent to: Grants Administrator 1100 Simonton Street Key West, FL 33040 (b) Payment shall be made after review and approval by the COUNTY within thirty (30) days of receipt of the correct and proper invoice submitted by the AGENCY. 7. TERMINATION - This Agreement may be terminated by either party at any time, with or without cause, upon not less than thirty (30) days written notice delivered to the other party. The COUNTY shall not be obligated to pay for any services provided by the AGENCY after the AGENCY has received notice of termination. In the event there are any unused funds, the AGENCY shall promptly refund those funds to the COUNTY or otherwise use such funds as the COUNTY directs. 8. ACCESS TO FINANCIAL RECORDS - The AGENCY shall maintain appropriate financial records which shall be open to the public at reasonable times and under reasonable conditions for inspection and examination and which comply with the Agreement incorporated in Section 4 of this Agreement. 9. AUDIT - The AGENCY shall submit to the COUNTY an audit report covering the term of this Agreement, within one -hundred twenty (120) days following the Agreement's lapse or early termination and shall also comply with all provisions of the Agreement incorporated in Section 4 of this Agreement. 10. NOTICES - Whenever either party desires to give notice unto the other, it must be given by written notice, sent by registered United States mail, with return receipt requested, and sent to: FOR COUNTY: FOR PROVIDER: Grants Administrator Elmira Leto 1100 Simonton Street Samuel's House, Inc. Key West, FL 33040 1614 Truesdell Court - Key West, FL 33040 Either of the parties may change, by written notice as provided above, the addresses or persons for receipt of notices. 11. UNAVAILABILITY OF FUNDS - If the COUNTY shall learn that funding from the Florida Department of Law Enforcement cannot be obtained or cannot be continued at a level sufficient to allow for the services specified herein, this Agreement may then be terminated immediately, at the option of the COUNTY, by written notice of termination delivered in person or by mail to the AGENCY at its address specified above. The COUNTY shall not be obligated to pay for any services provided by the AGENCY after the AGENCY has received notice of termination. 12. COMPLIANCE WITH LAWS AND REGULATIONS - In providing all services pursuant to this Agreement, the AGENCY shall abide by all statutes, ordinances, rules, and regulations pertaining to, or regulating the provision of, such services, including those now in effect and hereafter adopted, and particularly Article 1, Section 3 of the Constitution of the State of Florida and Article 1 of the United States Constitution, which provide that no revenue of the state or any political subdivision shall be utilized, directly or indirectly, in aid of any church, sect or religious denomination or in aid of any sectarian institution. Any violation of said statutes, ordinances, rules, or regulations shall constitute a material breach of this Agreement immediately upon delivery of written notice of termination to the AGENCY. If the AGENCY receives notice of material breach, it will have thirty days in order to cure the material breach of the contract. If, after thirty (30) days, the breach has not been cured, the contract will automatically be terminated. 13. ASSIGNMENTS AND SUBCONTRACTING - Neither party to this Agreement shall assign this Agreement or any interest under this Agreement, or subcontract any of its obligations under this Agreement, without the written consent of the other. 14. EMPLOYEE STATUS — The AGENCY is an independent contractor. Persons employed by the AGENCY in the performance of services and functions pursuant to this Agreement shall have no claim to pension, worker's compensation, unemployment compensation, civil service or other employee rights or privileges granted to the COUNTY'S officers and employees either by operation of law or by the COUNTY. 15. INDEMNIFICATION - The AGENCY agrees to hold harmless, indemnify, and defend the COUNTY, its commissioners, officers, employees, and agents against any and all claims, losses, damages, or lawsuits for damages, arising from, allegedly arising from, or related to the provision of services hereunder by the AGENCY. 16. ENTIRE AGREEMENT (a) It is understood and agreed that the entire Agreement of the parties is contained herein and that this Agreement supersedes all oral agreements and negotiations between the parties relating to the subject matter hereof as well as any previous agreements presently in effect between the parties relating to the subject matte- hereof. (b) Any alterations, amendments, deletions, or waivers of the provisions of this Agreement shall be valid only when expressed in writing and duly signed by the parties. IN WITNESS WHEREOF, the parties to this Agreement have caused their names to be affixed hereto by the proper officers thereof for the purposes herein expressed at Monroe County, Florida, on the day and year first written above. (SEAL) BOARD OF COUNTY COMMISSIONERS ATTEST: DANNY L. KOLHAGE, Clerk OF MONROE COUNTY, FLORIDA Deputy Clerk Witness Witness By: Mayor Samuel's House, Inc. By: Title: MONROE COUNTY ATTORNEY „,APPRO,VP-D AS TO FORM: CHRISTINE M. LIMBERT-BARROWS ASSISTANT COUNTY ATTORNEY Cate ATTACHMENT A EXPENSE REIMBURSEMENT REQUIREMENTS This document is intended to provide basic guidelines to Human Service Organizations, county travelers, and contractual parties who have reimbursable expenses associated with Monroe County business. These guidelines, as they relate to travel, are from Florida Statute 112.061. A cover letter summarizing the major line items on the reimbursable expense request needs to also contain a notarized certified statement such as: "I certify that the attached expenses are accurate and in agreement with the records of this organization. Furthermore, these expenses are in compliance with this organization's contract with the Monroe County Board of County Commissioners." Invoices should be billed to the contracting agency. Third party payments will not be considered for reimbursement. Remember, the expense should be paid prior to requesting a reimbursement. Only current charges will be considered, no previous balances. Reimbursement requests will be monitored in accordance with the level of detail in the contract. This document should not be considered all-inclusive. The Clerk's Finance Department reserves the right to review reimbursement requests on an individual basis. Any questions regarding these guidelines should be directed to 305-292-3534. Data Processing, PC Time, etc. The vendor invoice is required for reimbursement. Inter -company allocations are not considered reimbursable expenditures unless appropriate payroll journals for the charging department are attached and certified. Payroll A certified statement verifying the accuracy and authenticity of the payroll expense is needed. If a Payroll Journal is provided, it should include: dates, employee name, salary or hourly rate, total hours worked, withholding information and payroll taxes, check number and check amount. If a Payroll Journal is not provided, the following information must be provided: check amount, check number, date, payee, support for applicable payroll taxes. Postage, Overnight Deliveries, Courier, etc. A log of all postage expenses as they relate to the County contract is required for reimbursement. For overnight or express deliveries, the vendor invoice must be included. Rents, Leases, etc. A copy of the rental or lease agreement is required. Deposits and advance payments are not allowable expenses. Repro0uctions,_ Copies, etc, - A log of copy expenses as they relate to the County contract is required for reimbursement. The log must define the date, number of copies made, source document, purpose, and recipient. A reasonable fee for copy expenses will be allowable. For vendor services, the vendor invoice and a sample of the finished product are required. Supplies, Services, etc. For supplies or services ordered, a vendor invoice is required. Telefax, Fax, etc. A fax log is required. The log must define the sender, the intended recipient, the date, the number called, and the reason for sending the fax. Telephone Expenses A user log of pertinent information must be remitted including: the party called, the caller, the telephone number, the date, and the purpose of the call. Travel Expenses Travel expenses must be submitted on a State of Florida Voucher for Reimbursement of Travel Expenses. Travel must be submitted in accordance with Florida Statute 112.061. Credit card statements are not acceptable documentation for reimbursement. If attending a conference or meeting a copy of the agenda is needed. Airfare reimbursement requires the original passenger receipt portion of the airline ticket. A travel itinerary is appreciated to facilitate the audit trail. Auto rental reimbursement requires the vendor invoice. Fuel purchases should be documented with paid receipts. Taxis are not reimbursed if taken to arrive at a departure point: for example, taking a taxi from one's residence to the airport for a business trip is not reimbursable. Parking is considered a reimbursable travel expense at the destination. Airport parking during a business trip is not. A detailed list of charges is required on the lodging invoice. Balance due must be zero. Room must be registered and paid for by traveler. The County will only reimburse the actual room and related bed tax. Room service, movies, and personal telephone calls are not allowable expenses. Meal reimbursement shall be at the rates established by ARTICLE XXVI, TRAVEL, PER DIEM, MEALS, AND MILEAGE POLICY of the Monroe County Code of Ordinances. Meal guidelines state that travel must begin prior to 6 a.m. for breakfast reimbursement, before noon and end after 2 p.m. for lunch reimbursement, and before 6 p.m. and end after 8 p.m. for dinner reimbursement. Mileage reimbursement shall be at the rate established by ARTICLE XXVI, TRAVEL, PER DIEM, MEALS, AND MILEAGE POLICY of the Monroe County Code of Ordinances. An odometer reading must be included on the state travel voucher for vicinity travel. Mileage is not allowed from a residence or office to a point of departure. For example, driving from one's home to the airport for a business trip is not a reimbursable expense. Non -allowable Expenses The following expenses are not allowable for reimbursement: capital outlay expenditures (unless specifically included in the contract), contributions, depreciation expenses (unless specifically included in the contract), entertainment expenses, fundraising, non -sufficient check charges, penalties and fines. ATTACHMENT B ORGANIZATION LETTERHEAD Monroe County Board of County Commissioners Finance Department 500 Whitehead Street Key West, FL 33040 Date The following is a summary of the expenses for (Organization name) for the time period of to Check # Payee Reason Amount 101 Company A Rent $ X,XXX.XX 102 Company B Utilities XXX.XX 104 Employee A P/R ending 05/14/01 XXX.XX 105 Employee B P/R ending 05/28/01 XXX.XX (A) Total $ X,XXX.XX (B) Total prior payments $ X,XXX.XX (C) Total requested and paid (A + B) $ X,XXX.XX (D) Total contract amount $ X,XXX.XX Balance of contract (D-C) X.XXX.XX I certify that the above checks have been submitted to the vendors as noted and that the expenses are accurate and in agreement with the records of this organization. Furthermore, these expenses are in compliance with this organization's contract with the Monroe County Board of County Commissioners and will not be submitted for reimbursement to any other funding source. Executive Director Attachments (supporting documentation) Sworn to and subscribed before me this day of 20 by who is personally known to me. Notary Public Notary Stamp PUBLIC ENTITY CRIME STATEMENT "A person or affiliate who has been placed on the convicted vendor list following a conviction for public entity crime may not submit a bid on a contract to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list." SWORN STATEMENT UNDER ORDINANCE NO. 10-1990 MONROE COUNTY, FLORIDA ETHICS CLAUSE warrants that he/it has not employed, retained or otherwise had act on his/its behalf any former County officer or employee in violation of Section 2 of Ordinance No. 10-1990 or any County officer or employee in violation of Section 3 of Ordinance No. 10-1990. For breach or violation of this provision the County may, in its discretion, terminate this contract without liability and may also, in its discretion, deduct from the contract or purchase price, or otherwise recover, the full amount of any fee, commission, percentage, gift, or consideration paid to the former County officer or employee. Date: STATE OF _ COUNTY OF (signature) PERSONALLY APPEARED BEFORE ME, the undersigned authority, who, after first being sworn by me, affixed his/her signature (name of individual signing) in the space provided above on this day of ,20 NOTARY PUBLIC My commission expires: OMB - MCP FORM #4 �=7T C- FILE Florida Department of Law Enforcement Gerald M. Bailey Commissioner NOV 2 5 ���� Office of Criminal Justice Grants Post Office Box 1489 Tallahassee, Florida 32302-1489 (850)617-1250 www.fdle.state.fl.us The Honorable George Neugent Mayor Monroe County Board of Commissioners 1100 Simonton Street Key West, FL 33040-3110 Re: Contract No. 2010-JAGC-MONR-1-4X-112 Dear Mayor Neugent: Charlie Crist, Governor Bill McCollum, Attorney General Alex Sink, Chief Financial Officer Charles H. Bronson, Commissioner of Agriculture The Florida Department of Law Enforcement is pleased to award an Edward Byrne Memorial Justice Assistance Grant to your unit of government in the amount of $ 21,700.00 for the project entitled, WOMEN IN TRANSITION: RECIVIDISM PREVENTION PROGRAM FOR WOMEN WITH HISTORIES OF SUBSTANCE ABUSE AND INCARCERATION. These funds shall be utilized for the purpose of reducing crime and improving public safety. A copy of the approved subgrant application with the referenced contract number is enclosed for your file. All correspondence with the Department should always refer to the project number and title. Your attention is directed to the Standard Conditions of the subgrant. Changes were made to these conditions after your application was received in this office. Therefore, these Standard Conditions should be reviewed carefully by those persons responsible for project administration to avoid delays in project completion and costs reimbursements. The enclosed Certification of Acceptance should be completed and returned to the Department within 30 calendar days from the date of award. This certificate constitutes official acceptance of the award and must be received by the Department prior to the reimbursement of any project expenditures. Committed to Service • Integrity • Respect • Quality The Honorable George Neugent Page Two We look forward to working with you on this project. If we can be of further assistance, please contact Janice Parish at 850/617-1250. Sincerely, � akyto . Wilder Administrator CHW/JP/jj Enclosures State of Florida Office of Criminal Justice Grants Florida Department of Law Enforcement 2331 Phillips Road Tallahassee, Florida 32308 CERTIFICATE OF ACCEPTANCE OF SUBGRANT AWARD The subgrantee, through its authorized representative, acknowledges receipt and acceptance of subgrant award number 2010-JAGC-MONR-1-4X-112, in the amount of $ 21,700.00, for a project entitled, WOMEN IN TRANSITION: RECIVIDISM PREVENTION PROGRAM FOR WOMEN WITH HISTORIES OF SUBSTANCE ABUSE AND INCARCERATION, for the period of 10/01/2009 through 09/30/2010, to be implemented in accordance with the approved subgrant application, and subject to the Florida Department of Law Enforcement's Standard Conditions and any special conditions governing this subgrant. (Signature of Subgrantee's Authorized Official) (Typed Name and Title of Official) (Name of Subgrantee) (Date of Acceptance) Rule Reference 11 D-9.006 OCJG-012 (Rev. October 2005) State of Florida Office of Criminal Justice Grants Florida Department of Law Enforcement 2331 Phillips Road Tallahassee, Florida 32308 SUBGRANT AWARD CERTIFICATE Subgrantee: Monroe County Board of Commissioners Date of Award: //` -a 5- 41 Grant Period: From: 10/01/2009 TO: 09/30/2010 Project Title: WOMEN IN TRANSITION: RECIVIDISM PREVENTION PROGRAM FOR WOMEN WITH HISTORIES OF SUBSTANCE ABUSE AND INCARCERATION Grant Number: 2010-JAGC-MONR-1-4X-112 Federal Funds: $ 21,700.00 State Agency Match: Local Agency Match: $ 0.00 Total Project Cost: $ 21,700.00 State Purpose Area: A : State/Local Initiatives - Coordinate/Organize Local Initiatives/State Initiatives CFDA Number: 16.738 Award is hereby made in the amount and for the period shown above of a subgrant under Title I of the Omnibus Crime Control and Safe Streets Act of 1968, P.L. 90- 351, as amended, and the Anti -Drug Abuse Act of 1988, P.L. 100-690, to the above mentioned subgrantee and subject to any attached or special conditions. This award is subject to all applicable rules, regulations, and conditions as contained in the Financial and Administrative Guide for Grants, Guideline Manual 7100 1 D, Office of Justice Programs, Common Rule for State and Local Governments and A- 87, or OMB Circulars A-110 or A-102, as applicable, and A-21, in their entirety. It is also subject to such further rules, regulations and policies as -may be reasonably prescribed by the State or Federal Government consistent with the purposes and authorization of P.L. 90-351, as amended, and P.L. 100-690. SUBGRANT AWARD CERTIFICATE (CONTINUED) This grant shall become effective on the beginning date of the grant period provided that within 30 days from the date of award, a properly executed Certificate of Acceptance of Subgrant Award is returned to the Department. �. Authorized Official Clayton H. Wilder Administrator //- A !S-o1) Date ( ) This award is subject to special conditions (attached). Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement Addendum To Standard Conditions For Subgrant Recipients receiving Edward Byrne Memorial Justice Assistance Grant (JAG) Program funds under Federal Grant No. 2009-DJ-BX-1077, the following additional conditions apply: Reporting Potential Fraud, Waste, Abuse, and Similar Misconduct The subgrant recipient must promptly refer to the Florida Department of Law Enforcement, Office of Criminal Justice Grants any credible evidence that a principal, employee, agent, contractor, subcontractor, or other person has either 1) submitted a false claim for grant funds under the False Claims Act; or 2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct involving grant funds. 2. Task Force Training Requirement The subgrant recipient agrees that within 120 days of award, for any law enforcement task force funded with these funds, the task force commander, agency executive, task force officers, and other task force members of equivalent rank, will complete required online (internet-based) task force training to be provided free of charge through BJA's Center for Task Force Integrity and Leadership. This training will address task force effectiveness as well as other key issues including privacy and civil liberties/rights, task force performance measurement, personnel selection, and task force oversight and accountability. Additional information will be provided by BJA regarding the required training and access methods via BJA's web site and the Center for Task Force Integrity and Leadership (www.ctfli.org). SFY 2010 Page 1 Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide -Y' 1 H 1 l d ( 1 w -..�.. 1jJ . 1 . 1 i = ,: - 1 � : � 1 - - � , -�.. N � I%5i�y 1 `: w. Yi41.� •r•}.%'-n� � Subgrant Recipient Organization Name: Monroe County Board of Commissioners County: Monroe Chief Official Name: George Neugent Title: Mayor Address: 1100 Simonton Street City: Key West State: FL Zip: 33040-3110 Phone: 305-289-6039 Ext: Fax: 305-872-9195 Email: boccdis1@monroecounty-fl.gov Chief Financial Officer Name: Danny Kolhage Title: Clerk Address: 500 Whitehead Street City: Key West State: FL Zip: 33040 Phone: 305-292-3550 Ext: Fax: 305-295-3663 Email: dkolhage@monroe-clerk.com Application Ref # 2010-JAGC-1062 Section #1 Page 1 of Contract 2010-JAGC-MONR-1-4X-112 Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Implementing Agency Organization Name: Monroe County Board of Commissioners County: Monroe Chief Official Name: George Neugent Title: Mayor Address: 1100 Simonton Street City: Key West State: FL Zip: 33040-3110 Phone: 305-289-6039 Ext: Fax: 305-872-9195 Email: boccdis1 @monroecounty-fl.gov Project Director Name: Lisa Tennyson Title: Grants Administrator Address: 1100 Simonton Street Room 2-213 City: Key West State: FL Zip: 33040 Phone: 305-292-4444 Ext: Fax: Email: Tennyson-Lisa@monroecounty-fl.gov Application Ref # 2010-JAGC-1062 Section #1 Page 2 of 2 Contract 2010-JAGC-MONR-1-4X-112 Rule Reference 11 D-9.006 CCJG-005 (rev. April 2005) 0 Application for Funding Assistance Florida Department of Law Enforcement ra I I G Z 8 2009 Justice Assistance Grant - County -wide 3FFV OF .: 7."IT. w uo GRAM Subgrant Recipient Organization Name: Monroe County Board of Commissioners County: Monroe Chief Official Name: George Neugent Title: Mayor Address: 1100 Simonton Street City: Key West State: FL Zip: 33040 Phone: 305-289-6039 Ext: Fax: 305-872-9195 Email: boccdisl@monroecounty-fl.gov Chief Financial Officer Name: Danny Kolhage Title: Clerk Address: 500 Whitehead Street City: Key West State: FL Zip: 33040 Phone: 305-292-3550 Ext: Fax: 305-295-3663 Email: dkolhage@monroe-clerk.com Application Ref # 2010-JAGC-1062 Contract -JAGC-MONR- - - Section #1 Page 1 of 2 Rule Reference 11D-9.006 CCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Implementing Agency Organization Name: Monroe County Board of Commissioners County: Monroe Chief Official Name: George Neugent Title: Mayor Address: 1100 Simonton Street City: Key West State: FL Zip: 33040 Phone: 305-289-6039 Ext: Fax: 305-872-9195 Email: boccdis1 @monroecounty-fl.gov Project Director Name: Lisa Tennyson Title: Grants Administrator Address: 1100 Simonton Street Room 2-213 City: Key West State: FL Zip: 33040 Phone: 305-292-4444 Ext: Fax: Email: Tennyson-Lisa@monroecounty-fl.gov Application Ref # 2010-JAGC-1062 Contract -JAGC-MONR- - - Section #1 Page 2 of 2 Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide s_ _ __J General Project Information Project Title: WOMEN IN TRANSITION: RECIVIDISM PREVENTION PROGRAM FOR WOMEN WITH HISTORIES OF SUBSTANCE ABUSE AND INCARCERATION Subgrant Recipient: Monroe County Board of Commissioners Implementing Agency: Monroe County Board of Commissioners Project Start Date: 10/1/2009 End Date: 9/30/2010 Problem Identification The problem is the lack of funds necessary to provide drug testing as part of a comprehensive support program for women, referred to the program through the criminal justice system, who have a history of substance abuse and incarceration and are in a food and shelter crisis. Without comprehensive support, these women often end up re -arrested and re -incarcerated and unable to break the cycle of addiction. Samuel's House is a provider of emergency and long term shelter for homeless women and women with children. Most of the women who come to the shelter have substance abuse issues; many also have a history of incarceration. During 2008, Samuel's House provided up to 46 beds per night for 153 homeless women and their children - almost 17,000 nights of shelter. A large number of requests come from women who have either just been released from incarceration or have a history of arrests. An increasing number of these women are referred to the agency through the legal process - from Pre-trial services, jail diversion or court -mandated. Because of their drug and alcohol addiction, many of the women coming for shelter have been involved in the criminal justice system. Without the shelter, case management and other services offered to them by Samuel's House, the rate of recidivism is great. Agency statistics indicate that for 2008, almost 100% of the 153 women served at the shelter reported having substance abuse issues. Due to the prevalence of substance abuse history among clients, Samuel's House screens each woman for alcohol use prior to being admitted. Also, compliance with random drug testing is mandatory for continued participation in the program. The cost of one drug test is $13.00. In 2008, 1,470 tests were administered. It is expected that an increased number of tests will be required this year as the shelter is seeing increased referrals for women needing shelter and services. Just as the numbers of women requesting shelter from Samuel's House have increased from 2008, so have the numbers of women with substance abuse issues. Data from the Monroe County Sheriffs office indicate 6,447 substance abuse related bookings (19,631 jail days) were reported in 2007-08, The Monroe County Detention Center reports over 80% of those arrested have substance abuse problems and high rates of recidivism. Records of HELPLINE, a 24-hour crisis intervention, information and referral service in Monroe County report 2,355 substance abuse prevention calls in 2008. And, throughout Monroe County, an inordinate number of women - in -crisis are homeless due to substance -abuse. Once admitted to the shelter, each woman is provided case management services, through the Women -In -Transition (WIT) program, that include mental/physical health care, individualized counseling, help with finding a job, assistance with childcare, and Application Ref # 2010-JAGC-1062 Section #2 Page 1 of 3 Contract 2010-JAGC-MONR-1-4X-112 Rule Reference 110-9 006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide recovery assistance. Drug testing is an important component to this program. Not only is staying drug and alcohol free necessary for remaining sheltered at Samuel's House, these are critical steps in avoiding incarceration or re -incarceration and moving toward a better life and future. Samuel's House has proven that random drug testing is an effective tool for encouraging a woman to remain sober and drug -free. The WIT program has reached beyond the targeted number of clients anticipated during the first year of operation. It was anticipated that 55 women would be served by WIT in a year. However, 111 women have participated in WIT during the first year, placing the program at 201 % of the anticipated enrollment goal. Significant reductions in alcohol and drug use were evident from admission to six -months. Significant reductions in stress and emotional problems related to alcohol and drug use were evident from admission to six months. Employment and health situations improved as did the number of women who were able to acquire permanent housing when they left Samuel's House. Unfortunately, grant funds for the Women in Transition program are restricted and do now allow for services such as drug testing. In addition, other grant funds are decreasing at a time when the need for shelter is increasing. The agency is increasingly financially -strained by rising costs, and cannot afford to cover the costs of drug -testing, a critical and effective component of the Women In Transition program. Project Summary With a grant from FDLE, Samuel's House will be able to provide drug -testing as part of its Women -In -Transition program, a comprehensive case-management/recovery support program for women with histories of substance abuse and incarceration. This grant will enable Samuel's House to provide drug testing for those women referred to the program through the criminal justice system -- Pre-trial services, jail diversion or through the courts. The goal of the WIT program is to provide substance abuse recovery and other supports to keep women alcohol and drug -free and to prevent incarceration or re -incarceration. Drug -testing is an important component of the program. Samuel's House partners with and has clients referred from the Monroe County Sheriffs Office, Pre -Trial Services, and the Monroe County Jail Diversion program. Application Ref # 2010-JAGC-1062 Section #2 Page 2 of 3 Contract 2010-JAGC-MONR-1-4X-112 Rule Reference 11 C-9.006 OCJG-OG5 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide r Section Questions: Question: Does the Subgrantee receive a single grant in the amount of $500,000 or more from the U.S. Department of Justice? Answer: No Question: Does the Implementing Agency receive a single grant in the amount of $500,000 or more from the U.S. Department of Justice? Answer: No Application Ref # 2010-JAGC-1062 Section #2 Page 3 of 3 Contract 2010-JAGC-MONR-I-4X-112 Rule Reference 11 D-9 006 OCJG-005 (rev April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide General Performance Info: Performance Reporting Frequency: Quarterly Federal Purpose Area: 005 - Drug Treatment Programs State Purpose Area: A - State/Local Initiatives - Coordinate/Organize Local Initiatives/State Initiatives Activity: Drug Testing Target Group: Females Geographic Area: County -Wide Location Type: Other Address(es) : Samuel's House 1614 Truesdell Court Key West, FL 33040 Activity Description Objectives and Measures Objective: 03.A.DS* - Number of program participants receiving services Measure: Part 1 Number of program participants to receive services during the grant period Goal: 150 Measure: Part 2 Number of program participants to receive services during each reporting period Goal: 150 Objective: 58.A.SI - Number of existing local initiatives Measure: Part 1 Will this grant continue a local initiative that was begun with any other funding source, including a prior year's grant? Goal: Yes Application Ref # 2010-JAGC-1062 Section #3 Page 1 of 2 Contract 2010-JAGC-MONR-I-4X- Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Section Questions: Question: If "other" was selected for the geographic area, please describe. Answer: NA Question: If "other" was selected for location type, please describe. Answer: Emergency and long-term shelter, Samuel's House. Application Ref # 2010-JAGC-1062 Section #3 Page 2 of 2 Contract 2010-JAGC-MONR-I-4X- Rule Reference I ID-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide General Financial Info: Note: All financial remittances will be sent to the Chief Financial Officer of the Subgrantee Organization. Financial Reporting Frequency for this Subgrant: Quarterly Is the subgrantee a state agency?: No FLAIR / Vendor Number: 596000749 Budget: Budget Category Federal Match Total Salaries and Benefits $0.00 $0.00 $0.00 Contractual Services $21,700.00 $0.00 $21,700.00 Expenses $0.00 $0.00 $0.00 Operating Capital $0.00 $0.00 $0.00 Outlay Indirect Costs $0.00 $0.00 $0.00 -- Totals -- $21,700.00 $0.00 $21,700.00 Percentage 100.0 0.0 100.0 Project Generated Income: Will the project earn project generated income (PGI) ? No Application Ref # 2010-JAGC-1062 Contract 2010-JAGC-MONR-I-4X- Rule Reference 11 D MIS OCJG-005 (rev. April 2005) Section #4 Page 1 of J Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Budget Narrative: BUDGET NARRATIVE CONTRACTUAL SERVICES: Samuel's House will administer 1,668 drug tests to women in its Shelter and Long Term Housing. One Unit = One drug test Unit Cost = $13.01 Total Units = 1,668 TOTAL BUDGET = 1,668 x $13.01 = 21,700 Application Ref # 2010-JAGC-1062 Section #4 Page 2 of 3 Contract -JAGC-MONR- - - Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide Section Questions: Question: If salaries and benefits are included in the budget as actual costs for staff in the implementing agency, is there a net personnel increase, or a continued net personnel increase from the previous Byrne program? Answer: NA Question: If benefits are to be included, are they reflected in the budget narrative? Answer: NA Question: Indicate the Operating Capital Outlay threshold established by the subgrantee or implementing agency, if it is the sheriffs office. Answer: Monroe County's OCO threshold is $1,000. Question: If indirect cost is included in the budget, indicate the basis for the plan (e.g. percent of salaries and benefits), and provide documentation of the appropriate approval of this plan. Answer: NA Question: If the budget includes services based on unit costs, provide a definition and cost for each service as part of the budget narrative for contractual services. Include the basis for the unit costs and how recently the basis was established or updated. Answer: Unit Cost Basis One Unit = One drug test Unit Cost = $13.01 Total Units = 1,668 Total Budget = $21,700 Application Ref # 2010-JAGC-1062 Contract -JAGC-MONR- - - Section #4 Page 3 of 3 Rule Reference 110-9M6 OCJG-005 (rev_ April 2005) Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement Standard Conditions Conditions of agreement requiring compliance by units of local government (subgrant recipients), implementing agencies, and state agencies upon signed acceptance of the subgrant award appear in this section. Upon approval of this subgrant, the approved application and the following terms of conditions will become binding. Failure to comply with provisions of this agreement will result in required corrective action up to and including project costs being disallowed and termination of the project, as specified in item 17 of this section. 1. All Subgrant Recipients must comply with the financial and administrative requirements set forth in the current edition of the U.S. Department of Justice, Office of Justice Programs (OJP) Financial Guide (Financial Guide) and the Edward Byrne Memorial Justice Assistance Grant (JAG) program guidance as well as Federal statutes, regulations, policies, guidelines and requirements and Florida laws and regulations including but not limited to: • Florida Administrative Code, Chapter 11D-9, "Edward Byrne Memorial State and Local Law Enforcement Assistance Formula Grant Program" • Office of Management and Budget (OMB) Circular A-21 (2 CFR 220), "Cost Principles for Educational Institutions" • OMB Circular A-87 (2 CFR 225), "Cost Principles for State, Local and Indian Tribal Governments" • OMB Circular A-102, "Grants and Cooperative Agreements with State and Local Governments" • OMB Circular A-110 (2 CFR 215), "Uniform Administrative Requirements for Grants and Cooperative Agreements" • OMB Circular A-122 (2 CFR 230), "Cost Principles for Non -Profit Organizations" • OMB Circular A-133, "Audits of States, Local Governments, and Non -Profit Organizations" • 28 CFR 38, "Equal Treatment for Faith -Based Organizations" • 28 CFR 66, "U.S. Department of Justice Common Rule for State And Local Governments" (Common Rule) • 28 CFR 83, "Government -Wide Requirements for Drug -Free Workplace (Grants)" • 28 CFR 18, 22, 23, 30, 35, 42, 61, and 63 • Public Law 109-162, Title XI —Department of Justice Reauthorization, Subtitle B— Improving the Department of Justice's Grant Programs, Chapter 1—Assisting Law Enforcement and Criminal Justice Agencies, Sec. 1111. Merger of Byrne Grant Program and Local Law Enforcement Block Grant Program • 42 U.S.C. 3711 et seq., "Omnibus Crime Control and Safe Streets Act of 1968" 2. Allowable Costs a. Allowance for costs incurred under the subgrant shall be determined according to the general principles and standards for selected cost items set forth in the Office of Justice Programs Financial,Guide, U.S. Department of Justice Common Rule for State And Local Governments and federal OMB Circular A-87, "Cost Principles for State, Local and Indian Tribal Governments," or OMB Circular A-21, "Cost Principles for Educational Institutions." b. All procedures employed in the use of federal funds for any procurement shall be according to U.S. Department of Justice Common Rule for State and Local Governments, or OMB Circular A-110, or OMB Circular A-102, and Florida law to be eligible for reimbursement. SFY 2010 Page 1 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 3. Reports a. Project Performance Reports (1) Reporting Time Frames:The subgrant recipient shall submit Quarterly Project Performance Reports to the Florida Department of Law Enforcement, hereafter known as the Department, within 15 days after the end of the reporting period. In addition, if the subgrant award period is extended beyond the 'original" project period, additional Quarterly Project Performance Reports shall be submitted. Failure to submit Quarterly Performance Reports that are complete, accurate, and timely may result in sanctions, as specified in item 17, Performance of Agreement Provisions. (2) Report Contents: Performance reports must include a response to all objectives included in your subgrant. A detailed response is required in the narrative portion for yes/no performance objectives. The narrative must also reflect on accomplishments for the quarter and identify problems with project implementation and address actions being taken to resolve the problems. b. Financial Reports (1) Project Expenditure Reports (a) The subgrant recipient shall have a choice of submitting either a Monthly or a Quarterly Project Expenditure Report to the Department. Project Expenditure Reports are due thirty-one (31) days after the end of the reporting period. In addition, if the subgrant award period is extended, additional Project Expenditure Reports shall be submitted. Project Expenditure Reports for grants made under the Recovery Act must be submitted monthly. See the Recovery Act Conditions for additional information. (b) All project expenditures for reimbursement of subgrant recipient costs shall be submitted on the Project Expenditure Report Forms prescribed and provided by the Office of Criminal Justice Grants (OCJG) through the Subgrant Information Management ON -line (SIMON) system. (c) All Project Expenditure Reports shall be submitted in sufficient detail for proper pre - audit and post -audit. (d) Before the "final' Project Expenditure Report will be processed, the subgrant recipient must submit to the Department all outstanding project reports and must have satisfied all special conditions. Failure to comply with the above provisions shall result in forfeiture of reimbursement. Vie) Reportsareto be submitted even when no reimbursement is being requested: (2) The Financial Closeout Documentation shall be submitted to the Department within forty- five (45) days of the subgrant termination date. (3) If applicable, the subgrant recipient shall submit Quarterly Project Generated Income Reports to the Department within 31 days after the end of the reporting period covering subgrant project generated income and expenditures during the previous quarter. If any PGI remains unspent after the subgrant ends, the subgrant recipient must continue SFY 2010 Page 2 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement submitting quarterly PGI reports until all funds are expended. (See Item 10, Program Income.) c. Other Reports The recipient shall report to the Uniform Crime Report and other reports as may be reasonably required by the Department. 4. Fiscal Control and Fund Accounting Procedures a. The subgrant recipient shall establish fiscal control and fund accounting procedures that assure proper disbursement and accounting of subgrant funds and required non-federal expenditures. All funds spent on this project shall be disbursed according to provisions of the project budget as approved by the Department. b. All expenditures and cost accounting of funds shall conform to the Office of Justice Programs Financial Guide, the Common Rule, and OMB Circulars A-21, A-87, and A-110, or A-102 as applicable, in their entirety. C. All funds not spent according to this agreement shall be subject to repayment by the subgrant recipient. S. Payment Contingent on Appropriation and Available Funds The State of Florida's performance and obligation to pay under this agreement is contingent upon an annual appropriation by the Florida Legislature. Furthermore, the obligation of the State of Florida to reimburse subgrant recipients for incurred costs is subject to available federal funds. 6. Obligation of Subgrant Recipient Funds Subgrant funds shall not under any circumstances be obligated prior to the effective date or subsequent to the termination date of the subgrant period. Only project costs incurred on or after the effective date and on or prior to the termination date of the subgrant recipient's project are eligible for reimbursement. Advance Funding Advance funding shall be provided to a subgrant recipient upon a written request to the Department. 8. Trust Funds a. The unit of local government must establish a trust fund in which to deposit JAG funds. The trust fund may or may not be an interest bearing account. b. The account may earn interest, but any earned interest mast be used for pfogram purposes and expended before the subgrant end date. Any unexpended interest remaining at the end of the subgrant period must be submitted to the Office of Criminal Justice Grants for transmittal to the Bureau of Justice Assistance. 9. Travel and Training The cost of all travel shall be reimbursed according to the subgrant recipient's written travel policy. If the subgrant recipient does not have a written travel policy, cost of all travel will be reimbursed according to § 112.061, Fla. Stat. SFY 2010 Page 3 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 10. Program Income (also known as Project Generated Income) a. All income generated as a direct result of a subgrant project shall be deemed program income. b. Any project that will potentially earn PGI must submit an Earnings and Expenditures Report to report how much PGI was earned during each quarter. A report must be submitted each quarter even if no PGI was earned or expended. c. PGI expenditures require prior written approval from the Office of Criminal Justice Grants. Program income must be used for the purposes of and under the conditions applicable to the award. If the cost is allowable under the Federal grant program, then the cost would be allowable using program income. d. Program income should be used as earned and expended as soon as possible. Any unexpended PGI remaining at the end of the Federal grant period must be submitted to the Office of Criminal Justice Grants for transmittal to the Bureau of Justice Assistance. 11. Approval of Consultant Contracts The Department shall review and approve in writing all consultant contracts prior to employment of a consultant when the consultant's rate exceeds $450 (excluding travel and subsistence costs) for an eight -hour day. Approval shall be based upon the contract's compliance with requirements found in the Financial Guide, the Common Rule, and in applicable state statutes. The Department's approval of the subgrant recipient agreement does not constitute approval of consultant contracts. If consultants are hired through a competitive bidding process (not sole source), the $450 threshold does not apply. 12. Property Accountability a. The subgrant recipient agrees to use all non -expendable property for criminal justice purposes during its useful life or dispose of it pursuant to § 274, Fla. Stat. b. The subgrant recipient shall establish and administer a system to protect, preserve, use, maintain and dispose of any property furnished to it by the Department or purchased pursuant to this agreement according to federal property management standards set forth in the Office of Justice Programs Financial Guide, U.S. Department of Justice Common Rule for State and Local Governments or the federal OMB Circular A-110 or A-102, as applicable. This obligation continues as long as the subgrant recipient retains the property, notwithstanding expiration of this agreement. 13. Ownership of Data and Creative Material Ownership of material, discoveries, inventions, and results developed, produced, or discovered subcndinate to this agreement 4 governed by the terms of the Office of Justice Programs Financial Guide (as amended), and the U.S. Department of Justice Common Rule for State and Local Governments, or the federal OMB Circular A-110 or A-102, as applicable. 14. Copyright The awarding agency reserves a royalty -free non-exclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use, for Federal government purposes: a. The copyright in any work developed under an award or subaward, and SFY 2010 Page 4 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement b. Any rights of copyright to which a subgrant recipient or subrecipient purchases ownership with support funded under this grant agreement. 15. Publication or Printing of Reports The subgrant recipient shall submit for review and approval one copy of any curricula, training materials, or any other written materials that will be published, including web -based materials and web site content, through funds from this grant at least thirty (30) days prior to the targeted dissemination date. All materials publicizing or resulting from award activities shall contain the following statements: "This project was supported by Award No. (contact the Office of Criminal Justice Grants for award number] awarded by the Bureau of Justice Assistance, Office of Justice Programs. The opinions, findings, and conclusions or recommendations expressed in this publication/program/exhibition are those of the author(s) and do not necessarily reflect the views of the Department of Justice." 16. Audit a. Subgrant recipients that expend $500,000 or more in a year in Federal awards shall have a single or program -specific audit conducted for that year. The audit shall be performed in accordance with the federal OMB Circular A-133 and other applicable federal law. The contract for this agreement shall be identified in the Schedule of Federal Financial Assistance in the subject audit. The contract shall be identified as federal funds passed through the Florida Department of Law Enforcement and include the contract number, CFDA number, award amount, contract period, funds received and disbursed. When applicable, the subgrant recipient shall submit an annual financial audit that meets the requirements of § 11.45, Fla. Stat. , "Definitions; duties; authorities; reports; rules."; § 215.97, Fla. Stat. , "Florida Single Audit Act"; and Rules of the Auditor General, Chapter 10.550, "Local Governmental Entity Audits" and Chapter 10.650, "Florida Single Audit Act Audits Nonprofit and For -Profit Organizations." b. A complete audit report that covers any portion of the effective dates of this agreement must be submitted within 30 days after its completion, but no later than nine (9) months after the audit period. In order to be complete, the submitted report shall include any management letters issued separately and management's written response to all findings, both audit report and management letter findings. Incomplete audit reports will not be accepted by the Department. c. The subgrant recipient shall have all audits completed by an Independent Public Accountant (IPA). The IPA shall be either a Certified Public Accountant or a Licensed Public Accountant. d. The subgrant recipient shall take appropriate corrective action within six (6) months of the issue date of the audit report in instances of noncompliance with federal laws and regulations. e. The subgrant recipient shall ensurethataudit working Papers are: made avaiiable to the Department, or its designee, upon request for a period of three (3) years from the date the audit report is issued, unless extended in writing by the Department. Subgrant recipients that expend less than $500,000 in Federal awards during a fiscal year are exempt from the audit requirements of OMB Circular A-133 for that fiscal year. In this case, written notification, which can be in the form of the "Certification of Audit Exemption" form, shall be provided to the Department by the Chief Financial Officer, or designee, that the subgrant recipient is exempt. This notice shall be provided to the Department no later than March 1 following the end of the fiscal year. SFY 2010 Page 5 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement g. If this agreement is closed out without an audit, the Department reserves the right to recover any disallowed costs identified in an audit completed after such closeout. h. The completed audit report or written notification of audit exemption should be sent to the following address: Florida Department of Law Enforcement Office of Criminal Justice Grants 2331 Phillips Road Tallahassee, Florida 32308 17. Performance of Agreement Provisions In the event of default, non-compliance or violation of any provision of this agreement by the subgrant recipient, the subgrant recipient's consultants and suppliers, or both, the Department shall impose sanctions it deems appropriate including withholding payments and cancellation, termination, or suspension of the agreement in whole or in part. In such event, the Department shall notify the subgrant recipient of its decision thirty (30) days in advance of the effective date of such sanction. The subgrant recipient shall be paid only for those services satisfactorily performed prior to the effective date of such sanction. 18. Commencement of Project a. If a project is not operational within 60 days of the original start date of the award period, the subrecipient must report by letter to the Department the steps taken to initiate the project, the reasons for delay, and the expected start date. b. If a project is not operational within 90 days of the original start date of the award period, the subrecipient must submit a second statement to the Department explaining the implementation delay. c. Upon receipt of the ninety (90) day letter, the Department shall determine if the reason for delay is justified or shall, at its discretion, unilaterally terminate this agreement and re - obligate subgrant funds to other Department approved projects. The Department, where warranted by extenuating circumstances, may extend the starting date of the project past the ninety (90) day period, but only by formal written adjustment to this agreement. 19. Excusable Delays a. Except with respect to defaults of consultants, the subgrant recipient shall not be in default by reason of any failure in performance of this agreement according to its terms (including any failure by the subgrant recipient to make progress in the execution of work hereunder which endangers such performance) if such failure arises out of causes beyond the control and without the fault or negligence of the subgrant recipient. Such causes include, but are not limited to, acts of God or of the public enemy, acts of the government in either its sovereign or ocMractual capacity, Tom, fk)ods•1 epidemics, quaranfine restrictions strikes freight , embargoes, and unusually severe weather, but in every case, the failure to perform shall be beyond the control and without the fault or negligence of the subgrant recipient. b. If failure to perform is caused by failure of a consultant to perform or make progress, and if such failure arises out of causes beyond the control of subgrant recipient and consultant, and without fault or negligence of either of them, the subgrant recipient shall not be deemed in default, unless: (1) Supplies or services to be furnished by the consultant were obtainable from other sources, SFY 2010 Page 6 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement (2) The Department ordered the subgrant recipient in writing to procure such supplies or services from other sources, and (3) The subgrant recipient failed to reasonably comply with such order. c. Upon request of the subgrant recipient, the Department shall ascertain the facts and the extent of such failure, and if the Department determines that any failure to perform was occasioned by one or more said causes, the delivery schedule shall be revised accordingly. 20. Written Approval of Changes in this Approved Agreement a. Subgrant recipients must obtain prior approval from the Department for major substantive changes such as changes in project activities, target populations, service providers, implementation schedules, project director, and designs or research plans set forth in the approved agreement and for any budget changes that will transfer more than 10% of the total budget between budget categories. b. Subgrant recipients may transfer up to 10% of the total budget between current, approved budget categories without prior approval as long as the funds are transferred to an existing line item c. Under no circumstances can transfers of funds increase the total budgeted award. 21. Disputes and Appeals a. The Department shall make its decision in writing when responding to any disputes, disagreements, or questions of fact arising under this agreement and shall distribute its response to all concerned parties. The subgrant recipient shall proceed diligently with the performance of this agreement according to the Department's decision. b. If the subgrant recipient appeals the Department's decision, the appeal also shall be made in writing within twenty-one (21) calendar days to the Department's clerk (agency clerk). The subgrant recipient's right to appeal the Department's decision is contained in § 120, Fla. Stat., and in procedures set forth in Rule 28-106.104, Florida Administrative Code. Failure to appeal within this time frame constitutes a waiver of proceedings under § 120, Fla. Stat, 22. Conferences and Inspection of Work Conferences may be held at the request of any party to this agreement. At any time, a representative of the Department, of the U.S. Department of Justice, or the Auditor General of the State of Florida, have the right of visiting the project site to monitor, inspect and assess work performed under this agreement. 23. Access To Records a. The Department of Law Enforcement, the Auditor General of the State of Florida, the U.S. Department of Justice, the U.S. Comptroller General or any of their duly authorized representatives, shall have access to books, documents, papers and records of the subgrant recipient, implementing agency and contractors for the purpose of audit and examination according to the Financial Guide and the Common Rule. b. The Department reserves the right to unilaterally terminate this agreement if the subgrant recipient, implementing agency, or contractor refuses to allow public access to all documents, papers, letters, or other materials subject to provisions of § 119, Fla. Stat. , and SFY 2010 Page 7 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement made or received by the subgrant recipient or its contractor in conjunction with this agreement. c. The subgrant recipient will give the awarding agency or the General Accounting Office, through any authorized representative, access to and the right to examine all paper or electronic records related to the financial assistance. 24. Retention of Records The subgrant recipient shall maintain all records and documents for a minimum of three (3) years from the date of the final financial statement and be available for audit and public disclosure upon request of duly authorized persons. 25. Signature Authority The Subgrant Recipient Authorizing Official or Designated Representative and the Implementing Agency Official, Administrator or Designated Representative, who sign the Signature Page, have the authority to request changes to the approved agreement. The prior mentioned individuals have authority to sign or make amendments to the Sole Source, ADP Justification and the Privacy Certification forms. The Project Director has authority to submit requests for approval of specific travel, and Performance Reports, with the exception of the Financial and Closeout Package, which also requires the signature by the Chief Financial Officer of the Subgrant Recipient or authorized designee. 26. Delegation of Signature Authority When the authorized official of a subgrant recipient or the implementing agency designates some other person signature authority for him/her, the chief officer or elected official must submit to the Department a letter or resolution indicating the person given signature authority. The letter indicating delegation of signature authority must be signed by the chief officer or elected official and the person receiving signature authority. The letter must also specify the authority being delegated. 27. Personnel Changes Upon implementation of the project, in the event there is a change in Chief Executive Officers for the Subgrant recipient or Implementing Agency, Project Director, or Contact Person, the Department must be notified in writing with documentation to include appropriate signatures. 28. Background Check Whenever a background screening for employment or a background security check is required by law for employment, unless otherwise provided by law, the provisions of § 435, Fla. Stat. shall apply. a. All positions in programs providing care to children, the,developmentafty diwb#ed, or vulnerable adults for 15 hours or more per week; all permanent and temporary employee positions of the central abuse hotline; and all persons working under contract who have access to abuse records are deemed to be persons and positions of special trust or responsibility and require employment screening pursuant to § 435, Fla. Stat., using the level 2 standards set forth in that chapter. b. All employees in positions designated by law as positions of trust or responsibility shall be required to undergo security background investigations as a condition of employment and continued employment. For the purposes of the subsection, security background investigations shall include, but not be limited to, employment history checks, fingerprinting SFY 2010 Page 8 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement for all purposes and checks in this subsection, statewide criminal and juvenile records checks through the Florida Department of Law Enforcement, and federal criminal records checks through the Federal Bureau of Investigation, and may include local criminal records checks through local law enforcement agencies. (1) Any person who is required to undergo such a security background investigation and who refuses to cooperate in such investigation or refuses to submit fingerprints shall be disqualified for employment in such position or, if employed, shall be dismissed. (2) Such background investigations shall be conducted at the expense of the employing agency or employee. When fingerprinting is required, the fingerprints of the employee or applicant for employment shall be taken by the employing agency or by an authorized law enforcement officer and submitted to the Department of Law Enforcement for processing and forwarding, when requested by the employing agency, to the United States Department of Justice for processing. The employing agency shall reimburse the Department of Law Enforcement for any costs incurred by it in the processing of the fingerprints. 29. Drug Court Projects A Drug Court Project must comply with § 397.334, Fla. S.tat., "Treatment -Based Drug Court Programs." 30. Overtime for Law Enforcement Personnel Prior to obligating funds from this award to support overtime by law enforcement officers, the U.S. Department of Justice encourages consultation with all allied components of the criminal justice system in the affected jurisdiction. The purpose of this consultation is to anticipate and plan for systemic impacts such as increased court dockets and the need for detention space. 31. Criminal Intelligence System The subgrant recipient agrees that any information technology system funded or supported by the Office of Justice Programs funds will comply with 28 C.F.R. Part 23, Criminal Intelligence Systems Operating Policies, if the Office of Justice Programs determines this regulation to be applicable. Should the Office of Justice Programs determine 28 C.F.R. Part 23 to be applicable, the Office of Justice Programs may, at its discretion, perform audits of the system, as per 28 C.F.R. 23.20(g). Should any violation of 28 C.F.R. Part 23 occur, the recipient may be fined as per 42 U.S.C. 3789g(c)-(d). Recipient may not satisfy such a fine with federal funds. 32. Confidential Funds A signed certification that the project director or the head of the Implementing Agency has read, understands, and agrees to abide by all of the conditions for confidential funds as set forth in the effective edition of the Office of Justice Programs Financial Guide is required from all projects that are involved with confidential funds. The signed certification must be submitted at the time of grant application. 33. Equal Employment Opportunity (EEO) a. Federal laws prohibit recipients of financial assistance from discriminating on the basis of race, color, national origin, religion, sex, disability, or age in funded programs or activities. All subgrant recipients and implementing agencies must comply with any applicable statutorily - imposed nondiscrimination requirements, which may include the Omnibus Crime Control and Safe Streets Act of 1968 (42 U.S.C. § 3789d); the Victims of Crime Act (42 U.S.C. § 10604(e)); The Juvenile Justice and Delinquency Prevention Act of 2002 (42 U.S.C. § SFY 2010 Page 9 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 5672(b)); the Civil Rights Act of 1964 (42 U.S.C. § 2000d); the Rehabilitation Act of 1973 (29 U.S.C. § 7 94); the Americans with Disabilities Act of 1990 (42 U.S.C. § 12131-34); the Education Amendments of 1972 (20 U.S.C. §§1681, 1683, 1685-86); the Age Discrimination Act of 1975 (42 U.S.C. §§ 6101-07); and Department of Justice Non -Discrimination Regulations 28 CFR Part 42; see Ex. Order 13279 (equal protection of the laws for faith - based and community organizations). b. A subgrant recipient or implementing agency must develop an EEO Plan if it has 50 or more employees and it has received any single award of $25,000 or more from the Department of Justice. The plan must be prepared using the on-line short form at http://www.ojp.usdoj.gov/about/ocr/eeop_comply.htm, must be retained by the subgrant recipient or implementing agency, and must be available for review or audit. The organization must also submit an EEO Certification to FDLE. c. If the subgrant recipient or implementing agency is required to prepare an EEO Plan and has received any single award of $500,000 or more from the Department of Justice, it must submit its plan to the Department of Justice for approval. A copy of the Department of Justice approval letter must be submitted to FDLE. The approval letter expires two years from the date of the letter. d. A subgrant recipient or implementing agency is exempt from the EEO Plan requirement if it is has fewer than 50 employees or if it does not receive any single award of $25,000 or more from the Department of Justice or if it is a nonprofit organization, a medical or educational institution, or an Indian Tribe. If an organization is exempt from the EEO Plan requirement, it must submit an EEO Certification to FDLE. e. The subgrant recipient and implementing agency acknowledge that failure to comply with EEO Requirements within 60 days of the project start date may result in suspension or termination of funding, until such time as it is in compliance. f. In the event a Federal or State court of Federal or State administrative agency makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the recipient will forward a copy of the finding to the Office for Civil Rights, Office of Justice Programs. 34. Americans with Disabilities Act Subgrant recipients must comply with the requirements of the Americans with Disabilities Act (ADA), Public Law 101-336, which prohibits discrimination by public and private entities on the basis of disability and requires certain accommodations be made with regard to employment (Title 1), state and local government services and transportation (Title 11), public accommodations (Title III), and telecommunications (Title IV). 35. Immigration and Nationality Act No public funds will intentionally be awarded to any contractor who knowingly employs unauthorized alien workers, constituting_a violation_ of the employment provisions contained in 8 U.S.C. Section 1324a(e), Section 274A(e) of the Immigration and Nationality Act ("INA"). The Department shall consider the employment by any contractor of unauthorized aliens a violation of Section 274A(e) of the INA. Such violation by the subgrant recipient of the employment provisions contained in Section 274A(e) of the INA shall be grounds for unilateral cancellation of this contract by the Department. 36. National Environmental Policy Act (NEPA) a. The subgrant recipient agrees to assist FDLE in complying with the NEPA, the National Historic Preservation Act, and other related federal environmental impact analyses SFY 2010 Page 10 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement requirements in the use of subgrant funds by the subgrant recipient. This applies to the following new activities whether or not they are being specifically funded with these subgrant funds. That is, it applies as long as the activity is being conducted by the subgrant recipient or any third party and the activity needs to be undertaken in order to use these subgrant funds, (1) New construction; (2) Minor renovation or remodeling of a property either (a) listed on or eligible for listing on the National Register of Historic Places or (b) located within a 100-year flood plain; (3) A renovation, lease, or any other proposed use of a building or facility that will either (a) result in a change in its basic prior use or (b) significantly change its size; and (4) Implementation of a new program involving the use of chemicals other than chemicals that are (a) purchased as an incidental component of a funded activity and (b) traditionally used, for example, in office, household, recreational, or educational environments. (5) Implementation of a program relating to clandestine methamphetamine laboratory operations, including the identification, seizure, or closure of clandestine methamphetamine laboratories. b. The subgrant recipient understands and agrees that complying with NEPA may require the preparation of an Environmental Assessment and/or an Environmental Impact Statement, as directed by the Bureau of Justice Assistance. The subgrant recipient further understands and agrees to the requirements for implementation of a Mitigation Plan, as detailed by the Department of Justice, for programs relating to methamphetamine laboratory operations. c. For any of a subgrant recipient's existing programs or activities that will be funded by these subgrants, the subgrant recipient, upon specific request from the Department and the U.S. Department of Justice, agrees to cooperate with the Department of Justice in any preparation by Department of Justice of a national or program environmental assessment of that funded program or activity. 37. Non -Procurement, Debarment and Suspension The subgrant recipient agrees to comply with Executive Order 12549, Debarment and Suspension and 2 CFR 180, "OMB Guidelines To Agencies On Governmentwide Debarment And Suspension (Non procurement)" These procedures require the subgrant recipient to certify it shall not enter into any lower tiered covered transaction with a person who is debarred, suspended, declared ineligible or is voluntarily excluded from participating in this covered transaction, unless authorized by the Department. If the subgrant is $100,000 or more, the subgrant recipient and implementing agency certify that they and their principals: a. Are not presently debarred, suspended, Proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency; b. Have not within a three-year period preceding this application 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; SFY 2010 Page 11 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental 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 had one or more public transactions (Federal, State, or local) terminated for cause or default. 38. Federal Restrictions on Lobbying a. Each subgrant recipient agrees to comply with 28 CFR Part 69, "New Restrictions on Lobbying" and shall file the most current edition of the Certification And Disclosure Form, if applicable, with each submission that initiates consideration of such subgrant recipient for award of federal contract, grant, or cooperative agreement of $100,000 or more. b. This certification is a material representation of fact upon which reliance was placed when this agreement was made. Submission of this certification is a prerequisite to entering into this agreement subject to conditions and penalties imposed by 31 USC 1352. Any person who fails to file the required certification is subject to a civil penalty of not less than $10,000 and not more than $100,000 for each failure to file. c. As required by 31 USC 1352, and implemented at 28 CFR 69, for persons entering into a grant or cooperative agreement over $100,000, as defined at 28 CFR 69, the applicant certifies that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making of any Federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal grant 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 grant or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure of Lobbying Activities," 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 subgrants, contracts under grants and cooperative agreements, and subcontracts) and that all sub -recipients shall certify and disclose accordingly. 39. State Restrictions on Lobbying In addition to the provisions contained in item 39, above, the expenditure of funds for the purpose of lobbying the legislature or a state agency is prohibited under this contract. 40. Additional Restrictions on Lobbying Recipient understands and agrees that it cannot use any federal funds, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government, without the express prior written approval of the Office of Justice Programs. SFY 2010 Page 12 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 41. "Pay — to — Stay" Funds from this award may not be used to operate a "pay -to -stay" program in any local jail. Furthermore, no funds may be given to local jails that operate "pay -to -stay" programs. "Local jail," as referenced in this condition, means an adult facility or detention center owned and/or operated by city, county, or municipality. It does not include juvenile detention centers. "Pay -to - stay" programs as referenced in this condition, means a program by which extraordinary services, amenities and/or accommodations, not otherwise available to the general inmate population, may be provided, based upon as offender's apparent ability to pay, such that disparate conditions of confinement are created for the same or similar offenders within a jurisdiction. 42. Mitigation of Health, Safety and Environmental risks dealing with Clandestine Methamphetamine Laboratories If an award is made to support methamphetamine laboratory operations the subgrant recipient must comply with this condition, which provides for individual site environmental assessmenthmpact statements as required under the National Environmental Policy Act. a. General Requirement: The subgrant recipient agrees to comply with Federal, State, and local environmental, health and safety laws and regulations applicable to the investigation and closure of clandestine methamphetamine laboratories and the removal and disposal of the chemicals, equipment, and wastes used in or resulting from the operation of these laboratories. Specific Requirements: The subgrant recipient understands and agrees that any program or initiative involving the identification, seizure, or closure of clandestine methamphetamine laboratories can result in adverse health, safety and environmental impacts to (1) the law enforcement and other governmental personnel involved; (2) any residents, occupants, users, and neighbors of the site of a seized clandestine laboratory; (3) the seized laboratory site's immediate and surrounding environment of the site(s) where any remaining chemicals, equipment, and waste from a seized laboratory's operations are placed or come to rest. Therefore, the subgrant recipient further agrees that in order to avoid or mitigate the possible adverse health, safety and environmental impacts from any of clandestine methamphetamine operations funded under this award, it will (1) include the nine, below listed protective measures or components; (2) provide for their adequate funding to include funding, as necessary, beyond that provided by this award; and (3) implement these protective measures directly throughout the life of the subgrant. In so doing, the subgrant recipient understands that it may implement these protective measures directly through the use of its own resources and staff or may secure the qualified services of other agencies, contractor or other qualified third party. (1) Provide medical screening of personnel assigned or to be assigned by the subgrant recipient to the seizure or closure if of clandestine methamphetamine laboratories; (2) Provide Occupational Safety and Health Administration (OSHA) required initial and refresher training- for law enforcerenforcerent officials ,and rather personnel assigned by the subgrant recipient to either the seizure or closure of clandestine methamphetamine laboratories; (3) As determined by their specific duties, equip personnel assigned to the project with OSHA required protective wear and other required safety equipment; (4) Assign properly trained personnel to prepare a comprehensive contamination report on each closed laboratory; (5) Employ qualified disposal contractors to remove all chemicals and associated SFY 2010 Page 13 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement glassware, equipment, and contaminated materials and wastes from the site(s) of each seized clandestine laboratory; (6) Dispose of the chemicals, equipment, and contaminated materials and wastes removed from the sites of seized laboratories at properly licensed disposal facilities or, when allowable, properly licensed recycling facilities; (7) Monitor the transport, disposal, and recycling components of subparagraphs 5 and 6 immediately above in order to ensure proper compliance; (8) Have in place and implement an inter -agency agreement or other form of commitment with a responsible State environmental agency that provides for that agency's (i) timely evaluation of the environmental conditions at and around the site of a closed clandestine laboratory and (ii) coordination with the responsible party, property owner, or others to ensure that any residual contamination is remediated, if necessary, and in accordance with existing State and Federal requirements; and (9) Have in place and implement a written agreement with the responsible state or local service agencies to properly respond to any minor, as defined by state law, at the site. This agreement must ensure immediate response by qualified personnel who can (i) respond to the potential health needs of any minor at the site; (ii) take that minor into protective custody unless the minor is criminally involved in the meth lab activities or is subject to arrest for other criminal violations; (iii) ensure immediate medical testing for methamphetamine toxicity; and (iv) arrange for any follow-up medical tests, examinations, or health care made necessary as a result of methamphetamine toxicity. 43. Limited English Proficiency (LEP) In accordance with Department of Justice Guidance pertaining to Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d, recipients of Federal financial assistance must take reasonable steps to provide meaningful access to their programs and activities for persons with LEP. For more information on the civil rights responsibilities that recipients have in providing language services to LEP individuals, please see the website at htto://www.leo.gov. 44. The Coastal Barrier Resources Act The subgrant recipient will comply and assure the compliance of all contractors with the provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 USC 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 45. Enhancement of Security If funds are used for enhancing security, the subgrant recipient agrees to: a. Have an adequate process to assess the impact of any enhancement of a school security measure that is undertaken on the incidence of crime in the geographic area where the enhancement is undertaken. Conduct such an assessment with respect to each such enhancement; and, submit to the Department the aforementioned assessment in its Final Program Report. 46. Environmental Protection Agency's (EPA) list of Violating Facilities The subgrant recipient assures that the facilities under its ownership, lease or supervision which shall be utilized in the accomplishment of the Program Purpose are not listed on the EPA's list of SFY 2010 Page 14 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement Violating Facilities and that it will notify the Department of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA. 47. Flood Disaster Protection Act The subgrant recipient will comply with Section 102(a) of the Flood Disaster Protection Act of 1973, Public Law 93-234, 87 Stat. 975, requiring that the purchase of flood insurance in communities where such insurance is available as a condition of the receipt of any federal financial assistance for construction or acquisition purposes for use in any area that has been identified as an area having special flood hazards. 48. National Historic Preservation Act It will assist the Department (if necessary) in assuring compliance with section 106 of the National Historic Preservation Act of 1966 (16 U.S.C. § 470), Ex. Order 11593 (identification and protection of historic properties), the Archeological and Historical Preservation Act of 1974 (16 U.S.C. § 469 a-1 et seq.), and the National Environmental Policy Act of 1969 (42 U.S.C. § 4321). 49. Omnibus Crime Control and Safe Streets Act The subgrant recipient will comply and assure the compliance of all contractors, with the applicable provisions of Title I of the Omnibus Crime Control and Safe Streets Act of 1968, as amended; the Juvenile Justice and Delinquency Prevention Act, or the Victims of Crime Act; as appropriate; the provisions of the current edition of the Office of Justice Program Financial and Administrative Guide for Grants; and all other applicable State and Federal laws, orders, circulars, or regulations. 50. Human Research Subjects Grantee agrees to comply with the requirements of 28 C.F.R. part 46 and all Office of Justice Programs policies and procedures regarding the protection of human research subjects, including obtainment of Institutional Review Board approval, if appropriate, and subject informed consent. 51. National Information Exchange Model specifications To support public safety and justice information sharing, the Office of Justice Programs requires the grantee to use the National Information Exchange Model (NIEM) specifications and guidelines for this particular grant. Grantee shall publish and make available without restriction all schemas generated as a result of this grant to the component registry as specified in the guidelines. For more information on compliance with this condition, visit http://www niem gov/implementationguide php. 52. Reporting, Data Collection and Evaluation The subgrant recipient agrees to comply with aff reporting, data collection aAd evaluation requirements, as prescribed by the Bureau of Justice Assistance in the program guidance for the Justice Assistance Grant (JAG). Compliance with these requirements will be monitored by the Bureau of Justice Assistance. SFY 2010 Page 15 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement 53. Privacy Certification The subgrant recipient agrees to comply with all confidentiality requirements of 42 U.S.C. section 3789g and 28 C.F.R. Part 22 that are applicable to collection, use, and revelation of data or information. Grantee further agrees, as a condition of grant approval, to submit a Privacy Certificate that is in accord with requirements of 28 C.F.R. Part 22 and, in particular, section 22.23. 54. State Information Technology Point of Contact The subgrant recipient agrees to ensure that the State Information Technology Point of Contact receives written notification regarding any information technology project funded by this grant during the obligation and expenditures period. This is to facilitate communication among local and state governmental entities regarding various information technology projects being conducted with these grant funds. In addition, the recipient agrees to maintain an administrative file documenting the meeting of this requirement. For a list of State Information Technology Points of Contact, go to http://www.it.ojp.gov/default.aspx?area=policyAndPractice&page=1046. 55. Interstate Connectivity To avoid duplicating existing networks or IT systems in any initiatives funded by the Bureau of Justice Assistance for law enforcement information sharing systems which involve interstate connectivity between jurisdictions, such systems shall employ, to the extent possible, existing networks as the communication backbone to achieve interstate connectivity, unless the subgrant recipient can demonstrate to the satisfaction of the Bureau of Justice Assistance that this requirement would not be cost effective or would impair the functionality of an existing or proposed IT system. 56. Supplanting The subgrant recipient agrees that funds received under this award will not be used to supplant State or local funds, but will be used to increase the amounts of such funds that would, in the absence of Federal funds, be made available for law enforcement activities. 57. Conflict of Interest The subgrant recipient and implementing agency will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 58. Uniform Relocation Assistance and Real Property Acquisitions Act The subgrant recipient will comply with the requirements of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (42 U.S.C. § 4601 et seq.), which govern the treatment of persons displaced as a result of federal and federally -assisted programs. 59. Limitations on Government Employees Financed by Federal Assistance The subgrant recipient will comply with requirements of 5 U.S.C. §§ 1501-08 and §§ 7324-28, which limit certain political activities of State or local government employees whose principal employment is in connection with an activity financed in whole or in part by federal assistance. 60. Equal Treatment for Faith Based Organizations The grantee agrees to comply with the applicable requirements of 28 C.F.R. Part 38, the Department of Justice regulation governing "Equal Treatment for Faith Based Organizations" (the SFY 2010 Page 16 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Florida Department of Law Enforcement "Equal Treatment Regulation"). The Equal Treatment Regulation provides in part that Department of Justice grant awards of direct funding may not be used to fund any inherently religious activities, such as worship, religious instruction, or proselytization. Recipients of direct grants may still engage in inherently religious activities, but such activities must be separate in time or place from the Department of Justice funded program, and participation in such activities by individuals receiving services from the grantee or a sub -grantee must be voluntary. The Equal Treatment Regulation also makes clear that organizations participating in programs directly funded by the Department of Justice are not permitted to discriminate in the provision of services on the basis of a beneficiary's religion. Notwithstanding any other special condition of this award, faith based organizations may, in some circumstances, consider religion as a basis for employment. See http://www.ojp.gov/about/ocr/equal_fbo.htm. 61. Certification for Employees Working Solely on a Single Federal Award Any project staff that are fully funded by the grant must certify that they worked solely on the grant. The certification must be prepared at least semi annually and must be signed by the employee and by a supervisory official having first hand knowledge of the work performed by the employee. SFY 2010 Page 17 CERTIFICATION FORM 110 0 rj i rn crrtr) 5� Recipient Name and Address: Monroe County Board of County Commissioners UJe S} Rr tr 33oNa Grant Title: Women In Transition: Recividism Prevention Grant Number: 2010-JAGC-1062Award Amount: $21,700 Contact Person Name and Title: Lisa Tennyson, Grants Administrator Phone Number: (305) 292-4444 Federal regulations require recipients of financial assistance from the Office of Justice Programs (OJP), its component agencies, and the Office of Community Oriented Policing Services (COPS) to prepare, maintain on tile, submit to OJP for review, and implement an Equal Employment Opportunity Plan (EEOP) in accordance with 28 C.F.R §§ 42.301-.308. The regulations exempt some recipients from all of the EEOP requirements. Other recipients, according to the regulations, must prepare, maintain on file and implement an EEOP, but they do not need to submit the EEOP to OJP for review. Recipients that claim a complete exemption from the EEOP requirement must complete Section A below. Recipients that claim the limited exemption from the submission requirement, must complete Section B below. A recipient should complete either Section A or Section B, not both. If a recipient receives multiple OJP or COPS grants, please complete a form for each grant, ensuring that any EEOP recipient certifies as completed and on file (if applicable) has been prepared within two years of the latest grant. Please send the completed form(s) to the Office for Civil Rights, Office of Justice Programs, U.S. Department of Justice, 810 71h Street. N.W., Washington, D.C. 20531. For assistance in completing this form, please call (202)307- 0690 or TTY (202) 307-2027. Section A- Declaration Claiming Complete Exemption from the EEOP Requirement. Please check all the boxes that apply. ❑ Recipient has less than 50 employees, ❑ Recipient is an Indian tribe, ❑ Recipient is a non-profit organization, ❑ Recipient is an educational institution, or ❑ Recipient is a medical institution, ❑ Recipient is receiving an award less than $25,000 ' [responsible official], certify that [recipient] is not required to prepare an EEOP for the reason(s) checked above, pursuant to 28 C.F.R §42.302. I further certify that [recipient] will comply with applicable Federal civil rights laws that prohibit discrimination in employment and in the delivery of services. Print or type Name and Title Signature Date Section B- Declaration Claiming Exemption from the EEOP Submission Requirement and Certifying That an EEOP Is on File for Review. If a recipient agency has 50 or more employees and is receiving a single award or subaward for $25,000 or more, but less than $500,000, then the recipient agency does not have to submit an EEOP to OJP for review as long as it certifies the following (42 C.F.R. § 42.305): 1, Roman Gastesi, Jr., County Administrator [responsible official], certify that the Monroe County Board of County Commissioners [recipient],Which has 50 or more employees and is receiving a single award or subaward for $25,000 or more, but less than $500,000, has formulated an EEOP in accordance with 28 CFR §42.301, et seq., subpart E. I further certify that the EEOP has been formulated and signed into effect within the past two years by the proper authority and that it is available for review. The EEOP is on file in the office of: Calvin Allen, EEO Officer, Monroe County BOCC [organization], at 1100 Simonton Street, Key West, Florida 33040 [address],for review by the public and employees or for review or audit by officials of the relevant state plan g agency or the Office for Civil Rights, Office of Justice Programs, U. S. Department of Justice, as required by rel a t aws reeggI ons. Roman Gastesi, Jr., County Administrator ----------------- - ---- --- ---- Print or type Name and Title Signature Date OMB Approval No. 1 121-0140 Expiration Date- 01/31i06 RESOLUTION NO. 239 - 2009 A RESOLUTION OF THE BOARD OF COMMISSIONERS OF MONROE COUNTY, FLORIDA AUTHORIZING THE SUBMISSION OF A GRANT APPLICATION TO THE FLORIDA DEPARTMENT OF LAW ENFORCEMENT FOR THE FISCAL YEAR 2010 EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT (JAG) PROGRAM WHEREAS, the Florida Department of Law Enforcement has announced the funding for Fiscal Year 2010 Edward Byrne Memorial Justice Assistance Grant (JAG) Program; and WHEREAS, the Monroe County Board of Commissioners agrees to serve as the coordinating unit of government in the preparation of the grant proposals and in the distribution of funds allocated to Monroe County in the amount of $142,873 with no cash match; and WHEREAS, the Monroe County Substance Abuse Policy Advisory Board, with concern given to the County's current drug control efforts, has recommended certain programs receive funding to provide the community with activities focused on drug and alcohol education, prevention, rehabilitation, and treatment- now therefore, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA, that: 1. The Board of County Commissioners concurs with the Monroe County Substance Abuse Policy Advisory Board's recommendations; and that 2. The County Administrator is hereby authorized to sign and submit the application packet for the Fiscal Year 2010 grant funds to the Florida Department of Law Enforcement Edward Byrne Memorial Justice Assistance Grant (JAG) Program; and that 3. This resolution shall become effective immediately upon adoption by the Board of County Commissioners and execution by the Presiding Officer and Clerk. PASSED AND ADOPTED by the Board of County Commissioners of Monroe County, Florida, at a regular meeting of said Board held on the 19`h day of August, A.Q.,.2�0� a Mayor Neugent Yes �38 Mayor Pro Tern Murphy Yes Commissioner Carruthers Yes can Commissioner DiGennaro Yes Commissioner Wiaington Yes 3 (Seal)D 'L 1,-N ,- Attest: Cferk of Court Monroe.County Board of Commissioners Q' By: : a. Mayor -n Application for Funding Assistance Florida Department of Law Enforcement Justice Assistance Grant - County -wide In witness whereof, the parties affirm they each have read and agree to the conditions set forth in this agreement, have read and understand the agreement in its entirety and have executed this agreement by their duty authorized officers on the date, month and year set out below. Corrections on this page, including Strikeovers, whiteout, etc. are not acceptable. State of Florida Department of Law Enforcement Office of Criminal Justice Grants Signature: 4 Typed Name and Title: filler, Administratty Date: //- Oq Subgrant Recipient Authorizing Official of Governmental Unit (Commission Chairman, Mayor, or Designated Representative) Typed Nami Signature: Typed Name and Title: �crw'a0 Ce ��e C, W K iV-wi!��r Date: I ' 1 Implementing Agency Official, Administrator or Designated Representative. . .t Typed Name of Imp e g A nc Wt Signature: Typed Name and Title: t"� a;V't't *t j,.j y 1 u A J w in +-s "Y Date: � � 11 ( � Application Ref # 2010-JAGC-1062 Section #6 Page 1 of 1 Contract -JAGC-MONR- - - Rule Reference 11 D-9.006 OCJG-005 (rev. April 2005) BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: Public Works Bulk Item: Yes X No Department: Facilities Maintenance Staff Contact Person/Phone#: Bob Stone/289-6077 AGENDA ITEM WORDING: Approval of Bill of Sale, Absolute, transferring four (4) facilities (lift stations/sewer mains) to KW Resort Utilities, Inc. ITEM BACKGROUND: The four facilities are being transferred in accordance with Sec. 1 of the attached Utility Agreement dated August 16, 2001. PREVIOUS RELEVANT BOCC ACTION: Approval of Utility Agreement on 8/16/01. CONTRACT/AGREEMENT CHANGES: n/a STAFF RECOMMENDATION: Approval. TOTAL COST: $0 BUDGETED: Yes NO Cost to County: same SOURCE OF FUNDS: REVENUE PRODUCING: YES NO x AMOUNT PER MONTH YEAR APPROVED BY: County Atty. x OMB/Purchasing n/a Risk Management n/a DOCUMENTATION: Included X Not Required DISPOSITION: AGENDA ITEM # BILL OF SALE ABSOLUTE KNOW ALL MEN BY THESE PRESENTS, that the COUNTY OF MONROE, FLORIDA, a political subdivision of the State of Florida, party of the first part, pursuant to an agreement entered on August 16, 2001, between the party of the first part and KW Resort utilities, Inc., party of the second part, does grant, bargain, sell, transfer and deliver unto KW Resort utilities, Inc., party of the second part, the following: Description: 1) Lift Station serving the Monroe County Detention Facility Treatment Plant, on Stock Island; 2) Lift Station serving the Public Buildings and sewer main from the lift station to the Monroe County Detention Facility Treatment Plant, on Stock Island; 3) Lift Station constructed after August 16, 2001, and serving the Public Buildings at the Animal Shelter on College Road, Stock Island; and 4) The sewer main constructed after August 16, 2001, from the second lift station described above to the previously existing sewer main serving the Detention Facility, on Stock Island. The four facilities described above are further described by depiction on the attached Sketch, incorporated herein by reference. TO HAVE AND TO HOLD the same unto the said, forever. And it does covenant to and with the said party of the second part that it is the lawful owner of said facilities; that they are free from all encumbrances; that it has good right to transfer ownership of the same as aforesaid; that said facilities are transferred to the party of the second part in "AS IS" condition with no warranties, express or implied, of any kind concerning the safety, working condition, or any other aspect of merchantability. IN WITNESS WHEREOF, the said party of the first part has caused these presents to be signed in its name by its Chairperson and its seal to be affixed, attested to by its Clerk, the _th day of , 20 (SEAL) BOARD OF COUNTY COMMISSIONERS ATTEST: DANNY L. KOLHAGE, CLERK OF MONROE COUNTY, FLORIDA I: Deputy Clerk I: Mayor/Chairperson fV10010E COUTI T Y ATTOR P ?ROVED AS ` Q FAR �F RNW, E A. l iUTTO N C 0 U,_N ay ATT- NEY im 2 Q L 1 r [gyp T LOT {2.5-7 AC, \V-v \ AIC (01 \ G► ,.54 -To MONROE BY C 1TY \ � R 2. . 106 ZQ YRS. F75 FKAADEED2U5N0 -87 STk-TE RD NO. S MM 5 I us WwY i 50' R /W LsF;' S7-/' �"' o"J -. T � L � I. E.(2.2', 24' UTILITY AGREEMENT THIS UTILITY AGREEMENT ("Agreement"), dated as of the 16thday of August, 2001, by and between KW Resort Utilities Corp., a Florida corporation, having its office(s) at 6450 Junior College Road, Key West, Florida, 33040 ("Service Company"), and The County of Monroe, Florida, a Florida County having its office(s) at 5100 College Road, Key West, FL 33040, ("County"). R E C I T A L S A. County is the owner of certain real property more particularly described on Exhibit "A", attached hereto and made a part hereof (the "Property"). B. County currently operates a jail and detention center on the Property ("Detention Facility"), which requires sanitary sewer service. C. County currently operates public facilities at the Public Service Building, Bayshore Manor, and the Animal Shelter, all along College Road ("Public Buildings"), which requires sanitary sewer service. D. County requests that Service Company provide central sewage collection services in and upon the Property. E. Service Company owns, operates, manages and controls a central sewage system and is willing to provide sanitary sewer services pursuant to this Agreement. NOW, THEREFORE, in consideration of Ten Dollars ($10.00), and the mutual covenants and agreements hereinafter set forth, and intending to be legally bound thereby, it is agreed as follows: 1. On -Site Facilities The County owns and operates .the following facilities, which it agrees to convey at no charge to the Service Company: A. Lift station serving the Detention Facility Treatment Plant. B. Lift station serving the Public Buildings and sewer main from the lift station to the Detention Facility Treatment Plant. The County shall construct the following facilities, which it agrees to convey at no charge to the service company at the time of connection to the Service Company's system: A. A second lift station serving the Public Buildings located at the Animal Shelter. B. A sewer main from the second lift station to the existing sewer main serving the Detention Facility. The three County lift stations. and appurtenant facility to be conveyed to Service Company are hereinafter referred to as "On -Site Facilities". All On - Site Facilities, laterals and Property Installations shall be in good working order upon connection to Service Company's system. Prior to commencing construction on the second lift station serving the Public Buildings, County shall provide Service Company with construction plans for approval by (Util-KeyWest- Monroe County) (4-1-2001) Service Company, which approval shall not be unreasonably withheld. If the Service Company discontinues service to the County property for whatever reason (other than nonpayment or default by County) then the on -site facilities will be reconveyed by the Service Company to the County at no charge. Service Company shall construct a reuse ("graywater") line to Detention Facility, and agrees to make available a minimum of 32,000 gallons per day ("gpd") of graywater to County, but no more then 60,000 gallons per day. Graywater shall meet all reuse water quality standards required by law. 2. Definitions "Business Day" - shall mean any day of the year in which commercial banks are not required or authorized to close in New York, New York. "Central Sewage System" - shall mean the central sewage system owned and operated by the Service Company. "Customer" - shall mean the County. "Equivalent Residential Connections" - (ERC), shall be defined as one individual residential connection or, for commercial and other uses, the estimated flow based on the use and Chapter 64E-6 F.A.C., divided by the most recently approved "Capacity Analysis" rate per residential connection (currently 205 gallons per day per residential connection). "Point of Delivery" - shall mean the point at which the county lines enter the three -lift station conveyed to the Service Company. "Property Installations" - shall mean any service lines located on individual lots or parcels of the Property, on the County side of the Point of Delivery. "Service Company's Affiliates" - shall mean any disclosed or undisclosed officer, director, employee, trustee shareholder, partner, principal, parent, subsidiary or other affiliate of Service Company. "System" - shall mean all pipes, lines, manholes, lift or pump stations, reservoirs or impoundments constructed or installed on the Property in public rights -of -way or easements dedicated to Service Company, or on lands conveyed to Service Company by deed in fee simple, including, without limitation, Central Connection Lines. "Tariff" - shall mean Service Company's existing and future schedules of rates and charges for sewer service. 3. System Construction Service Company shall design and construct at its sole expense offsite facilities to connect the county lift station at the Detention Facility to the Central Sewage System (the "Project"). Said Project shall commence 30 days after execution hereof and be completed 180 days after commencement. County upon completion shall immediately provide all of its domestic wastewater to Service Company for treatment at Service Company's applicable tariff. The Service Company's current tariff is $605.52 (Util-KeyWest- Monroe County) 2 (4-1-2001) for a 4 meter base facility charge per month and $2.92 per 1000 gallons measured off of water consumption. Additional wastewater services at the Public Service Building, Bay Shore Manor, the Animal Shelter and other shall pay the applicable tariffs. For instance if the Detention Center uses a 4" meter and the Public Service Building has a 2" meter then the County's rate shall be $605.62 + $196.35 plus $2.92 per thousand gallons per month. Notwithstanding Utility's Tariff, Utility agrees to treat all of County's re -use water, including air conditioning re -use water. County agrees to pay Utility for treating re -use water based upon a four -inch meter and Utility's current tariff, the re -use meter shall be read daily. The County represents that no re -use water is disposed via shallow injection well. 4. System Decommissionary County currently operates a .105 MGD wastewater treatment plant on the property. After commencement of service by Service Company, County at its sole expense may at its option decommission and remove said plant. Notwithstanding the foregoing, Service Company agrees to assist County in said decommissionary by contributing to the cost of the engineering, permitting, and removing the existing plant the lesser of $10,000 or the sum of said costs. 5. Property Rights Prior to Service Company's construction of the Project, County shall convey a) A non-exclusive easement. in the form attached hereto as Exhibit "B" in and to any and all portions of the On -Site Facilities not located in public rights -of -way, of sufficient size to enable Service Company ingress and egress and to operate, maintain and replace such portions of the On -Site Facilities not located within public rights -of - way for Service Company, other uses of Service Company's system and it's successor and assigns. If the Service Company discontinues service to the County property for whatever reason, then the easements granted to this section will lapse and expire and the County property so encumbered will be free and clear of such easements. Language similar to the foregoing must appear in the easements filed for record. The Service Company agrees to provide and execute the documents necessary to extinguish such easements. b) Service Company at its sole discretion shall be permitted to pump other customer's wastewater through said lift station and force main and County shall provide easements for said connections at request of Service Company without any additional charge. c) A bill of sale conveying title to On -Site Facilities free and clear of all liens and encumbrances. 6. Rates, Fees, Charges a) All Customers will pay the applicable fees, rates and charges as set forth in the Tariff. Nothing contained in this Agreement shall serve to prohibit Service Company's right to bill or collect its rates and charges from Customers, nor to require compliance with any provision of its Tariff. (Util-KeyWest- Monroe County) 3 (4-1-2001) b) County shall pay to Service Company a reservation fee ("Capacity Reservation Fee"), in the amount of Two Thousand Seven Hundred ($2,700.00) dollars per E.R.C. connections to be reserved by County to serve the Property (individually, a `Connection", collectively, the "Connections"). The initial reservation shall be for 454 ERC's based upon an average flow of 83,000 gallons per day from the county jail and an estimated flow from the addition to the juvenile detention center of 10,045 gallons per day. Cost for said hook-ups is $1,225,800. Any additional flows of wastewater from the Detention Facility, Public Buildings, or expansions thereof, animal shelter or in excess of the estimated flow shall require additional capacity fee, which shall be based upon Florida Code Statute 64E-6. c) The Capacity Reservation Fee for each connection shall be payable by County to Service Company as follows: (i) 1/3, upon completion of the connection (estimated at this time to be $408,600). (ii) 1/3, one year after connection completion. (iii) 1/3, two years after connection completion. d) Service Company hereby agrees to reserve such capacity for the benefit for County subject to the provisions of this Section 5, provided, however, that such reservations shall not be effective until Service Company has received the initial installment of the Capacity Reservation Fee in accordance with Section 6 © (I) hereof, and provided, further, that Service Company shall have the right to cancel such reservations in the event of County's failure to comply with the terms of this Agreement e) In addition to the above charges, upon delivery hereof, County shall also pay Service Company $.40 per thousand gallons for "graywater" provided to County pursuant to Paragraph 1 herein. f) In the event of default by County in the payment of Capacity Reservation Fee hereunder, which default is not cured as provided in paragraph 12, hereof, Service Company may cancel this agreement by giving thirty (30) days written notice of default and retain all payments hereunder as liquidated damages. 7. The capacity reservation fee described in paragraph 6(c)(i), hereafter 6(c)(i) funds (minus the cost incurred by Service Company to complete the Project including the graywater line), when due, must be deposited in an interest bearing escrow account with a federally insured financial institution that has an office in Key West, Florida. The mention of 6(c)(i) funds includes all accumulated interest. The terms of the escrow are as follows: a) When the Service Company begins substantial physical construction to expand the capacity of its wastewater treatment plant or to extend its wastewater collection infrastructure to serve additional areas in South Stock Island or other islands then the escrow agent will release the 6(c)(i) funds to the Service Company in the following manner: the payments will be made monthly equal amounts based (Util-KeyWest- Monroe County) 4 (4-1-2001) on the expected completion date of the expansion as set forth in the Service Company's construction documents. Release of said funds shall be made by escrow agent upon presentation of construction invoices (including costs of real estate acquisition, purchase or installation of pipes and lift stations, and professional services; provided that such costs are exclusively attributable to such expansion of capacity or extension of collection infrastructure) to be paid by Service Company along with a statement from Service Company describing the construction for which the invoices seek payment. County hereby agrees to enforce, through Code Enforcement proceedings, its ordinance requiring all property owners located within Service Company's service area to connect to Service Company's System and to pay the tariff applicable to such connection. In the event of breach hereof by County which breach continues after notice and reasonable opportunity to cure as provided in Paragraph 12, below, all escrowed funds shall be released to Service Company. b) However, if the Service Company agrees to sell its wastewater treatment plant and collection infrastructure to the FKAA before the Service company completes the construction just described, then the 6(c)(i) funds (or the balance then remaining undisbursed) must be transferred to the FKAA upon the completion of the actions needed to consummate the sale of the wastewater treatment plant and collection infrastructure to the FKAA. For the purposes of this paragraph 7, sale means the sale of physical assets, an equity purchase (and/or debt assumption or purchase) resulting in the FKAA acquiring a controlling interest in the Service Company, a long-term lease of the physical assets, or any other transaction that results in the FKAA assuming the obligation to operate the Service Company's wastewater treatment plant and current collection infrastructure. c) If the Service company has not commenced expansion of the wastewater treatment plant or collection infrastructure by the year 2006 or, if the FKAA has not purchased the Service Company's assets as described above by the year 2006, then the escrow agent must release the 6(c)(i) funds to the Service Company. 8. Absolute Conveyance Except as provided elsewhere in this contract regarding the reconveance of property and the extinquishment of easements if service is discontinued, County understands, agrees and acknowledges that County's conveyance of the On -Site Facilities and any and all easements, real property or personal property, or payment of any funds hereunder (including, without limitation, the Capacity Reservation Fee), shall, upon acceptance by Service Company, be absolute, complete and unqualified, and that neither County nor any party claiming by or through County shall have any right to such easements, real or personal property, or funds, or any benefit which Service Company may derive from such conveyance or payments in any form or manner. 9. Delivery of Service; Maintenance a) Upon connection as . provided in section 1, Service Company shall provide service to the Point of Delivery in accordance with the terms (Util-KeyWest- Monroe County) (4-1-2001) of this Agreement and all applicable laws and regulations and shall operate and maintain the System in accordance with the terms and provisions of this Agreement. Service Company shall use its best efforts to provide service prior to February 15, 2002 In the event that Service Company is unable to provide service on February 15, 2002 thru no fault of Service Company, then all cost of alternative sewage disposal shall be County's until service is provided. Service means that the Service Company will process, treat and dispose of wastewater and will operate its system: in compliance with the quality and process standards required by DEP and the Service Company; in accordance with industry standards as they develop and any FKAA, County, or City of Key West requirements; and, in a manner that does not pose or cause health or environmental risk or damage (provided, that should any violation of health or environmental rule or law occur, service company shall be in compliance herewith if service company promptly undertakes and completes any necessary remedial action). Service also means the furnishing of graywater, described in section 1, meeting industry standards. b) County shall, at its sole cost and expense, own, operate and maintain all Property Installations, which have not been conveyed to Service Company pursuant to the terms and conditions of this Agreement. c) In the event County desires additional services over and above that reserved herein and provided Service Company has additional uncommitted capacity, Service Company shall provide said additional capacity provided County pays the additional connection fees required under Chapter 64E-6 F.A.C. d) County shall pay for any extra expense of operating the Detention Center lift station resulting from prisoner or staff disposal of debris into the system or failure to maintain its grease trap. Service Company shall have the right to inspect the grease traps in order to insure their continued maintenance by County. e) County shall only provide domestic waste water for treatment by Service Company. No water from air conditioning systems or swimming pools shall flow into the wastewater disposal system. f) The Service Company agrees to keep its system in good repair, in full operating condition in compliance with applicable law and to promptly remedy all breakdowns, spills, contaminations and other acts of environmental damage or pollution. 10. Repair of System In the event of any material damage to or destruction of any of the lift stations located on County property operated or maintained by Service Company due to any acts or omissions by County, or its agents, representatives, employees, invitees, licensees, detainees or inmates, Service Company shall repair or replace such damaged or destroyed portion of the System at the sole cost and expense of County. County shall pay all costs and expenses associated with such repair or replacement within thirty (Util-KeyWest- Monroe County) 6 (4-1-2001) (30) days after receipt of any invoice from Service Company setting forth any such costs and expenses. 11. Term This Agreement shall become effective as of the day of Ate , 2001, and shall continue for 99 years so long as Service Company, its successor or assignees, provides sewer service to the County, and the County's successors and assigns. 12. Default In the event of a default by either party of its duties and obligations hereunder, the non -defaulting party shall provide written notice to the defaulting party specifying the nature of the default and the defaulting party shall have fifteen 15 days to cure any default of a monetary nature and thirty (30) days for any other default. If the default has not been cured within the applicable period (time being of the essence), the non -defaulting party shall be entitled to exercise all remedies available at law or in equity, including but not limited to, the right to damages, injunctive relief and specific performance. Service Company may, at its sole option, discontinue and suspend the delivery of service to the System in accordance with all requirements of applicable law and the Tariff, if County fails to timely pay all fees, rates and charges pursuant to the terms of this Agreement. The County, however, may withhold payment, without default, if the Service Company through no fault of the County: fails to provide consistent minimum wastewater and graywater services as required by section 9; causes or permits unexcused delays or interruptions in service or commencing service; cause or permits repeated or chronic failures to maintain quality standards; causes or permits damage to County property; causes or permits adverse health effects to the public or system users; causes or permits environmental damage; or, exposes the County or its officials and employees to suits or liability attributable to the Service Company's conduct. 13. Excuse from Performance a) Force Maieure If Service Company is prevented from or delayed in performing any act required to be performed by Service Company hereunder, and such prevention or delay is cased by strikes, labor disputes, inability to obtain labor, materials or equipment, storms, earthquakes, electric power failures, land subsidence, acts of God, acts of public enemy, wars, blockades, riots, acts of armed forces, delays by carriers, inability to obtain rights -of -way, acts of public authority, regulatory agencies, or courts, or any other cause, whether the same kind is enumerated herein, not within the control of Service Company ("Force Majeure'), the performance of such act shall be excused for a period equal to the period of prevention or delay. If the Service Company intends to claim force majeure as an excuse for nonperformance, then it must so notify the County in writing within ten business days of the force majeure event. The Service Company must also undertake all reasonable measures, at its expense, to restore full service at the earliest practical date. The Z 41 (Util-KeyWest- Monroe County) % (4-1-2001) County is not obligated to pay any Service Company tariff, charge or fee until service is restored. b) Governmental Acts If for any reason during the term of this Agreement, other than for due conduct of the Service Company and its agents and representatives, and except for the lawful actions and decisions of the County in the exercise of its governmental powers, any federal, state or local authorities or agencies fail to issue necessary permits, grant necessary approvals or require any change in the operation of the Central Sewage System or the System ("Governmental Acts"), then, to the extent that such Governmental Acts shall affect the ability of any party to perform any of the terms of this Agreement in whole or in part, the affected party shall be excused from the performance thereof and a new agreement shall be negotiated, if possible, by the parties hereto in conformity which such permits, approvals or requirements. Notwithstanding the foregoing, neither County nor Service Company shall be obligated to accept any new agreement if it substantially adds to its burdens and obligations hereunder. c) Emergency Situations Service Company shall not be held liable for damages to County and County hereby agrees not to hold Service Company liable for damages for failure to deliver service to the Property upon the occurrence of any of the following events provided that service is restored within 24 hours: 1. A lack of service due to loss of flow or process or distribution failure; 2. Equipment or material failure in the Central Sewage System or the System, including storage, pumping and piping provided the Service Company has utilized its best efforts to maintain the Central Sewage System in good operating condition; and 3. Force Majeure, unforeseeable failure or breakdown of pumping, transmission or other facilities, any and all governmental requirements, acts or action of any government, public or governmental authority, commission or board, agency, agent, official or officer, the enactment of any statute, ordinance, resolution, regulation, rule or ruling, order, decree or judgment, restraining order or injunction of any court, including, without limitation, Governmental Acts. 14. Successors and Assigns This Agreement and the easements granted hereby, shall be binding upon and inure to the benefit of the parties hereto and their respective successors and assigns. 15 Indemnification a) To the Extent authorized by Section 768.28, FS, the County agrees to indemnify and hold harmless the Service Company for claims, demands, (Util-KeyWest- Monroe County) $ (4-1-2001) causes of action, losses, damages, and liabilities that arise out of the negligent act(s) or omission(s) of any County officer, employee, contractors (including subcontractors employed by a County contractor) and agents, in connection with the use of the system, the operation of the system, or the occupancy of the Property. b) The Service Company agrees to indemnify and hold harmless the County for claims, demands, causes of action, losses, damages and liabilities that arise out of the negligent act(s) or omission(s) of any Service Company officer, employee, contractors (including subcontractors employed by a Service Company contractor) and agents in connection with the maintenance, expansion and operation of the system, including those acts or omissions that result in environmental damage or pollution. 16 Notices All notices, demands, requests or other communications by either party under this Agreement shall be in writing and sent by (a) first class U.S. certified or registered mail, return receipt requested, with postage prepaid, or (b) overnight delivery service or courier, or (c) telefacsimile or similar facsimile transmission with receipt confirmed as follows: If to Service Company: With a copy to: If to County: KW Resort Utilities Corp. 6450 Junior College Road Key West, Florida 33040 Fax (305)294-1212 W. Smith 11 E. Adams, Suite 1400 Chicago, Illinois 60603 Fax (312)939-7765 County Administrator Public Service Building 5100 College Road Key West, FL 33040 With a copy to: County Attorney PO Box 1026 Key West, FL 33041 18. Tariff This Agreement is subject to all of the terms and provision of the Tariff. In the event of any conflict between the Tariff and the terms of this Agreement, the Tariff shall govern and control. 19. Miscellaneous Provisions a) This Agreement shall not be altered, amended, changed, waived, terminated or otherwise modified in any respect or particular, and no consent or approval required pursuant to this Agreement shall be effective, unless the same shall be in writing and signed by or on behalf of the party to be charged. (Util-KeyWest- Monroe County) 9 (4-1-2001) b) All prior statements, understandings, representations and agreements between the parties, oral or written, are superseded by and merged in this Agreement, which alone fully and completely expresses the agreement between them in connection with this transaction and which is entered into after full investigation, neither party relying upon any statement, understanding, representation or agreement made by the other not embodied in this Agreement. This Agreement shall be given a fair and reasonable construction in accordance with the intentions of the parties hereto, and without regard to or aid of canons requiring construction against Service Company or the party drafting this Agreement. c) No failure or delay of either party in the exercise of any right or remedy given to such party hereunder or the waiver by any party of any condition hereunder for its benefit (unless the time specified herein for exercise of such right or remedy has expired) shall constitute a waiver of any other or further right or remedy nor shall any single or partial exercise of any right or remedy preclude other or further exercise thereof or any other right or remedy. No waiver by either party of any breach hereunder or failure or refusal by the other party to comply with its obligations shall be deemed a waiver of any other or subsequent breach, failure or refusal to so comply. d) This Agreement may be executed in one or more counterparts, each of which so executed and delivered shall be deemed an original, but all of which taken together shall constitute but one and the same instrument. It shall not be necessary for the same counterpart of this Agreement to be executed by all of the parties hereto. e) Each of the exhibits and schedules referred to herein and attached hereto is incorporated herein by this reference. f) The caption headings in this Agreement are for convenience only and are not intended to be a part of this Agreement and shall not be construed to modify, explain or alter any of the terms, covenants or conditions herein contained. g) This Agreement shall be interpreted and enforced in accordance with the laws of the state in which the Property is located without reference to principles of conflicts of laws. In the event that the Florida Public Service commission loses or relinquishes its authority to regulate Service Company, then all references to such regulatory authority will relate to the agency of government or political subdivision imposing said regulations. If no such regulation exists, then this Agreement shall be governed by applicable principles of law. h) Each of the parties to this Agreement agrees that at any time after the execution hereof, it will, on request of the other party, execute and deliver such other documents and further (Util-KeyWest- Monroe County) 10 (4-1-2001) assurances as may reasonably be required by such other party in order to carry out the intent of this Agreement. i) If any provision of this Agreement shall be unenforceable or invalid, the same shall not affect the remaining provisions of this Agreement and to this end the provisions of this Agreement are intended to be and shall be severed. Notwithstanding the foregoing sentence, if (i) any provision of this Agreement is finally determined by a court of competent jurisdiction to be unenforceable or invalid in whole or in part, (ii) the opportunity for all appeals of such determination have expired, and (iii) such unenforceability or invalidity alters the substance of this Agreement (taken as a whole) so as to deny either party, in a material way, the realization of the intended benefit of its bargain, such party may terminate this Agreement within thirty (30) days after the final determination by notice to the other. If such party so elects to terminate this Agreement, then this Agreement shall be terminated and neither party shall have any further rights, obligations or liabilities hereunder, except for any rights, obligations or liabilities which by this specific terms of this Agreement survive the termination of this Agreement. j) The parties hereto do hereby knowingly, voluntarily, intentionally, unconditionally and irrevocably waive any right any party may, have to a jury trial in every jurisdiction in any action, proceeding or counterclaim brought by either of the parties hereto against the other or their respective successors or assigns in respect of any matter arising out of or in connection with this agreement or any other document executed and delivered by either party in connection therewith (including, without limitation, any action to rescind or cancel this agreement, and any claim or defense asserting that this agreement was fraudulently induced or is otherwise void or voidable). This waiver is a material inducement for the parties hereto to enter into this agreement. k) In the event of any litigation arising out of or connected in any manner with this Agreement, the non -prevailing party shall pay the costs of the prevailing party, including its reasonable counsel and paralegal fees incurred in connection therewith through and including all other legal expenses and the costs of any appeals and appellate costs relating thereto. Wherever in this Agreement it is stated that one party shall be responsible for the attorneys' fees and expenses of another party, the same shall automatically be deemed to include the fees and expenses in connection with all appeals and appellate proceedings relating or incidental thereto. This subsection (k) shall survive the termination of this Agreement. 1) This Agreement shall not be deemed to confer in favor of any third parties any rights whatsoever as third party beneficiaries, the parties hereto intending by the provisions hereof to confer no such benefits or status. (Util-KeyWest- Monroe County) 1 1 (4-1-2001) IN WITNESS WHEREOF, Service Company and Developer have executed this Agreement as of the day and year first above written. 5� � Ise. E + V-13�Sv L. KOLHAGE, Clerk puty,Clerk STATE OF I L.- L 1 N ©L ) ss: COUNTY OF KW RESORT UTILITIES CORP. BOARD OF COUNTY COMMISSIONERS OF;MOrNE COUNTY, FLOR DA By Z, Mayor/airman APPROVED A AL U TO FORM OF lE C R 4BERT N. DATE The foregoing instrument was acknowledged before` a this �11-� day of 001, b W s as (,�,) y Florida corporation, on , behalf of said corpo atioh is personally known to me or who has produced (47L�/ �' �( s identification. My Commission Expires: OFFICIAL SEAL ABIHaNNON NOTARr ,:; pF ILLINOIS NV ES 2.8.2005 STATE OF FLORIDA ) ss: COUNTY OF MONROE ) The foregoing instrument was acknowledged before me this day of July, 2001, by , as Mayor of Monroe County, a political subdivision of the State of Florida. He is personally known.to me. c-:-' My Commission Expires: i 2. _: cz c:) ,:::3 JdconKWUtilities2 �., (7) r' us -x.= (Util-KeyWest- Monroe County) 12 (4-1-2001) Rug 28 01 11:19a M -oe County 3C 954321 p.1 Addendum A A parcel or land. rarmarty sYOmergod to Los Day or tlortda 8td Number of the Intarnaf tmpr"011"t Trust Fund of the State ;f FlorrWa9 a part or Number 1972S. and amid parcel being In- SOCt1Oa 27. Township.67 sSoh. Range e25 East and la MOnres County. Florida. Wad • sold Parcel' being owe . perticularly described by metes and bounds as falle WMA center line or the right or way of U. S. Mgfiwsy t niCE ne known asrotMCwoRtorf lint of the Florida East Coast Railroad; tad the center lint or the right of way of 'Old Country Club Road* (OCCRX also known as Justor College Read (JCR) as these two center lines exist as or May Is. 1990, sold Intersecttaa being known as point •i and Awing coordinates of N•86989.70• i E- tersoc ion, bash o0 the Mercpoint e I PrOJactloa for the East Use or Florida; and run thence N 20' 1 i• 37- W (ail bearings 10 this legal description are also based an We said Mercator Projection) aien* the center` itse or the OCCR for a distance of 230.44 feet to Point N2 (M-87205.96• i E-251213.261; themes N 62. 51' 67' W 8100E the center list Of the OCCR for a distance or 330A0 rest to Pelnt •3 (4007405.1W i E-250950.187: thoat:t N 31i• 38' 67' W 01e09 the center ling or the OCCR for 411"Ce of 300.00 toot to Point the or a & E•2507s8.7s7;. th" s N W 19. 57' w along ten center line or thencce N t N a-876fo03' ra distance of 265.00 teat to POInt •8 (N-87063 72' & E-260622937; 33. 57' W 8 1s0* the center "as of the OCCR f8lr a distance of 152.90 rest is Point 06 (N-00015.42• & E-250613.4W); thence N i9. 4r 03• E *,nay the center Noe of the OCCRTer a dlstanca et E-250654.9W): 122.56 root to Point • 7 (N-08130.75. 4 thence N 60• 20' Sj' W ter a distant:* of 200.00 feet to Point se QI-S8229.69' i E-250481.1" and the any proM of the Ind@ dew Iq linetbs said 'FIIF Deed Me. 127725; Wag* N 29. 39' 03' E along ten !W7 the lards described to tea sold iUr Dow me. 19725 for a distance or 962.72 test tof o Point 09 (N-89066.35• lA E-2S0957.42y Sad the POINT Of Of land being described herelo Sold point or soyi0alag bet O OMINB et the parcel thence N .3 32' 0nc W ter a dietaiee of 206.40 feet to Poimarked0 t-89158.an from p3r i E•250772.37'); thence S 40' 23' 19.S' W rtr a distance of 108.08 feet tt Point 41 (1 toot to n E-250702.54'); Umcs S 66' 13. 32' W for a distance or 24411 H hei to Point -lo (N-M41.9a• " E-250502A11 and the Approximate Mesa High Tide Line of Florida Say UNTL). thence 5 27' 02' 03' w and along the said MHTL far a distance of 179.70 (Set to Point • E-250420.33'1: thence S 31' 02' 03' W nd along the said MNn far i distance � 137.17 toot to Point • 14 (N-08664.33' 6 E-Z50349.6"S thence S 41. 02V2' W Emad aleall the sold Mlin rer a dlsta0e0 Of 103.23 toot to Point •15 tU_08586..t4• a. •250281.8n., tbsnct S 51' 32' 03' w gall a,@" the mold MNTL for a distance or 146.23 feel to Polak • I8 (N-88495.48' sad along the said ni,in for a distance or 19 3 Q0167 to Point SV 27' 57' W E•250013.99'): thOAct feet N 30. 27.67' W and along the Bald M1'r1 fer�613.2e'or 315.40 teal to Point -18 (N-06085.14• & E-249854.07'); WAC6 N 40• 2r 57• W and long the said t11tTL far a dlitaute Of 280AC feet to Paint •19 W-89147.B4- a• E-2497S6.03'I: thence N 01. 37. 030 E 41009 ten said MHTL for a distance of 165.00 feet to Paint 020 (N-09312.70' & E-249760.4S7; theses N 16. 2T 56' E sad along the sold MHTL for a dlstaata of 7742 rest to Paint •21 (ll•89387.ZZ• & E-249782.4S•): thence N 18. 4V Sr W and along the mold tiNTL for a distance or S7.66 root to Point •22 (N-69441.81' 8 E-249763.91•): thsnee N 14' 57• 57.5' w tad along the said Mt. ter a. distance of 12BAS feel to POW -23 tN-893".9w i E-249730.737; lbonce N 3ir 26' 33' E and along the sold 165.00 foot to Point 024 (N•89695.14' i Er249833.3sol 1ML for a distance or for a distance or 195.00 reet.tm-Point •25 (N-89575.29' d. E-Z49907 1 ) W OW pd a concrete monument; thence S 13. 16' 39' W for ■ distance of 22.39 teat'te point 026 (N-89333.59• a E-249982.020) sad a c04crots mOAualent; thence S 44- 37 02' E rOr O distance of 269.09 het to Point 027 (ti•89362.88• i E-230171.86a04 e 'j concrete monument: thence N 74' 46, 00' E for a die •20 (N-89383.96. 6 E-250249.30') and a concrete mt of 80.26 hot to Paint 29' E rer a dlotance or 463.59 rest to Point 022 (10891399AW 6 Ee-2 S 56' S0' and a concrete monument; thence N 404 23' 19' E for a dls 506feet t ) Point •30 (N-89239.22. & E-250756.0 h 157.23 rest to 32' 06' E for • distance of•316.58 toot to Point 31 tN-89098.13' & E-251gag. 4Y) tO the Westerly end Curved right or way tine of the sold Junior College Read and a concrete eeeaunosat. Said curve being comes" to !M Southsaal and hula* a radios of 984.84 distance root; .peace SWiy along the SOW curved right or way line tar and are distance of 66.04 feet la Polak •32 (Na8984S.t 1' lk E-25I000.00) Sad a concrete the MINT OF nos N IN0 32. "' W for s distance or 47.66 root back to point •9 Sad the POINT OF BE6INNINO. sold "' more or ream. parcel cantalglno 13.943 acres (607.353 squara foot). EXHIBIT A F_,� kx,6� B THIS INSTRUMENT PREPARED BY: John R. Jenkins, Esquire Rose, Sundstrom & Bentley, LLP 2548 Blairstone Pines Drive Tallahassee, FL 32301 (850) 877-6555 GRANT OF EASEMENT THIS GRANT OF EASEMENT is made this day of , 200_, by (AGrantor@), whose address is to K. W. Resort Utilities Corp., (AGrantee@), whose address is 6450 Junior College Road, Key West, Florida 33040. WITNESSETH, that Grantor, its successors and assigns, for and in consideration of the sum of Ten and No/100 Dollars ($10.00) and other good and valuable consideration to it in hand paid by Grantee, the receipt and sufficiency of which is hereby acknowledged, grants and conveys a utility easement, in perpetuity, over, in, through and under the property described in Exhibit AA@ attached hereto and made a part hereof (Property@). Notwithstanding the foregoing, in the event Grantee discontinues service for any event other than non-payment or default by Grantor then the easement granted shall lapse and expire. 1. Grantor permanently grants, sets over, conveys and delivers to Grantee, it successors and assigns, the nonexclusive right, privilege and easement to construct, reconstruct, lay and install, operate, maintain, relocate, repair, reconnect, replace, improve, remove and inspect sewer transmission and collection facilities, reuse transmission and distribution facilities and all appurtenances thereto, and all appurtenant equipment in, under, upon, over and across the Property with full right to ingress and egress through the Property for the accomplishment of the foregoing rights. 2. This Grant of Easement is a reservation and condition running with the Property and shall be binding upon the successor and assigns of Grantor, all purchasers of the Property and all those persons or entities acquiring right, title or interest in the Property by, through or under Grantor. 3. The Grantor warrants that it is lawfully seized in fee simple of the land upon which the above - described easement is situated, and that it has good and lawful authority to convey said land or any part thereof or interest therein, and said land is free from all encumbrances and that Grantor will warrant and defend the title thereto against the lawful claims of all persons whomsoever. 4. All easements and grants herein shall be utilized in accordance with established generally accepted practices of the water and sewer industry and all rules, regulations, ordinances, and laws established by governmental authorities having jurisdiction over such matters. 5. Grantor retains, reserves and shall continue to enjoy the use of the surface of the above described property for any and all purposes that do not interfere with Grantee=s use of the subject easement, including the right to grant easements for other public utility purposes. Grantor, its successors or assigns, may change the grade above Grantee=s installed facilities, or perform any construction on the surface of the above described property which is permitted hereunder; however, if the change in grade and/or construction requires the lowering relocation and/or protection of Grantee=s installed facilities (such protection to include but not limited to the construction of a vault to protect the pipes), such lowering, relocation and/or protection shall be performed at the sole cost and expense of Grantor, its successors or assigns. 6. If in the future any portion of any driveways, sodded areas, gardens or plantings shall be destroyed, removed, damaged or disturbed in any way by Grantee as a result of Grantee installing, excavating, repairing, maintaining, replacing, reconnecting or attaching any underground sewer mains, lines or related facilities within the foregoing described easement, Grantee=s sole obligation to restore the surface of the easement area shall be limited to the replacement of sod and/or pavement, and Grantee shall have no obligation, nor be responsible or liable for any expense incurred in the replacement of gardens, plantings or trees or any boundary wall, building or structure located in the said easement area which may have been destroyed, removed, damaged or disturbed, IN WITNESS WHEREOF, the undersigned has executed this instrument this day of _, 200_ ed, and delivered in our presence. S Print Name: STATE OF FLORIDA COUNTY OF MONROE Name: The foregoing instrument was acknowledged before me this day of 200 ,by who is personally know to me or who has produced as identification. My Commission Expires: NOTARY PUBLIC BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: Public Works Bulk Item: Yes X No _ Department: Engineering Staff Contact Person/Phone #: Judy Clarke X4329 AGENDA ITEM WORDING: Approval to execute a Contract with EAC Consulting, Inc. for on call engineering services. ITEM BACKGROUND: Miscellaneous engineering services are required for various County projects on an ongoing basis; the Engineering Department advertised a Request for Qualifications (RFQ) and on September 28, 2009, EAC Consulting, Inc was ranked in the top seven of 44 responses. PREVIOUS RELEVANT BOCC ACTION: The BOCC approved advertising the RFQ at the June 2009 BOCC meeting. At the November 18, 2009 meeting the BOCC approved contract negotiations with EAC Consulting, Inc. and six other firms. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval of Contract as requested above. TOTAL COST: n/a INDIRECT COST: n/a BUDGETED: Yes No DIFFERENTIAL OF LOCAL PREFERENCE: COST TO COUNTY: SOURCE OF FUNDS: REVENUE PRODUCING: Yes _ No AMOUNT PER MONTH Year APPROVED BY: County Attl urchasing Risk Management DOCUMENTATION: Included X Not Required DISPOSITION: AGENDA ITEM # revised 7/09 'MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: EAC Consulting, Inc. Contract # Effective: January 20, 2010 Expiration Date: Five years thereafter Contract Purpose/Description: Miscellaneous engineering services for various County projects on an on call basis. Specific tasks and budgets will be awarded by task order as needed. Contract Manager: Judy Clarke 4329 Engineering/#1 (Name) (Ext.) (Department/Stop #) for BOCC meeting on Jan 20, 2010 Agenda Deadline: Jan 5, 2010 CONTRACT COSTS Total Dollar Value of Contract: $ Current Year Portion: $ Budgeted? Yes❑ No ❑ Account Codes: - - - Grant: $ County Match: $ IEstimated Ongoing Costs: $0/yr (Not included in dollar value above) ADDITIONAL COSTS For: CONTRACT REVIEW utilities, janitorial, salaries, etc. Date In Division Director 1-9 - l 0 Changes Needed Reviewer Yes❑ Noa Date Out % �p Risk Management HfD Yes❑ NoE '/ O.M.B./Purchaing 0-0 Yes❑ Noq kIL4 11D County Attorney Qc Yes❑ No[o Comments: 1V1\_r It L Contract for On Call Professional Engineering Services THIS Contract (The AGREEMENT) made and entered into this 20th day of January 2010, by and between Monroe County, a political subdivision of the State of Florida, whose address is 1100 Simonton Street, Key West Florida, 33040, its successors and assigns hereinafter referred to as the "COUNTY," through the Monroe County Board of County Commissioners (BOCC), the Owner And EAC Consulting, Inc., a Corporation of the State of Florida, whose address is 815 NW 57th Avenue, Suite 402, Miami, Florida, 33126, its successors and assigns, hereinafter referred to as "CONSULTANT", WITNESSETH: WHEREAS, COUNTY desires to employ the professional engineering services of CONSULTANT for various County Projects located in Monroe County, Florida and WHEREAS, CONSULTANT has agreed to provide professional services for miscellaneous projects in which construction costs do not exceed $2,000,000.00 The professional services required by this Contract will be for services in the form of a continuing contract, commencing the effective date of this agreement and ending four years thereafter, with options for the County to renew on an annual basis two consecutive times. Specific services will be performed pursuant to individual task orders issued by the COUNTY and agreed to by the CONSULTANT. Task Orders will contain specific scope of work, time schedule, charges and payment conditions, and additional terms and conditions that are applicable to such Task Orders. Execution of a Task Order by the COUNTY and the CONSULTANT constitutes the COUNTY's written authorization to CONSULTANT to proceed with the services described in the Task Order. The terms and conditions of this Agreement shall apply to each Task Order, except to the extent expressly modified. When a Task Order is to modify a provision of this Agreement, the Article of this Agreement to be modified will be specifically referenced in the Task Order and the modification shall be precisely described. NOW, THEREFORE, in consideration of mutual promises, covenants and agreements stated herein, and for other good and valuable consideration, the sufficiency of which is hereby acknowledged, COUNTY and CONSULTANT agree as follows: FORM OF AGREEMENT ARTICLE I 1.1 REPRESENTATIONS AND WARRANTIES By executing this Agreement, the CONSULTANT makes the following express representations and warranties to the COUNTY: 1.1.1 The CONSULTANT shall maintain all necessary licenses, permits or other authorizations necessary to act as CONSULTANT for the Project until the CONSULTANT'S duties hereunder have been satisfied; 1.1.2 The CONSULTANT has become familiar with the Project site and the local conditions under which the Project is to be designed, constructed, and operated; 1.1.3 The CONSULTANT shall prepare all documents required by this Agreement including, but not limited to, all contract plans and specifications, in such a manner that they shall be in conformity and comply with all applicable law, codes and regulations. The CONSULTANT warrants that the documents prepared as a part of this Contract will be adequate and sufficient to accomplish the purposes of the Project, therefore, eliminating any additional construction cost due to missing or incorrect design elements in the contract documents; 1.1.4 The CONSULTANT assumes full responsibility to the extent allowed by law with regards to his performance and those directly under his employ. 1.1.5 The CONSULTANT'S services shall be performed as expeditiously as is consistent with professional skill and care and the orderly progress of the Project. In providing all services pursuant to this agreement, the CONSULTANT shall abide by all statutes, ordinances, rules and regulations pertaining to, or regulating such services, including those now in effect and hereinafter adopted. Any violation of said statutes, ordinances, rules and regulations shall constitute a material breach of this agreement and shall entitle the COUNTY to terminate this agreement immediately upon delivery of written notice of termination to the CONSULTANT. 1.1.6 At all times and for purposes under this agreement the CONSULTANT is an independent contractor and not an employee of the Board of County Commissioners for Monroe County. No statement contained in this agreement shall be construed so as to find the CONSULTANT or any other of his/her employees, contractors, servants, or agents to be employees of the Board of County Commissioners for Monroe County. 1.1.7 The CONSULTANT shall not discriminate against any person based on race, creed, color, national origin, sex, age or any other characteristic or aspect which is not related, in its recruiting, hiring, promoting, terminating, or other area affecting employment under this agreement or with the provision of services or goods under this agreement. ARTICLE II SCOPE OF BASIC SERVICES 2.1.1 The CONSULTANT will perform for the COUNTY services as described in individual Task Orders in accordance with the requirements outlined in the Agreement and the specific Task Order. These services will include, but not be limited to: A. Provide comprehensive transportation engineering design services for road and bridge construction and rehabilitation projects, including design, surveying, drafting, preparing specifications and contract documents, traffic studies, lighting and signalization, geotechnical investigations, permitting, assisting with review of contractor bids, comprehensive project management services, and construction engineering and inspection services. B. Provide comprehensive stormwater and drainage engineering services including design, surveying, feasibility studies, geotechnical investigations, permit preparation, preparing construction plans, specifications and contract documents, assisting with review of contractor bids, comprehensive project management services and construction engineering and inspection services. C. Provide comprehensive environmental engineering services including design, surveying, geotechnical investigations, environmental assessments, water quality studies, sampling analysis and monitoring, permit preparation, preparing construction plans, specifications and contract documents, assisting with review of contractor bids, comprehensive project management services and construction engineering and inspection services. D. Provide comprehensive structural engineering services including design, surveying, facility inspections and assessments, preparing construction plans, specifications and contract documents, permitting, construction administration related to new construction, construction improvements, rehabilitation and/or retrofit of County facilities and buildings. E. Provide general engineering services including but not limited to surveying, drafting, studies and assessments, engineering design, preparation of bid and proposal documents, permitting, assistance with technical review of contractor documents, construction engineering and inspection services for miscellaneous County projects. 2.1.2 The CONSULTANT shall be responsible for performing in accordance with all applicable Florida Department of Transportation (FDOT) manuals, procedures, specifications and guidance for all Local Agency Program (LAP) projects. When a Project is funded through the America Recovery and Reinvestment Act of 2009 (ARRA) and will be administered under the Florida Department of Transportations' Local Agency Program (LAP), the CONSULTANT must be familiar with and must comply with all applicable federal, state and local requirements of these programs. The CONSULTANT shall exercise their independent professional judgment in performing their obligations and responsibilities under this Agreement. Pursuant to Section 4.1.4 of the Florida Department of Transportation's, Construction Project Administration Manual (CPAM), the authority of the Consultant's lead person, such as the Senior Project Engineer, and the Consultant's Project Administrator shall be identical to the Department's Resident Engineer and Project Administrator respectively and shall be interpreted as such. 2.2 CORRECTIONS OF ERRORS, OMMISSIONS, DEFICIENCIES 2.2.1 The CONSULTANT shall, without additional compensation, promptly correct errors, omissions, deficiencies, or conflicts in the work product of the CONSULTANT or its subconsultants, or both. 2.3 NOTICE REQUIREMENTS 2.3.1 All written correspondence to the COUNTY shall be dated and signed by an authorized representative of the CONSULTANT. Any notice required or permitted under this agreement shall be in writing and hand delivered or mailed, postage prepaid, to the COUNTY by certified mail, return receipt requested, to the following: Ms. Judith Clarke, P.E. Monroe County Engineering Services 1100 Simonton St. Rm 2-216 Key West, FL 33040 And:Mr. Roman Gastesi, Jr. County Administrator 1100 Simonton Street Key West, FL 33040 4 For the Consultant: Michael Adeife, P.E. EAC Consulting, Inc. 815 NW 57th Avenue, Suite 402 Miami, Florida, 33126 ARTICLE III ADDITIONAL SERVICES 3.1 The services described in this Article III are not included in Basic Services. They shall be paid for by the COUNTY as provided in this agreement as an addition to the compensation paid for the Basic Services but only if approved by the COUNTY before commencement, and as follows: A. Providing services of CONSULTANT for other than the previously listed consulting scope of Project provided as a part of Basic Services. B. Providing any other services not otherwise included in this Agreement or not customarily furnished in accordance with generally accepted consulting practice. C. Providing representation before public bodies in connection with the Project, upon approval by the COUNTY. 3.2 If Additional Services are required, such as those listed above, the COUNTY shall issue a letter requesting and describing the requested services to the CONSULTANT. The CONSULTANT shall respond with fee proposal to perform the requested services. Only after receiving an amendment to the Agreement and a notice to proceed from the COUNTY, shall the CONSULTANT proceed with the Additional Services. ARTICLE IV COUNTY'S RESPONSIBILITIES 4.1 The COUNTY shall provide full information regarding requirements for the project including physical location of work, county maintained roads and maps. 4.2 The COUNTY shall designate Monroe County Engineering Services Department to act on the COUNTY'S behalf with respects to the Project. The COUNTY or Monroe County Engineering Services Department shall render decisions in a timely manner pertaining to documents submitted by the CONSULTANT in order to avoid unreasonable delay in the orderly and sequential progress of the CONSULTANTS services. 4.3 Prompt written notice shall be given by the COUNTY and its representative to the CONSULTANT if they become aware of any fault or defect in the Project or nonconformance with the Agreement Documents. Written notice shall be deemed to have been duly served if sent pursuant to paragraph 2.3. 4.4 The COUNTY shall furnish the required information and services and shall render approvals and decisions as expeditiously as necessary for the orderly progress of the Consultants services and work of the contractors. 4.5 The COUNTY'S review of any documents prepared by the CONSULTANT or its subconsultants shall be solely for the purpose of determining whether such documents are generally consistent with the COUNTY'S criteria, as, and if, modified. No review of such documents shall relieve the CONSULTANT of responsibility for the accuracy, adequacy, fitness, suitability or coordination of its work product. 4.6 The COUNTY shall provide copies of necessary documents required to complete the work. 4.7 Any information that may be of assistance to the CONSULTANT that the COUNTY has immediate access to will be provided as requested. ARTICLE V INDEMNIFICATION AND HOLD HARMLESS 5.1.1 The CONSULTANT covenants and agrees to indemnify and hold harmless COUNTY/Monroe County and Monroe County Board of County Commissioners from any and all claims for bodily injury, including death, personal injury, and property damage, including property owned by Monroe County, and any other losses, damages, and expenses, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the CONSULTANT or Subcontractor(s) in any tier, occasioned by the negligence, errors, or other wrongful act or omission of the CONSULTANT in any tier, their employees, or agents. 5.1.2 The first ten dollars ($10.00) of remuneration paid to the CONSULTANT is for the indemnification provided for above. The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. Should any claims be asserted against the COUNTY by virtue of any deficiency or ambiguity in the plans and specifications provided by the CONSULTANT, the CONSULTANT agrees and warrants that he shall hold the COUNTY harmless and shall indemnify him from all losses occurring thereby and shall further defend any claim or action on the COUNTY'S behalf. 5.1.3 In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the CONSULTANT'S failure to purchase or maintain the required insurance, the CONSULTANT shall indemnify COUNTY 6 from any and all increased expenses resulting from such delays. Should any claims be asserted against COUNTY by virtue of any deficiencies or ambiguity in the plans and specifications provide by the CONSULTANT the CONSULTANT agrees and warrants that CONSULTANT hold the COUNTY harmless and shall indemnify it from all losses occurring thereby and shall further defend any claims or action on the COUNTY'S behalf. 5.1.4 The extent of liability is in no way limited to, reduced or lessened by the insurance requirements contained elsewhere within the Agreement. 5.1.5 This indemnification shall survive the expiration or early termination of the Agreement. ARTICLE VI PERSONNEL 6.1 PERSONNEL The CONSULTANT shall assign only qualified personnel to perform any service concerning the project. At the time of execution of this Agreement, the parties anticipate that the following named individuals will perform those functions as indicated: NAM ftQorN O�J d17 � E F CTION�Aq o'J AaAo- So long as the individuals named above remain actively employed or retained by the CONSULTANT, they shall perform the functions indicated next to their names. If they are replaced the CONSULTANT shall notify the COUNTY of the change immediately. ARTICLE VII PAYMENTS 7.1 PAYMENT SUM 7.1.1 The COUNTY shall pay the CONSULTANT in current funds for the CONSULTANT'S performance of this Agreement based on rates negotiated and agreed upon and shown in Exhibit B. 7.2 PAYMENTS 7.2.1 For its assumption and performances of the duties, obligations and responsibilities set forth herein, the CONSULTANT shall be paid monthly. (A) If the CONSULTANT'S duties, obligations and responsibilities are materially changed by amendment to this agreement after execution of this Agreement, compensation due to the CONSULTANT shall be equitably adjusted, either upward or downward; (B) As a condition precedent for any payment due under this Agreement, the CONSULTANT shall submit monthly, unless otherwise agreed in writing by the COUNTY, an invoice to the COUNTY requesting payment for services properly rendered and reimbursable expenses due hereunder. The CONSULTANT'S invoice shall describe with reasonable particularity the service rendered. The CONSULTANT'S invoice shall be accompanied by such documentation or data in support of expenses for which payment is sought that the COUNTY may require. (C) For the performance of the optional additional services and contingent additional services described in Article III of this contract, provided same are first authorized in writing by the COUNTY, the CONSULTANT shall be paid hourly at the rates identified in Exhibit B, or as negotiated. 7.3 REIMBURSABLE EXPENSES 7.3.1 Reimbursable expenses include expenses incurred by the CONSULTANT in the interest of the Project: a. Expenses of transportation submitted by CONSULTANT, in writing, and living expenses in connection with travel authorized by the COUNTY, in writing, but only to the extent and in the amounts authorized by Section 112.061, Florida Statutes; b. Cost of reproducing maps or drawings or other materials used in performing the scope of services; c. Postage and handling of reports; 7.4 BUDGET 7.4.1 The CONSULANT may not be entitled to receive, and the COUNTY is not obligated to pay, any fees or expenses in excess of the amount budgeted for this Agreement in each fiscal year (October 1- September 30) by COUNTY'S Board of County Commissioners. The budgeted amount may only be modified by an affirmative act of the COUNTY'S Board of County Commissioners. 7.4.2 AVAILABILITY OF FUNDS. If funding cannot be obtained or cannot be continued at a level sufficient to allow for continued reimbursement of expenditures for services specified in the Task Order, the agreement may be terminated immediately at the option of the COUNTY by written notice of termination delivered to the CONSULTANT. The COUNTY shall not be obligated to pay for any services provided by the CONSULTANT after the CONSULTANT has received written notice of termination, unless otherwise required by law. 7.4.3 The COUNTY does not guarantee CONSULTANT any specific amount of work or task orders under this agreement. ARTICLE VIII 8.1 INSURANCE 8.1.1 The CONSULTANT shall obtain insurance as specified and maintain the required insurance at all times that this Agreement is in effect. In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the CONSULTANT'S failure to purchase or maintain the required insurance, the CONSULTANT shall indemnify the COUNTY from any and all increased expenses resulting from such delay. 8.1.2 The coverage provided herein shall be provided by an insurer with an A.M. Best Rating of VI or better, that is licensed to do business in the State of Florida and that has an agent for service of process within the State of Florida. The insurance certificate shall contain an endorsement providing sixty (60) days notice to the COUNTY prior to any cancellation of said coverage. Said coverage shall be written by an insurer acceptable to the COUNTY and shall be in a form acceptable to the COUNTY. 8.1.3 CONSULTANT shall obtain and maintain the following policies: A. Workers' Compensation insurance as required by the State of Florida, sufficient to respond to Chapter 440, Florida Statutes. B. Employers Liability Insurance with limits of $1,000,000 per Accident, $1,000,000 Disease, policy limits, $1,000,000 Disease each employee. C. Comprehensive business automobile and vehicle liability insurance covering claims for injuries to members of the public and/or damages to property of others arising from use of motor vehicles, including onsite and offsite operations, and owned, hired or non -owned vehicles, with One Million Dollars ($1,000,000.00) combined single limit and One Million Dollars ($1,000,000.00) annual aggregate. 7 D. Commercial general liability, including Personal Injury Liability insurance covering claims for injuries to members of the public or damage to property of others arising out of any covered act or omission of the CONSULTANT or any of its employees, agents or subcontractors or subconsultants, including Premises and/or Operations, Products and Completed Operations, Independent Contractors; Broad Form Property Damage and a Contractual Liability Endorsement with One Million Dollars ($1,000,000) per occurrence and annual aggregate. An Occurrence Form policy is preferred. If coverage is changed to or provided on a Claims Made policy, its provisions should include coverage for claims filed on or after the effective date of this Agreement. In addition, the period for which they may be reported must extend for a minimum of 48 months following the termination or expiration of this Agreement. E. Professional liability insurance of One Million Dollars ($1,000,000.00) per claim and Two Million Dollars ($2,000,000.00) annual aggregate. If the policy is a "claims made" policy, CONSULTANT shall maintain coverage or purchase a "tail' to cover claims made after completion of the project to cover the statutory time limits in Chapter 95 of the Florida Statutes. F. COUNTY shall be named as an additional insured with respect to CONSULTANTS liabilities hereunder in insurance coverage identified in Paragraphs C and D. G. CONSULTANT shall require its subconsultants to be adequately insured at least to the limits prescribed above, and to any increased limits of CONSULTANT if so required by COUNTY during the term of this Agreement. COUNTY will not pay for increased limits of insurance for subconsultants. H. CONSULTANT shall provide to the COUNTY certificates of insurance or a copy of all insurance policies including those naming the COUNTY as an additional insured by including any subsection hereunder. The COUNTY reserves the right to require a certified copy of such policies upon request. I. If the CONSULTANT participates in a self-insurance fund, a Certificate of Insurance will be required. In addition, the CONSULTANT may be required to submit updated financial statements from the fund upon request from the COUNTY. 8.2 APPLICABLE LAW This contract is governed by the laws of the State of Florida. Venue for any litigation arising under this contract must be in Monroe County, Florida. H ARTICLE IX MISCELLANEOUS 9.1 SECTION HEADINGS Section headings have been inserted in this Agreement as a matter of convenience of reference only, and that it is agreed that such section headings are not a part of this Agreement and will not be use in the interpretation of any provisions of this Agreement. 9.2 OWNERSHIP OF THE PROJECT DOCUMENTS The documents prepared by the CONSULTANT for this Project belong to the COUNTY and may be reproduced and copied without acknowledgement or permission of the CONSULTANT. 9.3 SUCCESSORS AND ASSIGNS The CONSULTANT shall not assign or subcontract its obligations under this Agreement except in writing and with the prior written approval of the Board of County Commissioners for Monroe County and the CONSULTANT, which approval shall be subject to such conditions and provisions as the Board may deem necessary. This paragraph shall be incorporated by reference into any assignment or subcontract and any assignee or subcontractor shall comply with all of the provisions of this Agreement. Subject to the provisions of the immediately proceeding sentence, each party hereto binds itself, its successors, assignees and legal representatives to the other and to the successors, assigns and legal representatives of such other party. The CONSULTANT shall not assign its right hereunder, excepting its right to payment, nor shall it delegate any of its duties hereunder without the written consent of the COUNTY. 9.4 NO THIRD PARTY BENEFICIARIES Nothing contained herein shall create any relationship, contractual or otherwise, with or any rights in favor of, any third party. 9.5 TERMINATION A. In the event the CONSULTANT shall be found to be negligent in any aspect of service, the COUNTY shall have the right to terminate this Agreement after five days written notification to the CONSULTANT. B. The County may terminate this Agreement without cause by giving the other party sixty (60) days written notice of its intention to do so. 9.6 CONTRACT DOCUMENTS The contract documents consist of the Request for Qualifications (RFQ), any addenda, the Form of Agreement (Articles I-XV), the CONSULTANTS response to the RFQ, the II documents referred to in the Form of Agreement as a part of this Agreement, and the attachments A and Exhibit B and modifications made after execution by written amendment. In the event any conflict between any of those Agreement documents, the one imposing the greater burden on the CONSULTANT will control. 9.7 PUBLIC ENTITIES CRIMES A person or affiliate who has been place on the convicted vendor list following a conviction for public entity crime may not submit a bid on contracts to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017 of the Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list. By signing this Agreement, CONSULTANT represents that the execution of this Agreement will not violate the Public Entity Crimes Act (Section 287.133, Florida Statutes), Violation of this section shall result in termination of this Agreement and recovery of all moneys paid hereto, and may result in debarment from COUNTY'S competitive procurement activities. In addition to the foregoing, CONSULTANT further represents that there has been no determination, based on an audit that it or any subconsultant has committed an act defined by Section 287.133, as "public entity crime", and that it has not been formally charged with committing an act defined as a "public entity crime" regardless of the amount of money involved or whether CONSULTANT has been placed on the convicted vendor list. CONSULTANT will promptly notify the COUNTY if it or any subcontractor or subconsultant is formally charged with an act defined as a "public entity crime" or has been placed on the convicted vendor list. 9.8 MAINTENANCE OF RECORDS CONSULTANT shall maintain all books, records, and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. Records shall be retained for a period of five years from the termination of this Agreement. Each party to this Agreement or their authorized representatives shall have reasonable and timely access to such records of each other party to this Agreement for public records purposes during the term of the Agreement and for four years following the termination of this Agreement. If an auditor employed by the County or Clerk determines that monies paid to CONSULTANT pursuant to this Agreement were spent for purposes not authorized by this Agreement, the 12 CONSULTANT shall repay the monies together with interest calculated pursuant to Sec. 55.03, FS, running from the date the monies were paid to County. 9.9 GOVERNING LAW, VENUE, INTERPERTATION, COST AND FEES This Agreement shall be governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Agreement, COUNTY and CONSULTANT agree that venue will lie in the 16TH Judicial Circuit, Monroe County, Florida, in the appropriate court or before the appropriate administrative body in Monroe County, Florida. This Agreement shall not be subject to arbitration. The County and CONSULTANT agree that, in the event of conflicting interpretations of the terms or a term of this Agreement by or between any of them the issue shall be submitted to mediation prior to the institution of any other administrative or legal proceeding. 9.10 SEVERABILITY If any term, covenant, condition or provision of this Agreement (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Agreement, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Agreement shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Agreement would prevent the accomplishment of the original intent of this Agreement. The County and CONSULTANT agree to reform the Agreement to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. 9.11 ATTORNEY'S FEES AND COSTS The COUNTY and CONSULTANT agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees and court costs expenses, as an award against the non - prevailing party, and shall include attorney's fees and courts costs expenses in appellate proceedings, as an award against the non -prevailing party. Mediation proceedings initiated and conducted pursuant to this Agreement shall be in accordance with the Florida Rules of Civil Procedure and usual and customary procedures required by the circuit court of Monroe County. 9.12 BINDING EFFECT The terms, covenants, conditions, and provisions of this Agreement shall bind and inure to the benefit of the COUNTY and CONSULTANT and their respective legal representatives, successors, and assigns. 13 9.13 AUTHORITY Each party represents and warrants to the other that the execution, delivery and performance of this Agreement have been duly authorized by all necessary COUNTY and corporate action, as required by law. 9.14 CLAIMS FOR FEDERAL OR STATE AID CONSULTANT and COUNTY agree that each shall be, and is, empowered to apply for, seek, and obtain federal and state funds to further the purpose of this Agreement; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission. 9.15 ADJUDICATION OF DISPUTES OR DISAGREEMENTS COUNTY and CONSULTANT agree that all disputes and disagreements shall be attempted to be resolved by meet and confer sessions between representatives of each of the parties. If no resolution can be agreed upon within 30 days after the first meet and confer session, the issue or issues shall be discussed at a public meeting of the Board of County Commissioners. If the issue or issues are still not resolved to the satisfaction of the parties, then any party shall have the right to seek such relief or remedy as may be provided by this Agreement or by Florida law. This provision does not negate or waive the provisions of paragraph 9.5 concerning termination or cancellation. 9.16 COOPERATION In the event any administrative or legal proceeding is instituted against either party relating to the formation, execution, performance, or breach of this Agreement, COUNTY and CONSULTANT agree to participate, to the extent required by the other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Agreement or provision of the services under this Agreement. COUNTY and CONSULTANT specifically agree that no party to this Agreement shall be required to enter into any arbitration proceedings related to this Agreement. 9.17 NON DISCRIMINATION CONSULTANT and COUNTY agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent jurisdiction that discrimination has occurred, this Agreement automatically terminates without any further action on the part of any party, effective the date of the court order. CONSULTANT and COUNTY agree to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss. 1681-1683, and 1685-1686), 14 which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975, as amended (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patent records; 8) Title VIII of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. 1201 Note), as maybe amended from time to time, relating to nondiscrimination on the basis of disability; 10) Any other nondiscrimination provisions in any Federal or state statutes which may apply to the parties to, or the subject matter of, this Agreement. 9.18 COVENANT OF NO INTEREST CONSULTANT and COUNTY covenant that neither presently has any interest, and shall not acquire any interest, which would conflict in any manner or degree with its performance under this Agreement, and that only interest of each is to perform and receive benefits as recited in this Agreement. 9.19 CODE OF ETHICS COUNTY agrees that officers and employees of the COUNTY recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112.313, Florida Statutes, regarding, but not limited to, solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. 9.20 NO SOLICITATION/PAYMENT The CONSULTANT and COUNTY warrant that, in respect to itself, it has neither employed nor retained any company or person, other than a bona fide employee working solely for it, to solicit or secure this Agreement and that it has not paid or agreed to pay any person, company, corporation, individual, or firm, other than a bona fide employee working solely for it, any fee, commission, percentage, gift, or other consideration contingent upon or resulting from the award or making of this Agreement. For the breach or violation of the provision, the CONSULTANT agrees that the COUNTY shall have 15 the right to terminate this Agreement without liability and, at its discretion, to offset from monies owed, or otherwise recover, the full amount of such fee, commission, percentage, gift, or consideration. 9.21 PUBLIC ACCESS The CONSULTANT and COUNTY shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the CONSULTANT and COUNTY in conjunction with this Agreement; and the COUNTY shall have the right to unilaterally cancel this Agreement upon violation of this provision by CONSULTANT. 9.22 NON -WAIVER OF IMMUNITY Notwithstanding the provisions of Sec. 768.28, Florida Statutes, the participation of the CONSULTANT and the COUNTY in this Agreement and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government liability insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any contract entered into by the COUNTY be required to contain any provision for waiver. 9.23 PRIVILEGES AND IMMUNITY All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the COUNTY, when performing their respective functions under this Agreement within the territorial limits of the COUNTY shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the COUNTY. 9.24 LEGAL OBLIGATIONS AND RESPONSIBILITIES Non -Delegation of Constitutional or Statutory Duties. This Agreement is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the COUNTY, except to the extent permitted by the Florida constitution, state statute, and case law. 9.25 NON -RELIANCE BY NON-PARTIES 16 No person or entity shall be entitled to rely upon the terms, or any of them, of this Agreement to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the CONSULTANT and the COUNTY agree that neither the CONSULTANT nor the COUNTY or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity or entities, have entitlements or benefits under this Agreement separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Agreement. 9.26 ATTESTATIONS AND TRUTH IN NEGOTATION CONSULTANT agrees to execute such documents as the COUNTY may reasonably require including a Public Entity Crime Statement, an Ethics Statement, and a Drug -Free Workplace Statement. Signature of this Agreement by CONSULTANT shall act as the execution of a truth in negotiation certificate stating that wage rates and other factual unit costs supporting the compensation pursuant to the Agreement are accurate, complete, and current at the time of contracting. The original contract price and any additions thereto shall be adjusted to exclude significant sums by which the agency determines the contract price was increased due to inaccurate, incomplete, or concurrent wage rates and other factual unit costs. All such adjustments must be made within one year following the end of the Agreement. 9.27 NO PERSONAL LIABILITY No covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Agreement or be subject to any personal liability or accountability by reason of the execution of this Agreement. 9.28 EXECUTION IN COUNTERPARTS This Agreement may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken together shall constitute one and the same instrument and any of the parties hereto may execute this Agreement by singing any such counterpart. 9.29 FEDERAL HIGHWAY ADNIINISTRATION REQUIREMENTS Following forms and provisions are incorporated in and made part of this Agreement. 9.29.1 Davis -Bacon Act — In accordance with the Davis -Bacon Act the Consultant or their subcontractors shall pay workers employed directly upon the site of the work no less than the locally prevailing wages and fringe benefits paid on projects of a similar character. The current wage rates can be found at: WWW.access eao aov/davisbacon/fl html under Monroe County. 17 9.29.2 Americans with Disabilities Act of 1990 (ADA) The CONSULTANT will comply with all the requirements as imposed by the ADA, the regulations of the Federal government issued thereunder, and the assurance by the CONSULTANT pursuant thereto. 9.29.3 DISADVANTAGED BUSINESS ENTERPRISE (DBE)POLICY AND OBLIGATION It is the policy of the COUNTY that DBE's, as defined in C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole or in part with COUNTY funds under this Agreement. The DBE requirements of applicable federal and state laws and regulations apply to this Agreement. The COUNTY and its CONSULTANT agree to ensure that DBE's have the opportunity to participate in the performance of the Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with applicable federal and state laws and regulations to ensure that DBE's have the opportunity to compete and perform contracts. The COUNTY and the CONSULTANT and subcontractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts, entered pursuant to this Agreement. 9.29.4 CONVICT LABOR The convict labor prohibition in 23 U.S.C. 114 applies to Federal Aid construction projects. Convict labor cannot be used for Federal Aid construction projects. 9.29.5 FHWA Form 1273 is attached hereto as Attachment A and made a part of this Agreement. IN WITNESS WHEREOF, each party caused this Agreement to be executed by its duly authorized representative on the day and year first above written. (SEAL) Attest: DANNY L. KOLHAGE, Clerk By: Deputy Clerk Date: BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman CHRISTIt E M. Ufi 1_31 ASSISTANTCO1;`1iY".;;"i,;;; Y 18 On`' (Seal)CONSULT Attest: By: Title: / �e i ctaA By: WITNESS WITNESS END OF AGREEMENT 19 ATTACHMENT A REQUIRED CONTRACT PROVISIONS FEDERAL -AID CONSTRUCTION CONTRACTS 1. General Page Nondiscrimination ............................. 1 III. Nonsegregated Facilities .............. 3 IV. Payment of Predetermined Minimum Wage ......... 3 V. Statements and Payrolls ...... 5 VI. Record of Materials, Supplies, and Labor ........... 5 VII. Subletting or Assigning the Contract ............... 5 Vill. Safety: Accident Prevention . 6 IX. False Statements Concerning Highway Projects ...... 6 X. Implementation of Clean Air Act and Federal Water Pollution Control Act ...................... 6 XI. Certification Regarding Debarment, Suspension, Ineligibility, Voluntary and Exclusion .. .... ....... 6 XII. Certification Regarding Use of Contract Funds for Lobbying.................................... 8 ATTACHMENTS A. Employment Preference for Appalachian Contracts (included in Appalachian contracts only) I. GENERAL 1. These contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superinten- dence and to all work performed on the contract by piecework, station work, or by subcontract. 2. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Contract Provisions shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Contract Provisions. 3. A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for termination of the contract. 4. A breach of the following clauses of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5.12: Section I, paragraph 2; Section IV, paragraphs 1, 2, 3, 4, and 7; Section V, paragraphs 1 and 2a through 2g. 5. Disputes arising out of the labor standards provisions of Section IV (except paragraph 5) and Section V of these Required Contract Provisions shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractor's employees or their representatives. 6. Selection of Labor: During the performance of this contract, the contractor shall not: a. discriminate against labor from any other State, possession, or territory of the United States (except for employment Preference for Appalachian contracts, when applicable, as specified in Attachment A), or b. employ convict labor for any purpose within the limits of the project unless it is labor performed by convicts who are on parole, supervised release, or probation. If. NONDISCRIMINATION (Applicable to all Federal -aid construction contracts and to all Form FHWA-1273 (Rev. 3-94) related subcontracts of $10,000 or more.) 1. Equal Employment Opportunity: Equal employment opportu- nity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunittyy asset forth under laws, executive orders, rules, regulations (28 CM 35, 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract. The Equal Opportu- nity Construction Contract Specifications set forth under 41 CFR 60- 4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporates by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO: a. The contractor will work with the State highway agency (SHA) and the Federal Government in carrying out EEO obligations and in their review of his/her activities under the contract. b. The contractor will accept as his operating policy the following statement: .It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of Pay or other forms of compensation; and selection for training, including apprentice- ship, preapprenticeship, and/or on-the-job training." 2. EEO Officer: The contractor will designate and make known to the SHA contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so. 3. Dissemination of Policy: All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved In such action, will be made fully cognizant of, and will implement, the contractor's EEO policy and contractual responsibili- ties to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractor's EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer. b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor. C. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor's procedures for locating and hiring minority group employees. d. Notices and posters setting forth the contractor's EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees. e. The contractor's EEO policy and the procedures to imple- ment such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means. 4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such advertisements will be placed Page 1 in publications having a large circulation among minority groups in the area from which the project work force would normally be derived. a. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractor for employment consider- ation. b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, he is expected to observe the provisions of that agreement to the extent that the system permits the contractor's compliance with EEO contract provisions. (The DOL has held that where implementation of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) c. The contractor will encourage his present employees to refer minority group applicants for employment. Information and proce- dures with regard to referring minority group applicants will be discussed with employees. 5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed: a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discrimi- natory wage practices. c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimina- tion. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons. d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such com- plaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal. 6. Training and Promotion: a. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment. b. Consistent with the contractor's workforce requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. Where feasible, 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training. in the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. c. The contractor will advise employees and applicants for employment of available training programs and entrance require- ments for each. d. The contractor will periodically review the training and promotion potential of minority group and women employees and will encourage eligible employees to apply for such training and promo- tion. 7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use his/her best efforts to obtain the cooperation of such unions to increase opportunities for minority groups and women within the unions, and to effect referrals by such unions of minority and female employees. Actions by the contractor either directly or through a contractor's association acting as agent will include the procedures set forth below: a. The contractor will use best efforts to develop, in coopera- tion with the unions, joint training programs aimed toward qualifying more minority group members and women for membership in the unions and increasing the skills of minority group employees and women so that they may qualify for higher paying employment. b. The contractor will use best efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability. c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the SHA and shall set forth what efforts have been made to obtain such information. d. In the event the union is unable to provide the contractor with a reasonable flow of minority and women referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minority group persons and women. (The DOL has held that it shall be no excuse that the union with which the contractor has a collective bargaining agreement providing for exclusive referral failed to refer minority employees.) in the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the SHA. 8. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procure- ment of materials and leases of equipment. a. The contractor shall notify all potential subcontractors and suppliers of his/her EEO obligations under this contract. b. Disadvantaged business enterprises (DBE), as defined in 49 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construction firms from SHA personnel. c. The contractor will use his best efforts to ensure subcontrac- tor compliance with their EEO obligations. 9. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by authorized representatives of the SHA and the FHWA. a. The records kept by the contractor shall document the following: (1) The number of minority and non -minority group members and women employed in each work classification on the project; (2) The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; (3) The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minority and female employees; and (4) The progress and efforts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees. b. The contractors will submit an annual report to the SHA Page 2 Form FHWA-1273 (Rev. 3-94) each July for the duration of the project, indicating the number of minority, women, and non -minority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA-1391. If on -the job training is being required by special provision, the contractor will be required to collect and report training data. III. NONSEGREGATED FACILITIES (Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more.) a. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, as appropriate, the bidder, Federal -aid construc- tion contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The firm agrees that a breach of this certification is a violation of the EEO provisions of this contract. The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. b. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, timeclocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit , directive, or are, in fact, segregated on the basis of race, color religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parki c. The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. IV. PAYMENT OF PREDETERMINED MINIMUM WAGE 0atle to trfor exceeding$2,00and o all related subcontracts, construction except projects located roadways classified as local roads or rural minor collectors, which are exempt.) 1. General: a. All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction or rebate on any account [except such payroll deductions as are permitted by regulations (29 CFR 3) issued by the Secretary of Labor under the Copeland Act (40 U.S.C. 276c)J the full amounts of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of e rates not less than those contained in the wage determiayment. The payment shall be nation d at g ti n o the Secretary of Labor (hereinafter "the wage determination") which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor or its subcon- tractors and such laborers and mechanics. The wage determination (including any additional classifications and wage rates conformed under paragraph 2 of this Section IV and the DOL poster (WH-1321) or Form FHWA-1495) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1(b)(2) of the Davis -Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of Section IV, paragraph 3b, hereof. Also, for the purpose of this Section, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage deter minationrd to for the classification of work actually performed, without rega skill, except as provided in paragraphs 4 and 5 of this Section red Form FHWA-1273 (Rev. 3-94) b. Laborers or mechanics performing work in more than one classification may be compensated at the rate specifiedfor each classification for the time actually worked therein, provided, that the employees payroll records accurately set forth the time spent in each classification in which work is performed. c. All rulings and interpretations of the Davis -Bacon Act and related acts contained in 29 CFR 1, 3, and 5 are herein incorporated by reference in this contract. 2. Classification: a. The SHA contracting officer shall require that any class of laborers or mechanics employed under the contract, which is not listed in the wage determination, shall be classified in conformance with the wage determination. b. The contracting officer shall approve an additional classifica- tion, wage rate and fringe benefits only when the following criteria have been met: classifica- tion requestedh s not to be performed byea c lassificatioinn in the age determination; (2) the additional classification is utilized in the area by the construction industry; benefits, bears aereasonablerelationshiposed to the wage rates containbona fide ed in the wage determination; and (4) with respect to helpers, when such a classification prevails in the area in which the work is performed. c. If the contractor or subcontractors, as appropriate, the laborers and mechanics (if known) to be employed in the additional classification or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the DOL, Administratorof the Wage and Hour Division, Employment Standards Administration, Washington, D.C. 20210. The Wage and Hour Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contract- ing officer within the 30-day period that additional time is necessary. d. In the event the contractor or subcontractors, as appropri- ate, the laborers or mechanics to be employed in the additional classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorizedrepresentative, will issue a determina- tion within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary e. The wage rate (including fringe benefits where appropriate) determined pursuant to paragraph 2c or 2d of this Section IV shall be paid to all workers performing work in the additional classification from the first day on which work is performed in the classification. 3. Payment of Fringe Benefits: a. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor or subcontractors, as appropriate, shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof. b. if the contractor or subcontractor, as appropriate, does not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. Page 3 4. Apprentices and Trainees (Programs of the U.S. DOL) and Helpers: a. Apprentices: (1) Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau, or if a person is employed in his/her first 90 days of probationary employ- ment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State apprenticeship agency (where appropriate) to be eligible for probationary employ- ment as an apprentice. (2) The allowable ratio of apprentices to joumeyman-level employees on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is Performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman -level hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. (3) Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeyman -level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. (4) In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, with- draws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work performed by regular employees until an acceptable program is approved. b. Trainees: (1) Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the DOL, Employment and Training Administration. (2) The ratio of trainees to journeyman -level employees on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. (3) Every trainee must be paid at not less than the rate specified in the approved program for his/her level of progress, expressed as a percentage of the journeyman -level hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associ- ated with the corresponding journeyman -level wage rate on the wage determination which provides for less than full fringe benefits for apprentices, in which case such trainees shall receive the same fringe benefits as apprentices. (4) In the event the Employment and Training Administra- tion withdraws approval of a training program, the contractor or subcontractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. c. Helpers: Helpers will be permitted to work on a project if the helper classification is specified and defined on the applicable wage determination or is approved pursuant to the conformance procedure set forth in Section IV.2. Any worker listed on a payroll at a helper wage rate, who is not a helper under a approved definition, shall be paid not less than the applicable wage rate on the wage determina- tion for the classification of work actually performed. 5. Apprentices and Trainees (Programs of the U.S. DOT): Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal -aid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to journeymen shall not be greater than permitted by the terms of the particular program. 6. Withholding: The SHA shall upon its own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other Federally -assisted contract subject to Davis -Bacon prevailing wage requirements which is held by the same prime contractor, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontrac- tor the full amount of wages required Ity the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the SHA contracting officer may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. 7. Overtime Requirements: No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers, mechanics, watchmen, or guards (including apprentices, trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, watchman, or guard in any workweek in which he/she is employed on such work, to work in excess of 40 hours in such workweek unless such laborer, mechanic, watchman, or guard receives compensation at a rate not less than one -and -one-half times his/her basic rate of pay for all hours worked in excess of 40 hours in such workweek. 8. Violation: Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the clause set forth in paragraph 7 above, the contractor and any subcontractor responsible thereof shall be liable to the affected employee for his/her 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 liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer, mechanic, watchman, or guard employed in violation of the clause set forth in paragraph 7, in the sum of $10 for each calendar day on which such employee was required or permit- ted to work in excess of the standard work week of 40 hours without payment of the overtime wages required by the clause set forth in paragraph 7. 9. Withholding for Unpaid Wages and Liquidated Damages: Page Form FHWA-1273 (Rev. 3-94) The SHA shall upon its own action or upon written request of any authorized representative of the DOL withhold, or cause to be withheld, from any monies 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 sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 8 above. V. STATEMENTS AND PAYROLLS icable all $2� 00land to allrelatedrelated surbcontractss except for projects locatedtruction contracts exceeding roadways classified as local roads or rural collectors, which are exempt.) I. Compliance with Copeland Regulations (29 CFR 3): The contractor shall comply with the Copeland Regulations of the Secretary of Labor which are herein incorporated by reference. 2. Payrolls and Payroll Records: a. Payrolls and basic records relating thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics, apprentices, trainees, watchmen, helpers, and guards working at the site of the work. b. The payroll records shall contain the name, social security number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contribu- tions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. In addition, for Appala- chian contracts, the payroll records shall contain a notation indicating whether the employee does, or does not, normally reside in the labor area as defined in Attachment A, paragraph 1. Whenever the Secretary of Labor, pursuant to Section IV, paragraph 3b, has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1(b)(2)(B) of the Davis Bacon Act, the contractorand each subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprentices and trainees, and ratios and wage rates prescribed in the applicable programs. c. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the SHA resident engineer a payroll of wages paid each of its employees (including apprentices, trainees, and helpers, described in Section IV, para- graphs 4 and 5, and watchmen and guards engaged on work during the preceding weekly payroll period). The payroll submitted shall set out accurately and completely all of the information required to be maintained under paragraph 2b of this Section V. This information may be submitted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superin- tendent of Documents (Federal stock number 029-005-0014-1), U.S. Government Printing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. d. Each payroll submitted shall be accompanied by a "State- ment of Compliance," signed by the contractor or subcontractor or his/her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this Section V and that such information is correct and complete; (2) that such laborer or mechanic (including each helper, apprentice, and trainee) employed on he contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made Form FHWA-1273 (Rev. 3-94) either directly or indirectly from the full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR 3; (3) that each laborer or mechanic has been paid not less that the applicable wage rate and fringe benefits or cash equivalent for the classification of worked performed, as specified in the applicable wage determination incorporated into the contract. e. The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph 2d of this Section V. f. The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 231. g. The contractor or subcontractor shall make the records required under paragraph 2b of this Section V available for inspec- tion, copying, or transcription by authorized representatives of the SHA, the FHWA, or the DOL, and shall permit such representatives to interview employees during working hours he required the job. If the contractor or make hem available, t the SHAractor , the FHWA,to submit the he DOL, oar all may, after written notice to the contractor, sponsor, applicant, or owner, take such actions as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR 1. On all Federal -aid contracts on the National Highway System, except those which provide solely for the installation of protective devices at railroad grade crossings, those which are constructed on a force account or direct labor basis, highway beautification contracts,, totaland contracts for which the final construction cost for roadwa and bridge is less than $1 000,000 (23 CFR 635) he contractor shall: a. Become familiar with the list of specific materials and supplies contained in Form FHWA-47, "Statement of Materials and Labor Used by Contractor of Highway Construction Involving Federal Funds," prior to the commencement of work under this contract. b. Maintain a record of the total cost of all materials and supplies purchased for and incorporated in the work, and also of the quantities of those specific materials and supplies listed on Form FHWA-47, and in the units shown on Form FHWA-47. c. Furnish, upon the completion of the contract, to the SHA resident engineer on Form FHWA-47 together with the data required in paragraph 1b relative to materials and supplies, a final labor summary of all contract work indicating the total hours worked and the total amount earned. 2. At the prime contractor's option, either a single report covering all contract work or separate reports for the contractor and for each subcontract shall be submitted. VII. SUBLETTING OR ASSIGNING THE CONTRACT 1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the State. Speciafty items may be performed by subcontract and the amount of any such specialtyitems performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor's own organization (23 CFR 635). only workers employed and shall dpaid dire lyby he p me contractor be construed to eand equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of Page 5 a subcontractor, assignee, or agent of the prime contractor b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid on the contract as a whole and in general are to be limited to minor components of the overall contract. 2. The contract amount upon which the requirements set forth in paragraph 1 of Section VII is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions. 3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract require- ments, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the SHA contracting officer determines is necessary to assure the performance of the contract. 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the SHA contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the SHA has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract. Vill. SAFETY: ACCIDENT PREVENTION 1. in the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the SHA contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surround- ings or under conditions which are unsanitary, hazardous or danger- ous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). 3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS In order to assure high quality and durable construction in confor- mity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal -aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, the following notice shall be posted on each Federal -aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project: NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL -AID HIGHWAY PROJECTS 18 U.S.C. 1020 reads as follows: "Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false state- ment, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or Whoever knowingly makes any false statement, false representa- tion, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoeverknowingly makes any false statement or false representa- tion as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal -aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supple- mented, Shall be fined not more that $10, 000 or imprisoned not more than 5 years or both." X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT (Applicable to all Federal -aid construction contracts and to all related subcontracts of $100,000 or more.) By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, Federal -aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows: 1. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 et sew. as amended by Pub.L. 91-604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C.1251 et sew , as amended by Pub.L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. 2. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. 3. That the fine shall promptly notify the SHA of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. 4. That the firm agrees to include or cause to be included the requirements of paragraph 1 through 4 of this Section X in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements. XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION I. Instructions for Certification - Primary Covered Transac- tions: (Applicable to all Federal -aid contracts - 49 CFR 29) a. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. c. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later deter- mined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this Page 6 Form FHWA-1273 (Rev. 3-94) transaction for cause of default. d. The prospective primary participant shall provide immediate written notice to the department or agency to whom this proposal is submitted if any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. e. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal,""proposal, and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy of those regulations. f. The prospective primary participant agrees bysubmitting this Proposal that, should the proposed covered transaction be entered into, It shall not knowingly enter into any lower tier covered transac- tion with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. g. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled "Certifica- tion Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicita- tions for lower tier covered transactions. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the nonprocurement portion of the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs" (Nonprocurement List) which is compiled by the General Services Administration. 1. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in the certification and nf000d�rmation th of participanet iisinis clause. The knowledge ot required toexceed that which is normally possessed by a prudent person in the ordinary course of business dealings. (. Except for transactions authorized under paragraph f of these Instructions, if a participant in a covered transaction knowingly lower enters into a tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Form FHWA-1273 (Rev. 3-94) Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Primary Covered Transactions 1. The prospective primary 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 3-year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtain- ing, 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 governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph 1b of this certification; and d. Have not within a 3-year period preceding this applica- tion/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 2. Instructions for Certification -Lower Tier Covered Transac- tions: (Applicable to all subcontracts, purchase orders and other lower tier transactions of $25,000 or more - 49 CFR 29) a. By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. b. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower der participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the depart- ment, or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. c. The prospective lower tier participant shall provide immedi- ate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant teams that its certification was erroneous by reason of changed circumstances. d. The terms "covered transaction," "debarred," "suspended," "Ineligible," "primary covered transaction," "participant," person," in this cla se have the meanings set out in the Definitions and used sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. e. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered Into, it shall not knowingly enter into any lower tier covered transaction ared ineligible, or voluntarth a ily excluded from partirson who is cipatisuspended, n n thisdcovlered transaction, unless authorized by the department or agency with which this transaction originated. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certifica- tion Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. g. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and Page 7 frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. L Except for transactions authorized under paragraph a of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion --Lower Tier Covered Transactions: 1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or volun- tarily excluded from participation in this transaction by any Federal department or agency. 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING (Applicable to all Federal -aid construction contracts and to all related subcontracts which exceed $100,000 - 49 CFR 20) 1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal 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. b. 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 Federal 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. 2. 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 31 U.S.C. 1352. 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. 3. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly. Page 8 Form FHWA-1273 (Rev. 3-94) ATTACHMENT A - EMPLOYMENT PREFERENCE FOR APPALACHIAN CONTRACTS (Applicable to Appalachian contracts only.) 1. During the performance of this contract, the contractor under- taking to do work which is, or reasonably may be, done as on -site work, shall give preference to qualified persons who regularly reside in the labor area as designated by the DOL wherein the contract work is situated, or the subregion, or the Appalachian counties of the State wherein the contract work is situated, except: a. To the extent that qualified persons regularly residing in the area are not available. b. For the reasonable needs of the contractor to employ supervisory or specially experienced personnel necessary to assure an efficient execution of the contract work. c. or the ion of pent to resent orForme rempltoyees the as theractor resulttof agawfullcyorll collective bargaining contract, provided that the number of nonresident persons employed under this subparagraph 1 c shall not exceed 20 percent of the total number of employees employed by the contractor on the contract work, except as provided in subparagraph 4 below. 2. The contractor shall place a job order with the State Employ- ment Service indicating (a) the classifications of the laborers, mechanics and other employees required to perform the contract work, (b) the number of employees required in each classification, Form FHWA-1273 (Rev. 3-94) (c) the date on which he estimates such employees will be required, and (d) any other pertinent information required by the State Employ- ment Service to complete the job order form. The job order may be placed with the State Employment Service in writing or by telephone. If during the course of the contract work, the information submitted by the contractor in the original job order is substantially modified, he shall promptly notify the State Employment Service. 3. The contractor shall give full consideration to all qualified job applicants referred to him by the State Employment Service. The contractor is not required to grant employment to any job applicants who, in his opinion, are not qualified to perform the classification of work required. 4. If, within 1 week following the placing of a job order by the contractorwith the State Employment Service, the State Employment Service is unable to refer any qualified job applicants to the contrac- tor, or less than the number requested, the State Employment Service will forward a certificate to the contactor indicating the unavailability of applicants. Such certificate shall be made a part of the contractor's permanent project records. Upon receipt of this certificate, the contractor may employ persons who do not normally reside in the labor area to fill positions covered by the certificate, notwithstanding the provisions of subparagraph I above. 5. The contractor shall ude the provisions of Sections I through 4 of h s Attachment A il ne ea every subcontract for work which is, or reasonably may be, done as on -site work. Page 9 EXHIBIT B Monroe County - Continuing Professional Engineering Services EAC Consulting, Inc. - Exhibit B Proposed Hourly Rates Position BillinLy Rate Principal Project Director $ 200.00$ Project Manager 190.00 Snr. Bridge Engineer $ 172.00 Snr. Civil Engineer $ 16.00 Project Engineer $ 164.00 Sr. Engineering Technician $ 115.00 Engineering Technician $ 85.24 Resident Engineer $ 5. Sr. Engineer Inspector $ 7.04 3 Engineer Inspector $ 77 08 GIS Specialist $ 64.53 Utility Coordinator $ 107.63 Environmental Engineer $ 1 01.63 15 Clerical $ 10172 $ 48.02 BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: Public Works Bulk Item: Yes X No _ Department: Engineering Staff Contact Person/Phone #: Judy Clarke X4329 AGENDA ITEM WORDING: Approval to execute a Contract with HDR Engineering, Inc. for on call engineering services. ITEM BACKGROUND: Miscellaneous engineering services are required for various County projects on an ongoing basis; the Engineering Department advertised a Request for Qualifications (RFQ) and on September 28, 2009, HDR Engineering, Inc was ranked in the top seven of 44 responses. PREVIOUS RELEVANT BOCC ACTION: The BOCC approved advertising the RFQ at the June 2009 BOCC meeting. At the November 18, 2009 meeting the BOCC approved contract negotiations with HDR Engineering, Inc and six other firms. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval of Contract as requested above. TOTAL COST: n/a INDIRECT COST: DIFFERENTIAL OF LOCAL PREFERENCE: COST TO COUNTY: n/a BUDGETED: Yes No SOURCE OF FUNDS: REVENUE PRODUCING: Yes _ No AMOUNT PER MONTH Year APPROVED BY: County Aftl hasing g Risk Management DOCUMENTATION: Included X Not Required DISPOSITION: revised 7/09 AGENDA ITEM # 'MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: HDR Engineering, Inc. Contract # Effective: January 20, 2010 Expiration Date: Five years thereafter Contract Purpose/Description: Miscellaneous engineering services for various County projects on an on call basis. Specific tasks and budgets will be awarded by task order as needed. Contract Manager: Judy Clarke 4329 En ineerin /#I (Name) (Ext.) (Department/Stop #) for BOCC meeting on Jan 20, 2010 Agenda Deadline: Jan 5, 2010 CONTRACT COSTS Total Dollar Value of Contract: $ Current Year Portion: $ Budgeted? Yes[—] No ❑ Account Codes: - - - - Grant: $ County Match: $ Estimated Ongoing Costs: $0/yr (Not included in dollar value above) ADDITIONAL COSTS For: (eg. maintenance, utilities, CONTRACT REVIEW salaries, etc. Changes Date In Needed Reviewer Division Director }-�� --(0 Yes❑ No� -V��"Risk Manag(ment b ► �- 0 Yes❑ No� O.M.B./Purchasi Yes[]N4 L County Attorney 1* Yes❑ No®t�i��Lch�yt� Comments: Date Out _1-y-/,) v1v1L 1 Vl III 1W V IJcu L/G 1 /V 1 1Vll,r if / Contract for On Call Professional Engineering Services THIS Contract (The AGREEMENT) made and entered into this 20th day of January 2010, by and between Monroe County, a political subdivision of the State of Florida, whose address is 1100 Simonton Street, Key West Florida, 33040, its successors and assigns hereinafter referred to as the "COUNTY," through the Monroe County Board of County Commissioners (BOCC), the Owner And HDR Engineering, Inc., a Corporation of the State of Florida, whose address is 5426 Bay Center Drive, Suite 400, Tampa, Florida, 33609-3444 its successors and assigns, hereinafter referred to as "CONSULTANT", WITNESSETH: WHEREAS, COUNTY desires to employ the professional engineering services of CONSULTANT for various County Projects located in Monroe County, Florida and WHEREAS, CONSULTANT has agreed to provide professional services for miscellaneous projects in which construction costs do not exceed $2,000,000.00 The professional services required by this Contract will be for services in the form of a continuing contract, commencing the effective date of this agreement and ending four years thereafter, with options for the County to renew on an annual basis two consecutive times. Specific services will be performed pursuant to individual task orders issued by the COUNTY and agreed to by the CONSULTANT. Task Orders will contain specific scope of work, time schedule, charges and payment conditions, and additional terms and conditions that are applicable to such Task Orders. Execution of a Task Order by the COUNTY and the CONSULTANT constitutes the COUNTY's written authorization to CONSULTANT to proceed with the services described in the Task Order. The terms and conditions of this Agreement shall apply to each Task Order, except to the extent expressly modified. When a Task Order is to modify a provision of this Agreement, the Article of this Agreement to be modified will be specifically referenced in the Task Order and the modification shall be precisely described. NOW, THEREFORE, in consideration of mutual promises, covenants and agreements stated herein, and for other good and valuable consideration, the sufficiency of which is hereby acknowledged, COUNTY and CONSULTANT agree as follows: FORM OF AGREEMENT ARTICLE I 1.1 REPRESENTATIONS AND WARRANTIES By executing this Agreement, the CONSULTANT makes the following express representations and warranties to the COUNTY: 1.1.1 The CONSULTANT shall maintain all necessary licenses, permits or other authorizations necessary to act as CONSULTANT for the Project until the CONSULTANT'S duties hereunder have been satisfied; 1.1.2 The CONSULTANT has become familiar with the Project site and the local conditions under which the Project is to be designed, constructed, and operated; 1.1.3 The CONSULTANT shall prepare all documents required by this Agreement including, but not limited to, all contract plans and specifications, in such a manner that they shall be in conformity and comply with all applicable law, codes and regulations. The CONSULTANT warrants that the documents prepared as a part of this Contract will be adequate and sufficient to accomplish the purposes of the Project, therefore, eliminating any additional construction cost due to missing or incorrect design elements in the contract documents; 1.1.4 The CONSULTANT assumes full responsibility to the extent allowed by law with regards to his performance and those directly under his employ. 1.1.5 The CONSULTANT'S services shall be performed as expeditiously as is consistent with professional skill and care and the orderly progress of the Project. In providing all services pursuant to this agreement, the CONSULTANT shall abide by all statutes, ordinances, rules and regulations pertaining to, or regulating such services, including those now in effect and hereinafter adopted. Any violation of said statutes, ordinances, rules and regulations shall constitute a material breach of this agreement and shall entitle the COUNTY to terminate this agreement immediately upon delivery of written notice of termination to the CONSULTANT. 1.1.6 At all times and for purposes under this agreement the CONSULTANT is an independent contractor and not an employee of the Board of County Commissioners for Monroe County. No statement contained in this agreement shall be construed so as to find the CONSULTANT or any other of his/her employees, contractors, servants, or agents to be employees of the Board of County Commissioners for Monroe County. 1.1.7 The CONSULTANT shall not discriminate against any person based on race, creed, color, national origin, sex, age or any other characteristic or aspect which is not related, in its recruiting, hiring, promoting, terminating, or other area affecting employment under this agreement or with the provision of services or goods under this agreement. ARTICLE II SCOPE OF BASIC SERVICES 2.1.1 The CONSULTANT will perform for the COUNTY services as described in individual Task Orders in accordance with the requirements outlined in the Agreement and the specific Task Order. These services will include, but not be limited to: A. Provide comprehensive transportation engineering design services for road and bridge construction and rehabilitation projects, including design, surveying, drafting, preparing specifications and contract documents, traffic studies, lighting and signalization, geotechnical investigations, permitting, assisting with review of contractor bids, comprehensive project management services, and construction engineering and inspection services. B. Provide comprehensive stormwater and drainage engineering services including design, surveying, feasibility studies, geotechnical investigations, permit preparation, preparing construction plans, specifications and contract documents, assisting with review of contractor bids, comprehensive project management services and construction engineering and inspection services. C. Provide comprehensive environmental engineering services including design, surveying, geotechnical investigations, environmental assessments, water quality studies, sampling analysis and monitoring, permit preparation, preparing construction plans, specifications and contract documents, assisting with review of contractor bids, comprehensive project management services and construction engineering and inspection services. D. Provide comprehensive structural engineering services including design, surveying, facility inspections and assessments, preparing construction plans, specifications and contract documents, permitting, construction administration related to new construction, construction improvements, rehabilitation and/or retrofit of County facilities and buildings. E. Provide general engineering services including but not limited to surveying, drafting, studies and assessments, engineering design, preparation of bid and proposal documents, permitting, assistance with technical review of contractor documents, construction engineering and inspection services for miscellaneous County projects. 2.1.2 The CONSULTANT shall be responsible for performing in accordance with all applicable Florida Department of Transportation (FDOT) manuals, procedures, specifications and guidance for all Local Agency Program (LAP) projects. When a Project is funded through the America Recovery and Reinvestment Act of 2009 (ARRA) and will be administered under the Florida Department of Transportations' Local Agency Program (LAP), the CONSULTANT must be familiar with and must comply with all applicable federal, state and local requirements of these programs. The CONSULTANT shall exercise their independent professional judgment in performing their obligations and responsibilities under this Agreement. Pursuant to Section 4.1.4 of the Florida Department of Transportation's, Construction Project Administration Manual (CPAM), the authority of the Consultant's lead person, such as the Senior Project Engineer, and the Consultant's Project Administrator shall be identical to the Department's Resident Engineer and Project Administrator respectively and shall be interpreted as such. 2.2 CORRECTIONS OF ERRORS, ONE USSIONS, DEFICIENCIES 2.2.1 The CONSULTANT shall, without additional compensation, promptly correct errors, omissions, deficiencies, or conflicts in the work product of the CONSULTANT or its subconsultants, or both. 2.3 NOTICE REQUIREMENTS 2.3.1 All written correspondence to the COUNTY shall be dated and signed by an authorized representative of the CONSULTANT. Any notice required or permitted under this agreement shall be in writing and hand delivered or mailed, postage prepaid, to the COUNTY by certified mail, return receipt requested, to the following: Ms. Judith Clarke, P.E. Monroe County Engineering Services 1100 Simonton St. Rm 2-216 Key West, FL 33040 And:Mr. Roman Gastesi, Jr. County Administrator 1100 Simonton Street Key West, FL 33040 4 For the Consultant: Ricardo N. Calvo, PhD HDR Engineering, Inc. 5426 Bay Center Drive, Suite 400 Tampa, Florida, 33609-3444 ARTICLE III ADDITIONAL SERVICES 3.1 The services described in this Article III are not included in Basic Services. They shall be paid for by the COUNTY as provided in this agreement as an addition to the compensation paid for the Basic Services but only if approved by the COUNTY before commencement, and as follows: A. Providing services of CONSULTANT for other than the previously listed consulting scope of Project provided as a part of Basic Services. B. Providing any other services not otherwise included in this Agreement or not customarily furnished in accordance with generally accepted consulting practice. C. Providing representation before public bodies in connection with the Project, upon approval by the COUNTY. 3.2 If Additional Services are required, such as those listed above, the COUNTY shall issue a letter requesting and describing the requested services to the CONSULTANT. The CONSULTANT shall respond with fee proposal to perform the requested services. Only after receiving an amendment to the Agreement and a notice to proceed from the COUNTY, shall the CONSULTANT proceed with the Additional Services. ARTICLE IV COUNTY'S RESPONSIBILITIES 4.1 The COUNTY shall provide full information regarding requirements for the project including physical location of work, county maintained roads and maps. 4.2 The COUNTY shall designate Monroe County Engineering Services Department to act on the COUNTY'S behalf with respects to the Project. The COUNTY or Monroe County Engineering Services Department shall render decisions in a timely manner pertaining to documents submitted by the CONSULTANT in order to avoid unreasonable delay in the orderly and sequential progress of the CONSULTANTS services. 4.3 Prompt written notice shall be given by the COUNTY and its representative to the CONSULTANT if they become aware of any fault or defect in the Project or 5 nonconformance with the Agreement Documents. Written notice shall be deemed to have been duly served if sent pursuant to paragraph 2.3. 4.4 The COUNTY shall furnish the required information and services and shall render approvals and decisions as expeditiously as necessary for the orderly progress of the Consultants services and work of the contractors. 4.5 The COUNTY'S review of any documents prepared by the CONSULTANT or its subconsultants shall be solely for the purpose of determining whether such documents are generally consistent with the COUNTY'S criteria, as, and if, modified. No review of such documents shall relieve the CONSULTANT of responsibility for the accuracy, adequacy, fitness, suitability or coordination of its work product. 4.6 The COUNTY shall provide copies of necessary documents required to complete the work. 4.7 Any information that may be of assistance to the CONSULTANT that the COUNTY has immediate access to will be provided as requested. ARTICLE V INDEMNIFICATION AND HOLD HARMLESS 5.1.1 The CONSULTANT covenants and agrees to indemnify and hold harmless COUNTY/Monroe County and Monroe County Board of County Commissioners from any and all claims for bodily injury, including death, personal injury, and property damage, including property owned by Monroe County, and any other losses, damages, and expenses, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the CONSULTANT or Subcontractor(s) in any tier, occasioned by the negligence, errors, or other wrongful act or omission of the CONSULTANT in any tier, their employees, or agents. 5.1.2 The first ten dollars ($10.00) of remuneration paid to the CONSULTANT is for the indemnification provided for above. The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. Should any claims be asserted against the COUNTY by virtue of any deficiency or ambiguity in the plans and specifications provided by the CONSULTANT, the CONSULTANT agrees and warrants that he shall hold the COUNTY harmless and shall indemnify him from all losses occurring thereby and shall further defend any claim or action on the COUNTY'S behalf. 5.1.3 In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the CONSULTANT'S failure to purchase or maintain the required insurance, the CONSULTANT shall indemnify COUNTY 6 from any and all increased expenses resulting from such delays. Should any claims be asserted against COUNTY by virtue of any deficiencies or ambiguity in the plans and specifications provide by the CONSULTANT the CONSULTANT agrees and warrants that CONSULTANT hold the COUNTY harmless and shall indemnify it from all losses occurring thereby and shall further defend any claims or action on the COUNTY'S behalf. 5.1.4 The extent of liability is in no way limited to, reduced or lessened by the insurance requirements contained elsewhere within the Agreement. 5.1.5 This indemnification shall survive the expiration or early termination of the Agreement. ARTICLE VI PERSONNEL 6.1 PERSONNEL The CONSULTANT shall assign only qualified personnel to perform any service concerning the project. At the time of execution of this Agreement, the parties anticipate that the following named individuals will perform those functions as indicated: Iffaul d FUNCTION So long as the individuals named above remain actively employed or retained by the CONSULTANT, they shall perform the functions indicated next to their names. If they are replaced the CONSULTANT shall notify the COUNTY of the change immediately. ARTICLE VII PAYMENTS 7.1 PAYMENT SUM 7.1.1 The COUNTY shall pay the CONSULTANT in current funds for the CONSULTANT'S performance of this Agreement based on rates negotiated and agreed upon and shown in Exhibit B. 7.2 PAYMENTS 7.2.1 For its assumption and performances of the duties, obligations and responsibilities set forth herein, the CONSULTANT shall be paid monthly. (A) If the CONSULTANT'S duties, obligations and responsibilities are materially changed by amendment to this agreement after execution of this Agreement, compensation due to the CONSULTANT shall be equitably adjusted, either upward or downward; (B) As a condition precedent for any payment due under this Agreement, the CONSULTANT shall submit monthly, unless otherwise agreed in writing by the COUNTY, an invoice to the COUNTY requesting payment for services properly rendered and reimbursable expenses due hereunder. The CONSULTANT'S invoice shall describe with reasonable particularity the service rendered. The CONSULTANT'S invoice shall be accompanied by such documentation or data in support of expenses for which payment is sought that the COUNTY may require. (C) For the performance of the optional additional services and contingent additional services described in Article III of this contract, provided same are first authorized in writing by the COUNTY, the CONSULTANT shall be paid hourly at the rates identified in Exhibit B, or as negotiated. 7.3 REIMBURSABLE EXPENSES 7.3.1 Reimbursable expenses include expenses incurred by the CONSULTANT in the interest of the Project: a. Expenses of transportation submitted by CONSULTANT, in writing, and living expenses in connection with travel authorized by the COUNTY, in writing, but only to the extent and in the amounts authorized by Section 112.061, Florida Statutes; b. Cost of reproducing maps or drawings or other materials used in performing the scope of services; c. Postage and handling of reports; 7A BUDGET 7.4.1 The CONSULANT may not be entitled to receive, and the COUNTY is not obligated to pay, any fees or expenses in excess of the amount budgeted for this Agreement in each fiscal year (October 1- September 30) by COUNTY'S Board of County Commissioners. The budgeted amount may only be modified by an affirmative act of the COUNTY'S Board of County Commissioners. 7.4.2 AVAILABILITY OF FUNDS. If funding cannot be obtained or cannot be continued at a level sufficient to allow for continued reimbursement of expenditures for services specified in the Task Order, the agreement may be terminated immediately at the option of the COUNTY by written notice of termination delivered to the CONSULTANT. The COUNTY shall not be obligated to pay for any services provided by the CONSULTANT after the CONSULTANT has received written notice of termination, unless otherwise required by law. 7.4.3 The COUNTY does not guarantee CONSULTANT any specific amount of work or task orders under this agreement. ARTICLE VIII 8.1 INSURANCE 8.1.1 The CONSULTANT shall obtain insurance as specified and maintain the required insurance at all times that this Agreement is in effect. In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the CONSULTANT'S failure to purchase or maintain the required insurance, the CONSULTANT shall indemnify the COUNTY from any and all increased expenses resulting from such delay. 8.1.2 The coverage provided herein shall be provided by an insurer with an A.M. Best Rating of VI or better, that is licensed to do business in the State of Florida and that has an agent for service of process within the State of Florida. The insurance certificate shall contain an endorsement providing sixty (60) days notice to the COUNTY prior to any cancellation of said coverage. Said coverage shall be written by an insurer acceptable to the COUNTY and shall be in a form acceptable to the COUNTY. 8.1.3 CONSULTANT shall obtain and maintain the following policies: A. Workers' Compensation insurance as required by the State of Florida, sufficient to respond to Chapter 440, Florida Statutes. B. Employers Liability Insurance with limits of $1,000,000 per Accident, $1,000,000 Disease, policy limits, $1,000,000 Disease each employee. C. Comprehensive business automobile and vehicle liability insurance covering claims for injuries to members of the public and/or damages to property of others arising from use of motor vehicles, including onsite and offsite operations, and owned, hired or non -owned vehicles, with One Million Dollars ($1,000,000.00) combined single limit and One Million Dollars ($1,000,000.00) annual aggregate. 9 D. Commercial general liability, including Personal Injury Liability insurance covering claims for injuries to members of the public or damage to property of others arising out of any covered act or omission of the CONSULTANT or any of its employees, agents or subcontractors or subconsultants, including Premises and/or Operations, Products and Completed Operations, Independent Contractors; Broad Form Property Damage and a Contractual Liability Endorsement with One Million Dollars ($1,000,000) per occurrence and annual aggregate. An Occurrence Form policy is preferred. If coverage is changed to or provided on a Claims Made policy, its provisions should include coverage for claims filed on or after the effective date of this Agreement. In addition, the period for which they may be reported must extend for a minimum of 48 months following the termination or expiration of this Agreement. E. Professional liability insurance of One Million Dollars ($1,000,000.00) per claim and Two Million Dollars ($2,000,000.00) annual aggregate. If the policy is a "claims made" policy, CONSULTANT shall maintain coverage or purchase a "tail" to cover claims made after completion of the project to cover the statutory time limits in Chapter 95 of the Florida Statutes. F. COUNTY shall be named as an additional insured with respect to CONSULTANTS liabilities hereunder in insurance coverage identified in Paragraphs C and D. G. CONSULTANT shall require its subconsultants to be adequately insured at least to the limits prescribed above, and to any increased limits of CONSULTANT if so required by COUNTY during the term of this Agreement. COUNTY will not pay for increased limits of insurance for subconsultants. H. CONSULTANT shall provide to the COUNTY certificates of insurance or a copy of all insurance policies including those naming the COUNTY as an additional insured by including any subsection hereunder. The COUNTY reserves the right to require a certified copy of such policies upon request. I. If the CONSULTANT participates in a self-insurance fund, a Certificate of Insurance will be required. In addition, the CONSULTANT may be required to submit updated financial statements from the fund upon request from the COUNTY. 8.2 APPLICABLE LAW This contract is governed by the laws of the State of Florida. Venue for any litigation arising under this contract must be in Monroe County, Florida. m ARTICLE IX MISCELLANEOUS 9.1 SECTION HEADINGS Section headings have been inserted in this Agreement as a matter of convenience of reference only, and that it is agreed that such section headings are not a part of this Agreement and will not be use in the interpretation of any provisions of this Agreement. 9.2 OWNERSHIP OF THE PROJECT DOCUMENTS The documents prepared by the CONSULTANT for this Project belong to the COUNTY and may be reproduced and copied without acknowledgement or permission of the CONSULTANT. 9.3 SUCCESSORS AND ASSIGNS The CONSULTANT shall not assign or subcontract its obligations under this Agreement except in writing and with the prior written approval of the Board of County Commissioners for Monroe County and the CONSULTANT, which approval shall be subject to such conditions and provisions as the Board may deem necessary. This paragraph shall be incorporated by reference into any assignment or subcontract and any assignee or subcontractor shall comply with all of the provisions of this Agreement. Subject to the provisions of the immediately proceeding sentence, each party hereto binds itself, its successors, assignees and legal representatives to the other and to the successors, assigns and legal representatives of such other party. The CONSULTANT shall not assign its right hereunder, excepting its right to payment, nor shall it delegate any of its duties hereunder without the written consent of the COUNTY. 9.4 NO THIRD PARTY BENEFICIARIES Nothing contained herein shall create any relationship, contractual or otherwise, with or any rights in favor of, any third party. 9.5 TERMINATION A. In the event the CONSULTANT shall be found to be negligent in any aspect of service, the COUNTY shall have the right to terminate this Agreement after five days written notification to the CONSULTANT. B. The County may terminate this Agreement without cause by giving the other party sixty (60) days written notice of its intention to do so. 9.6 CONTRACT DOCUMENTS The contract documents consist of the Request for Qualifications (RFQ), any addenda, the Form of Agreement (Articles I-XV), the CONSULTANTS response to the RFQ, the documents referred to in the Form of Agreement as a part of this Agreement, and the attachments A and Exhibit B and modifications made after execution by written amendment. In the event any conflict between any of those Agreement documents, the one imposing the greater burden on the CONSULTANT will control. 9.7 PUBLIC ENTITIES CRIMES A person or affiliate who has been place on the convicted vendor list following a conviction for public entity crime may not submit a bid on contracts to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017 of the Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list. By signing this Agreement, CONSULTANT represents that the execution of this Agreement will not violate the Public Entity Crimes Act (Section 287.133, Florida Statutes), Violation of this section shall result in termination of this Agreement and recovery of all moneys paid hereto, and may result in debarment from COUNTY'S competitive procurement activities. In addition to the foregoing, CONSULTANT further represents that there has been no determination, based on an audit that it or any subconsultant has committed an act defined by Section 287.133, as "public entity crime", and that it has not been formally charged with committing an act defined as a "public entity crime" regardless of the amount of money involved or whether CONSULTANT has been placed on the convicted vendor list. CONSULTANT will promptly notify the COUNTY if it or any subcontractor or subconsultant is formally charged with an act defined as a "public entity crime" or has been placed on the convicted vendor list. 9.8 MAINTENANCE OF RECORDS CONSULTANT shall maintain all books, records, and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. Records shall be retained for a period of five years from the termination of this Agreement. Each party to this Agreement or their authorized representatives shall have reasonable and timely access to such records of each other party to this Agreement for public records purposes during the term of the Agreement and for four years following the termination of this Agreement. If an auditor employed by the County or Clerk determines that monies paid to CONSULTANT pursuant to this Agreement were spent for purposes not authorized by this Agreement, the M CONSULTANT shall repay the monies together with interest calculated pursuant to Sec. 55.03, FS, running from the date the monies were paid to County. 9.9 GOVERNING LAW, VENUE, INTERPERTATION, COST AND FEES This Agreement shall be governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Agreement, COUNTY and CONSULTANT agree that venue will lie in the 16TH Judicial Circuit, Monroe County, Florida, in the appropriate court or before the appropriate administrative body in Monroe County, Florida. This Agreement shall not be subject to arbitration. The County and CONSULTANT agree that, in the event of conflicting interpretations of the terms or a term of this Agreement by or between any of them the issue shall be submitted to mediation prior to the institution of any other administrative or legal proceeding. 9.10 SEVERABILITY If any term, covenant, condition or provision of this Agreement (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Agreement, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Agreement shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Agreement would prevent the accomplishment of the original intent of this Agreement. The County and CONSULTANT agree to reform the Agreement to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. 9.11 ATTORNEY'S FEES AND COSTS The COUNTY and CONSULTANT agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees and court costs expenses, as an award against the non - prevailing party, and shall include attorney's fees and courts costs expenses in appellate proceedings, as an award against the non -prevailing party. Mediation proceedings initiated and conducted pursuant to this Agreement shall be in accordance with the Florida Rules of Civil Procedure and usual and customary procedures required by the circuit court of Monroe County. 9.12 BINDING EFFECT The terms, covenants, conditions, and provisions of this Agreement shall bind and inure to the benefit of the COUNTY and CONSULTANT and their respective legal representatives, successors, and assigns. 13 9.13 AUTHORITY Each party represents and warrants to the other that the execution, delivery and performance of this Agreement have been duly authorized by all necessary COUNTY and corporate action, as required by law. 9.14 CLAIMS FOR FEDERAL OR STATE AID CONSULTANT and COUNTY agree that each shall be, and is, empowered to apply for, seek, and obtain federal and state funds to further the purpose of this Agreement; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission. 9.15 ADJUDICATION OF DISPUTES OR DISAGREEMENTS COUNTY and CONSULTANT agree that all disputes and disagreements shall be attempted to be resolved by meet and confer sessions between representatives of each of the parties. If no resolution can be agreed upon within 30 days after the first meet and confer session, the issue or issues shall be discussed at a public meeting of the Board of County Commissioners. If the issue or issues are still not resolved to the satisfaction of the parties, then any party shall have the right to seek such relief or remedy as may be provided by this Agreement or by Florida law. This provision does not negate or waive the provisions of paragraph 9.5 concerning termination or cancellation. 9.16 COOPERATION In the event any administrative or legal proceeding is instituted against either party relating to the formation, execution, performance, or breach of this Agreement, COUNTY and CONSULTANT agree to participate, to the extent required by the other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Agreement or provision of the services under this Agreement. COUNTY and CONSULTANT specifically agree that no party to this Agreement shall be required to enter into any arbitration proceedings related to this Agreement. 9.17 NON DISCRIMINATION CONSULTANT and COUNTY agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent jurisdiction that discrimination has occurred, this Agreement automatically terminates without any further action on the part of any party, effective the date of the court order. CONSULTANT and COUNTY agree to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss. 1681-1683, and 1685-1686), 14 which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975, as amended (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patent records; 8) Title VIII of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. 1201 Note), as maybe amended from time to time, relating to nondiscrimination on the basis of disability; 10) Any other nondiscrimination provisions in any Federal or state statutes which may apply to the parties to, or the subject matter of, this Agreement. 9.18 COVENANT OF NO INTEREST CONSULTANT and COUNTY covenant that neither presently has any interest, and shall not acquire any interest, which would conflict in any manner or degree with its performance under this Agreement, and that only interest of each is to perform and receive benefits as recited in this Agreement. 9.19 CODE OF ETHICS COUNTY agrees that officers and employees of the COUNTY recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112.313, Florida Statutes, regarding, but not limited to, solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. 9.20 NO SOLICITATION/PAYMENT The CONSULTANT and COUNTY warrant that, in respect to itself, it has neither employed nor retained any company or person, other than a bona fide employee working solely for it, to solicit or secure this Agreement and that it has not paid or agreed to pay any person, company, corporation, individual, or firm, other than a bona fide employee working solely for it, any fee, commission, percentage, gift, or other consideration contingent upon or resulting from the award or making of this Agreement. For the breach or violation of the provision, the CONSULTANT agrees that the COUNTY shall have 15 the right to terminate this Agreement without liability and, at its discretion, to offset from monies owed, or otherwise recover, the full amount of such fee, commission, percentage, gift, or consideration. 9.21 PUBLIC ACCESS The CONSULTANT and COUNTY shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the CONSULTANT and COUNTY in conjunction with this Agreement; and the COUNTY shall have the right to unilaterally cancel this Agreement upon violation of this provision by CONSULTANT. 9.22 NON -WAIVER OF IMMUNITY Notwithstanding the provisions of Sec. 768.28, Florida Statutes, the participation of the CONSULTANT and the COUNTY in this Agreement and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government liability insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any contract entered into by the COUNTY be required to contain any provision for waiver. 9.23 PRIVILEGES AND IMMUNITY All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the COUNTY, when performing their respective functions under this Agreement within the territorial limits of the COUNTY shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the COUNTY. 9.24 LEGAL OBLIGATIONS AND RESPONSIBILITIES Non -Delegation of Constitutional or Statutory Duties. This Agreement is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the COUNTY, except to the extent permitted by the Florida constitution, state statute, and case law. 9.25 NON -RELIANCE BY NON-PARTIES 16 No person or entity shall be entitled to rely upon the terms, or any of them, of this Agreement to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the CONSULTANT and the COUNTY agree that neither the CONSULTANT nor the COUNTY or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity or entities, have entitlements or benefits under this Agreement separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Agreement. 9.26 ATTESTATIONS AND TRUTH IN NEGOTATION CONSULTANT agrees to execute such documents as the COUNTY may reasonably require including a Public Entity Crime Statement, an Ethics Statement, and a Drug -Free Workplace Statement. Signature of this Agreement by CONSULTANT shall act as the execution of a truth in negotiation certificate stating that wage rates and other factual unit costs supporting the compensation pursuant to the Agreement are accurate, complete, and current at the time of contracting. The original contract price and any additions thereto shall be adjusted to exclude significant sums by which the agency determines the contract price was increased due to inaccurate, incomplete, or concurrent wage rates and other factual unit costs. All such adjustments must be made within one year following the end of the Agreement. 9.27 NO PERSONAL LIABILITY No covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Agreement or be subject to any personal liability or accountability by reason of the execution of this Agreement. 9.28 EXECUTION IN COUNTERPARTS This Agreement may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken together shall constitute one and the same instrument and any of the parties hereto may execute this Agreement by singing any such counterpart. 9.29 FEDERAL HIGHWAY ADMINISTRATION REQUIREMENTS Following forms and provisions are incorporated in and made part of this Agreement. 9.29.1 Davis -Bacon Act — In accordance with the Davis -Bacon Act the Consultant or their subcontractors shall pay workers employed directly upon the site of the work no less than the locally prevailing wages and fringe benefits paid on projects of a similar character. The current wage rates can be found at: WWW.access.gpo.gov/davisbacon/fl html under Monroe County. 17 9.29.2 Americans with Disabilities Act of 1990 (ADA) The CONSULTANT will comply with all the requirements as imposed by the ADA, the regulations of the Federal government issued thereunder, and the assurance by the CONSULTANT pursuant thereto. 9.29.3 DISADVANTAGED BUSINESS ENTERPRISE (DBE)POLICY AND OBLIGATION It is the policy of the COUNTY that DBE's, as defined in C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole or in part with COUNTY funds under this Agreement. The DBE requirements of applicable federal and state laws and regulations apply to this Agreement. The COUNTY and its CONSULTANT agree to ensure that DBE's have the opportunity to participate in the performance of the Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with applicable federal and state laws and regulations to ensure that DBE's have the opportunity to compete and perform contracts. The COUNTY and the CONSULTANT and subcontractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts, entered pursuant to this Agreement. 9.29.4 CONVICT LABOR The convict labor prohibition in 23 U.S.C. 114 applies to Federal Aid construction projects. Convict labor cannot be used for Federal Aid construction projects. 9.29.5 FHWA Form 1273 is attached hereto as Attachment A and made a part of this Agreement. IN WITNESS WHEREOF, each party caused this Agreement to be executed by its duly authorized representative on the day and year first above written. (SEAL) BOARD OF COUNTY COMMISSIONERS Attest: DANNY L. KOLHAGE, Clerk OF MONROE COUNTY, FLORIDA By: By: Deputy Clerk Mayor/Chairman Date: tv ONROE COUNTY ATTORNEY APPROVaD AS TO FORM: CNRISTIN M. i_IMBERT-BARROWS ASSISTANT COUNTY ATTORNEY 18 Data/9 /09 (Seal)CONSULTANT Attest: By: _� c►+�►Qc.E's T. ��A�R Title: S R_ V/<<; END OF AGREEMENT 19 ATTACHMENT A REQUIRED CONTRACT PROVISIONS FEDERAL -AID CONSTRUCTION CONTRACTS I. General ..................................... Page 1 II. Nondiscrimination ............................. 1 III, Nonsegregated Facilities ........................ 3 IV. Payment of Predetermined Minimum Wage ......... 3 V. Statements and Payrolls ........................ 5 VI. Record of Materials, Supplies, and Labor ........... 5 VII. Vill. Subletting or Assigning the Contract ............... Safety: 5 Accident Prevention ..................... 6 IX. False Statements Concerning Highway Projects ...... 6 X. Implementation of Clean Air Act and Federal Water Pollution Control Act ...................... 6 XI. Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion ..... 6 XII. Certification Regarding Use of Contract Funds for Lobbying.................................... 8 ATTACHMENTS A. Employment Preference for Appalachian Contracts (included in Appalachian contracts only) I. GENERAL 1. These contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superinten- dence and to all work performed on the contract by piecework, station work, or by subcontract. 2. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Contract Provisions shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Contract Provisions. 3. A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for termination of the contract. 4. A breach of the following clauses of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5.12: Section I, paragraph 2; Section IV, paragraphs 1, 2, 3, 4, and 7; Section V, paragraphs 1 and 2a through 2g. 5. Disputes arising out of the labor standards provisions of Section IV (except paragraph 5) and Section V of these Required Contract Provisions shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractor's employees or their representatives. 6. Selection of Labor: During the performance of this contract, the contractor shall not: a. discriminate against labor from any other State, possession, or territory of the United States (except for employment preference for Appalachian contracts, when applicable, as specified in Attachment A), or b. employ convict labor for any purpose within the limits of the project unless it is labor performed by convicts who are on parole, supervised release, or probation. II. NONDISCRIMINATION (Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more.) 1. EqualEmployment Opportunity: Equal employment opportu- nity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract. The Equal Opportu- nity Construction Contract Specifications set forth under 41 CFR 60- 4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.C. 12101 et sol.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporate- by reference in this contract. in the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO: a. The contractor will work with the State highway agency (SHA) and the Federal Government in carrying out EEO obligations and in their review of his/her activities under the contract. b. The contractor will accept as his operating policy the following statement: "it is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprentice- ship, preapprenticeship, and/or on-the-job training." 2. EEO Officer: The contractor will designate and make known to the SHA contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so. 3. Dissemination of Policy: All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved in such action, will be made fully cognizant of, and will implement, the contractor's EEO policy and contractual responsibili- ties to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractor's EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer. b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor. c. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor's procedures for locating and hiring minority group employees. d. Notices and posters setting forth the contractor's EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees. e. The contractor's EEO policy and the procedures to imple- ment such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means. 4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such advertisements will be placed Form FHWA-1273 (Rev. 3-94) Page, in publications having a large circulation among minority groups in the area from which the project work force would normally be derived. a. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractorfor employment consider- ation. b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, he is expected to observe the provisions of that agreement to the extent that the system permits the contractor's compliance with EEO contract provisions. (The DOL has held that where implementation of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) c. The contractor will encourage his present employees to refer minority group applicants for employment. Information and proce- dures with regard to referring minority group applicants will be discussed with employees. 5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed: a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discrimi- natory wage practices. c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimina- tion. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons. d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such com- plaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal. 6. Training and Promotion: a. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment. b. Consistent with the contractor's work force requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. Where feasible, 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training. In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. c. The contractor will advise employees and applicants for employment of available training programs and entrance require- ments for each. d. The contractor will periodically review the training and promotion potential of minority group and women employees and will encourage eligible employees to apply for such training and promo- tion. 7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use his/her best efforts to obtain the cooperation of such unions to increase opportunities for minority groups and women within the unions, and to effect referrals by such unions of minority and female employees. Actions by the contractor either directly or through a contractor's association acting as agent will include the procedures set forth below: a. The contractor will use best efforts to develop, in coopera- tion with the unions, joint training programs aimed toward qualifying more minority group members and women for membership in the unions and increasing the skills of minority group employees and women so that they may qualify for higher paying employment. b. The contractor will use best efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability. c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the SHA and shall set forth what efforts have been made to obtain such information. d. In the event the union is unable to provide the contractor with a reasonable flow of minority and women referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minority group persons and women. (The DOL has held that it shall be no excuse that the union with which the contractor has a collective bargaining agreement providing for exclusive referral failed to refer minority employees.) In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the SHA. 8. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procure- ment of materials and leases of equipment. a. The contractor shall notify all potential subcontractors and suppliers of his/her EEO obligations under this contract. b. Disadvantaged business enterprises (DBE), as defined in 49 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construction firms from SHA personnel. c. The contractor will use his best efforts to ensure subcontrac- tor compliance with their EEO obligations. 9. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by authorized representatives of the SHA and the FHWA. a. The records kept by the contractor shall document the following: (1) The number of minority and non -minority group members and women employed in each work classification on the project; (2) The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; (3) The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minority and female employees; and (4) The progress and efforts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees. b. The contractors will submit an annual report to the SHA Page 2 Form FHWA-1273 (Rev. 3-94) each July for the duration of the project, indicating the number of minority, women, and non -minority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA-1391. If on -the job training is being required by special provision, the contractor will be required to collect and report training data. III. NONSEGREGATED FACILITIES (Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more.) a. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, as appropriate, the bidder, Federal -aid construc- tion contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The firm agrees that a breach of this certification is a violation of the EEO provisions of this contract. The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. b. As used In this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, timeciocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive, or are, in fact, segregated on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking). c. The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. IV. PAYMENT OF PREDETERMINED MINIMUM WAGE (Applicable to all Federal -aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural minor collectors, which are exempt.) 1. General: a. All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction or rebate on any account [except such payroll deductions as are permitted by regulations (29 CFR 3) issued by the Secretary of Labor under the Copeland Act (40 U.S.C. 276c)) the full amounts of wages and Iona fide fringe benefits (or cash equivalents thereof) due at time of payment. The payment shall be computed at wage rates not less than those contained in the wage determination of the Secretary of Labor (hereinafter "the wage determination") which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor or its subcon- tractors and such laborers and mechanics. The wage determination (including any additional classifications and wage rates conformed under paragraph 2 of this Section IV and the DOL poster (WH-1321) or Form FHWA-1495) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1(b)(2) of the Davis -Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of Section IV, paragraph 3b, hereof. Also, for the purpose of this Section, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in paragraphs 4 and 5 of this Section IV. b. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein, provided, that the employers payroll records accurately set forth the time spent in each classification in which work is performed. c. All rulings and interpretations of the Davis -Bacon Act and related acts contained in 29 CFR 1, 3, and 5 are herein incorporated by reference in this contract. 2. Classification: a. The SHA contracting officer shall require that any class of laborers or mechanics employed under the contract, which is not listed in the wage determination, shall be classified in conformance with the wage determination. b. The contracting officer shall approve an additional classifica- tion, wage rate and fringe benefits only when the following criteria have been met: (1) the work to be performed by the additional classifica- tion requested is not performed by a classification in the wage determination; (2) the additional classification is utilized in the area by the construction industry; (3) the proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and (4) with respect to helpers, when such a classification prevails in the area in which the work is performed. c. If the contractor or subcontractors, as appropriate, the laborers and mechanics (if known) to be employed in the additional classification or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the DOL, Administratorof the Wage and Hour Division, Employment Standards Administration, Washington, D.C. 20210. The Wage and Hour Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contract- ing officer within the 30-day period that additional time is necessary. d. In the event the contractor or subcontractors, as appropri- ate, the laborers or mechanics to be employed in the additional classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorized representative, will issue a determina- tion within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary e. The wage rate (including fringe benefits where appropriate) determined pursuant to paragraph 2c or 2d of this Section IV shall be paid to all workers performing work in the additional classification from the first day on which work is performed in the classification. 3. Payment of Fringe Benefits: a. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor or subcontractors, as appropriate, shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof. b. If the contractor or subcontractor, as appropriate, does not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. Form FHWA-1273 (Rev. 3-94) Page 3 4. Apprentices and Trainees (Programs of the U.S. DOL) and Helpers: a. Apprentices: (1) Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau, or if a person is employed in his/her first 90 days of probationary employ- ment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State apprenticeship agency (where appropriate) to be eligible for probationary employ- ment as an apprentice. (2) The allowable ratio of apprentices to joumeyman-level employees on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is Performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the joumeyman-level hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. (3) Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeyman -level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. if the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. (4) In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, with- draws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work performed by regular employees until an acceptable program is approved. b. Trainees: (1) Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the DOL, Employment and Training Administration. (2) The ratio of trainees to journeyman -level employees on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. (3) Every trainee must be aid at not less than the rate specified in the approved program for his/her level of progress, expressed as a percentage of the joumeyman-level hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. if the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associ- ated with the corresponding journeyman -level wage rate on the wage determination which provides for less than full fringe benefits for apprentices, in which case such trainees shall receive the same fringe benefits as apprentices. (4) In the event the Employment and Training Administra- tion withdraws approval of a training program, the contractor or subcontractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. c. Helpers: Helpers will be permitted to work on a project if the helper classification is specified and defined on the applicable wage determination or is approved pursuant to the conformance procedure set forth in Section IV.2. Any worker listed on a payroll at a helper wage rate, who is not a helper under a approved definition, shall be paid not less than the applicable wage rate on the wage determina- tion for the classification of work actually performed. 5. Apprentices and Trainees (Programs of the U.S. DOT): Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal -aid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to joumeymen shall not be greater than permitted by the terms of the particular program. 6. Withholding: The SHA shall upon its own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other Federally -assisted contract subject to Davis -Bacon prevailing wage requirements which is held by the same prime contractor, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontrac- tor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site ofthe work, all or part of the wages required by the contract, the SHA contracting officer may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. 7. Overtime Requirements: No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers, mechanics, watchmen, or guards (including apprentices, trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, watchman, or guard in any workweek In which he/she is employed on such work, to work in excess of 40 hours in such workweek unless such laborer, mechanic, watchman, or guard receives compensation at a rate not less than one -and -one-half times his/her basic rate of pay for all hours worked in excess of 40 hours in such workweek. 8. Violation: Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the clause set forth in paragraph 7 above, the contractor and any subcontractor responsible thereof shall be liable to the affected employee for his/her 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 liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer, mechanic, watchman, or guard ern ployyed in violation of the clause set forth in paragraph 7, in the sum of $l0 for each calendar day on which such employee was required or permit- ted to work in excess of the standard work week of 40 hours without payment of the overtime wages required by the clause set forth in paragraph 7. 9. Withholding for Unpaid Wages and Liquidated Damages: Page 4 Form FHWA-1273 (Rev. 3-94) The SHA shall upon its own action or upon written request of any authorized representative of the DOL withhold, or cause to be withheld, from any monies 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 sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 8 above. V. STATEMENTS AND PAYROLLS Applicable to all Federal -aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural collectors, which are exempt.) 1. Compliance with Copeland Regulations (29 CFR 3): The contractor shall comply with the Copeland Regulations of the Secretary of Labor which are herein incorporated by reference. 2. Payrolls and Payroll Records: a. Payrolls and basic records relating thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics, apprentices, trainees, watchmen, helpers, and guards working at the site of the work. b. The payroll records shall contain the name, social security number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contribu- tions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. In addition, for Appala- chian contracts, the payroll records shall contain a notation indicating whether the employee does, or does not, normally reside in the labor area as defined in Attachment A, paragraph 1. Whenever the Secretary of Labor, pursuant to Section IV, paragraph 3b, has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1(b)(2)(B) of the Davis Bacon Act, the contractor and each subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprentices and trainees, and ratios and wage rates prescribed in the applicable programs. c. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the SHA resident engineer a payroll of wages paid each of its employees (including apprentices, trainees, and helpers, described in Section IV, para- graphs 4 and 5, and watchmen and guards engaged on work during the preceding weekly payroll period). The payroll submitted shall set out accurately and completely all of the information required to be maintained under paragraph 2b of this Section V. This information may be submitted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superin- tendent of Documents (Federal stock number 029-005-0014-1), U.S. Government Printing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. d. Each payroll submitted shall be accompanied by a "State- ment of Compliance," signed by the contractor or subcontractor or his/her agent who pays or supervises the payment of the persons employed under the contract and shall certifv the fnllnw4nn- (1) that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this Section V and that such information is correct and complete; (2) that such laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made Form FHWA-1273 (Rev. 3-94) either directly or indirectly from the full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR 3; (3) that each laborer or mechanic has been paid not less that the applicable wage rate and fringe benefits or cash equivalent for the classification of worked performed, as specified in the applicable wage determination incorporated into the contract. e. The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph 2d of this Section V. f. The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 231. g. The contractor or subcontractor shall make the records required under paragraph 2b of this Section V available for inspec- tion, copying or transcription by authorized representatives of the SHA, the FHWA, or the DOL, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the SHA, the FHWA, the DOL, or all may, after written notice to the contractor, sponsor, applicant, or owner, take such actions as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR 1. On all Federal -aid contracts on the National Highway System, except those which provide solely for the installation of protective devices at railroad grade crossings, those which are constructed on a force account ordirect labor basis, highway beautification contracts, and contracts for which the total final construction cost for roadway and bridge is less than $1,000,000 (23 CFR 635) the contractor shall: a. Become familiar with the list of specific materials and supplies contained in Form FHWA-47, "Statement of Materials and Labor Used by Contractor of Highway Construction Involving Federal Funds," prior to the commencement of work under this contract. b. Maintain a record of the total cost of all materials and supplies purchased for and incorporated in the work, and also of the quantities of those specific materials and supplies listed on Form FHWA-47, and in the units shown on Form FHWA-47. c. Fumish, upon the completion of the contract, to the SHA resident engineer on Form FHWA-47 together with the data required in paragraph 1b relative to materials and supplies, a final labor summary of all contract work indicating the total hours worked and the total amount earned. 2. At the prime contractor's option, either a single report covering all contract work or separate reports for the contractor and for each subcontract shall be submitted. Vil. SUBLETTING OR ASSIGNING THE CONTRACT 1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the State. Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor's own organization (23 CFR 635). a. "Its own organization" shall be construed to include only workers employed and paid directly by the prime contractor and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of Page 5 a subcontractor, assignee, or agent of the prime contractor b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid on the contract as a whole and in general are to be limited to minor components of the overall contract. 2. The contract amount upon which the requirements set forth in paragraph 1 of Section VII is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions. 3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work In accordance with the contract require- ments, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the SHA contracting officer determines is necessary to assure the performance of the contract. 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the SHA contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the SHA has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract. Vlll. SAFETY: ACCIDENT PREVENTION 1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the SHA contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surround- ings or under conditions which are unsanitary, hazardous or danger- ous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). 3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS In order to assure high quality and durable construction in confor- mity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal -aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, the following notice shall be posted on each Federal -aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project: NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL -AID HIGHWAY PROJECTS 18 U.S.C. 1020 reads as follows: "Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false state- ment, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any hVh way or related project submitted for approval to the Secretary of Transportation; or Whoever knowingly makes any false statement, false representa- tion, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoeverknowingly makes any false statement or false representa- tion as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal -aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supple- mented, Shall be fined not more that $10,000 or imprisoned not more than 5 years or both." X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT (Applicable to all Federal -aid construction contracts and to all related subcontracts of $100,000 or more.) By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, Federal -aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows: 1. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 et sew�e., as amended by Pub.L. 91-604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C.1251 at seq., as amended by Pub.L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. 2. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. 3. That the firm shall promptly notify the SHA of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. 4. That the firm agrees to include or cause to be included the requirements of paragraph 1 through 4 of this Section X in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements. XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION 1. Instructions for Certification - Primary Covered Transac- tions: (Applicable to all Federal -aid contracts - 49 CFR 29) a. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. c. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later deter- mined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this Page Form FHWA-1273 (Rev. 3-94) transaction for cause of default. d. The prospective primary participant shall provide immediate written notice to the department or agency to whom this proposal is submitted if any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. e. The terms "covered transaction," "debarred," "suspended," "ineligible," 'lower tier covered transaction," "partic ant," "person," "primary covered transaction," "principal," "proposal, and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy of those regulations. f. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transac- tion with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. g. The prospective Primary participant further agrees by submitting this proposal that it will Include the clause titled "Certifica- tion Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicita- tions for lower tier covered transactions. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower her covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A Participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the nonprocurement portion of the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs" (Nonprocurement List) which is compiled by the General Services Administration. I. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. j. Except for transactions authorized under paragraph f of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Primary Covered Transactions 1. The prospective primary 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 3-year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtain- ing, 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 governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph I of this certification; and d. Have not within a 3-year period preceding this applica- tion/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 2. Instructions for Certification -Lower Tier Covered Transac- tions: (Applicable to all subcontracts, purchase orders and other lower tier transactions of $25,000 or more - 49 CFR 29) a. By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. b. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the depart- ment, or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. c. The prospective lower tier participant shall provide immedi- ate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances. d. The terms "covered transaction," "debarred," "suspended," "ineligible," "primary covered transaction," "participant," "person," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 9. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certifica- tion Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. g. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and Form FHWA-1273 (Rev. 3-94) Page 7 frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. I. Except for transactions authorized under paragraph a of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Lower Tier Covered Transactions: 1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or volun- tarily excluded from participation in this transaction by any Federal department or agency. 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING (Applicable to all Federal -aid construction contracts and to all related subcontracts which exceed $100,000 - 49 CFR 20) 1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal 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. b. 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 Federal 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. 2. 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 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penal of not less than $10,000 and not more than $100,000 for each sucfi failure. 3. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly. Page 8 Form FHWA-1273 (Rev. 3-94) ATTACHMENT A - EMPLOYMENT PREFERENCE FOR APPALACHIAN CONTRACTS (Applicable to Appalachian contracts only.) 1. During the performance of this contract, the contractor under- taking to do work which is, or reasonably may be, done as on -site work, shall give preference to qualified persons who regularly reside in the labor area as designated by the DOL wherein the contract work is situated, or the subregion, or the Appalachian counties of the State wherein the contract work is situated, except: a. To the extent that qualified persons regularly residing in the area are not available. b. For the reasonable needs of the contractor to employ supervisory or specially experienced personnel necessary to assure an efficient execution of the contract work. c. For the obligation of the contractor to offer employment to present or former employees as the result of a lawful collective bargaining contract, provided that the number of nonresident persons employed under this subparagraph 1 c shall not exceed 20 percent of the total number of employees employed by the contractor on the contract work, except as provided in subparagraph 4 below. 2. The contractor shall place a job order with the State Employ- ment Service indicating (a) the classifications of the laborers, mechanics and other employees required to perform the contract work, (b) the number of employees required in each classification, Form FHWA-1273 (Rev. 3-94) (c) the date on which he estimates such employees will be required, and (d) any other pertinent information required by the State Employ- ment Service to complete the job order form. The job order may be placed with the State Employment Service in writing or by telephone. If during the course of the contract work, the information submitted by the contractor in the original job order is substantially modified, he shall promptly notify the State Employment Service. 3. The contractor shall give full consideration to all qualified job applicants referred to him by the State Employment Service. The contractor is not required to grant employment to any job applicants who, in his opinion, are not qualified to perform the classification of work required. 4. If, within 1 week following the placing of a job order by the contractor with the State Employment Service, the State Employment Service is unable to refer any qualified job applicants to the contrac- tor, or less than the number requested, the State Employment Service will forward a certificate to the contractor indicating the unavailability of applicants. Such certificate shall be made a part of the contractor's permanent project records. Upon receipt of this certificate, the contractor may employ persons who do not normally reside in the labor area to fill positions covered by the certificate, notwithstanding the provisions of subparagraph 1 c above. 5. The contractor shall include the provisions of Sections 1 through 4 of this Attachment A in every subcontract for work which is, or reasonably may be, done as on -site work. Page 9 EXHIBIT B Rate Schedule HDR Engineering, Inc. Enqineerinq Professional Level Position Title Hourly Billing Rate Level 2 Engineering Technician $ 70.00 Level 3 Engineer Associate $ 84.00 Level 4 Staff Engineer $ 110.00 Level 5 Senior Engineer $ 143.00 Level 6 Lead Engineer/Project Manager $ 168.00 Level 7 Chief Consulting Engineer $ 212.00 Level Principal Engineer $ 240.00 Geotechnical Enaineerina Professional Level Position Title Hourly Rate Level 2 Engineering Technician $ 77.00 Level 3 Engineer Associate $ 79.00 Level 4 Staff Geotech Engineer $ 95.00 Level 5 Senior Geotech Engineer $ 145.00 Level 6 Lead Geotech Engineer/Project Manager $ 166.00 Level 7 Chief Consulting Geotech Engineer $ 213.00 Construction Administation Professional Level Position Title Hourly Rate Level 2 Inspection Technician $ 55.00 Level 3 Inspection Associate $ 83.00 Level 4 Staff Inspection Rep $ 106.00 Level 5 Senior Inspection Rep $ 127.00 Level 6 Lead Inspection Rep/Project Manager $ 144.00 Level 7 Chief Consulting Inspector $ 202.00 Computer Aided Desian Professional Level Position Title Hourly Rate Level 2 CADD Technician $ 70.00 Level 3 CADD Associate $ 81.00 Level 4 Staff Designer $ 93.00 Level 5 Senior Designer $ 106.00 Level 6 Lead Designer/Project Manager $ 129.00 Level 7 Chief Consulting Designer $ 179.00 Architectural Services Professional Level Position Title urly Rate Level 2 Architectural Technician $ 65.00 Level 3 Architect Associate $ 86.00 Level 4 Staff Architect $ 106.00 Level 5 Senior Architect $ 142.00 Level 6 Lead Architect/Project Manager $ 164.00 Level 7 Chief Consulting Architect $ 199.00 Monroe County, Florida On Call Engineering Services Page 1 of 4 December 9, 2009 Rate Schedule HDR Engineering, Inc. Survey Support Professional Level Position Title Hourly Rate Level Drafter $ 50.00 Level 2 Surveying Technician $ 75.00 Level 6 Lead Surveyor/Project Manager $ 98.00 Level 7 Chief Surveyor $ 119.00 Two -Person Crew - Hourly Rate $ 131.00 Three -Person Crew - Hourly Rate $ 165.00 Planning (Includes Economics) Professional Level Position Title Hourlv Rate Level 2 Planning Technician $ 71.00 Level 3 Planner Associate $ 84.00 Level 4 Staff Planner $ 113.00 Level 5 Senior Planner $ 132.00 Level 6 Lead Planner/Project Manager $ 178.00 Level,7 Chief Planner $ 245.00 Technical Writing and Editin Professional Level Position Title Hourly Rate Level 1 Proofreader (Tech Writer Assistant) $ 52.00 Level 2 Technical Writer/Editor $ 66.00 Level 3 Associate Technical Writer/Editor $ 75.00 Level 4 Staff Technical Writer/Editor $ 98.00 Level 5 Senior Technical Writer/Editor $ 103.00 Level 6 Lead Technical Writer/Editor/Project Manager $ 127.00 Level 7 Chief Consulting Technical Writer/Editor $ 226.00 Quality Assurance/Quality Control Professional Level Position Title Hourly Rate Level 5 Senior Quality Assurance Specialist $ 137.00 Level 6 Lead Quality Assurance Specialist/Project Manag $ 173.00 Level 7 Chief Quality Assurance Specialist $ 203.00 Environmental Science & Laboratory Professional Level Position Title Hourly Rate Level 2 Scientist/Analyst Technician $ 61.00 Level 3 Scientist/Analyst Associate $ 77.00 Level 4 Staff Scientist/Analyst $ 102.00 Level 5 Senior Scientist/Analyst $ 136.00 Level 6 Lead Scientist/Analyst/Project Manager $ 166.00 Level 7 Chief Scientist/Analyst $ 202.00 Monroe County, Florida On Call Engineering Services Page 2 of 4 December 9, 2009 Rate Schedule HDR Engineering, Inc. Modelinq Professional Level Position Title Hourlv Rate Level 2 Hydrologic Modeling Technician $ 60.00 Level 3 Hydrologic Modeler Associate $ 83.00 Level 4 Staff Hydrologic Modeler $ 104.00 Level 5 Senior Hydrologic Modeler $ 151.00 Level 6 Lead Hydrologic Modeler/Project Manager $ 176.00 Level 7 Chief Consulting Hydrologic Modeler $ 204.00 Hydrogeologv Professional Level Position Title Hourly Rate Level 2 Hydrogeologic Technician $ 85.00 Level 3 Hydrogeologic Associate $ 87.00 Level Staff Hydrogeologist $ 101.00 Level 5 Senior Hydrogeologist $ 145.00 Level 6 Lead Hydrogeologist/Project Manager $ 159.00 Level 7 Chief Consulting Hydrogeologist $ 184.00 GIS/RS Professional Level Position Title Hourly Rate Level 2 GIS/RS Technician $ 61.00 Level 3 GIS/RS Associate $ 72.00 Level 4 Staff GIS/RS Analyst $ 87.00 Level 5 Senior GIS/RS Analyst $ 110.00 Level 6 Lead GIS/RS Analyst/Project Manager $ 153.00 Level 7 Chief Consulting GIS/RS Analyst $ 189.00 Program Controls (Scheduling/Entimatinn► Professional Level Position Title Hourly Rate Level 3 Program Controls Specialist $ 80.00 Level 4 Staff Program Controls Specialist $ 112.00 Level 5 Senior Controls Specialist $ 125.00 Level 6 Lead Controls Specialist/Project Manager $ 161.00 Level 7 Chief Consulting Specialist $ 190.00 Administrative Support Professional Level Position Title Hourly Rate Level 1 Clerical Assistant $ 32.00 Level 2 Clerical Associate $ 47.00 Level 3 Administrative Associate $ 63.00 Level 4 Senior Administrative Associate $ 85.00 Monroe County, Florida On Call Engineering Services Page 3 of 4 December 9, 2009 Rate Schedule HDR Engineering, Inc. Qualifications by Professional Level and Position Title Professional Level Position Title Qualifications Experience Level 1 Assistant Associates Degree (1) 0-2 Years Level 2 Technician Associates Degree(1) 0-7 Years Level 3 Associate Associates Degree(1) 0-3 Years Level 4 Staff BS Degree(1)(3) 4-7 Years Level 5 Senior BS Degree(1)(2)(3) 8-12 Years Level 6 Lead BS Degree(1)(2)(3) >12 Years Level 7 Chief Consulting MS or PhD Degree(1)(4) >12 Years Level 1 Clerical Assistant High School 0-2 Years Level 2 Clerical Associate Associates Degree(1) 0-2 Years Level 3 Administrative Associate Associates Degree(1) 4+ Years Level 4 Senior Administrative Associate BS Degree(1)(2) 4+ Years (')Valid State of Florida Class-D Driver's License (2) MS Degree Preferred (3) State of Florida Certified PE, PG, Professional Preferred (4) State of Florida Certified PE, PG, Professional Required Monroe County, Florida On Cali Engineering Services Page 4 of 4 December 9, 2009 BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Bulk Item: Yes X No Division: Public Works Department: Engineering Staff Contact Person/Phone #: Judy Clarke X4329 AGENDA ITEM WORDING: Approval to execute a Contract with Metric Engineering, Inc. for on call engineering services. ITEM BACKGROUND: Miscellaneous engineering services are required for various County projects on an ongoing basis; the Engineering Department advertised a Request for Qualifications (RFQ) and on September 28, 2009, Metric Engineering, Inc. was ranked in the top seven of 44 responses. PREVIOUS RELEVANT BOCC ACTION: The BOCC approved advertising the RFQ at the June 2009 BOCC meeting. At the November 18, 2009 meeting the BOCC approved contract negotiations with Metric Engineering, Inc. and six other firms. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval of Contract as requested above. TOTAL COST: n/a INDIRECT COST: n/a BUDGETED: Yes No DIFFERENTIAL OF LOCAL PREFERENCE: COST TO COUNTY: SOURCE OF FUNDS: REVENUE PRODUCING: Yes No AMOUNT PER MONTH Year APPROVED BY: County Atty _ OMB/Purchasing Risk Management DOCUMENTATION: Included X Not Required DISPOSITION: revised 7/09 AGENDA ITEM # 'MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: Metric Engineering, Inc. Contract # Effective: January 20, 2010 Expiration Date: Five years thereafter Contract Purpose/Description: Miscellaneous engineering services for various County projects on an on call basis. Specific tasks and budgets will be awarded by task order as needed. Contract Manager: Judy Clarke 4329 En ineerin #I (Name) (Ext.) (Department/Stop #) for BOCC meeting on Jan 20, 2010 Agenda Deadline: Jan 5, 2010 CONTRACT COSTS Total Dollar Value of Contract: $ Current Year Portion: $ Budgeted? Yes❑ No ❑ Account Codes: - - - Grant: $ - - - County Match: $ - - - ADDITIONAL COSTS Estimated Ongoing Costs: $0/yr For: (Not included in dollar value above) (e . maintenance, utilities, janitorial, salaries, etc.) CONTRACT REVIEW Changes Date Out Date In Needed Reviewer Division Director I_ft _(0 Yes❑ No� % - y —/b Risk Management �j- LO Yes❑ No[V� I - o O M B./PurchXa g �'`1- 10 Yes❑ Nod � I County Attorney �� Yes❑ Nolo P A-LL , ck al.l� Comments: OMB Form Revised 2/27/01 MCP #2 Contract for On Call Professional Engineering Services THIS Contract (The AGREEMENT) made and entered into this 20th day of January 2010, by and between Monroe County, a political subdivision of the State of Florida, whose address is 1100 Simonton Street, Key West Florida, 33040, its successors and assigns hereinafter referred to as the "COUNTY," through the Monroe County Board of County Commissioners (BOCC), the Owner And Metric Engineering, Inc., a Corporation of the State of Florida, whose address is 13940 S.W. 136 Street, Suite 200, Miami, Florida 33186, its successors and assigns, hereinafter referred to as "CONSULTANT", WITNESSETH: WHEREAS, COUNTY desires to employ the professional engineering services of CONSULTANT for various County Projects located in Monroe County, Florida and WHEREAS, CONSULTANT has agreed to provide professional services for miscellaneous projects in which construction costs do not exceed $2,000,000.00 The professional services required by this Contract will be for services in the form of a continuing contract, commencing the effective date of this agreement and ending four years thereafter, with options for the County to renew on an annual basis two consecutive times. Specific services will be performed pursuant to individual task orders issued by the COUNTY and agreed to by the CONSULTANT. Task Orders will contain specific scope of work, time schedule, charges and payment conditions, and additional terms and conditions that are applicable to such Task Orders. Execution of a Task Order by the COUNTY and the CONSULTANT constitutes the COUNTY's written authorization to CONSULTANT to proceed with the services described in the Task Order. The terms and conditions of this Agreement shall apply to each Task Order, except to the extent expressly modified. When a Task Order is to modify a provision of this Agreement, the Article of this Agreement to be modified will be specifically referenced in the Task Order and the modification shall be precisely described. NOW, THEREFORE, in consideration of mutual promises, covenants and agreements stated herein, and for other good and valuable consideration, the sufficiency of which is hereby acknowledged, COUNTY and CONSULTANT agree as follows: FORM OF AGREEMENT ARTICLE I 1.1 REPRESENTATIONS AND WARRANTIES By executing this Agreement, the CONSULTANT makes the following express representations and warranties to the COUNTY: 1.1.1 The CONSULTANT shall maintain all necessary licenses, permits or other authorizations necessary to act as CONSULTANT for the Project until the CONSULTANT'S duties hereunder have been satisfied; 1.1.2 The CONSULTANT has become familiar with the Project site and the local conditions under which the Project is to be designed, constructed, and operated; 1.1.3 The CONSULTANT shall prepare all documents required by this Agreement including, but not limited to, all contract plans and specifications, in such a manner that they shall be in conformity and comply with all applicable law, codes and regulations. The CONSULTANT warrants that the documents prepared as a part of this Contract will be adequate and sufficient to accomplish the purposes of the Project, therefore, eliminating any additional construction cost due to missing or incorrect design elements in the contract documents; 1.1.4 The CONSULTANT assumes full responsibility to the extent allowed by law with regards to his performance and those directly under his employ. 1.1.5 The CONSULTANT'S services shall be performed as expeditiously as is consistent with professional skill and care and the orderly progress of the Project. In providing all services pursuant to this agreement, the CONSULTANT shall abide by all statutes, ordinances, rules and regulations pertaining to, or regulating such services, including those now in effect and hereinafter adopted. Any violation of said statutes, ordinances, rules and regulations shall constitute a material breach of this agreement and shall entitle the COUNTY to terminate this agreement immediately upon delivery of written notice of termination to the CONSULTANT. 1.1.6 At all times and for purposes under this agreement the CONSULTANT is an independent contractor and not an employee of the Board of County Commissioners for Monroe County. No statement contained in this agreement shall be construed so as to find the CONSULTANT or any other of his/her employees, contractors, servants, or agents to be employees of the Board of County Commissioners for Monroe County. 1.1.7 The CONSULTANT shall not discriminate against any person based on race, creed, color, national origin, sex, age or any other characteristic or aspect which is not related, in its recruiting, hiring, promoting, terminating, or other area affecting employment under this agreement or with the provision of services or goods under this agreement. ARTICLE II SCOPE OF BASIC SERVICES 2.1.1 The CONSULTANT will perform for the COUNTY services as described in individual Task Orders in accordance with the requirements outlined in the Agreement and the specific Task Order. These services will include, but not be limited to: A. Provide comprehensive transportation engineering design services for road and bridge construction and rehabilitation projects, including design, surveying, drafting, preparing specifications and contract documents, traffic studies, lighting and signalization, geotechnical investigations, permitting, assisting with review of contractor bids, comprehensive project management services, and construction engineering and inspection services. B. Provide comprehensive stormwater and drainage engineering services including design, surveying, feasibility studies, geotechnical investigations, permit preparation, preparing construction plans, specifications and contract documents, assisting with review of contractor bids, comprehensive project management services and construction engineering and inspection services. C. Provide comprehensive environmental engineering services including design, surveying, geotechnical investigations, environmental assessments, water quality studies, sampling analysis and monitoring, permit preparation, preparing construction plans, specifications and contract documents, assisting with review of contractor bids, comprehensive project management services and construction engineering and inspection services. D. Provide comprehensive structural engineering services including design, surveying, facility inspections and assessments, preparing construction plans, specifications and contract documents, permitting, construction administration related to new construction, construction improvements, rehabilitation and/or retrofit of County facilities and buildings. E. Provide general engineering services including but not limited to surveying, drafting, studies and assessments, engineering design, preparation of bid and proposal documents, permitting, assistance with technical review of contractor documents, construction engineering and inspection services for miscellaneous County projects. 2.1.2 The CONSULTANT shall be responsible for performing in accordance with all applicable Florida Department of Transportation (FDOT) manuals, procedures, specifications and guidance for all Local Agency Program (LAP) projects. When a Project is funded through the America Recovery and Reinvestment Act of 2009 (ARRA) and will be administered under the Florida Department of Transportations' Local Agency Program (LAP), the CONSULTANT must be familiar with and must comply with all applicable federal, state and local requirements of these programs. The CONSULTANT shall exercise their independent professional judgment in performing their obligations and responsibilities under this Agreement. Pursuant to Section 4.1.4 of the Florida Department of Transportation's, Construction Project Administration Manual (CPAM), the authority of the Consultant's lead person, such as the Senior Project Engineer, and the Consultant's Project Administrator shall be identical to the Department's Resident Engineer and Project Administrator respectively and shall be interpreted as such. 2.2 CORRECTIONS OF ERRORS, OMMISSIONS, DEFICIENCIES 2.2.1 The CONSULTANT shall, without additional compensation, promptly correct errors, omissions, deficiencies, or conflicts in the work product of the CONSULTANT or its subconsultants, or both. 2.3 NOTICE REQUIREMENTS 2.3.1 All written correspondence to the COUNTY shall be dated and signed by an authorized representative of the CONSULTANT. Any notice required or permitted under this agreement shall be in writing and hand delivered or mailed, postage prepaid, to the COUNTY by certified mail, return receipt requested, to the following: Ms. Judith Clarke, P.E. Monroe County Engineering Services 1100 Simonton St. Rm 2-216 Key West, FL 33040 And:Mr. Roman Gastesi, Jr. County Administrator 1100 Simonton Street Key West, FL 33040 4 For the Consultant: Allan Sequeira, P.E. Metric Engineering, Inc. 13940 S.W. 136 Street, Suite 200 Miami, Florida 33186 ARTICLE III ADDITIONAL SERVICES 3.1 The services described in this Article III are not included in Basic Services. They shall be paid for by the COUNTY as provided in this agreement as an addition to the compensation paid for the Basic Services but only if approved by the COUNTY before commencement, and as follows: A. Providing services of CONSULTANT for other than the previously listed consulting scope of Project provided as a part of Basic Services. B. Providing any other services not otherwise included in this Agreement or not customarily furnished in accordance with generally accepted consulting practice. C. Providing representation before public bodies in connection with the Project, upon approval by the COUNTY. 3.2 If Additional Services are required, such as those listed above, the COUNTY shall issue a letter requesting and describing the requested services to the CONSULTANT. The CONSULTANT shall respond with fee proposal to perform the requested services. Only after receiving an amendment to the Agreement and a notice to proceed from the COUNTY, shall the CONSULTANT proceed with the Additional Services. ARTICLE IV COUNTY'S RESPONSIBILITIES 4.1 The COUNTY shall provide full information regarding requirements for the project including physical location of work, county maintained roads and maps. 4.2 The COUNTY shall designate Monroe County Engineering Services Department to act on the COUNTY'S behalf with respects to the Project. The COUNTY or Monroe County Engineering Services Department shall render decisions in a timely manner pertaining to documents submitted by the CONSULTANT in order to avoid unreasonable delay in the orderly and sequential progress of the CONSULTANTS services. 4.3 Prompt written notice shall be given by the COUNTY and its representative to the CONSULTANT if they become aware of any fault or defect in the Project or nonconformance with the Agreement Documents. Written notice shall be deemed to have been duly served if sent pursuant to paragraph 2.3. 4.4 The COUNTY shall furnish the required information and services and shall render approvals and decisions as expeditiously as necessary for the orderly progress of the Consultants services and work of the contractors. 4.5 The COUNTY'S review of any documents prepared by the CONSULTANT or its subconsultants shall be solely for the purpose of determining whether such documents are generally consistent with the COUNTY'S criteria, as, and if, modified. No review of such documents shall relieve the CONSULTANT of responsibility for the accuracy, adequacy, fitness, suitability or coordination of its work product. 4.6 The COUNTY shall provide copies of necessary documents required to complete the work. 4.7 Any information that may be of assistance to the CONSULTANT that the COUNTY has immediate access to will be provided as requested. ARTICLE V INDEMNIFICATION AND HOLD HARMLESS 5.1.1 The CONSULTANT covenants and agrees to indemnify and hold harmless COUNTY/Monroe County and Monroe County Board of County Commissioners from any and all claims for bodily injury, including death, personal injury, and property damage, including property owned by Monroe County, and any other losses, damages, and expenses, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the CONSULTANT or Subcontractor(s) in any tier, occasioned by the negligence, errors, or other wrongful act or omission of the CONSULTANT in any tier, their employees, or agents. 5.1.2 The first ten dollars ($10.00) of remuneration paid to the CONSULTANT is for the indemnification provided for above. The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. Should any claims be asserted against the COUNTY by virtue of any deficiency or ambiguity in the plans and specifications provided by the CONSULTANT, the CONSULTANT agrees and warrants that he shall hold the COUNTY harmless and shall indemnify him from all losses occurring thereby and shall further defend any claim or action on the COUNTY'S behalf. 5.1.3 In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the CONSULTANT'S failure to purchase or maintain the required insurance, the CONSULTANT shall indemnify COUNTY from any and all increased expenses resulting from such delays. Should any claims be asserted against COUNTY by virtue of any deficiencies or ambiguity in the plans and specifications provide by the CONSULTANT the CONSULTANT agrees and warrants that CONSULTANT hold the COUNTY harmless and shall indemnify it from all losses occurring thereby and shall further defend any claims or action on the COUNTY'S behalf. 5.1.4 The extent of liability is in no way limited to, reduced or lessened by the insurance requirements contained elsewhere within the Agreement. 5.1.5 This indemnification shall survive the expiration or early termination of the Agreement. ARTICLE VI PERSONNEL 6.1 PERSONNEL The CONSULTANT shall assign only qualified personnel to perform any service concerning the project. At the time of execution of this Agreement, the parties anticipate that the following named individuals will perform those functions as indicated: NAME Carlos Duart, CPA Allan Sequeira, PE Douglas Ruggiano, PE Carlos Rodriguez, EI FUNCTION Principal -in -Charge Project Manager Structural Engineer Transportation Engineer So long as the individuals named above remain actively employed or retained by the CONSULTANT, they shall perform the functions indicated next to their names. If they are replaced the CONSULTANT shall notify the COUNTY of the change immediately. ARTICLE VII PAYMENTS 7.1 PAYMENT SUM 7.1.1 The COUNTY shall pay the CONSULTANT in current funds for the CONSULTANT'S performance of this Agreement based on rates negotiated and agreed upon and shown in Exhibit B. 7.2 PAYMENTS 7.2.1 For its assumption and performances of the duties, obligations and responsibilities set forth herein, the CONSULTANT shall be paid monthly. (A) If the CONSULTANT'S duties, obligations and responsibilities are materially changed by amendment to this agreement after execution of this Agreement, compensation due to the CONSULTANT shall be equitably adjusted, either upward or downward; (B) As a condition precedent for any payment due under this Agreement, the CONSULTANT shall submit monthly, unless otherwise agreed in writing by the COUNTY, an invoice to the COUNTY requesting payment for services properly rendered and reimbursable expenses due hereunder. The CONSULTANT'S invoice shall describe with reasonable particularity the service rendered. The CONSULTANT'S invoice shall be accompanied by such documentation or data in support of expenses for which payment is sought that the COUNTY may require. (C) For the performance of the optional additional services and contingent additional services described in Article III of this contract, provided same are first authorized in writing by the COUNTY, the CONSULTANT shall be paid hourly at the rates identified in Exhibit B, or as negotiated. 7.3 REIMBURSABLE EXPENSES 7.3.1 Reimbursable expenses include expenses incurred by the CONSULTANT in the interest of the Project: a. Expenses of transportation submitted by CONSULTANT, in writing, and living expenses in connection with travel authorized by the COUNTY, in writing, but only to the extent and in the amounts authorized by Section 112.061, Florida Statutes; b. Cost of reproducing maps or drawings or other materials used in performing the scope of services; c. Postage and handling of reports; 7.4 BUDGET 7.4.1 The CONSULANT may not be entitled to receive, and the COUNTY is not obligated to pay, any fees or expenses in excess of the amount budgeted for this Agreement in each fiscal year (October 1- September 30) by COUNTY'S Board of County Commissioners. The budgeted amount may only be modified by an affirmative act of the COUNTY'S Board of County Commissioners. 7.4.2 AVAILABILITY OF FUNDS. If funding cannot be obtained or cannot be continued at a level sufficient to allow for continued reimbursement of expenditures for services specified in the Task Order, the agreement may be terminated immediately at the option of the COUNTY by written notice of termination delivered to the CONSULTANT. The COUNTY shall not be obligated to pay for any services provided by the CONSULTANT after the CONSULTANT has received written notice of termination, unless otherwise required by law. 7.4.3 The COUNTY does not guarantee CONSULTANT any specific amount of work or task orders under this agreement. ARTICLE VIII 8.1 INSURANCE 8.1.1 The CONSULTANT shall obtain insurance as specified and maintain the required insurance at all times that this Agreement is in effect. In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the CONSULTANT'S failure to purchase or maintain the required insurance, the CONSULTANT shall indemnify the COUNTY from any and all increased expenses resulting from such delay. 8.1.2 The coverage provided herein shall be provided by an insurer with an A.M. Best Rating of VI or better, that is licensed to do business in the State of Florida and that has an agent for service of process within the State of Florida. The insurance certificate shall contain an endorsement providing sixty (60) days notice to the COUNTY prior to any cancellation of said coverage. Said coverage shall be written by an insurer acceptable to the COUNTY and shall be in a form acceptable to the COUNTY. 8.1.3 CONSULTANT shall obtain and maintain the following policies: A. Workers' Compensation insurance as required by the State of Florida, sufficient to respond to Chapter 440, Florida Statutes. B. Employers Liability Insurance with limits of $1,000,000 per Accident, $1,000,000 Disease, policy limits, $1,000,000 Disease each employee. C. Comprehensive business automobile and vehicle liability insurance covering claims for injuries to members of the public and/or damages to property of others arising from use of motor vehicles, including onsite and offsite operations, and owned, hired or non -owned vehicles, with One Million Dollars ($1,000,000.00) combined single limit and One Million Dollars ($1,000,000.00) annual aggregate. 9 D. Commercial general liability, including Personal Injury Liability insurance covering claims for injuries to members of the public or damage to property of others arising out of any covered act or omission of the CONSULTANT or any of its employees, agents or subcontractors or subconsultants, including Premises and/or Operations, Products and Completed Operations, Independent Contractors; Broad Form Property Damage and a Contractual Liability Endorsement with One Million Dollars ($1,000,000) per occurrence and annual aggregate. An Occurrence Form policy is preferred. If coverage is changed to or provided on a Claims Made policy, its provisions should include coverage for claims filed on or after the effective date of this Agreement. In addition, the period for which they may be reported must extend for a minimum of 48 months following the termination or expiration of this Agreement. E. Professional liability insurance of One Million Dollars ($1,000,000.00) per claim and Two Million Dollars ($2,000,000.00) annual aggregate. If the policy is a "claims made" policy, CONSULTANT shall maintain coverage or purchase a "tail" to cover claims made after completion of the project to cover the statutory time limits in Chapter 95 of the Florida Statutes. F. COUNTY shall be named as an additional insured with respect to CONSULTANTS liabilities hereunder in insurance coverage identified in Paragraphs C and D. G. CONSULTANT shall require its subconsultants to be adequately insured at least to the limits prescribed above, and to any increased limits of CONSULTANT if so required by COUNTY during the term of this Agreement. COUNTY will not pay for increased limits of insurance for subconsultants. H. CONSULTANT shall provide to the COUNTY certificates of insurance or a copy of all insurance policies including those naming the COUNTY as an additional insured by including any subsection hereunder. The COUNTY reserves the right to require a certified copy of such policies upon request. I. If the CONSULTANT participates in a self-insurance fund, a Certificate of Insurance will be required. In addition, the CONSULTANT may be required to submit updated financial statements from the fund upon request from the COUNTY. 8.2 APPLICABLE LAW This contract is governed by the laws of the State of Florida. Venue for any litigation arising under this contract must be in Monroe County, Florida. H ARTICLE IX MISCELLANEOUS 9.1 SECTION HEADINGS Section headings have been inserted in this Agreement as a matter of convenience of reference only, and that it is agreed that such section headings are not a part of this Agreement and will not be use in the interpretation of any provisions of this Agreement. 9.2 OWNERSHIP OF THE PROJECT DOCUMENTS The documents prepared by the CONSULTANT for this Project belong to the COUNTY and may be reproduced and copied without acknowledgement or permission of the CONSULTANT. 9.3 SUCCESSORS AND ASSIGNS The CONSULTANT shall not assign or subcontract its obligations under this Agreement except in writing and with the prior written approval of the Board of County Commissioners for Monroe County and the CONSULTANT, which approval shall be subject to such conditions and provisions as the Board may deem necessary. This paragraph shall be incorporated by reference into any assignment or subcontract and any assignee or subcontractor shall comply with all of the provisions of this Agreement. Subject to the provisions of the immediately proceeding sentence, each party hereto binds itself, its successors, assignees and legal representatives to the other and to the successors, assigns and legal representatives of such other party. The CONSULTANT shall not assign its right hereunder, excepting its right to payment, nor shall it delegate any of its duties hereunder without the written consent of the COUNTY. 9.4 NO THIRD PARTY BENEFICIARIES Nothing contained herein shall create any relationship, contractual or otherwise, with or any rights in favor of, any third party. 9.5 TERMINATION A. In the event the CONSULTANT shall be found to be negligent in any aspect of service, the COUNTY shall have the right to terminate this Agreement after five days written notification to the CONSULTANT. B. The County may terminate this Agreement without cause by giving the other party sixty (60) days written notice of its intention to do so. 9.6 CONTRACT DOCUMENTS The contract documents consist of the Request for Qualifications (RFQ), any addenda, the Form of Agreement (Articles I-XV), the CONSULTANTS response to the RFQ, the 11 documents referred to in the Form of Agreement as a part of this Agreement, and the attachments A and Exhibit B and modifications made after execution by written amendment. In the event any conflict between any of those Agreement documents, the one imposing the greater burden on the CONSULTANT will control. 9.7 PUBLIC ENTITIES CRIMES A person or affiliate who has been place on the convicted vendor list following a conviction for public entity crime may not submit a bid on contracts to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017 of the Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list. By signing this Agreement, CONSULTANT represents that the execution of this Agreement will not violate the Public Entity Crimes Act (Section 287.133, Florida Statutes), Violation of this section shall result in termination of this Agreement and recovery of all moneys paid hereto, and may result in debarment from COUNTY'S competitive procurement activities. In addition to the foregoing, CONSULTANT further represents that there has been no determination, based on an audit that it or any subconsultant has committed an act defined by Section 287.133, as "public entity crime", and that it has not been formally charged with committing an act defined as a "public entity crime" regardless of the amount of money involved or whether CONSULTANT has been placed on the convicted vendor list. CONSULTANT will promptly notify the COUNTY if it or any subcontractor or subconsultant is formally charged with an act defined as a "public entity crime" or has been placed on the convicted vendor list. 9.8 MAINTENANCE OF RECORDS CONSULTANT shall maintain all books, records, and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. Records shall be retained for a period of five years from the termination of this Agreement. Each party to this Agreement or their authorized representatives shall have reasonable and timely access to such records of each other party to this Agreement for public records purposes during the term of the Agreement and for four years following the termination of this Agreement. If an auditor employed by the County or Clerk determines that monies paid to CONSULTANT pursuant to this Agreement were spent for purposes not authorized by this Agreement, the 12 CONSULTANT shall repay the monies together with interest calculated pursuant to Sec. 55.03, FS, running from the date the monies were paid to County. 9.9 GOVERNING LAW, VENUE, INTERPERTATION, COST AND FEES This Agreement shall be governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Agreement, COUNTY and CONSULTANT agree that venue will lie in the 16TH Judicial Circuit, Monroe County, Florida, in the appropriate court or before the appropriate administrative body in Monroe County, Florida. This Agreement shall not be subject to arbitration. The County and CONSULTANT agree that, in the event of conflicting interpretations of the terms or a term of this Agreement by or between any of them the issue shall be submitted to mediation prior to the institution of any other administrative or legal proceeding. 9.10 SEVERABILITY If any term, covenant, condition or provision of this Agreement (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Agreement, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Agreement shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Agreement would prevent the accomplishment of the original intent of this Agreement. The County and CONSULTANT agree to reform the Agreement to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. 9.11 ATTORNEY'S FEES AND COSTS The COUNTY and CONSULTANT agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees and court costs expenses, as an award against the non - prevailing party, and shall include attorney's fees and courts costs expenses in appellate proceedings, as an award against the non -prevailing party. Mediation proceedings initiated and conducted pursuant to this Agreement shall be in accordance with the Florida Rules of Civil Procedure and usual and customary procedures required by the circuit court of Monroe County. 9.12 BINDING EFFECT The terms, covenants, conditions, and provisions of this Agreement shall bind and inure to the benefit of the COUNTY and CONSULTANT and their respective legal representatives, successors, and assigns. 13 9.13 AUTHORITY Each party represents and warrants to the other that the execution, delivery and performance of this Agreement have been duly authorized by all necessary COUNTY and corporate action, as required by law. 9.14 CLAIMS FOR FEDERAL OR STATE AID CONSULTANT and COUNTY agree that each shall be, and is, empowered to apply for, seek, and obtain federal and state funds to further the purpose of this Agreement; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission. 9.15 ADJUDICATION OF DISPUTES OR DISAGREEMENTS COUNTY and CONSULTANT agree that all disputes and disagreements shall be attempted to be resolved by meet and confer sessions between representatives of each of the parties. If no resolution can be agreed upon within 30 days after the first meet and confer session, the issue or issues shall be discussed at a public meeting of the Board of County Commissioners. If the issue or issues are still not resolved to the satisfaction of the parties, then any party shall have the right to seek such relief or remedy as may be provided by this Agreement or by Florida law. This provision does not negate or waive the provisions of paragraph 9.5 concerning termination or cancellation. 9.16 COOPERATION In the event any administrative or legal proceeding is instituted against either party relating to the formation, execution, performance, or breach of this Agreement, COUNTY and CONSULTANT agree to participate, to the extent required by the other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Agreement or provision of the services under this Agreement. COUNTY and CONSULTANT specifically agree that no party to this Agreement shall be required to enter into any arbitration proceedings related to this Agreement. 9.17 NON DISCRIMINATION CONSULTANT and COUNTY agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent jurisdiction that discrimination has occurred, this Agreement automatically terminates without any further action on the part of any party, effective the date of the court order. CONSULTANT and COUNTY agree to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss. 1681-1683, and 1685-1686), 14 which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975, as amended (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patent records; 8) Title VIII of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. 1201 Note), as maybe amended from time to time, relating to nondiscrimination on the basis of disability; 10) Any other nondiscrimination provisions in any Federal or state statutes which may apply to the parties to, or the subject matter of, this Agreement. 9.18 COVENANT OF NO INTEREST CONSULTANT and COUNTY covenant that neither presently has any interest, and shall not acquire any interest, which would conflict in any manner or degree with its performance under this Agreement, and that only interest of each is to perform and receive benefits as recited in this Agreement. 9.19 CODE OF ETHICS COUNTY agrees that officers and employees of the COUNTY recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112.313, Florida Statutes, regarding, but not limited to, solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. 9.20 NO SOLICITATION/PAYMENT The CONSULTANT and COUNTY warrant that, in respect to itself, it has neither employed nor retained any company or person, other than a bona fide employee working solely for it, to solicit or secure this Agreement and that it has not paid or agreed to pay any person, company, corporation, individual, or firm, other than a bona fide employee working solely for it, any fee, commission, percentage, gift, or other consideration contingent upon or resulting from the award or making of this Agreement. For the breach or violation of the provision, the CONSULTANT agrees that the COUNTY shall have 15 the right to terminate this Agreement without liability and, at its discretion, to offset from monies owed, or otherwise recover, the full amount of such fee, commission, percentage, gift, or consideration. 9.21 PUBLIC ACCESS The CONSULTANT and COUNTY shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the CONSULTANT and COUNTY in conjunction with this Agreement; and the COUNTY shall have the right to unilaterally cancel this Agreement upon violation of this provision by CONSULTANT. 9.22 NON -WAIVER OF IMMUNITY Notwithstanding the provisions of Sec. 768.28, Florida Statutes, the participation of the CONSULTANT and the COUNTY in this Agreement and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government liability insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any contract entered into by the COUNTY be required to contain any provision for waiver. 9.23 PRIVILEGES AND IMMUNITY All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the COUNTY, when performing their respective functions under this Agreement within the territorial limits of the COUNTY shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the COUNTY. 9.24 LEGAL OBLIGATIONS AND RESPONSIBILITIES Non -Delegation of Constitutional or Statutory Duties. This Agreement is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the COUNTY, except to the extent permitted by the Florida constitution, state statute, and case law. 9.25 NON -RELIANCE BY NON-PARTIES 16 No person or entity shall be entitled to rely upon the terms, or any of them, of this Agreement to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the CONSULTANT and the COUNTY agree that neither the CONSULTANT nor the COUNTY or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity or entities, have entitlements or benefits under this Agreement separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Agreement. 9.26 ATTESTATIONS AND TRUTH IN NEGOTATION CONSULTANT agrees to execute such documents as the COUNTY may reasonably require including a Public Entity Crime Statement, an Ethics Statement, and a Drug -Free Workplace Statement. Signature of this Agreement by CONSULTANT shall act as the execution of a truth in negotiation certificate stating that wage rates and other factual unit costs supporting the compensation pursuant to the Agreement are accurate, complete, and current at the time of contracting. The original contract price and any additions thereto shall be adjusted to exclude significant sums by which the agency determines the contract price was increased due to inaccurate, incomplete, or concurrent wage rates and other factual unit costs. All such adjustments must be made within one year following the end of the Agreement. 9.27 NO PERSONAL LIABILITY No covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Agreement or be subject to any personal liability or accountability by reason of the execution of this Agreement. 9.28 EXECUTION IN COUNTERPARTS This Agreement may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken together shall constitute one and the same instrument and any of the parties hereto may execute this Agreement by singing any such counterpart. 9.29 FEDERAL HIGHWAY ADMINISTRATION REQUIREMENTS Following forms and provisions are incorporated in and made part of this Agreement. 9.29.1 Davis -Bacon Act — In accordance with the Davis -Bacon Act the Consultant or their subcontractors shall pay workers employed directly upon the site of the work no less than the locally prevailing wages and fringe benefits paid on projects of a similar character. The current wage rates can be found at: WWW.access.no.�zov/davisbacon/tl.html under Monroe County. 17 9.29.2 Americans with Disabilities Act of 1990 (ADA) The CONSULTANT will comply with all the requirements as imposed by the ADA, the regulations of the Federal government issued thereunder, and the assurance by the CONSULTANT pursuant thereto. 9.29.3 DISADVANTAGED BUSINESS ENTERPRISE (DBE)POLICY AND OBLIGATION It is the policy of the COUNTY that DBE's, as defined in C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole or in part with COUNTY funds under this Agreement. The DBE requirements of applicable federal and state laws and regulations apply to this Agreement. The COUNTY and its CONSULTANT agree to ensure that DBE's have the opportunity to participate in the performance of the Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with applicable federal and state laws and regulations to ensure that DBE's have the opportunity to compete and perform contracts. The COUNTY and the CONSULTANT and subcontractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts, entered pursuant to this Agreement. 9.29.4 CONVICT LABOR The convict labor prohibition in 23 U.S.C. 114 applies to Federal Aid construction projects. Convict labor cannot be used for Federal Aid construction projects. 9.29.5 FHWA Form 1273 is attached hereto as Attachment A and made a part of this Agreement. IN WITNESS WHEREOF, each party caused this Agreement to be executed by its duly authorized representative on the day and year first above written. (SEAL) Attest: DANNY L. KOLHAGE, Clerk By: Deputy Clerk Date: BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairman (Seal)CONSULTANT Attest: By: ' Title: `'.� l C(F- D C,) T By: WITNESS By: ITNESS END OF AGREEMENT 19 ATTACHMENT A REQUIRED CONTRACT PROVISIONS FEDERAL -AID CONSTRUCTION CONTRACTS Page I. General ..................................... 1 It. Nondiscrimination ............................. 1 II. Nonsegregated Facilities ........................ 3 IV . Payment of Predetermined Minimum Wage ......... 3 V. Statements and Payrolls ...... ..... 5 VL Record of Materials, Supplies, and Labor ........... 5 VIi. Subletting or Assigning the Contract ............... 5 Vlll. Safety: Accident Prevention ..................... 6 IX. False Statements Concerning Highway Projects ...... 6 X. Implementation of Clean Air Act and Federal Water Pollution Control Act ...................... 6 XI. Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion .. .. ....... 6 Xil. Certification Regarding Use of Contract Funds for Lobbying.................................... 8 ATTACHMENTS A. Employment Preference for Appalachian Contracts (included In Appalachian contracts only) I. GENERAL 1. These contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractors immediate superinten- dence and to all work performed on the contract by piecework, station work, or by subcontract. 2. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Contract Provisions shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Contract Provisions. 3. A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for termination of the contract. 4. A breach of the following clauses of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5.12: Section I, paragraph 2; Section IV, paragraphs 1, 2, 3, 4, and 7; Section V, paragraphs 1 and 2a through 2g. 5. Disputes arising out of the labor standards provisions of Section IV (except paragraph 5) and Section V of these Required Contract Provisions shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractors employees or their representatives. 6. Selection of Labor: During the performance of this contract, the contractor shall not: a. discriminate against labor from any other State, possession, or territory of the United States (except for employment preference for Appalachian contracts, when applicable, as specified in Attachment A), or b, employ convict labor for any purpose within the limits of the project unless it is labor performed by convicts who are on parole, supervised release, or probation. 11. NONDISCRIMINATION (Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more.) 1. Equal Employment Opportunity: Equal employment opportu- nity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract. The Equal Opportu- nity Construction Contract Specifications set forth under 41 CFR 60- 4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.C. 12101 et seg.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporatea by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO: a. The contractor will work with the State highway agency (SHA) and the Federal Government in carrying out EEO obligations and in their review of his/her activities under the contract. b. The contractor will accept as his operating policy the following statement: "It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprentice- ship, preapprenticeship, and/or on-the-job training." 2. EEO Officer: The contractor will designate and make known to the SHA contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so. 3. Dissemination of Policy: All members of the contractors staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved in such action, will be made fully cognizant of, and will implement, the contractors EEO policy and contractual responsibili- ties to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractors EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer. b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractors EEO obligations within thirty days following their reporting for duty with the contractor. c. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractors procedures for locating and hiring minority group employees. d. Notices and posters setting forth the contractors EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees. e. The contractors EEO policy and the Procedures to imple- ment such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means. 4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." Ail such advertisements will be placed Form FHWA-1273 (Rev. 3-94) Page t in publications having a large circulation among minority groups in the area from which the project work force would normally be derived. a. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractor for employment consider- ation. b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, he is expected to observe the provisions of that agreement to the extent that the system permits the contractor's compliance with EEO contract provisions. (The DOL has held that where implementation of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) c. The contractor will encourage his present employees to refer minority group applicants for employment. Information and proce- dures with regard to referring minority group applicants will be discussed with employees. 5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed: a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discrimi- natory wage practices. c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimina- tion. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons. d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such com- plaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal. 6. Training and Promotion: a. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment. b. Consistent with the contractor's work force requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. Where feasible, 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training. In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. c. The contractor will advise employees and applicants for employment of available training programs and entrance require- ments for each. d. The contractor will periodically review the training and promotion potential of minority group and women employees and will encourage eligible employees to apply for such training and promo- tion. 7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use his/her best efforts to obtain the cooperation of such unions to increase opportunities for minority groups and women within the unions, and to effect referrals by such unions of minority and female employees. Actions by the contractor either directly or through a contractor's association acting as agent will include the procedures set forth below: a. The contractor will use best efforts to develop, in coopera- tion with the unions, joint training programs aimed toward qualifying more minority group members and women for membership in the unions and increasing the skills of minority group employees and women so that they may qualify for higher paying employment. b. The contractor will use best efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability. c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the SHA and shall set forth what efforts have been made to obtain such information. d. In the event the union is unable to provide the contractor with a reasonable flow of minority and women referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national on in, age or disability; making full efforts to obtain qualified an or qualiflable minority group persons and women. (The DOL has held that it shall be no excuse that the union with which the contractor has a collective bargaining agreement providing for exclusive referral failed to refer minority employees.) In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the SHA. 8. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procure- ment of materials and leases of equipment. a. The contractor shall notify all potential subcontractors and suppliers of his/her EEO obligations under this contract. b. Disadvantaged business enterprises (DBE), as defined in 49 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construction firms from SHA personnel. c. The contractor will use his best efforts to ensure subcontrac- tor compliance with their EEO obligations. 9. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by authorized representatives of the SHA and the FHWA. a. The records kept by the contractor shall document the following: (1) The number of minority and non -minority group members and women employed in each work classification on the project; (2) The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; (3) The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minority and female employees; and (4) The progress and efforts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees. b. The contractors will submit an annual report to the SHA Page 2 Form FHWA-1273 (Rev. 3-94) each July for the duration of the project, indicating the number of minority, women, and non -minority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA-1391. If on -the job training is being required by special provision, the contractor will be required to collect and report training data. ill. NONSEGREGATED FACILITIES (Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more.) a. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, as appropriate, the bidder, Federal -aid construc- tion contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The firm agrees that a breach of this certification is a violation of the EEO provisions of this contract. The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. b. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, timeclocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive, or are, in fact, segregated on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking). c. The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. IV. PAYMENT OF PREDETERMINED MINIMUM WAGE (Applicable to all Federal -aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural minor collectors, which are exempt.) 1. General: a. All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction or rebate on any account [except such payroll deductions as are permitted by regulations (29 CFR 3) issued by the Secretary of Labor under the Copeland Act (40 U.S.C. 276c)] the full amounts of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment. The payment shall be computed at wage rates not less than those contained in the wage determination of the Secretary of Labor (hereinafter "the wage determination") which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor or its subcon- tractors and such laborers and mechanics. The wage determination (including any additional classifications and wage rates conformed under paragraph 2 of this Section IV and the DOL poster (WH-1321) or Form FHWA-1495) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1(b)(2) of the Davis -Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of Section IV, paragraph 3b, hereof. Also, for the purpose of this Section, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in paragraphs 4 and 5 of this Section IV. b. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein, provided, that the emplo er's payroll records accurately set forth the time spent in each classif cation in which work is performed. c. All rulings and interpretations of the Davis -Bacon Act and related acts contained in 29 CFR 1, 3, and 5 are herein incorporated by reference in this contract. 2. Classification: a. The SHA contracting officer shall require that any class of laborers or mechanics employed under the contract, which is not listed in the wage determination, shall be classified in conformance with the wage determination. b. The contracting officer shall approve an additional classifica- tion, wage rate and fringe benefits only when the following criteria have been met: (1) the work to be performed by the additional classifica- tion requested is not performed by a classification in the wage determination; (2) the additional classification is utilized in the area by the construction industry; (3) the proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and (4) with respect to helpers, when such a classification prevails in the area in which the work is performed. c. If the contractor or subcontractors, as appropriate, the laborers and mechanics (if known) to be employed in the additional classification or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the DOL, Administrator of the Wage and Hour Division, Employment Standards Administration, Washington, D.C. 20210. The Wage and Hour Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contract- ing officer within the 30-day period that additional time is necessary. d. In the event the contractor or subcontractors, as appropri- ate, the laborers or mechanics to be employed in the additional classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorized representative, will issue a determina- tion within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary e. The wage rate (including fringe benefits where approppate) determined pursuant to paragraph 2c or 2d of this Section IV shall be paid to all workers performing work in the additional classification from the first day on which work is performed in the classification. 3. Payment of Fringe Benefits: a. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor or subcontractors, as appropriate, shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof. b. If the contractor or subcontractor, as appropriate, does not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. Form FHWA-1273 (Rev. 3-94) Page 3 4. Apprentices and Trainees (Programs of the U.S. DOL) and Helpers: a. Apprentices: (1) Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau, or if a person is employed in his/her first 90 days of probationary employ- ment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State apprenticeship agency (where appropriate) to be eligible for probationary employ- ment as an apprentice. (2) The allowable ratio of apprentices to joumeyman-level employees on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determination for the classification of work actually performed. in addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the joumeyman-level hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. (3) Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the joumeyman-level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. (4) In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, with- draws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work performed by regular employees until an acceptable program is approved. b. Trainees: (1) Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the DOL, Employment and Training Administration. (2) The ratio of trainees to journeyman -level employees on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. (3) Every trainee must be paid at not less than the rate specified in the approved program for his/her level of progress, expressed as a percentage of the journeyman -level hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associ- ated with the corresponding journeyman -level wage rate on the wage determination which provides for less than full fringe benefits for apprentices, in which case such trainees shall receive the same fringe benefits as apprentices. (4) in the event the Employment and Training Administra- tion withdraws approval of a training program, the contractor or subcontractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. c. Helpers: Helpers will be permitted to work on a project if the helper classification is specified and defined on the applicable wage determination or is approved pursuant to the conformance procedure set forth in Section IV.2. Any worker listed on a payroll at a helper wage rate, who is not a helper under a approved definition, shall be paid not less than the applicable wage rate on the wage determina- tion for the classification of work actually performed. 5. Apprentices and Trainees (Programs of the U.S. DOT): Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal -aid highway construction pprograms are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to joumeymen shall not be greater than permitted by the terms of the particular program. 6. Withholding: The SHA shall upon its own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other Federally -assisted contract subject to Davis -Bacon prevailing wage requirements which is held by the same prime contractor, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontrac- tor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or partof the wages required by the contract, the SHA contracting officer may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. 7. Overtime Requirements: No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers, mechanics, watchmen, or guards (including apprentices, trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, watchman, or guard in any workweek in which he/she is employed on such work, to work in excess of 40 hours in such workweek unless such laborer, mechanic, watchman, or guard receives compensation at a rate not less than one -and -one-half times his/her basic rate of pay for all hours worked in excess of 40 hours in such workweek. 8. Violation: Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the clause set forth in paragraph 7 above, the contractor and any subcontractor responsible thereof shall be liable to the affected employee for his/her 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 liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer, mechanic, watchman, or guard employed in violation of the clause set forth in paragraph 7, in the sum of $10 for each calendar day on which such employee was required or permit- ted to work in excess of the standard work week of 40 hours without payment of the overtime wages required by the clause set forth in paragraph 7. 9. Withholding for Unpaid Wages and Liquidated Damages: Page Form FHWA-1273 (Rev. 3-94) The SHA shall upon its own action or upon written request of any authorized representative of the DOL withhold, or cause to be withheld, from any monies 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 sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 8 above. V. STATEMENTS AND PAYROLLS (Applicable to all Federal -aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural collectors, which are exempt.) 1. Compliance with Copeland Regulations (29 CFR 3): The contractor shall comply with the Copeland Regulations of the Secretary of Labor which are herein incorporated by reference. 2. Payrolls and Payroll Records: a. Payrolls and basic records relating thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics, apprentices, trainees, watchmen, helpers, and guards working at the site of the work. b. The payroll records shall contain the name, social security number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contribu- tions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. In addition, for Appala- chian contracts, the payroll records shall contain a notation indicating whether the employee does, or does not, normally reside in the labor area as defined in Attachment A, paragraph 1. Whenever the Secretary of Labor, pursuant to Section IV, paragraph 3b, has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1(b)(2)(B) of the Davis Bacon Act, the contractor and each subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprentices and trainees, and ratios and wage rates prescribed in the applicable programs. c. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the SHA resident engineer a payroll of wages paid each of its employees (including apprentices, trainees, and helpers, described in Section IV, para- graphs 4 and 5, and watchmen and guards engaged on work during the preceding weekly payroll period). The payroll submitted shall set out accurately and completely all of the information required to be maintained under paragraph 2b of this Section V. This information may be submitted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superin- tendent of Documents (Federal stock number 029-005-0014-1), U.S. Government Prinfing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. d. Each payroll submitted shall be accompanied by a "State- ment of Compliance," signed by the contractor or subcontractor or his/her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this Section V and that such information is correct and complete; (2) that such laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR 3; (3) that each laborer or mechanic has been paid not less that the applicable wage rate and fringe benefits or cash equivalent for the classification of worked performed, as specified in the applicable wage determination incorporated into the contract. e. The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisf�r the requirement for submission of the "Statement of Compliance required by paragraph 2d of this Section V. f. The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 231. g. The contractor or subcontractor shall make the records required under paragraph 2b of this Section V available for inspec- tion, copyingg or transcription by authorized representatives of the SHA, the FHWA, or the DOL, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the SHA, the FHWA, the DOL, or all may, after written notice to the contractor, sponsor, applicant, or owner, take such actions as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR 1. On all Federal -aid contracts on the National Highway System, except those which provide solely for the installation of protective devices at railroad grade crossings, those which are constructed on a force accountordirect labor basis, highway beautification contracts, and contracts for which the total final construction cost for roadway and bridge is less than $1,000,000 (23 CFR 635) the contractor shall: a. Become familiar with the list of specific materials and supplies contained in Form FHWA-47, "Statement of Materials and Labor Used by Contractor of Highway Construction Involving Federal Funds," prior to the commencement of work under this contract. b. Maintain a record of the total cost of all materials and supplies purchased for and incorporated in the work, and also of the quantities of those specific materials and supplies listed on Form FHWA-47, and in the units shown on Form FHWA-47. c. Furnish, upon the completion of the contract, to the SHA resident engineer on Form FHWA-47 together with the data required in paragraph 1b relative to materials and supplies, a final labor summary of all contract work indicating the total hours worked and the total amount earned. 2. At the prime contractors option, either a single report covering all contract work or separate reports for the contractor and for each subcontract shall be submitted. VII. SUBLETTING OR ASSIGNING THE CONTRACT 1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the State. Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor's own organization (23 CFR 635). a. "Its own organization" shall be construed to include only workers employed and paid directly by the prime contractor and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of Forth FHWA-1273 (Rev. 3-94) Page 5 a subcontractor, assignee, or agent of the prime contractor b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, orequipment not ordinarily available in the type of contracting organizations qualified and expected to bid on the contract as a whole and in general are to be limited to minor components of the overall contract. 2. The contract amount upon which the requirements set forth in paragraph 1 of Section V11 is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions. 3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract require- ments, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the SHA contracting officer determines is necessary to assure the performance of the contract. 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the SHA contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the SHA has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract. Vill. SAFETY: ACCIDENT PREVENTION 1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the SHA contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surround- ings or under conditions which are unsanitary, hazardous or danger- ous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). 3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS In order to assure high quality and durable construction in confor- mity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal -aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, the following notice shall be posted on each Federal -aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project: NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL -AID HIGHWAY PROJECTS 18 U.S.C. 1020 reads as follows: "Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false state- ment, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or Whoever knowingly makes any false statement, false representa- tion, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoeverknowing/ymakes any false statementorfalse representa- tion as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal -aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supple- mented; Shall be fined not more that $10,000 or imprisoned not more than 5 years or both." X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT (Applicable to all Federal -aid construction contracts and to all related subcontracts of $100,000 or more.) By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, Federal -aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows: 1. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 et seg. as amended by Pub.L. 91-604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C. 1251 et seg., as amended by Pub.L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. 2. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. 3. That the firm shall promptly notify the SHA of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. 4. That the firm agrees to include or cause to be included the requirements of paragraph 1 through 4 of this Section X in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements. XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION 1. Instructions for Certification - Primary Covered Transac- tions: (Applicable to all Federal -aid contracts - 49 CFR 29) a. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. c. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later deter- mined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this Page 6 Form FHWA-1273 (Rev. 3-94) transaction for cause of default. d. The prospective primary participant shall provide immediate written notice to the department or agency to whom this proposal is submitted if any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. e. The terms "covered transaction,' "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transacfion," "principal," "proposal, and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy of those regulations. f. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transac- tion with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. g. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled "Certifica- tion Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicita- tions for lower tier covered transactions. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the nonprocurement portion of the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs" (Nonprocurement List) which is compiled by the General Services Administration. I. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. j. Except for transactions authorized under paragraph f of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Primary Covered Transactions 1. The prospective primary 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 3-year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtain- ing, 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 governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph 1b of this certification; and d. Have not within a 3-year period preceding this applica- tion/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 2. Instructions for Certification -Lower Tier Covered Transac- tions: (Applicable to all subcontracts, purchase orders and other lower tier transactions of $25,000 or more - 49 CFR 29) a. By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. b. The certification In this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the depart- ment, or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. c. The prospective lower tier participant shall provide immedi- ate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances. d. The terms "covered transaction," "debarred," "suspended," "Ineligible,' "primary covered transaction," "participant," "person," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. e. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certifica- tion Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. g. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and Form FHWA-1273 (Rev. 3-94) Pagel frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. I. Except for transactions authorized under paragraph a of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion --Lower Tier Covered Transactions: 1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or volun- tarily excluded from participation in this transaction by any Federal department or agency. 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING (Applicable to all Federal -aid construction contracts and to all related subcontracts which exceed $100,000 - 49 CFR 20) 1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal 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. b. 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 Federal 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. 2. 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 31 U.S.C. 1352. 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. 3. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly. Page 8 Form FHWA-1273 (Rev. 3-94) ATTACHMENT A - EMPLOYMENT PREFERENCE FOR APPALACHIAN CONTRACTS (Applicable to Appalachian contracts only.) 1. During the performance of this contract, the contractor under- taking to do work which is, or reasonably may be, done as on -site work, shall give preference to qualified persons who regularly reside in the labor area as designated by the DOL wherein the contract work is situated, or the subregion, or the Appalachian counties of the State wherein the contract work is situated, except: a. To the extent that qualified persons regularly residing in the area are not available. b. For the reasonable needs of the contractor to employ supervisory or specially experienced personnel necessary to assure an efficient execution of the contract work. c. For the obligation of the contractor to offer employment to present or former employees as the result of a lawful collective bargaining contract, provided that the numberof nonresident persons employed under this subparagraph 1 c shall not exceed 20 percent of the total number of employees employed by the contractor on the contract work, except as provided in subparagraph 4 below. 2. The contractor shall place a job order with the State Employ- ment Service indicating (a) the classifications of the laborers, mechanics and other employees required to perform the contract work, (b) the number of employees required in each classification, (c) the date on which he estimates such employees will be required, and (d) any other pertinent information required by the State Employ- ment Service to complete the job order form. The job order may be placed with the State Employment Service in writing or by telephone. If during the course of the contract work, the information submitted by the contractor in the original job order is substantially modified, he shall promptly notify the State Employment Service. 3. The contractor shall give full consideration to all qualified 'ob applicants referred to him by the State Employment Service. 4e contractor is not required to grant employment to any job applicants who, in his opinion, are not qualified to perform the classification of work required. 4. If, within 1 week following the placing of a job order by the contractor with the State Employment Service, the State Employment Service is unable to refer any qualified job applicants to the contrac- tor, or less than the number requested, the State Employment Service will forward a certificate to the contractor Indicating the unavailability of applicants. Such certificate shall be made a part of the contractor's permanent project records. Upon receipt of this certificate, the contractor may employ persons who do not normally reside in the labor area to fill positions covered by the certificate, notwithstanding the provisions of subparagraph 1c above. 5. The contractor shall include the provisions of Sections 1 through 4 of this Attachment A in every subcontract for work which is, or reasonably may be, done as on -site work. Form FHWA-1273 (Rev. 3-94) Page 9 EXHIBIT B MONROE COUNTY RFQ-PW D-209-156-2009-PU R/C R Metric Engineering Team Wage Rates Firm Name Category Hourly Rates Chief Engineer $200.00 Project Manager $185.00 Senior Engineer $150.00 Sr. Project Engineer $145.00 Project Engineer $125.00 Engineer $120.00 Engineering Intern $95.00 Designers $110.00 Metric Engineering, Inc. CADD Technicians $80.00 Clerical $60.00 Construction Inspectors $68.00 Senior Inspectors $80.00 Contract Support Specialist $97.00 Assistant Contract Support $83.00 Specialist Project Administrator $121.00 Resident Engineer $153.00 Inspector's Aide $47.00 Billing Class 14 $240.00 Project Director, Director Billing Class 12 $185.00 Senior Department Manager, Technical Discipline Manager Billing Class 11 Senior Project Manager, Senior $165.00 Chief Engineer/Architect/Planner Billing Class 10 $145.00 Maguire Group, Inc. Chief Engineer/Architect/Planner, Principal Engineer/Architect/Planner II, Project Manager, Chief Designer Billing Class 9 $130.00 Principal Engineer/Architect/Planner I, Principal Construction Engineer (Resident) Billing Class 8 $115.00 MONROE COUNTY RFO-PWD-209-156-2009-PUR/CR Metric Engineering Team Wage Rates Firm Name Category Hourly Rates Perez Engineering & Principal $150.00 Development, Inc. Senior Engineer $120.00 Project engineer $100.00 CAD/Designer $75.00 Construction Inspector $75.00 Clerical $45.00 Rodolfo Ibarra, PE, PA Project Manager/Sr. Engineer $196.00 Design Engineer $168.00 Engineering Designer $84.00 Sandra Walters Consultants, Principal $150.00 Inc. Expert Witness Testimony $300.00 (principal) Senior Associated $135.00 Engineer (PE) $125.00 Associate III $125.00 Associate II $100.00 Associate 1 $90.00 Technician II $80.00 Technician 1 $70.00 Administrative $70.00 Powell Kugler, Inc. Chief Engineer $178.50 Sr. Field Inspector $89.90 Jonathan Parks Architect Principal $165.00 Senior Project Manager $145.00 Staff Architect $125.00 Project Manager $100.00 Intern III $90.00 Intern II $70.00 Intern 1 $55.00 Senior Technician $90.00 Technician III $75.00 Technician 11 $60.00 Technician 1 $45.00 Administrator $75.00 Administrative Asst. $35.00 Clerical $45.00 Reimbursable Expenses 1.15 times actual cost Tierra South Florida, Inc. SEE ATTACHMENT Specialty Consultants Pannone Lopes Devereaux Partners, Senior Counsel $275.00 & West LLC Associates $200,00 Infrastructure Management President $350.00 Group, Inc. Vice President, Finance $300.00 BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20 2010 Division: Public Works Bulk Item: Yes X No — Department: Engineering Staff Contact Person/Phone #: Judy Clarke X4329 _ AGENDA ITEM WORDING: Approval to execute a Contract with T.Y. LIN INTERNATIONAL H. J. ROSS for on call engineering services. ITEM BACKGROUND: Miscellaneous engineering services are required for various County projects on an ongoing basis; the Engineering Department advertised a Request for Qualifications (RFQ) and on September 28, 2009, T.Y. LIN INTERNATIONAL I H. J. ROSS was ranked in the top seven of 44 responses. PREVIOUS RELEVANT BOCC ACTION: The BOCC approved advertising the RFQ at the June 2009 BOCC meeting. At the November 18, 2009 meeting the BOCC approved contract negotiations with T.Y. LIN INTERNATIONAL I H. J. ROSS and six other firms. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval of Contract as requested above. TOTAL COST: n/a INDIRECT COST: DIFFERENTIAL OF LOCAL PREFERENCE: COST TO COUNTY: n/a BUDGETED: Yes No SOURCE OF FUNDS: REVENUE PRODUCING: Yes No AMOUNT PER MONTH Year APPROVED BY: County Atty OMB/Purchasing Risk Management DOCUMENTATION: Included X Not Required DISPOSITION: revised 7/09 AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: T.Y. LIN INTERNATIONAL Contract # H.J. ROSS Effective: January 20, 2010 Expiration Date: Five years thereafter Contract Purpose/Description: Miscellaneous engineering services for various County projects on an on call basis. Specific tasks and budgets will be awarded by task order as needed. Contract Manager: Judy Clarke 4329 En ineerin #I (Name) (Ext.) (Department/Stop #) for BOCC meeting on Jan 20, 2010 _Agenda Deadline: Jan 5, 2010 CONTRACT COSTS Total Dollar Value of Contract: $ Current Year Portion: $ Budgeted? Yes[] No ❑ Account Codes: Grant: $ County Match: $ Estimated Ongoing Costs: $0/yr (Not included in dollar value above) ADDITIONAL COSTS For: (eg. maintenance, CONTRACT REVIEW lities, janitorial, salaries, etc. Changes Daqtu Date In Needed _ vie Division Director I— /t? Yes❑ No ff �- Risk Manag menu Yes❑ NoO �qjSIM B./Pur asl�ng 1-�1 -t� Yes[-] No� -� County AttorneyI Yes❑ No® t�iC,iLticix flCxt�inl-� Comments: M4P U Do...,. A l i1^7 in I Contract for On Call Professional Engineering Services THIS Contract (The AGREEMENT) made and entered into this 20th day of January 2010, by and between Monroe County, a political subdivision of the State of Florida, whose address is 1100 Simonton Street, Key West Florida, 33040, its successors and assigns hereinafter referred to as the "COUNTY," through the Monroe County Board of County Commissioners (BOCC), the Owner I• e T.Y. LIN INTERNATIONAL I H.J. ROSS, a Corporation of the State of Florida, whose address is 201 Alhambra Circle, Suite 900, Coral Gables, Florida 33134, its successors and assigns, hereinafter referred to as "CONSULTANT". WTTNESSETH: WHEREAS, COUNTY desires to employ the professional engineering services of CONSULTANT for various County Projects located in Monroe County, Florida and WHEREAS, CONSULTANT has agreed to provide professional services for miscellaneous projects in which construction costs do not exceed $2,000,000.00 The professional services required by this Contract will be for services in the form of a continuing contract, commencing the effective date of this agreement and ending four years thereafter, with options for the County to renew on an annual basis two consecutive times. Specific services will be performed pursuant to individual task orders issued by the COUNTY and agreed to by the CONSULTANT. Task Orders will contain specific scope of work, time schedule, charges and payment conditions, and additional terms and conditions that are applicable to such Task Orders. Execution of a Task Order by the COUNTY and the CONSULTANT constitutes the COUNTY's written authorization to CONSULTANT to proceed with the services described in the Task Order. The terms and conditions of this Agreement shall apply to each Task Order, except to the extent expressly modified. When a Task Order is to modify a provision of this Agreement, the Article of this Agreement to be modified will be specifically referenced in the Task Order and the modification shall be precisely described. NOW, THEREFORE, in consideration of mutual promises, covenants and agreements stated herein, and for other good and valuable consideration, the sufficiency of which is hereby acknowledged, COUNTY and CONSULTANT agree as follows: FORM OF AGREEMENT ARTICLE I 1.1 REPRESENTATIONS AND WARRANTIES By executing this Agreement, the CONSULTANT makes the following express representations and warranties to the COUNTY: 1.1.1 The CONSULTANT shall maintain all necessary licenses, permits or other authorizations necessary to act as CONSULTANT for the Project until the CONSULTANT'S duties hereunder have been satisfied; 1.1.2 The CONSULTANT has become familiar with the Project site and the local conditions under which the Project is to be designed, constructed, and operated; 1.1.3 The CONSULTANT shall prepare all documents required by this Agreement including, but not limited to, all contract plans and specifications, in such a manner that they shall be in conformity and comply with all applicable law, codes and regulations. The CONSULTANT warrants that the documents prepared as a part of this Contract will be adequate and sufficient to accomplish the purposes of the Project, therefore, eliminating any additional construction cost due to missing or incorrect design elements in the contract documents; 1.1.4 The CONSULTANT assumes full responsibility to the extent allowed by law with regards to his performance and those directly under his employ. 1.1.5 The CONSULTANT'S services shall be performed as expeditiously as is consistent with professional skill and care and the orderly progress of the Project. In providing all services pursuant to this agreement, the CONSULTANT shall abide by all statutes, ordinances, rules and regulations pertaining to, or regulating such services, including those now in effect and hereinafter adopted. Any violation of said statutes, ordinances, rules and regulations shall constitute a material breach of this agreement and shall entitle the COUNTY to terminate this agreement immediately upon delivery of written notice of termination to the CONSULTANT. 1.1.6 At all times and for purposes under this agreement the CONSULTANT is an independent contractor and not an employee of the Board of County Commissioners for Monroe County. No statement contained in this agreement shall be construed so as to find the CONSULTANT or any other of his/her employees, contractors, servants, or agents to be employees of the Board of County Commissioners for Monroe County. 1.1.7 The CONSULTANT shall not discriminate against any person based on race, creed, color, national origin, sex, age or any other characteristic or aspect which is not related, in its recruiting, hiring, promoting, terminating, or other area affecting employment under this agreement or with the provision of services or goods under this agreement. ARTICLE II SCOPE OF BASIC SERVICES 2.1.1 The CONSULTANT will perform for the COUNTY services as described in individual Task Orders in accordance with the requirements outlined in the Agreement and the specific Task Order. These services will include, but not be limited to: A. Provide comprehensive transportation engineering design services for road and bridge construction and rehabilitation projects, including design, surveying, drafting, preparing specifications and contract documents, traffic studies, lighting and signalization, geotechnical investigations, permitting, assisting with review of contractor bids, comprehensive project management services, and construction engineering and inspection services. B. Provide comprehensive stormwater and drainage engineering services including design, surveying, feasibility studies, geotechnical investigations, permit preparation, preparing construction plans, specifications and contract documents, assisting with review of contractor bids, comprehensive project management services and construction engineering and inspection services. C. Provide comprehensive environmental engineering services including design, surveying, geotechnical investigations, environmental assessments, water quality studies, sampling analysis and monitoring, permit preparation, preparing construction plans, specifications and contract documents, assisting with review of contractor bids, comprehensive project management services and construction engineering and inspection services. D. Provide comprehensive structural engineering services including design, surveying, facility inspections and assessments, preparing construction plans, specifications and contract documents, permitting, construction administration related to new construction, construction improvements, rehabilitation and/or retrofit of County facilities and buildings. E. Provide general engineering services including but not limited to surveying, drafting, studies and assessments, engineering design, preparation of bid and proposal documents, permitting, assistance with technical review of contractor documents, construction engineering and inspection services for miscellaneous County projects. 2.1.2 The CONSULTANT shall be responsible for performing in accordance with all applicable Florida Department of Transportation (FDOT) manuals, procedures, specifications and guidance for all Local Agency Program (LAP) projects. When a Project is funded through the America Recovery and Reinvestment Act of 2009 (ARRA) and will be administered under the Florida Department of Transportations' Local Agency Program (LAP), the CONSULTANT must be familiar with and must comply with all applicable federal, state and local requirements of these programs. The CONSULTANT shall exercise their independent professional judgment in performing their obligations and responsibilities under this Agreement. Pursuant to Section 4.1.4 of the Florida Department of Transportation's, Construction Project Administration Manual (CPAM), the authority of the Consultant's lead person, such as the Senior Project Engineer, and the Consultant's Project Administrator shall be identical to the Department's Resident Engineer and Project Administrator respectively and shall be interpreted as such. 2.2 CORRECTIONS OF ERRORS, OMNHSSIONS, DEFICIENCIES 2.2.1 The CONSULTANT shall, without additional compensation, promptly correct errors, omissions, deficiencies, or conflicts in the work product of the CONSULTANT or its subconsultants, or both. 2.3 NOTICE REQUIREMENTS 2.3.1 All written correspondence to the COUNTY shall be dated and signed by an authorized representative of the CONSULTANT. Any notice required or permitted under this agreement shall be in writing and hand delivered or mailed, postage prepaid, to the COUNTY by certified mail, return receipt requested, to the following: Ms. Judith Clarke, P.E. Monroe County Engineering Services 1100 Simonton St. Rm 2-216 Key West, FL 33040 And:Mr. Roman Gastesi, Jr. County Administrator 1100 Simonton Street Key West, FL 33040 For the Consultant: Richard A. Waters, P.E. T.Y. LIN INTERNATIONAL I H.J. ROSS 201 Alhambra Circle, Suite 900 Coral Gables, Florida 33134 ARTICLE III ADDITIONAL SERVICES 3.1 The services described in this Article III are not included in Basic Services. They shall be paid for by the COUNTY as provided in this agreement as an addition to the compensation paid for the Basic Services but only if approved by the COUNTY before commencement, and as follows: A. Providing services of CONSULTANT for other than the previously listed consulting scope of Project provided as a part of Basic Services. B. Providing any other services not otherwise included in this Agreement or not customarily furnished in accordance with generally accepted consulting practice. C. Providing representation before public bodies in connection with the Project, upon approval by the COUNTY. 3.2 If Additional Services are required, such as those listed above, the COUNTY shall issue a letter requesting and describing the requested services to the CONSULTANT. The CONSULTANT shall respond with fee proposal to perform the requested services. Only after receiving an amendment to the Agreement and a notice to proceed from the COUNTY, shall the CONSULTANT proceed with the Additional Services. ARTICLE IV COUNTY'S RESPONSIBILITIES 4.1 The COUNTY shall provide full information regarding requirements for the project including physical location of work, county maintained roads and maps. 4.2 The COUNTY shall designate Monroe County Engineering Services Department to act on the COUNTY'S behalf with respects to the Project. The COUNTY or Monroe County Engineering Services Department shall render decisions in a timely manner pertaining to documents submitted by the CONSULTANT in order to avoid unreasonable delay in the orderly and sequential progress of the CONSULTANTS services. 4.3 Prompt written notice shall be given by the COUNTY and its representative to the CONSULTANT if they become aware of any fault or defect in the Project or nonconformance with the Agreement Documents. Written notice shall be deemed to have been duly served if sent pursuant to paragraph 2.3. 4.4 The COUNTY shall furnish the required information and services and shall render approvals and decisions as expeditiously as necessary for the orderly progress of the Consultants services and work of the contractors. 4.5 The COUNTY'S review of any documents prepared by the CONSULTANT or its subconsultants shall be solely for the purpose of determining whether such documents are generally consistent with the COUNTY'S criteria, as, and if, modified. No review of such documents shall relieve the CONSULTANT of responsibility for the accuracy, adequacy, fitness, suitability or coordination of its work product. 4.6 The COUNTY shall provide copies of necessary documents required to complete the work. 4.7 Any information that may be of assistance to the CONSULTANT that the COUNTY has immediate access to will be provided as requested. ARTICLE V INDEMNIFICATION AND HOLD HARMLESS 5.1.1 The CONSULTANT covenants and agrees to indemnify and hold harmless COUNTY/Monroe County and Monroe County Board of County Commissioners from any and all claims for bodily injury, including death, personal injury,,and property damage, including property owned by Monroe County, and any other losses, damages, and expenses, including attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by the CONSULTANT or Subcontractor(s) in any tier, occasioned by the negligence, errors, or other wrongful act or omission of the CONSULTANT in any tier, their employees, or agents. 5.1.2 The first ten dollars ($10.00) of remuneration paid to the CONSULTANT is for the indemnification provided for above. The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. Should any claims be asserted against the COUNTY by virtue of any deficiency or ambiguity in the plans and specifications provided by the CONSULTANT, the CONSULTANT agrees and warrants that he shall hold the COUNTY harmless and shall indemnify him from all losses occurring thereby and shall further defend any claim or action on the COUNTY'S behalf. 5.1.3 In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the CONSULTANT'S failure to purchase or maintain the required insurance, the CONSULTANT shall indemnify COUNTY 6 from any and all increased expenses resulting from such delays. Should any claims be asserted against COUNTY by virtue of any deficiencies or ambiguity in the plans and specifications provide by the CONSULTANT the CONSULTANT agrees and warrants that CONSULTANT hold the COUNTY harmless and shall indemnify it from all losses occurring thereby and shall further defend any claims or action on the COUNTY' S behalf. 5.1.4 The extent of liability is in no way limited to, reduced or lessened by the insurance requirements contained elsewhere within the Agreement. 5.1.5 This indemnification shall survive the expiration or early termination of the Agreement. ARTICLE VI PERSONNEL 6.1 PERSONNEL The CONSULTANT shall assign only qualified personnel to perform any service concerning the project. At the time of execution of this Agreement, the parties anticipate that the following named individuals will perform those functions as indicated: NAME FUNCTION So long as the individuals named above remain actively employed or retained by the CONSULTANT, they shall perform the functions indicated next to their names. If they are replaced the CONSULTANT shall notify the COUNTY of the change immediately. ARTICLE VII PAYMENTS 7.1 PAYMENT SUM 7.1.1 The COUNTY shall pay the CONSULTANT in current funds for the CONSULTANT'S performance of this Agreement based on rates negotiated and agreed upon and shown in Exhibit B. 7.2 PAYMENTS 7.2.1 For its assumption and performances of the duties, obligations and responsibilities set forth herein, the CONSULTANT shall be paid monthly. (A) If the CONSULTANT'S duties, obligations and responsibilities are materially changed by amendment to this agreement after execution of this Agreement, compensation due to the CONSULTANT shall be equitably adjusted, either upward or downward; (B) As a condition precedent for any payment due under this Agreement, the CONSULTANT shall submit monthly, unless otherwise agreed in writing by the COUNTY, an invoice to the COUNTY requesting payment for services properly rendered and reimbursable expenses due hereunder. The CONSULTANT'S invoice shall describe with reasonable particularity the service rendered. The CONSULTANT'S invoice shall be accompanied by such documentation or data in support of expenses for which payment is sought that the COUNTY may require. (C) For the performance of the optional additional services and contingent additional services described in Article III of this contract, provided same are first authorized in writing by the COUNTY, the CONSULTANT shall be paid hourly at the rates identified in Exhibit B, or as negotiated. 7.3 REIMBURSABLE EXPENSES 7.3.1 Reimbursable expenses include expenses incurred by the CONSULTANT in the interest of the Project: a. Expenses of transportation submitted by CONSULTANT, in writing, and living expenses in connection with travel authorized by the COUNTY, in writing, but only to the extent and in the amounts authorized by Section 112.061, Florida Statutes; b. Cost of reproducing maps or drawings or other materials used in performing the scope of services; c. Postage and handling of reports; 7A BUDGET 7.4.1 The CONSULANT may not be entitled to receive, and the COUNTY is not obligated to pay, any fees or expenses in excess of the amount budgeted for this Agreement in each fiscal year (October 1- September 30) by COUNTY'S Board of County Commissioners. The budgeted amount may only be modified by an affirmative act of the COUNTY'S Board of County Commissioners. 7.4.2 AVAILABILITY OF FUNDS. If funding cannot be obtained or cannot be continued at a level sufficient to allow for continued reimbursement of expenditures for services specified in the Task Order, the agreement may be terminated immediately at the option of the COUNTY by written notice of termination delivered to the CONSULTANT. The COUNTY shall not be obligated to pay for any services provided by the CONSULTANT after the CONSULTANT has received written notice of termination, unless otherwise required by law. 7.4.3 The COUNTY does not guarantee CONSULTANT any specific amount of work or task orders under this agreement. 8.1 INSURANCE ARTICLE VIII 8.1.1 The CONSULTANT shall obtain insurance as specified and maintain the required insurance at all times that this Agreement is in effect. In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the CONSULTANT'S failure to purchase or maintain the required insurance, the CONSULTANT shall indemnify the COUNTY from any and all increased expenses resulting from such delay. 8.1.2 The coverage provided herein shall be provided by an insurer with an A.M. Best Rating of VI or better, that is licensed to do business in the State of Florida and that has an agent for service of process within the State of Florida. The insurance certificate shall contain an endorsement providing sixty (60) days notice to the COUNTY prior to any cancellation of said coverage. Said coverage shall be written by an insurer acceptable to the COUNTY and shall be in a form acceptable to the COUNTY. 8.1.3 CONSULTANT shall obtain and maintain the following policies: A. Workers' Compensation insurance as required by the State of Florida, sufficient to respond to Chapter 440, Florida Statutes. B. Employers Liability Insurance with limits of $1,000,000 per Accident, $1,000,000 Disease, policy limits, $1,000,000 Disease each employee. C. Comprehensive business automobile and vehicle liability insurance covering claims for injuries to members of the public and/or damages to property of others arising from use of motor vehicles, including onsite and offsite operations, and owned, hired or non -owned vehicles, with One Million Dollars ($1,000,000.00) combined single limit and One Million Dollars ($1,000,000.00) annual aggregate. 9 D. Commercial general liability, including Personal Injury Liability insurance covering claims for injuries to members of the public or damage to property of others arising out of any covered act or omission of the CONSULTANT or any of its employees, agents or subcontractors or subconsultants, including Premises and/or Operations, Products and Completed Operations, Independent Contractors; Broad Form Property Damage and a Contractual Liability Endorsement with One Million Dollars ($1,000,000) per occurrence and annual aggregate. An Occurrence Form policy is preferred. If coverage is changed to or provided on a Claims Made policy, its provisions should include coverage for claims filed on or after the effective date of this Agreement. In addition, the period for which they may be reported must extend for a minimum of 48 months following the termination or expiration of this Agreement. E. Professional liability insurance of One Million Dollars ($1,000,000.00) per claim and Two Million Dollars ($2,000,000.00) annual aggregate. If the policy is a "claims made" policy, CONSULTANT shall maintain coverage or purchase a "tail" to cover claims made after completion of the project to cover the statutory time limits in Chapter 95 of the Florida Statutes. F. COUNTY shall be named as an additional insured with respect to CONSULTANTS liabilities hereunder in insurance coverage identified in Paragraphs C and D. G. CONSULTANT shall require its subconsultants to be adequately insured at least to the limits prescribed above, and to any increased limits of CONSULTANT if so required by COUNTY during the term of this Agreement. COUNTY will not pay for increased limits of insurance for subconsultants. H. CONSULTANT shall provide to the COUNTY certificates of insurance or a copy of all insurance policies including those naming the COUNTY as an additional insured by including any subsection hereunder. The COUNTY reserves the right to require a certified copy of such policies upon request. I. If the CONSULTANT participates in a self-insurance fund, a Certificate of Insurance will be required. In addition, the CONSULTANT may be required to submit updated financial statements from the fund upon request from the COUNTY. 8.2 APPLICABLE LAW This contract is governed by the laws of the State of Florida. Venue for any litigation arising under this contract must be in Monroe County, Florida. 10 ARTICLE IX MISCELLANEOUS 9.1 SECTION HEADINGS Section headings have been inserted in this Agreement as a matter of convenience of reference only, and that it is agreed that such section headings are not a part of this Agreement and will not be use in the interpretation of any provisions of this Agreement. 9.2 OWNERSHIP OF THE PROJECT DOCUMENTS The documents prepared by the CONSULTANT for this Project belong to the COUNTY and may be reproduced and copied without acknowledgement or permission of the CONSULTANT. 9.3 SUCCESSORS AND ASSIGNS The CONSULTANT shall not assign or subcontract its obligations under this Agreement except in writing and with the prior written approval of the Board of County Commissioners for Monroe County and the CONSULTANT, which approval shall be subject to such conditions and provisions as the Board may deem necessary. This paragraph shall be incorporated by reference into any assignment or subcontract and any assignee or subcontractor shall comply with all of the provisions of this Agreement. Subject to the provisions of the immediately proceeding sentence, each party hereto binds itself, its successors, assignees and legal representatives to the other and to the successors, assigns and legal representatives of such other party. The CONSULTANT shall not assign its right hereunder, excepting its right to payment, nor shall it delegate any of its duties hereunder without the written consent of the COUNTY. 9.4 NO THIRD PARTY BENEFICIARIES Nothing contained herein shall create any relationship, contractual or otherwise, with or any rights in favor of, any third party. 9.5 TERMINATION A. In the event the CONSULTANT shall be found to be negligent in any aspect of service, the COUNTY shall have the right to terminate this Agreement after five days written notification to the CONSULTANT. B. The County may terminate this Agreement without cause by giving the other party sixty (60) days written notice of its intention to do so. 9.6 CONTRACT DOCUMENTS The contract documents consist of the Request for Qualifications (RFQ), any addenda, the Form of Agreement (Articles I-XV), the CONSULTANTS response to the RFQ, the documents referred to in the Form of Agreement as a part of this Agreement, and the attachments A and Exhibit B and modifications made after execution by written amendment. In the event any conflict between any of those Agreement documents, the one imposing the greater burden on the CONSULTANT will control. 9.7 PUBLIC ENTITIES CRIMES A person or affiliate who has been place on the convicted vendor list following a conviction for public entity crime may not submit a bid on contracts to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017 of the Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list. By signing this Agreement, CONSULTANT represents that the execution of this Agreement will not violate the Public Entity Crimes Act (Section 287.133, Florida Statutes), Violation of this section shall result in termination of this Agreement and recovery of all moneys paid hereto, and may result in debarment from COUNTY'S competitive procurement activities. In addition to the foregoing, CONSULTANT further represents that there has been no determination, based on an audit that it or any subconsultant has committed an act defined by Section 287.133, as "public entity crime", and that it has not been formally charged with committing an act defined as a "public entity crime" regardless of the amount of money involved or whether CONSULTANT has been placed on the convicted vendor list. CONSULTANT will promptly notify the COUNTY if it or any subcontractor or subconsultant is formally charged with an act defined as a "public entity crime" or has been placed on the convicted vendor list. 9.8 MAINTENANCE OF RECORDS CONSULTANT shall maintain all books, records, and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. Records shall be retained for a period of five years from the termination of this Agreement. Each party to this Agreement or their authorized representatives shall have reasonable -and timely access to such records of each other party to this Agreement for public records purposes during the term of the Agreement and for four years following the termination of this Agreement. If an auditor employed by the County or Clerk determines that monies paid to CONSULTANT pursuant to this Agreement were spent for purposes not authorized by this Agreement, the 12 CONSULTANT shall repay the monies together with interest calculated pursuant to Sec. 55.03, FS, running from the date the monies were paid to County. 9.9 GOVERNING LAW, VENUE, INTERPERTATION, COST AND FEES This Agreement shall be governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Agreement, COUNTY and CONSULTANT agree that venue will lie in the 16TH Judicial Circuit, Monroe County, Florida, in the appropriate court or before the appropriate administrative body in Monroe County, Florida. This Agreement shall not be subject to arbitration. The County and CONSULTANT agree that, in the event of conflicting interpretations of the terms or a term of this Agreement by or between any of them the issue shall be submitted to mediation prior to the institution of any other administrative or legal proceeding. 9.10 SEVERABILITY If any term, covenant, condition or provision of this Agreement (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Agreement, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Agreement shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Agreement would prevent the accomplishment of the original intent of this Agreement. The County and CONSULTANT agree to reform the Agreement to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. 9.11 ATTORNEY'S FEES AND COSTS The COUNTY and CONSULTANT agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees and court costs expenses, as an award against the non - prevailing party, and shall include attorney's fees and courts costs expenses in appellate proceedings, as an award against the non -prevailing party. Mediation proceedings initiated and conducted pursuant to this Agreement shall be in accordance with the Florida Rules of Civil Procedure and usual and customary procedures required by the circuit court of Monroe County. 9.12 BINDING EFFECT The terms, covenants, conditions, and provisions of this Agreement shall bind and inure to the benefit of the COUNTY and CONSULTANT and their respective legal representatives, successors, and assigns. 13 9.13 AUTHORITY Each party represents and warrants to the other that the execution, delivery and performance of this Agreement have been duly authorized by all necessary COUNTY and corporate action, as required by law. 9.14 CLAIMS FOR FEDERAL OR STATE AID CONSULTANT and COUNTY agree that each shall be, and is, empowered to apply for, seek, and obtain federal and state funds to further the purpose of this Agreement; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission. 9.15 ADJUDICATION OF DISPUTES OR DISAGREEMENTS COUNTY and CONSULTANT agree that all disputes and disagreements shall be attempted to be resolved by meet and confer sessions between representatives of each of the parties. If no resolution can be agreed upon within 30 days after the first meet and confer session, the issue or issues shall be discussed at a public meeting of the Board of County Commissioners. If the issue or issues are still not resolved to the satisfaction of the parties, then any party shall have the right to seek such relief or remedy as may be provided by this Agreement or by Florida law. This provision does not negate or waive the provisions of paragraph 9.5 concerning termination or cancellation. 9.16 COOPERATION In the event any administrative or legal proceeding is instituted against either party relating to the formation, execution, performance, or breach of this Agreement, COUNTY and CONSULTANT agree to participate, to the extent required by the other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Agreement or provision of the services under this Agreement. COUNTY and CONSULTANT specifically agree that no party to this Agreement shall be required to enter into any arbitration proceedings related to this Agreement. 9.17 NON DISCRIMINATION CONSULTANT and COUNTY agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent jurisdiction that discrimination has occurred, this Agreement automatically terminates without any further action on the part of any party, effective the date of the court order. CONSULTANT and COUNTY agree to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss. 1681-1683, and 1685-1686), 14 which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975, as amended (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patent records; 8) Title VIII of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. 1201 Note), as maybe amended from time to time, relating to nondiscrimination on the basis of disability; 10) Any other nondiscrimination provisions in any Federal or state statutes which may apply to the parties to, or the subject matter of, this Agreement. 9.18 COVENANT OF NO INTEREST CONSULTANT and COUNTY covenant that neither presently has any interest, and shall not acquire any interest, which would conflict in any manner or degree with its performance under this Agreement, and that only interest of each is to perform and receive benefits as recited in this Agreement. 9.19 CODE OF ETHICS COUNTY agrees that officers and employees of the COUNTY recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112.313, Florida Statutes, regarding, but not limited to, solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. 9.20 NO SOLICITATION/PAYMENT The CONSULTANT and COUNTY warrant that, in respect to itself, it has neither employed nor retained any company or person, other than a bona fide employee working solely for it, to solicit or secure this Agreement and that it has not paid or agreed to pay any person, company, corporation, individual, or firm, other than a bona fide employee working solely for it, any fee, commission, percentage, gift, or other consideration contingent upon or resulting from the award or making of this Agreement. For the breach or violation of the provision, the CONSULTANT agrees that the COUNTY shall have 15 the right to terminate this Agreement without liability and, at its discretion, to offset from monies owed, or otherwise recover, the full amount of such fee, commission, percentage, gift, or consideration. 9.21 PUBLIC ACCESS The CONSULTANT and COUNTY shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the CONSULTANT and COUNTY in conjunction with this Agreement; and the COUNTY shall have the right to unilaterally cancel this Agreement upon violation of this provision by CONSULTANT. 9.22 NON -WAIVER OF IMMUNITY Notwithstanding the provisions of Sec. 768.28, Florida Statutes, the participation of the CONSULTANT and the COUNTY in this Agreement and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government liability insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any contract entered into by the COUNTY be required to contain any provision for waiver. 9.23 PRIVILEGES AND IMMUNITY All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the COUNTY, when performing their respective functions under this Agreement within the territorial limits of the COUNTY shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the COUNTY. 9.24 LEGAL OBLIGATIONS AND RESPONSIBILITIES Non -Delegation of Constitutional or Statutory Duties. This Agreement is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the COUNTY, except to the extent permitted by the Florida constitution, state statute, and case law. 9.25 NON -RELIANCE BY NON-PARTIES 16 No person or entity shall be entitled to rely upon the terms, or any of them, of this Agreement to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the CONSULTANT and the COUNTY agree that neither the CONSULTANT nor the COUNTY or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity or entities, have entitlements or benefits under this Agreement separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Agreement. 9.26 ATTESTATIONS AND TRUTH IN NEGOTATION CONSULTANT agrees to execute such documents as the COUNTY may reasonably require including a Public Entity Crime Statement, an Ethics Statement, and a Drug -Free Workplace Statement. Signature of this Agreement by CONSULTANT shall act as the execution of a truth in negotiation certificate stating that wage rates and other factual unit costs supporting the compensation pursuant to the Agreement are accurate, complete, and current at the time of contracting. The original contract price and any additions thereto shall be adjusted to exclude significant sums by which the agency determines the contract price was increased due to inaccurate, incomplete, or concurrent wage rates and other factual unit costs. All such adjustments must be made within one year following the end of the Agreement. 9.27 NO PERSONAL LIABILITY No covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Agreement or be subject to any personal liability or accountability by reason of the execution of this Agreement. 9.28 EXECUTION IN COUNTERPARTS This Agreement may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken together shall constitute one and the same instrument and any of the parties hereto may execute this Agreement by singing any such counterpart. 9.29 FEDERAL HIGHWAY ADMINISTRATION REQUIREMENTS Following forms and provisions are incorporated in and made part of this Agreement. 9.29.1 Davis -Bacon Act — In accordance with the Davis -Bacon Act the Consultant or their subcontractors shall pay workers employed directly upon the site of the work no less than the locally prevailing wages and fringe benefits paid on projects of a similar character. The current wage rates can be found at: WWW.access gpo Gov/davisbacon/fl html under Monroe County. 17 9.29.2 Americans with Disabilities Act of 1990 (ADA) The CONSULTANT will comply with all the requirements as imposed by the ADA, the regulations of the Federal government issued thereunder, and the assurance by the CONSULTANT pursuant thereto. 9.29.3 DISADVANTAGED BUSINESS ENTERPRISE (DBE)POLICY AND OBLIGATION It is the policy of the COUNTY that DBE's, as defined in C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole or in part with COUNTY fiords under this Agreement. The DBE requirements of applicable federal and state laws and regulations apply to this Agreement. The COUNTY and its CONSULTANT agree to ensure that DBE's have the opportunity to participate in the performance of the Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with applicable federal and state laws and regulations to ensure that DBE's have the opportunity to compete and perform contracts. The COUNTY and the CONSULTANT and subcontractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts, entered pursuant to this Agreement. 9.29.4 CONVICT LABOR The convict labor prohibition in 23 U.S.C. 114 applies to Federal Aid construction projects. Convict labor cannot be used for Federal Aid construction projects. 9.29.5 FHWA Form 1273 is attached hereto as Attachment A and made a part of this Agreement. IN WITNESS WHEREOF, each party caused this Agreement to be executed by its duly authorized representative on the day and year first above written. (SEAL) BOARD OF COUNTY COMMISSIONERS Attest: DANNY L. KOLHAGE, Clerk OF MONROE COUNTY, FLORIDA By: By: Deputy Clerk Mayor/Chairman Date: MONROE COUNTY ATTORNEY PPROV AS TO FORM: ��� . HRISTINE M. LIMBERT-BARROWS ASSISTANT COUNTY ATTORNEY 18 Date A /0 4 (Seal)) Attest: k2 l G Nr per, b . /+'CEfiz S i AGREEMENT 19 ATTACHMENT A REQUIRED CONTRACT PROVISIONS FEDERAL -AID CONSTRUCTION CONTRACTS I. General . Page if. Nondiscrimination . III. Nonsegregated Facilities 3 IV. Payment of Predetermined Minimum Wage 3 V. ......... Statements and Payrolls ... 5 VI. Record of Materials, Supplies, and Labor . 5 Vil. Vill. .. Subletting or Assigning the Contract .............. Safety: Accident Prevention . . 5 IX. X. False Statements Concerning Highway Projects ...... Implementationof Clean Air Act and Federal 6 Xi. Water Pollution Control Act ...................... Certification Regarding Debarment, Suspension, 6 XII. Ineligibility, and Voluntary Exclusion Certification Regarding Use of Contract Funds for . 6 Lobbying.................................... 8 ATTACHMENTS A. Employment Preference for Appalachian Contracts (included in Appalachian contracts only) GENERAL 1. These contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superinten- dence and to all work performed on the contract by piecework, station work, or by subcontract. 2. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Contract Provisions shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Contract Provisions. 3. A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for termination of the contract. 4. A breach of the following clauses of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5,12: Section I, paragraph 2; Section IV, paragraphs 1, 2, 3, 4, and 7; Section V, paragraphs 1 and 2a through 2g. 5. Disputes arising out of the labor standards provisions of Section IV (except paragraph 5) and Section V of these Required Contract Provisions shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractor's employees or their representatives. 6. Selection of Labor: During the performance of this contract, the contractor shall not: a. discriminate against labor from any other State, possession, or territory of the United States (except for employment preference for Appalachian contracts, when applicable, as specified in Attachment A), or b, employ convict labor for any purpose within the limits of the project unless it is labor performed by convicts who are on parole, supervised release, or probation. II. NONDISCRIMINATION (Applicable to all Federal -aid construction contracts and to all Form FHWA-1273 (Rev. 3-94) related subcontracts of $10,000 or more.) 1. Equal Employment Opportunity: Equal employment opportu- nity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CM 35, 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labshall bor as modified by the provisions prescribecconstitutedherein, and the EEO and specific affirmative action standards or the contractor's project activities under this contract. The Equal Opportu- nity Construction Contract Specifications set forth under 41 CFR 60- 4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.C. 12101 et sue.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporate3 by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO: a. The contractor will work with the State highway agency (SHA) and the Federal Government in carrying out EEO obligations and in their review of his/her activities under the contract. b. The contractor will accept as his operating policy the following statement: "It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer, recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprentice- ship, preapprenticeship, and/or on-the-job training." 2. EEO Officer. The contractor will designate and make known to the SHA contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so. 3. Dissemination of Policy: All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved in such action, will be made fully cognizant of, and will implement, the contractor's EEO policy and contractual responsibili- ties to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: a. Periodic meetings ees wil bn e c ductd before the tart and oand of work d then ce employnot less often than once every six months, at which time the contractor's EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer. b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations within thirty days following theiirre reporting for duty with the contractor. sonnel are enged in direct recruitment for the project will berinstructedoby the EEO Officer in the contractor's procedures for locating and hiring minority group employees. d. Notices and posters setting forth the contractor's EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees. e. The le- ment such policy contractor's brought to he attentand the ion of employeeres to s by means of meetings, employee handbooks, or other appropriate means. 4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such advertisements will be placed Page 1 in publications having a large circulation among minority groups in the area from which the project work force would normally be derived. a. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractor for employment consider- ation. b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, he is expected to observe the provisions of that agreement to the extent that the system permits the contractor's compliance with EEO contract provisions. (The DOL has held that where implementation of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) c. The contractor will encourage his present employees to refer minority group applicants for employment. Information and proce- dures with regard to referring minority group applicants will be discussed with employees. 5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of everytype, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed: a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discrimi- natory wage practices. c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimina- tion. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons. d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such com- plaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal. 6. Training and Promotion: a. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment. b. Consistent with the contractor's workforce requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. Where feasible, 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training. in the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. c. The contractor will advise employees and applicants for employment of available training programs and entrance require- ments for each. d. The contractor will periodically review the training and promotion potential of minority group and women employees and will encourage eligible employees to apply for such training and promo- tion. 7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use his/her best efforts to obtain the cooperation of such unions to increase opportunities for minority groups and women within the unions, and to effect referrals by such unions of minority and female employees. Actions by the contractor either directly or through a contractors association acting as agent will include the procedures set forth below: a. The contractor will use best efforts to develop, in coopera- tion with the unions, joint training programs aimed toward qualifying more minority group members and women for membership in the unions and increasing the skills of minority group employees and women so that they may qualify for higher paying employment. b. The contractor will use best efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability. c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the SHA and shall set forth what efforts have been made to obtain such information. d. In the event the union is unable to provide the contractor with a reasonable flow of minority and women referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minority group persons and women. (The DOL has held that it shall be no excuse that the union with which the contractor has a collective bargaining agreement providing for exclusive referral failed to refer minority employees.) In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the SHA. 8. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procure- ment of materials and leases of equipment. a. The contractor shall notify all potential subcontractors and suppliers of his/her EEO obligations under this contract. b. Disadvantaged business enterprises (DBE), as defined in 49 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construction firms from SHA personnel. c. The contractor will use his best efforts to ensure subcontrac- tor compliance with their EEO obligations. 9. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by authorized representatives of the SHA and the FHWA. a. The records kept by the contractor shall document the following: (1) The number of minority and non -minority group members and women employed in each work classification on the project; (2) The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; (3) The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minority and female employees; and (4) The progress and efforts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees. b. The contractors will submit an annual report to the SHA Page 2 Form FHWA-1273 (Rev. 3-94) each July for the duration of the project, indicating the number of minority, women, and non -minority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA-1391. If on -the job training is being required by special provision, the contractor will be required to collect and report training data. Ili. NONSEGREGATED FACILITIES (Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more.) a. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, as appropriate, the bidder, Federal -aid construc- tion contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The firm agrees that a breach of this certification is a violation of the EEO provisions of this contract. The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. b. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, timeclocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing. facilities provided for employees which are segregated by explicit directive, or are, in fact, segregated on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking), c. The that obin identical certification contractor from preop sedri ubcontracthas orrsoorviima erial suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. IV. PAYMENT OF PREDETERMINED MINIMUM WAGE icable aFederal-aid construction contracts exceedin $2,000 and to all orelated subcontracts except for projects ocat dion roadways classified as local roads or rural minor collectors, which are exempt.) 1. General: a. All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations (29 CFR 3) issued by the Secretary of Labor under the Copeland At (40 U.S.C. 276c)j the full amounts of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of than those contained ment, The payment shall be computed at g ed in wage determination nat o ofthe Secretary of Labor (hereinafter "the wage determination") which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contactor or its subcon- tractor and such laborers and mechanics. The wage determination (including any additional classifications and wage rates conformed under paragraph 2 of this Section IV and the DOL poster (WH-1321) or Form FHWA-1495) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1(b)(2) of the Davis -Bacon Act (40 U. S.C. 276a) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of Section IV, paragraph 3b, hereof. Also, for the purpose of this Section, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in paragraphs 4 and 5 of this Section IV. Form FHWA-1273 (Rev. 3-94) b. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein, provided, that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. c. All rulings and interpretations of the Davis -Bacon Act and related acts contained in 29 CFR 1, 3, and 5 are herein incorporated by reference in this contract. 2. Classification: a. The SHA contracting officer shall require that any class of laborers or mechanics employed under the contract, which is not listed in the wage determination, shall be classified in conformance with the wage determination. b. hofficer classifica- tion, wagerate and fringe shall e benefitsonlyrwhen the ove an dfollowing criteria have been met: (1) the work to be performed by the additional classifica- tion requested is not performed by a classification in the wage determination; (2) the additional classification is utilized in the area by the construction industry; benefits, bears areasonable sed yrelatio ship o the wage ates containna fide ed In the wage determination; and (4) with respect to helpers, when such a classification prevails in the area in which the work is performed. c. If the contactor or subcontractors, as appropriate, the laborers and mechanics (if known) to be employed in the additional classification or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the DOL, Administrator of the Wage and Hour Division, Employment Standards Administration, Washington, D.C. 20210. The Wage and Hour Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contract- ing officer within the 30-day period that additional time is necessary. d. In the the approri- ate, the laborers vort mechanics ctoror subcontractors, employed ints headditional classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorized representative, will issue a determina- tion within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessarya. pu(includingappropriate) determined pursuant to aagaph 2c d of this SectionIVshall h paid to all workers performing work in the additional classification from the first day on which work is performed in the classification. 3. Payment of Fringe Benefits: a. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor or subcontractors, as appropriate, shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof. b. If the contactor or subcontractor, as appropriate, does not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. Page 3 4. Apprentices and Trainees (Programs of the U.S. DOL) and Helpers: a. Apprentices: (1) Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau, or if a person is employed in his/her first 90 days of probationary employ- ment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State apprenticeship agency (where appropriate) to be eligible for probationary employ- ment as an apprentice. (2) The allowable ratio of apprentices to joumeyman-level employees on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman -level hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. (3) Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeyman -level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. (4) In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, with- draws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work performed by regular employees until an acceptable program is approved. b. Trainees: (1) Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the DOL, Employment and Training Administration. (2) The ratio of trainees to journeyman -level employees on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. (3) Every trainee must be paid at not less than the rate specified in the approved program for his/her level of progress, expressed as a percentage of the journeyman -level hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associ- ated with the corresponding journeyman -level wage rate on the wage determination which provides for less than full fringe benefits for apprentices, in which case such trainees shall receive the same fringe benefits as apprentices. (4) In the event the Employment and Training Administra- tion withdraws approval of a training program, the contractor or subcontractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. c. Helpers: Helpers will be permitted to work on a project if the helper classification is specified and defined on the applicable wage determination or is approved pursuant to the conformance procedure set forth in Section IV.2. Any worker listed on a payroll at a helper wage rate, who is not a helper under a approved definition, shall be paid not less than the applicable wage rate on the wage determina- tion for the classification of work actually performed. 5. Apprentices and Trainees (Programs of the U.S. DOT): Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal -aid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to joumeymen shall not be greater than permitted by the terms of the particular program. 6. Withholding: The SHA shall upon its own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other Federally -assisted contract subject to Davis -Bacon prevailing wage requirements which is held by the same prime contractor, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontrac- tor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the SHA contracting officer may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. 7. Overtime Requirements: No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers, mechanics, watchmen, or guards (including apprentices, trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, watchman, or guard in any workweek in which he/she is employed on such work, to work in excess of 40 hours in such workweek unless such laborer, mechanic, watchman, or guard receives compensation at a rate not less than one -and -one-half times his/her basic rate of pay for all hours worked in excess of 40 hours in such workweek. 8. Violation: Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the clause set forth in paragraph 7 above, the contractor and any subcontractor responsible thereof shall be liable to the affected employee for his/her 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 liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer, mechanic, watchman, or guard employed in violation of the clause set forth in paragraph 7, in the sum of $10 for each calendar day on which such employee was required or permit- ted to work in excess of the standard work week of 40 hours without payment of the overtime wages required by the clause set forth in paragraph 7. 9. Withholding for Unpaid Wages and Liquidated Damages: Page 4 Form FHWA-1273 (Rev. 3-94) The SHA shall upon its own action or upon written request of any authorized representative of the DOL withhold, or cause to be withheld, from any monies 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 contracts, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 8 above. V. STATEMENTS AND PAYROLLS all Federal -aid (Applicable to allrelatedrelated subconttraconstruction contracts ts, except for projects locate roadways classified as local roads or rural collectors, which are exempt.) 1. Compliance with Copeland Regulations (29 CFR 3): The contractor shall comply with the Copeland Regulations of the Secretary of Labor which are herein incorporated by reference. 2. Payrolls and Payroll Records: a. thereto shall be maintained by obasiclls and the contra tor a d erach ds rsubcontractor during the course of the work and preserved for a period of 3 yeas from the date of completion of the contract for all laborers mechanics, apprentices, trainees, watchmen, helpers, and guards working at the site of the work. b. The payroll records shall contain the name, social security number, and address of each such empio ee; his or her correct classification; hourly rates of wages paid (including rates of contribu- tions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. In addition, for Appala- chian contracts, the payroll records shall contain a notation indicating whether the employee does, or does not, normally reside in the labor area as defined in Attachment A, paragraph 1. Whenever the Secretary of Labor pursuant to Section IV, paragraph 3b, has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section I (b)(2)(B) of the Davis Bacon At, the contractor and each subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprentices and trainees, and ratios and wage rates prescribed in the applicable programs. c. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the SHA resident engineer a payroll of wages paid each of its employees (including pp entices, trainees, and helpers, described in Section IV, para- graphs 4 and 5, and watchmen and guards engaged on work during the preceding weekly payroll period). The payroll submitted shall set out accurately and completely all of the information required to be maintained under paragraph 2b of this Section V. This information may be submitted in any form desired. Form WH-347 is available for hp is purpose and may b urcchasedifrom the Superin- tendent of Documents (Federal stock number 029-005-0014-1), U.S. Government Printing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. d. Each payroll submitted shall be accompanied by a "State- ment of Compliance," signed by the contractor or subcontractor or his/her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) that the payroll for the payroll period contains the information required to be maintained under paragraph 215 of this Section V and that such information is correct and complete; (2) that such laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made Form FHWA-1273 (Rev. 3-94) either directly or indirectly from the full wages earned, other than Permissible deductions as set forth in the Regulations, 29 CFR 3; (3) that each laborer or mechanic has been paid not less that the applicable wage ate and fringe benefits or cash equivalent for the classification of worked performed, as specified in the applicable wage determination incorporated into the contract. e. The weekly submission of a properly executed certification reverseset forth on the the requi ementfor ubmi s onOoft�the "Statement of Compl ance� required by paragraph 2d of this Section V. f. The ion subject the contractorto civiill o any nal prosthe ecuttionve eunder t18 U.S.C.ions 1001 and 31 U.S.C. 231. g. The contractor or subcontractor shall make the records required under paragraph 2b of this Section V available for inspec- tion, copying or transcription by authorized representatives of the SHA, he FHWA, or the DOL, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the SHA, the FHWA, the DOL, or all may, after written notice to the contractor, sponsor, applicant, or owner, take such actions as may be necessary to cause the suspension of any further payment, advance, or guarantteoe of funds. Furthermore, failure to submit make such records available hmay required grounds fordebarmentn request or ont action to 29 CFR 5.12. VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR except those which 1p-aid contracts on h provide solely for the installation stallationtional hof p otecti e devices at railroad Bade crossings, those which are constructed on a force account or direct labor basis, highway beautification contracts,, constructionand contracts for which the total final and bridge s ess than $1 000,000 (23 CFR 635)the cont actorr s aai a. Become familiar with the list of specific materials and supplies contained in Form FHWA-47, "Statement of Materials and Labor Used by Contractor of Highway Construction Involving Federal Funds," prior to he commencement of work under this contract, and supplies purchased fora dr incorporated in the workof the total cost of ' and alsorials solof the quantifies of those specific materials and supplies listed on Form FHWA-47, and in the units shown on Form FHWA-47. c. Furnish, upon the completion of the contract, to the SHA resident engineer on Form FHWA-47 together with the data required in paragraph 1b relative to materials and supplies, a final labor summary of all contract work indicating the total hours worked and the total amount earned. 2. At the prime contractor's Option, either a single report covering all contract work or separate reports for the contractor and for each subcontract shall be submitted. VII. SUBLETTING OR ASSIGNING THE CONTRACT perform1. The contractor shall work amount g to not lesshan 30 percent (ora organization percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated bcontract and tyh the State. amount of any such specialty items performed rformed may be deducted from he total original contract price before computing the amount of work required to be performed by the contractor's own organization (23 CFR 635). worke s employed and paid directly lby the prime contor be construed to and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of Page 5 a subcontractor, assignee, or agent of the prime contractor b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid on the contract as a whole and in general are to be limited to minor components of the overall contract. 2. The contract amount upon which the requirements set forth in paragraph 1 of Section VI is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions. 3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract require- ments, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the SHA contracting officer determines is necessary to assure the performance of the contract. 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the SHA contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the SHA has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract. VIII. SAFETY: ACCIDENT PREVENTION 1. in the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the SHA contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work In surround- ings or under conditions which are unsanitary, hazardous or danger- ous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). 3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to tarty out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS In order to assure high quality and durable construction in confor- mity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal -aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, the following notice shall be posted on each Federal -aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project: NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL -AID HIGHWAY PROJECTS 18 U.S.C. 1020 reads as follows: "Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false state- ment, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or Whoever knowingly makes any false statement, false representa- tion, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoeverknowingly makes any false statement orfalse representa- tion as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal -aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supple- mented; Shall be fined not more that $10, 000 or imprisoned not more than 5 years or both." X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT (Applicable to all Federal -aid construction contracts and to all related subcontracts of $100,000 or more.) By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, Federal -aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows: 1. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 et seq. as amended by Pub.L. 91-604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C. 1251 at seg., as amended by Pub.L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) Is not listed, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. 2. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. 3. That the firm shall promptly notify the SHA of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. 4. That the firm agrees to include or cause to be included the requirements of paragraph 1 through 4 of this Section X in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements. XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION 1. Instructions for Certification - Primary Covered Transac- tions: (Applicable to all Federal -aid contracts - 49 CFR 29) a. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to fumish a certification or an explanation shall disqualify such a person from participation in this transaction. c. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later deter- mined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this Page 6 Form FHWA-1273 (Rev. 3-94) transaction for cause of default. d. The prospective primary participant shall provide immediate written notice to the department or agency to whom this proposal is submitted if any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. e. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal, and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the department or agency to which regulations. this proposal is submitted for assistance in obtaining a copy of those f. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transac- tion with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. submitting this proposal that ve primary include the clause tledant further aCertificrees a tion Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicita- tions for lower tier covered transactions. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the nonprocurement portion of the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs" (Nonprocurement List) which is compiled by the General Services Administration. I. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. j. Except for transactions authorized under paragraph f of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Form FHWA-1273 (Rev. 3-94) Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Primary Covered Transactions 1. The prospective primary 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 3-year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtain- ing, 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 governmental 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 3-year period preceding this applica- tion/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 2. Instructions for Certification -Lower Tier Covered Transac- tions: (Applicable to all subcontracts, purchase orders and other lower tier transactions of $25,000 or more - 49 CFR 29) a. By signing and submitting his proposal, the prospective lower tier is providing the certification set out below. b. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the depart- ment, or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. c. The prospective lower tier participant shall provide immedi- ate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances. d. The terms "covered transaction," "debarred," "suspended," "Ineligible,* "primary covered transaction," "participant," person," in this clause, hav"proposal," he meanings set out "voluntarily te Defirn Definitions and used sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. participant e. The tive lower tier this p oposalphat should he prooed covered etransa submitting entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certifica- tion Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. gocp �Sncorrely ven a certification f participant participant in lower tier transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and Page 7 frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. I. Except for transactions authorized under paragraph a of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Lower Tier Covered Transactions: 1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared Ineligible, or volun- tarily excluded from participation in this transaction by any Federal department or agency. 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING (Applicable to all Federal -aid construction contracts and to all related subcontracts which exceed $100,000 - 49 CFR 20) 1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal 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. b. 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 Federal 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. 2. 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 orentering into this transaction imposed by 31 U.S.C. 1352. 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 sucfi failure. 3. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly. Page 8 Form FHWA-1273 (Rev. 3-94) ATTACHMENT A - EMPLOYMENT PREFERENCE FOR APPALACHIAN CONTRACTS (Applicable to Appalachian contracts only.) I. During the performance of this contract, the contractor under- taking to do work which is, or reasonably may be, done as on -site work, shall give preference to qualified persons who regularly reside in the labor area as designated by the DOL wherein the contract work is situated, or the subregion, or the Appalachian counties of the State wherein the contract work is situated, except: a. To the extent that qualified persons regularly residing in the area are not available. b. For the reasonable needs of the contractor to employ supervisory or specially experienced personnel necessary to assure an efficient execution of the contract work. c. For the ent to present orormeroemployees tas the tresult ractor tof aelawful lcollective bargaining contract, provided that the number of nonresident persons employed under this subparagraph 1 c shall not exceed 20 percent of the total number of employees employed by he contractor on the contract work, except as provided in subparagraph 4 below. 2. The contractor shall place a job order with he State Employ- ment Service indicating (a) the classifications of the laborers, mechanics and other employees required to perform he contract work, (b) the number of employees required in each classification, Form FHWA-1273 (Rev. 3-94) (c) the date on which he estimates such employees will be required, and (d) any other pertinent information required by the State Employ- ment Service to complete the job order form. The job order may be placed with the State Employment Service in writing or by telephone. If during the course of the contract work, the information submitted by the contractor in the original job order is substantially modified, he shall promptly notify the State Employment Service. 3. The contractor shall give full consideration to all qualifiiedTl'hob contractor i referred not quired obgrant emp oy ethe State nit to ant ob applicants who, in his opinion, are not qualified to perform the any of work required. 4. ithin 1 contractor with the State Employment theService he Sof a ta a Employob order ment Service is unable to refer any qualified job applicants to the contrac- tor, or less than the number requested, the State Employment forwardService will unavai abilityof applicants. Such ' Such certificate ate shall be made a part of the contractor's permanent project records. Upon receipt of this certificate, the contractor may employ persons who do not normally reside in the labor area to fill positions covered by the certificate, notwithstanding he provisions of subparagraph 1c above. contractor5. The through 4 of th sAttachment A il nevery subcontract for work which is, or reasonably may be, done as on -site work. Page 9 EXHIBIT B N 0 0 E7 O al v a 15 M 9 c� F7 .1 ill m 0 �o 5' 91 CO) 3 69 69 69 69 69 O i i i i i �cncnCA M 0 0 0 0 0= 00000 �. 3. 69 69 69 69 6q i i i i i i i i i i pi 1"► 00000 �m o o 0 0 0 00000 CO) 4) 69 69 69 69 69 M aowaow(Do a; —1 00000�o 00000 =� A a1 -q 00 :< = O _r d� Z v� O m o a -i m Z �' D r `D L m O CA co V O M ca m v v r= r m m n 2 m v C r m BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: Public Works Bulk Item: Yes X No _ Department: Engineering Staff Contact Person/Phone #: Judv Clarke X4329 AGENDA ITEM WORDING: Approval to advertise a Request for Proposals (RFP) for a security camera system to be installed on the bridges in the Duck Key community. The system will be funded by special assessment through the Duck Key Security Fund 152. ITEM BACKGROUND: The construction and installation of the system is a request from the Duck Key Security Advisory Board and would be funded by the Duck Key Security fund 152. PREVIOUS RELEVANT BOCC ACTION: N/A CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval to advertise as requested above. TOTAL COST: App $800 INDIRECT COST: _n/a BUDGETED: Yes X No DIFFERENTIAL OF LOCAL PREFERENCE: COST TO COUNTY: SOURCE OF FUNDS: Fund 152 REVENUE PRODUCING: Yes No AMOUNT PER MONTH Year APPROVED BY: County Atty _ OMB/Purchasing Risk Management DOCUMENTATION: Included X Not Required DISPOSITION: AGENDA ITEM # revised 7/09 DUCK KEY SECURITY ADVISORY BOARD 126 BIMINI DRIVE DUCK KEY, FLORIDA 33050 305-289-4311 ADVISORY BOARD TOM NEVILLE, CHAIRMAN DENNIS KULIG JERRY FORTIER October 3, 2009 Dear Mr. Briggs: DONNA FLAMMANG DENNIS WOOTEN BILLY WAGNER MERLYNN BOBACK This is in response to your letter dated September 24, 2009. I first would like to take a moment to give you a brief history. The Duck Key Security Advisory Board (DKSAB), thought it would be a good idea to install security cameras because many homes are vacant, and the police have no leads when vandalism is discovered. Partial funding has been promised by the Monroe County Sheriffs Office (MCSO). We surveyed every lot and homeowner on the residential island, and an overwhelming majority are in favor of security cameras. The following is a list the DKSAB hope is available. Four cameras, one located at every bridge. (Truman, Plantation, Harbour, Yacht Club) High resolution, with night vision capability, to be able to read license tags. Must be recorded for a minimum of thirty days, accessible to all residents via the web, cell phones not necessary. Cameras should be self contained with battery backups, and have a maintenance agreement. Existing poles are all right, however if new poles are needed we request concrete poles. Sign -age throughout community that security cameras are in place. Cameras should be at water resistant, and have protective covers. They should be vandal proof with an alarm system alerting any tampering. On Web Page lists all telephone numbers for Resources, i.e.MCSO, Duck Key Security. We also request that additional cameras could be added in the future, such as the need for cameras facing canals and waterways. In closing I want to thank you for your help, I look forward to working with you in obtaining Security Cameras on the Island and I will help you in anyway I can. Sincerely,/)Jzt� Tom Neville, Chairperson, DKSAB 'd 4 BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: Public Works Bulk Item: Yes x No _ Department: Engineering Services Staff Contact Person/Phone #: Judy Clarke X4329_ AGENDA ITEM WORDING: Approval to execute a supplemental Local Agency Program (LAP) Agreement with Florida Department of Transportation (FDOT) to amend the transportation stimulus funding for the Palm Drive (Baypoint) Bridge Repair Project. ITEM BACKGROUND: This bridge repair project is eligible for transportation stimulus funding under the American Economic Recovery and Reinvestment Act; transportation projects funded by stimulus money must be performed under the FDOT LAP program. The construction contract was executed for less than the estimated budget. This supplemental agreement reduces the stimulus money that will be allocated to the Baypoint Bridge project so that it may be applied to the second Monroe County bridge repair project. PREVIOUS RELEVANT BOCC ACTION: BOCC approved the prioritization of Monroe County Transportation projects at the February 2009 meeting. BOCC approved the LAP agreement for the project at the April 2009 meeting. CONTRACT/AGREEMENT CHANGES: Reduce construction budget from $269,620 to $140,609 and reduce the construction engineering and inspection budget from $27,000 to $13,000. STAFF RECOMMENDATIONS: Approval TOTAL COST: $153,609 INDIRECT COST: BUDGETED: Yes No COST TO COUNTY: $0 SOURCE OF FUNDS: Grant REVENUE PRODUCING: Yes _ No X AMOUNT PER MONTH Year APPROVED BY: County Atty Purchasin Risk Management �� g DOCUMENTATION: DISPOSITION: Revised 1/09 Included X Not Required AGENDA ITEM ## MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: FDOT Contract # APL 06 Effective Date: July 16, 2009 Expiration Date: March 31, 2012 Contract Purpose/Description: The Local Agency Program (LAP) Agreement with DOT provides transportation stimulus money to fund the Palm Drive Ba oint Bridge Repair Project. the construction contract price of $130,543.50 is significantly less than the estimated budget of $269,620. Grant funding will be transferred from this project to the Geiger Creek bridge project, which was not 100% funded with stimulus money due to availability of funds. Contract Manager: Judy Clarke 4329 Engineering41 (Name) (Ext.) (Department/Stop #) for BOCC meeting on January 20, Agenda Deadline: January 5, 2010 2010 CONTRACT COSTS Total Dollar Value of Contract: $ 153,609 Current Year Portion: $ 153,609 Budgeted? Yes❑ No ❑ Account Codes:-1 ZS - �ZS f3,1�C�tccL Sl,�iot, Grant: $ 153,609 County Match: $ Estimated Ongoing Costs: $0/yr (Not included in dollar value above) ADDITIONAL COSTS For: maintenance, CONTRACT REVIEW etc. Changes Date Out Date In Needed Reviewer Division Director f � ` 1 U Yes❑ NoE f 0 1- (� Risk Management Yes[:] No[]` Pit" O.M.B./Purchasing J�YesE] No County Attorney JQ43pq Yes❑ No®� , 10e '���a Comments: V-Y IV1 HI 1WV150U L/L/IV1 lvik.r fhL 525-010-32 PRODUCTION SUPPORT 02/09 Page 1 of 3 SUPPLEMENTAL NO. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION FPN 1 LOCAL AGENCY PROGRAM 426182-1-58-01 DUNS NO. SUPPLEMENTAL CONTRACT NO. 073876757 AGREEMENT APL 06 The Monroe County desires to supplement the original Agreement entered into and executed on July 16, 2009 as identified above. All provisions in the original Agreement and supplements, if any, remain in effect except as expressly modified by this supplement. The changes to the Agreement and supplements, if any, are described as follows: PROJECT DESCRIPTION Name Palm Drive (Baypoint) Bridge Repair Project Length 21 feet Termini Description of Work: The Palm Drive (Baypoint) Bridge Repair Project scope of work includes, but is not limited to, demolition of the existing bridge deck and railings, construction of a new reinforced concrete bridge deck and railings, replacement of guardrails, required environmental protection and maintenance of traffic including installation of a temporary bridge and all other work outlined in the project drawings and project manual. Reason for Supplement: The project construction budget is being reduced from $269,620 to $140,609 and the project Construction Engineering and Inspection (CEI) budget is being reduced from $27,000 to $13,000 as shown on following page. Funds reduced from this project are being requested to supplement the contract for Project FM426355-1. 525-010-32 PRODUCTION SUPPORT 02/09 Page 2 of 3 SUPPLEMENTAL NO. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION FPN 1 LOCAL AGENCY PROGRAM SUPPLEMENTAL 426182-1-58-01 DUNS NO. AGREEMENT CONTRACT NO. 073876757 APL 06 TYPE OF WORK By Fiscal Year FUNDING (1) PREVIOUS TOTAL PROJECT FUNDS (2) ADDITIONAL PROJECT FUNDS (3) CURRENT TOTAL PROJECT FUNDS (4) TOTAL AGENCY FUNDS (5) TOTAL STATE & FEDERAL FUNDS Planning 2007-2008 2008-2009 2009-2010 2010-2011 Total Planning Cost $0.00 $0.00 $0.00 $0.00 $0.00 Project Development & Environment (PD&E) 2007-2008 2008-2009 2009-2010 2010-2011 Total PD&E Cost $0.00 $0.00 $0.00 $0.00 $0.00 Design 2007-2008 2008-2009 2009-2010 2010-2011 Total Design Cost $0.00 $0.00 $0.00 $0.00 $0.00 Right -of -Way 2007-2008 2008-2009 2009-2010 2010-2011 Total Right -of -Way Cost $0.00 $0.00 $0.00 $0.00 $0.00 Construction 2007-2008 2008-2009 2009-2010 2010-2011 Total Construction Cost $269,620.00 ($129.011.00) $140.609.00 $140,609.00 $269,620.00 $129,011.00 $140,609.00 $0.00 $140,609.00 Construction Engineering and Inspection (CEI) 2007-2008 2008-2009 2009-2010 2010-2011 Total CEI Cost Total Construction & CEI Costs $27.000.00 ($14.000.00) $13,000.00 $13.000 $27,000.00 $14,000.00 $13,000.00 $0.00 $13,000.00 $296,620.00 $143,011.00 $153,609.00 $0.00 $153,609.00 TOTAL COST OF THE PROJECT I $296,620.00 ($143,011.00) $153,609.00 $0.00 $153,609.00 525-010-32 PRODUCTION SUPPORT 02/09 Page � off SUPPLEMENTAL NO. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION FPN LOCAL AGENCY PROGRAM SUPPLEMENTAL 426182-1-58-01 DUNS NO. D�3g7L757 AGREEMENT CONTRACT NO. APL 06 IN WITNESS WHEREOF, the parties have caused these presents to be executed the day and year first above written. AGENCY Monroe County By: Name: Title: Attest: Name: Title: Date: As to form: [ A i-A Attorney STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION By: Name: Title: Attest: Name: Title: Date: As to form: District Attorney See attached Encumbrance Form for date of funding approval by Comptroller. MONROE COUNTY ATTORNEY a APPROVEQ AS TO FORM: CHRISTINE M. LIMBERT-BARROWS ASSISTANT COUNTY ATTORNEY Date 1-') STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40 LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 08/06 Page EXHIBIT "B" SCHEDULE OF FUNDING Monroe County FPN: 4261821-1-58-01 c/o Engineering Department 1100 Simonton Street Key West, Florida 33040 PROJECT DESCRIPTION Name: Palm Drive (Baypoint) Bridge Repair Project; bridge #9041 Termini: Length: 21 TYPE OF WORK B Fiscal Year y FUNDING (t) TOTAL PROJECT FUNDS (2) AGENCY FUNDS (3) STATE & FEDERAL FUNDS Planning 2006-2007 2007-2008 2008-2009 Total Planning Cost Project Development & Environment (PD&E) 2006-2007 2007-2008 2008-2009 Total PD&E Cost Design 2006-2007 2007-2008 2008-2009 Total Design Cost Right -of -Way 2006-2007 2007-2008 2008-2009 Total Right -of -Way Cost Construction 2006-2007 2007-2008 2008-2009 2009-2010 Total Construction Cost $140,609 $140,609 $140,609 $140,609 Construction Engineering and Inspection (CEI) 2006-2007 2007-2008 2008-2009 Total CEI Cost 1 Total Construction and CEI Costs [$153,609 $13,000 $13.000 $13,000 1 $13.000 $153,609 $153,609 TOTAL COST OF THE PROJECT 1 $153,609 The Department's fiscal year begins on July 1. For this project, funds are not projected to be available until after the 1 st of July of each fiscal year. The Department will notify the Agency, in writing, when funds are available. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 02/09 Page 1 FPN: 42 1 1-5: -01 Fund: Federal No: R Org Code: FLAIR Approp: FPN: ---�•: �'� t ^'�� 1 FLAIR Obj: Federal No: OrgFund: FLAIR Approp: Fund: Code: FLAIR Obj: Federal No: Fund: FLAIR A Org Code: PPfOP: FPN: Fund: FLAIR ON: Federal No: Org Code: FLAIR Approp: County No: ©717 Contract No: Ofo FLAIR Obj: Data Universal Number System (DUNS) No: 50-939-7102 Vendor No: Catalog of Federal Domestic Assistance (CFDA): 20.205 Highway Planning and Construction THIS AGREEMENT, made and entered into this ' S — day of _ J V ly Zc�9 OF FLORIDA DEPARTMENT OF TRANSPORTATION, an a by and between the STATE Department, and Monroe County hereinafter called the Agency.Y of the State of Florida, hereinafter called the WITNESSETH: WHEREAS, the Agency has the authority to enter into this Agreement and to undertake the project hereinafter described, and the Department has been granted the authority to function adequately in all areas of appropriate the implementation of an integrated and balanced transportation system and is authorizendrr t33Jurisdiction2,, Florida Statutes, to enter into this Agreement; NOW, THEREFORE, in consideration of the mutual covenants, promises and representations herein, the parties agree as follows: 1.00 Purpose of Agreement: The purpose of this Agreement is to provide for the Drive (Savooint) tar d Repair Protect and as further described in Exhibit "A" attached hereto and artmenrs participation y this treferenceTh a part hereof, hereinafter called the "Project' and to provide Department financial assistance to the A made IBILM terms and conditions upon which such assistance will be provided and the understandings ganne and state the 3roject will be undertaken and completed, ngs as to the manner in which the tX 1.01 Attachments: Exhibit(s) A. B. Stare attached and made a part hereof. .01 General Requirements: The Agency shall complete the project as described in Exhibit "A" with all practical ispatch, In a sound, economical, and efficient manner, and in accordance with the ws. The project will be performed in accordance with all applicable D artmebovisions herein, and all applicable andards, and directives as described in the D artmenrs Procedures, guidelines, manuals, ads a part hereof as if fully set forth herein. Time is of the essence asr to each and every by this reference is Feement. ery obligation under this Full time employee of the Agency, qualified to ensure that the work being pursued is complete, accurate, and consistent h the terms, conditions, and specifications of this Agreement shall be in charge of each project. moval of Any Unbiiled Funds Igency fails to timely perform its obligations in submitting invoices and documents necessary for the close out of the lect, and said failure results in a loss of the remaining unbilied funding either by Federal withdrawal of funds or loss of le appropriation authority (which may include both federal funds and state funds, if any state funds are on the ncy will be responsible for the remaining unbilled funds on the project. No other funds will be project), artment. Agency waives the right to contest such removal of funds b the 0 provided it the ed to Federal (FHWA) withdrawal of funds or loss of State appropriation apartment, if said removal is directly tWormance. In addition to loss of funding, the Department willconnssid de -certification of aAgency or future rLAP :cts. oval of All Funds STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION 525-010-40 SUPPORT 02/09 Pays 2 If all funds are removed from the project, including amounts previously billed to the Department and reimbursed to the Agency, and the project is off the state highway system, then the department will have to request repayment for the previously billed amounts from the Local Agency. No state funds can be used on off -system projects. 2.02 Expiration of Agreement: The Agency agrees to complete the project on or before �Nljo/;L complete the project within this time if the Agency does not period, this Agreement will expire on the last day of the scheduled completion as provided in this paragraph unless an extension of the time period is requested by the Agency and granted in writing by the Department prior to the expiration of this Agreement. Expiration of this Agreement will be considered termination of the project. The cost of any work performed after the expiration date of this Agreement will not be reimbursed by the Department. 2.03 Pursuant to Federal, State, and Local Laws: In the event that any election, referendum, approval, permit, notice or other proceeding or authorization is requisite under applicable law to enable the Agency to enter into this Agreement or to undertake the project hereunder or to observe, assume or carry out any of the provisions of the Agreement, the Agency will initiate and consummate, as provided by law, all actions necessary with respect to any such matters so requisite. 2.04 Agency Funds: The Agency shall initiate and prosecute to completion all proceeds ngs federal -aid requirements, to enable the Agency to provide the necessary funds for completion of the iNoj� ary, including 2.05 Submission of Proceedings, Contracts, and Other Documents: The Agency such data, reports, records, contracts, and other documents relatin to the shall submit to the Department Highway Administration (FHWA) may require. g project as the Department and the Federal 3.00 Project Cost: 3.01 Total Cost: The total cost of the project is $ 296, "B." The Agency agrees to bear all ex . This amount Is based upon the schedule of funding in Exhibit schedule of funding may be modified b expenses in excess of the total cost of the project and any deficits involved. The Y agreement as provided for in paragraph 4.00. 3.02 Department Participation: The Department agrees to participate, including contingencies, in the project cost to the extent provided in Exhibit "B." This amount includes federal -aid funds which are limited to the actual amount of federal - aid participation. 1.03 Limits on Department Funds: Project costs eligible for Department participation will be allowed only from the date )f this Agreement. It is understood that Department participation in eligible project costs Is subject to: a) Legislative approval of the Department's appropriation request in the work program year that the project is scheduled to be committed; b) Availability of funds as stated in paragraphs 3.04 and 3.05 of this Agreement; c) Approval of all plans, specifications, contracts or other obligating documents and all other terms of this Agreement, and d) Department approval of the project scope and budget at the time appropriation authority becomes available. 14 Appropriation of Funds: The Department's performance and obligation to pay under this Agreement is contingent m an annual appropriation by the Legislature. If the Department's funding for this project is in multiple fiscal years, ds approval from the Department's Comptroller must be received each fiscal year prior to costs being incurred. See iibit "8" for funding levels by fiscal year. Project costs utilizing these fiscal year funds are not eligible for lbursement if incurred prior to funds approval being received. The Department will notify the Agency, in writing, when Is are available. I Multi -Year Commitment: in the event this Agreement is in excess of $25, one year, the provisions of Section 339.13 6 a Statutes, are herebyii and has a term for a period of more � � )' Florida StattY incorporated: "(a) The department, during any fiscal year, shall not expend money, incur any liability, or enter into any STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT 525 10440 PRODUCTION SUPPORT 02109 Page 3 contract which, by its terms, involves the expenditure of money in excess of the amounts budgeted as available for expenditure during such fiscal year. Any contract, verbal or written, made in violation of this statement from the comptroller of the Department that funds are available prior to entering isubsection is null and void, and no money may be paid on such contract. The department shall require a nto any such contract or other binding commitment of funds. Nothing herein contained shall prevent the making of contracts for periods exceeding 1 year, but any contract so made shall be executory only for the value of the services to be rendered or agreed to be paid for in succeeding fiscal years, and this paragraph shall be incorporated verbatim in all contracts of the Department which are for an amount in excess of $25,000 and which have a term for a period of more than 1 year." 3.06 Notice -to -Proceed: No cost may be incurred under this Agreement until the Agency has received a written Notice - to -Proceed from the Department. 3.07 Limits on Federal Participation: Federal -aid funds shall not participate in any cost which is not incurred in conformity with applicable Federal and State laws, the regulations in 23 Code of Federal Regulations (C.F.R.) and 49 C.F.R., and policies and procedures prescribed by the Division Administrator of FHWA. Federal funds shall not be paid on account of any cost incurred prior to authorization by the FHWA to the Department to thereof involving such cost (23 C.F.R. 1.9 (a)). If FHWA or the Department determines that any amount cllaimeed is part not eligible, federal participation may be approved in the amount determined to be adsuatei Supported shall notify the Agency In writing citing the reasons why items and amounts are not eligible for federal participation. Where correctable non-compliance with provisions of law or FHWA requirements exists, Federal funds may be withheld until compliance is obtained. Where non-compliance is not correctable, FHWA or the Department may deny participation in parcel or project costs in part or In total. For any amounts determined to be ineligible for federal reimbursement for which the Department has advanced payment, the Agency shall promptly reimburse the Department for all such amounts within 90 days of written notice. 4.00 Project Estimate and Disbursement Schedule: Prior to the execution of this Agreement, a project schedule of funding shall be prepared by the Agency and approved by the Department. The Agency funding, carry out the project, and shall incur obli tions shalt maintain said schedule of conformity with the latest a� against and make disbursements of project funds only in writtenMrifor agreement between the Department of � funding for the project. The schedule of funding may be revised by mutual )epartment's Comptroller and to the Department's Federral aid revised, Programa SPY of the revision should be forwarded to the affective unless it complies with fund participation requirements of thieement and isincrease a use °r decrease shall be :omptroller. approved by the Department's .00 Records: 01 Establishment and Maintenance of Accounting Records: Reeds of costs incurred under the terms this Yeement shall be maintained and made available upon request to the Department at all times Burin the Feement and for 5 years after the final payment is made. C 9 Period of this 3 Department upon request. Records of costs incurred include the A these documents and records shall be furnished to cords, together with supporting documents and records of the Agency and all suubconyps general nttractor performingounting d wudit Rothe )jest and all other records of the Agency and subcontractors considered necessary by the Department fora Pro per costs. N any litigation, claim or audit is started before the expiration of the 5-yeat period, the records shalt be retained ;il all litigation, claims or audit findings involving the records have been resolved. 2 Costs Incurred for Project: The Agency shall charge to the project account all eligible costs of the project except is agreed to be borne by the Agency or its contractors and subcontractors. Costs in excess of the programmed ling or attributable to actions which have not received the required approval of the Department shall not be considered 'bte costs. Documentation of Project Costs: Ail costs charged to the project including any approved services contributed by Agency or others, shall be supported by Properly executed payrolls, time records, invoices, contracts or vouchers racing in proper detail the nature and propriety of the charges. Audit Reports: Recipients of federal and state funds are to have audits done annually using the following criteria: STATE OF FLORIDA DEPARTWNT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 0209 Pat" The administration of resources awarded by the Department to the Agency may be subject to audits and/or monitoring by the Department, as described in this section. Monitoring: In addition to reviews of audits conducted in accordance with OMB Circular A-133 and Section 215.97, Florida Statutes, as revised (see "Audits" below), monitoring by Department staff, limited scope audits as defined by OMBrCircular --ocedures n1133, asay iu revised, and/or but not be other her proced� es. By entering into this Agreement, the recipient agrees to comply and coo procedures/processes deemed appropriate Aerate fully with any monitoring pp opriate by the Department In the event the Department determines that a limited scope audit of the recipient is appropriate, the recipient agrees to comply with any additional instructions provided the Department staff to the Agency regarding such audit. The Agency further agrees to comply and cooperate with any inspections, reviews, investigations or audits deemed necessary by the FDOT's Office of Inspector General (OIG), and the Chief Financial Officer (CFO) or Auditor General. Audits Part 1 - Federally Funded: Recipients of federal funds (i.e., state, local government or non-profit organizations as defined in OMB Circular A-133, as revised) are to have audits done annually using the following criteria: 1. In the event that the recipient expends $500,000 or more in federal awards in its fiscal year, the recipient must have a single or program -specific audit conducted In accordance with the provisions Of OMS Circular _ revised. Exhibit "1" of this Agreement indicates federal resources awarded through the Department by this Agreement. In determining the federal awards expended in its fiscal year, the recipient shall consider all sources federal awards expended should be in accordance with the guidelines established by of federal awards, including federal resources received from the Department. The determination of amounts of revised. An audit of the recipient conducted by the Auditor General OMB Circular A-133, as in accordance with the provisions OMB Circular A-133, as revised, will meet the requirements of this part. 2. In connection with the audit requirements addressed In Part I, paragraph 1 the recipient shall fulfill the requirements relative to auditee responsibilities as provided In Subpart C of OMB Circular A-133, as revised. 3. If the recipient expends less than $500,000 in federal awards in Its fiscal year, an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, Is not required. However, if the recipient elects to have an audit conducted In accordance with the provisions of OMB Circular A-133, as revised, the cost of the audit must be paid from non-federal resources (i.e., the cost of such an audit must be paid from recipient resources obtained from other than federal entities). Federal awards are to be identified using the Catalog of Federal Domestic Assistance (CFDA) tide and number, award number and year, and name of the awarding federal agency. art 11 - State Funded: Recipients of state funds (i.e., a non -state entity as defined by Section 215.97 2 (1), Florida �atutes) are to have audits done annually using the following criteria: O ( ) In the event that the recipient expends a total amount of state financial assistance $500,000 in any fiscal year of such recipient, the recipient must have a state single o project -specific or in excess of such fiscal year in accordance with Section 215.97, Florida Statutes, applicable rules of the Executive Office of the Governor and the CFO, and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General. Exhibit "1" to this Agreement indicates state financial assistance awarded through the Department by this Agreement. In determining the state financial assistance expended in its fiscal year, the recipient shall consider all sources of state financial assistance, including state financial assistance received from the Department, other state agencies, and other non -state entities. State financial assistance does not include federal direct or pass -through awards and resources received by a non -state entity for federal program matching requirements. In connection with the audit requirements addressed in Part It, par audit complies with the requirements of Section 215.97(7), Florida a Statutaph les. Th pient s, the� includes isuensure that the bmission of a financial reporting package as defined by Section 215.97(2) (d), Florida Statutes, and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General, STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPOR 02/09 Page S 3. If the recipient expends less than $500,000 in state financial assistance in its fiscal year, an audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, is not requirnt elects to have audit conducted in accordance with the provisions of Section 25.97 ed. However, if the recipient Florida Statutes, the cost nt a paid from the non -state entity's resources (i.e., the cost of such an audit must a paid from the the audit must of recipient's resources obtained from other than State entities). 4. State awards are to be identified using the Catalog of State Financial Assistance (CSFA) title and number, award number and year, and name of the state agency awarding it. Part III - Other Audit Requirements: The recipient shall follow up and take corrective action on audit findings. Preparation of a Summary Schedule of Prior Year Audit Findings, including corrective action and current status of the audit findings is required. Current year audit findings require corrective action and status of findings. Records related to unresolved audit findings, appeals or litigation shall be retained until the action is completed or the dispute is resolved. Access to project records and audit work papers shall be given to the Department, the Department of Financial Services, and the Auditor General. This section does not limit the authority of the Department to conduct or arrange for the conduct of additional audits or evaluations of state financial assistance or limit the authority of any other state official. Part N - Report Submission: 1- Copies of financial reporting packages for audits conducted in accordance with OMB Circular A-133, as revised, and required by Part I of this Agreement shall be submitted, when required by Section .320 (d), OMB Circular A- 133, as revised, by or on behalf of the recipient directly to each of the following; a) The Department at each of the following address(es): Florida Department of Transportation 1000 NW 111 Avenue, Room 6202-B Miami, FL 33172 Attn: Michelle L. Meaux b) The Federal Audit Clearinghouse designated in OMB Circular A-133, as revised (the number of copies required by Sections .320 (d)(1) and (2), OMB Circular A-133, as revised), at the following address: Federal Audit Clearinghouse Bureau of the Census 1201 East 10'h Street Jeffersonville, IN 47132 c) Other federal agencies and pass -through entities in accordance with Sections .320 (e) and (f), OMB Circular A-133, as revised. In the event that a copy of the financial reporting package required Agreement and conducted accordance with OMB Circular A-133, as revised, is not required tobbe submitted y Part I ofit th the for reasons Pursuant to Section .320 (ex2), OMB Circular A-133, as revised, the recipient shall submit the required written notification pursuant to Section ed Schedule of Expenditures of .320 (ex2) and a copy of the recipient's audit Federal Awards direct! to each of the following; Florida Department of Transportation 1000 NW 111 Avenue, Room 6202-B Miami, FL 33172 Attn: Michelle L. Meaux In addition, pursuant to Section .320 (f), OMB Circular A-133, as revised, the recipient shall submit a copy of the STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT SZs PRODUCTION SUPPORT 02M Pap 6 financial reporting package described in Section .320 (c), OMB Circular A-133, as revised, and any Management Letters issued by the auditor, to the Department at each of the following addresses: Florida Department of Transportation 1000 NW 111 Avenue, Room 6202-B Miami, FL 33172 Attn: Michelle L. Meaux 3. Copies of the financial reporting package required by Part II of this Agreement shall be submitted by or on behalf of the recipient dirftd to each of the following: a) The Department at each of the following address(es): Florida Department of Transportation 1000 NW 111 Avenue, Room 6202-B Miami, FL 33172 Attn: Michelle L. Meaux b) The Auditor General's Office at the following address: Auditor General's Office Room 401, Pepper Building 111 West Madison Street Tallahassee, Florida 32399-1450 4. Copies of reports or the Management Letter required by Part III of this Agreement shall be submitted by or on behalf of the recipient didi- to: a) The Department at each of the following address(es): Florida Department of Transportation 1000 NW 111 Avenue, Room 6202-B Miami, FL 33172 Attn: Michelle L. Meaux Any reports, Management Letters, or other information required to be submitted to the Department pursuant to this Agreement shall be submitted In a timely manner in accordance with OMB Circular A-133, as revised, Florida Statutes, and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General, as applicable. Recipients, when submitting financial reporting packages to the Department for audits done in accordance with OMB Circular A-133, as revised, or Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for - profit organizations), Rules of the Auditor General, should indicate the date that the financial reporting package was delivered to the recipient in correspondence accompanying the fnancial reporting Package. t V - Record Retention: The recipient shall retain sufficient records demonstrating its compliance with the terms of Agreement for a period of at least 5 years from the date the audit report is issued and shall allow the Department or its ;gnee, the state CFO or Auditor General access to such records u pendent audit documentation is made available to the D Pon request. The recipient shall ensure that the i request for a period of at least 5 years from the date the Department , its designee, the state CFO or Auditor General 3rtment Pat is issued, unless extended in writing by the Inspection: The Agency shall permit, and shall require its contractors to Isentatives and authorized agents of FHWA to inspect all work, workmanship, materials, payrolls, and records �z� STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION 525-010-40 SUPPORT 02/09 Pays 7 audit the books, records, and accounts pertaining to the financing and development of the project. The Department reserves the right to unilaterally cancel this Agreement for refusal by the Agency or any contractor, sub- contractor or materials vendor to allow public access to all documents, papers, letters or other material subject to the provisions of Chapter 119, Florida Statutes, and made or received in conjunction with this Agreement (Section 287.058(1) (c), Florida Statutes). 5.06 Uniform Relocation Assistance and Real Property Statistical Report: For an of -way, the Agency must submit to the Department an annual re y project requiring additional elo right - assistance activities on the project. Activities shall be re port of its real property acquisition and relocation September activities The re prepared ported on a federal fiscal year basis, from October 1 through port must be re ared using the format prescribed in 49 C.F.R. Part 24, Appendix 8, and be submitted to the Department no later than October 15 of each year. 6.00 Requisitions and Payments: Requests for reimbursement for fees or other compensation incurred shall be submitted in detail sufficient for a proper pre -audit and thereof (Section for services )( expenses Statutes). post -audit thereof (Section 287.058(1xa), Florida All recipients of funds from this Agreement, including those contracted by the Agency, expenses, when authorized by the terms of this Agreement, in accordance with SSectUon 112.061, Florida Statutemust submit bills for any s, Chapter 3-"Travel" of the Department's Disbursement Operations ��anual Topic 350-030-400 (Section 287.058(1xb), Florida Statutes). If, after project completion, any claim is made by the Department resulting from an audit or for work or services performed pursuant to this Agreement, the Department may offset such amount from payments due for work or services done under any agreement which it has with the Agency owing such amount if, upon demandpayment within 60 days to the Department. Offsetting any amount pursuant to thisparagraph' allno of the amount is not made contract by the Department. shall not be considered a breach of 7.00 Department Obligations: Subject to other provisions hereof, the Department will honor requests for reimbursement to the Agency in amounts and at times deemed by the Department to be and payment of the eligible costs. However, notwithstanding an other Proper o ensure the carrying out of the project elect by notice In writing not to make a a Y provision of this Agreement, the Department may payment if: r.01 Misrepresentation: The Agency shall have made misrepresentation of a material nature in its application, or any ;upplement thereto or amendment thereof or in or with respect to any document of data furnished therewith or pursuant lereto; .02 Litigation: There is then pending litigation with respect to the bligations which may jeopardize or adversely affect the project, the performance the Agency of any of its duties or Agreement or payments to the project; 03 Approval by Department: The Agency shall have taken an action pertaining to the project whichunder this greement, requires the approval of the Department or has maderelated expenditure or incurred related, obligations �thout having been advised by the Department that same are approved; M Conflict of Interests: There has been any violation of the conflict of interest provisions contained here in paragraph .06 or 12.07. 15 Default: The Agency has been determined by the Department to be in default under any of the provisions of the reement. B Federal Participation: The Department may suspend or terminate a y NA, or the Department acting in lieu of FHWA, may designate as ineligible for ffederal aporti on of the project which the ' Disallowed Costs: In determining the amount of the payment, the Department will exclude all rred by the Agency Prior to the effective date of this Agreement or the date of authorization, costs incurred after the ration of the Agreement, costs which are not provided for in the latest approved �rolect, costs agreed to be borne b the A dsub schedule of funding in Exhibit "i3' for Y Agency or its contractors and subcontractors for n� meeting the project mencement and final invoice time lines, and costs attributable to goods or services received under a contract or other t STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT 525 PRODUCTION SUPPORT 02/09 Page a arrangements which have not been approved in writing by the Department. 7.08 Final Invoices: The Agency must submit the final invoice on the project to the Department within 120 days after the completion of the project. Invoices submitted after the 120-day time period may not be paid. 8.00 Termination or Suspension of Project: 8.01 Termination or Suspension Generally: The Department may, by written notice to the Agency, suspend any or all of its obligations under this Agreement until such time as the event or condition resulting in such suspension has ceased or been corrected or the Department may terminate this Agreement in whole or in part at any time the interest of the Department requires such termination. (a) If the Department determines that the performance of the Agency Is not satisfactory, the Department shall notify the Agency of the deficiency in writing with a requirement that the deficiency be corrected within thirty (30) days of such notice. Such notice shall provide reasonable specificity to the Agency of the deficiency that requires correction. If the deficiency is not corrected within such time period, the Department may either (1) immediately terminate the Agreement as set forth in paragraph 8.(b) below, or (2) take whatever action Is deemed appropriate by the Department to correct the deficiency. In the event the Department chooses to take action and not terminate the Agreement, the Agency shall, upon demand, promptly reimburse the Department for any and all costs and expenses incurred by the Department in correcting the deficiency. (b) If the Department terminates the Agreement, the Department shall notify the Agency of such termination in writing, with Instructions to the effective date of termination or specify the stage of work at which the Agreement is to be terminated. (c) If the Agreement is terminated before the project is completed, the Agency shall be paid onlyfor the project satisfactorilyPerformed for which costs can be substantiated. Such a percentage of the p of the work payment however, shall not exceed the turned love percentage the Agency. Allin prowess will become the property Of the Department and will be 8.02 Action Subsequent to Notice -of -Termination or Suspension: Upon receipt of any final termination or suspension notice under this paragraph, the Agency shall proceed promptly to carry out the actions required therein which may nclude any or all of the following: (a) necessary action to terminate or suspend :ontracts and such other action as may be required or desirable to k ' as the case may be, project activities and he financing is to be computed; (b) famish a statement of the �P to a minimum the costs upon the basis of which 'ost of which are otherwise includable as �°jam ��tl� a� contracts and other undertakings the ios the latest schedule, plan, and cost as°japproved� costs. The termination or suspension shall be carried out in conformity nth the la the Department upon the failure of he A by the Department or upon the basis of terms and editions mme. The closing out of federal financial participation in famish the schedule, planprect, and estimate within a reasonable epartment may otherwise have arising out of this Agreemen°1 shall not constitute a waiver any claim which the 00 Contracts of Agency: )1 Third Party Agreements: Except as otherwise authorized in writing by the Department, the Agency shall not ecute any contract or obligate itself in any manner requiring the disbursement of Department funds, including consultant construction contracts or amendments thereto, with any third party with respect �roval of the Department. Failure to obtain such approval shall be sufficient cauor noto ne project without the written e Department specifically reserves unto itself the right to review the qualifications of any consultanttor contracby the tor and to )rove or disapprove the employment of the same. t Compliance with Consultants' Competitive Negotiation Act: It is understood and participation by the Department in a project with the A weed by the parties hereto ineering, architecture or surveying services, is contingent on �' where �� project involves a consultant contract for 055, Florida Statutes, Consultants' Competitive Negotiation Act. At the Agency's of the full with Department, the of Scalar Ive the Department in the consultant selection process for all projects. in all cases the Agency'sapartment, the Agency will e Department that selection has been accomplished in compliance with the Consultants' om attorney shall certify Competitive Negotiation Act. ) Disadvantaged Business Enterprise (DBE) Policy and Obligation: it is the policy of the Department that DBEs, STATE OF FI-ORIOA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION 525-010-40 SUPPORT OZ09 Pegs 9 as defined in 49 C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole or in part with Department funds under this Agreement. The DBE requirements of applicable federal and state laws and regulations apply to this Agreement. The Agency and its contractors agree to ensure that OBE's have the opportunity to participate in the performance of this Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with applicable federal and state laws and regulations to ensure that the DBE's have the opportunity to compete for and perform contracts. The Agency and its contractors and subcontractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts, entered pursuant to this Agreement. Furthermore, the Agency agrees that: (a) Each financial assistance agreement signed with a US -DOT operating administration (or a primary recipient) must include the following assurance: "The recipient shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT -assisted contract or in the administration of its DBE program or the requirements of 49 C.F.R. Part 26. The recipient shall take all necessary and reasonable steps under 49 C.F.R. Part 26 to ensure nondiscrimination In the award and administration of DOT -assisted contracts. The recipient's DBE program, as required by 49 C.F.R. Part 26 and as approved by Department, is incorporated by reference in this Agreement. Implementation of this program is a legal obligation and failure to carry treated as a violation of this Agreement. U out its terms shall be approved program, the Department may Impose sanctions as provided for to the recipient of its failure to carry out its in appropriate cases, refer the matter for enforcement under 18 U.S..c. 1001 nd/or ther 49 C.F.R. program Fraud C vy Remedies Act of 1986 (31 U.S.C. 3801 et seq.)." (b) Each contract signed with a contractor (and each subcontract the prime contractor signs with a subcontractor) must include the following assurance: "The contractor, subrecipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry Part 26 in the award and administration of DOT -assisted contracts.. Faiillure by the cont applicable requirements tractor to ca °f 49 C.F.R. requirements is a material breach of this contract, which may result In the termination of this contract otr such other remedy as the recipient deems appropriate.' 11.00 Compiianco with Conditions and Laws: The Agency shall comply D comply with all terms and conditions of this Agreement and all federal state, and local laws ands and subcontractors this project. Execution of this Agreement constitutes a certification that the Agency is in compliiaance witlationsh, and will Squire its contractors and subcontractors to comply with, all requirements �ws and regulations, including the "Certification R imposed by applicable federal, state, and local Lower Tier Covered Transactions," in 49 C.F.R. Part hen appl�bleuspensron' ineligibility and Voluntary Exclusion !.00 Restrictions, Prohibitions, Controls, and Labor Provisions: .01 Equal Employment Opportunity: In connection with the carrying out of an ;criminate against any employee or applicant for employment because of race a Y Project, the Agency shall not ability or marital status. The Agency will take affirmative action to ensure that a��g�� car' sex, national origin, ployees are treated during employment without regard to their race applicants are employed and that ability or marital status. Such action shall include, but not be limited to, � age, religion, ploy gender' ding, d origin, ransfer, recruitment or recruitment advertising; layoff or termination; rates eof pay or other forms of comp upgrading, demotion action for training, including apprenticeship. The Agency shall insert the foregoing compensation; to son, and Jcular contractual relationship in all its contracts in connection with the development of osieration modified t only to show the tracts for the standard commercial supplies or raw materials, and shall require all such contractorstto insert project, similar ,ision in all subcontracts, except subcontracts for standard commercial supplies or raw materials. When the Ives installation, construction, demolition, removal, site improvement or similar work , the A °jam Picuous places available to employees and applicants for employment for post, in 3dment setting forth the provisions of the nondiscrimination clause. project work, notices to be provided by the STATE OF FLORIDA DEPARTWNT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT 52"10.40 PRODUCTION SUPPORT 02" Pay* 10 12.02 Title VI - Civil Rights Act of 1964: The Agency will comply with all the requirements imposed by Title VI of the Civil Rights Act of 1964, the regulations of the U.S. Department of Transportation issued thereunder, and the assurance by the Agency pursuant thereto. The Agency shall include provisions in all contracts with third parties that ensure compliance with Title VI of the Civil Rights Act of 1964, 49 C.F.R. Part 21, and related statutes and regulations. 12.03 Americans with Disabilities Act of 1990 (ADA): The Agency will comply with all the requirements as imposed by the ADA, the regulations of the Federal government issued thereunder, and assurance by the Agency pursuant thereto. 12.04 Public Entity Crime: A person or affiliate who has been placed on the convicted vendor list following a conviction for a public entity crime may not submit a bid on a contract to provide an submit a bid on a contract with a public entity for the construction or repair public uior ery lding or pub iic work; may not submit bids on leases of real property to a public entity; may not be awarded or subcontractor or consultant under a contract with an perform work as a contractor, supplier, excess of the threshold amount Y public entity; and may not transact business with any public entity in months from the date beingprovided in Section 287.017, Florida Statutes, for CATEGORY TWO for a period of 36 placed on the convicted vendor list. 12.05 Discrimination: In accordance with Section 287.134, Florida Statutes, an en on the Discriminatory Vendor List, kept by the Florida Department of Man tity or affiliate who has been placed ices, may not submit a bid on a contract to provide goods or services to a pubic entity; may not submit aabiidmon a contract with a public entity for the construction or repair of a public building or public work; may not submit bids on leases of real property may not be awarded or perform work as a contractor, supplier, subcontractor or consultant nd.onto U� with any, public entity; and may not transact business with any public entity. 12.00 Suspension, Revocation, Denial of qualification or Determination of Contractor Non -Responsibility: entity or affiliate who has had its Certificate of Qualification susbeendetermined An by the Department to be a non -responsible contractor. may not ssubmita bid or pee rform work or a gw fion or repay of a public building or public work on a contract with the Agency, 12.07 Prohibited Interests: Neither the Agency nor any of its contractors or their subcontractors shall enter into any :ontract, subcontract or arrangement in connection with the project or any Property included or planned to be included in he project in which any member, officer or employee of the Agency or the locality during tenure or for 2 years thereafter ias any interest, direct or indirect. If any such present or former mcquirember ,gene, prior to the beginning of tenure any such interest, and if such interreest�is immediately discloor employee sed involuntarily the Agency, the gency, with prior approve the Department, may waive the prohibition contained in this paragraph Lich present member, officer or employee shall not participate in any action b the A provided that any )ntract, subcontract or arrangement. Y Agency or the locality relating to such ie Agency shall insert in all contracts entered into in connection with the P included in any project, and shall require its contractors to insert in each of otheir subcontracts a following or fanned to "No member, officer or employee of the Agency or of the locality during his tenure or for 2 ea provision: thereafter shall have any interest. direct or indirect, in this contract or the Proceeds thereof." years 3 provisions of this paragraph shall not be applicable to any agreement between the Agency and its fiscal depositories o any agreement for utility services the rates for which are fixed or controlled by a governmental agency. )8 Interest of Members of, or Delegates to, Congress: No member or delegate to the Congress of the United '.es shall be admitted to any share or part of this Agreement or any benefit arising therefrom. 10 Miscellaneous Provisions: 1 Environmental Regulations: The Agency will be solely responsible for compliance with all the applicable 'onmental regulations, for any liability arising from non-compliance with these regulations, and will reimburse the its. for any loss incurred in connection therewith, The Agency My be responsible for securing any applicable STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION 525-010-40 SUPPORT 02/09 Pago 11 13.02 Department Not Obligated to Third Parties: The Department shall not be obligated or liable hereunder to any individual or entity not a party to this Agreement. 13.03 When Rights and Remedies Not Waived: In no event shall the making by the Department of any payment to the Agency constitute or be construed as a waiver by the Department of any breach of covenant or any default which may then exist on the part of the Agency and the making of such payment by the Department, while any such breach or default shall exist, shall in no way impair or prejudice any right or remedy available to the Department with respect to such breach or default. 13.04 How Agreement is Affected by Provisions Being Held Invalid: If an the remainder of this Agreement shall not be affected. In such an instance, the remainder rwould then continue toconf ovision of this Agreement is heldform to the terms and requirements of applicable law. 13.05 Bonus or Commission: By execution of the Agreement, the Agency agrees not to pay, any bonus or commission for the purpose of obtaining arepresents that it has not paid and, also hereunder, g approval of its application for the financing 13.06 State Law: Nothing in the Agreement shall require the Agency to observe or enforce compliance with any provision or perform any act or do any other thing in contravention of any applicable state law. If any of the provisions of the Agreement violate any applicable state law, the Agency will at once notify the Department in writing in order that appropriate changes and modifications may be made by the Department and the Agency to the end that the Agency may proceed as soon as possible with the project, 13.07 Plans and Specifications: In the event that this Agreement Involves constructingand State Highway System, the Agency shall submit to the Department for approval all equipping of facilities on the and sifications covering the project. The Department will review all plans and specifications and willissuee of ans the Agency a written approval with any approved portions of the project and comments or recommendations covering any remainder of the project deemed appropriate. After resolution of these comments and recommendatons to the Department's satisfaction, the Department will issue to the Agency a written approval with said remainder of the project Failure to obtain this written approval shall be sufficient cause of nonpayment by the Department. The Agency will physically include Form FHWA- 1273 in all its contracts and subcontracts. 13.08 Rlght-of-Way Certification: Upon completion of right-of-way activities on the pro :ompliance with all applicable federal and state requirements. Certification is required 1ect the Agency must certify solicitation of bids for construction of the project, including those projects for which no rigprior to adverti ht-a-wayis requiredsement for or. 3.09 Agency Certification: The Agency will certify in writing, prior to project closeout that the project was completed In ccordance with applicable plans and specifications, is in place on the Agency's facility, adequate title is in the Agency's ame, and the project is accepted by the Agency as suitable for the intended purpose. 1.10 Agreement Format: All words used herein in the singular form shall extend to and include the plural. All words ;ed in the plural form shall extend to and include the singular. All words used in any gender shall extend to and include genders. -11 Execution of Agreement: This Agreement may be simultaneously executed in a minimum of two counterparts, :h of which so executed shall be deemed to be an original, and such counterparts together shall constitute one in the ne instrument. 12 Restrictions on Lobbying: feral: The Agency agrees that no federally -appropriated funds have been paid, or will be paid by or on behalf of the ncy, to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member :ongress, an officer or employee of Congress or an employee of a Member of Congress in connection with the rding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of ierative agreement, and the extension, continuation, renewal, amendment or modification of any federal contracty t, loan or cooperative agreement. y funds other than federally -appropriated funds have been paid by the Agency to any person for influencing or STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 02/09 Page 12 attempting to influence an officer or employee of any federal agency, a Member of Congress, an Officer or employee of Congress or an employee of a Member of Congress in connection with this Agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. The Agency shall require that the language of this paragraph 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. State: No funds received pursuant to this contract may be expended for lobbying the Legislature, the judicial branch or a state agency. 13.13 Maintenance: The Agency agrees to maintain any project not on the State Highway System constructed under this Agreement. If the Agency constructs any improvement on Department right-of-way, the Agency ❑ will ❑ will not maintain the improvements made for their useful life. 13.14 Vendors Rights: Vendors (in this document identified as the Agency) Department should be aware of the following time frames. U g Y) providing goods and services s the and approve the goods and services unless the bidspecifications, Pon receipt, the Department has 5 working days to inspect Department has 20 days to deliver a request for paymen,to the Dpm� ofFinancialServices. The 20 as are measured from the latter of the date the invoice is received or the goods or services are received ins approved. petted, and If a payment is not available within 40 days after receipt of the Invoice and the receipt, Inspection, and approval of goods and services, a separate interest penalty in accordance with Section 215.422(3)(b), Florida. Statutes, will be due and payable in addition to the invoice amount to the Agency. Interest penalties of less than one $1 will not be enforced unless the Agency requests payment. Invoices which have to be returned to the Agency because of A will result in a delay in the payment. The invoice payment requirements do not start until a properly Agency preparation errors provided to the Department p perly completed invoice is A Vendor Ombudsman has been established within the Department of Financial Services. include acting as an advocate for Agencies who may be experiencing The dupes of this individual Department. The Vendor Ombudsman may be contacted at 850-413-55181 byicalli calling the Statng e Comptrolle s H dine, 377-693-5236. 13.15 Reimbursement of Federal Funds: 'he Agency shall comply with all applicable federal sidelines, Procedures, and r onducted by FHWA reveals that the applicable federal guidelines, procedures, alations. H at any time a review gency and FHWA requires reimbursement of the funds, the Agency will be es,resregulations were not followed by the all funds awarded under the terms of this Agreement. Federal Economic Stimulus awards do not exempt the ble for repayment to the Department xn adherence to federal guidelines, procedures, and regulations. IN WITNESS AGENCY STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT 525-010-40 PRODUCTION SUPPORT 02/09 Page 13 , the parties have caused these presents to be executed the day and year first above written. By: 4 N m$' George Neugerlt . ills: Mayor (E L) AIJNY L. E Attest:, Ti MO Ivt 3t 00UNTY ATTORNEY As to form: APPROVE AS TO FORM: CH ISTINE M. LIMBERT-BARROWS ASSISTANT COUNTY ATTORNEY Date �/AI04 Attorney STATE OF FLORIDA D ARTkJENT TRANSPORTATION By: Name: Tide: Attest: 1 As to form: tom. District Attomey See attached Encumbrance Form for date of funding approval by Comptroller. STATE OF FLORIOA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PROJECT 525-010-40 MANAGEMENT OFFICE 0&06 Page EXHIBIT "A" PROJECT DESCRIPTION AND RESPONSIBILITIES FPN: 426182-1-58-01 This exhibit forms an integral part of the Agreement between the State of Florida, Department of Transportation and Dated PROJECT LOCATION: The project is X is not on the National Highway System. The project is X is not on the State Highway System. PROJECT DESCRIPTION: The Palm Drive (Baypoint) Bridge Repair Project construction scope of work includes, but is not limited to, demolition of the existing bridge deck and railings, construction of a new reinforced concrete bridge deck and railings, replacement of guardrails, required environmental protection and maintenance of traffic including installation of a temporary bridge and all other work outlined in the project drawings and project manual. SPECIAL CONSIDERATIONS BY AGENCY. the audit report(s) required in the Agreement shall include a Schedule of Project Assistance that wig reflect the )epartment's contract number, the Financial Project Number (FPN), the Federal Authorization Number (FAN), where applicable, the amount of state funding action (receipt and disbursement of funds), any feder� or local funding action, and tie funding action from any other source with respect to the project he Agency is required to provide a copy of the design plans for the Department's review and approval i ermitting with the Department, and notify the Department prior to commofs ordinate commencement of any right --way activities. ie Agency shall commence the project's activities subsequent to the execution of this Agreement and shall perform in .cordance with the following schedule: a) Study to be completed by b) Design to be completed by c) Right -of -Way requirements ide1ed and ofprovided to the Department by d) Right --Way to be certified by e) Construction contract to be let by f) Construction to be completed by pis schedule cannot be met, the Agency will notify the Department in writing with a revised schedule or the project is iect to the withdrawal of federal funding- , CIAL CONSIDERATIONS BY DEPARTMENT: STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 0810E Page EXHIBIT "B" SCHEDULE OF FUNDING Monroe County C/o Engineering Department FPN: 4261821-1-5"1 1100 Simonton Street Key West, Florida 33040 PROJECT DESCRIPTION Name: Palm Drive (Baypoint) Bridge Repair Project, bridge #9o414p Termini: Length: 21 ft TYPE OF WORK By Fiscal Year Planning 200&2007 2007-20o8 2W8-2W9 Total Planning Cost Project Development d Environment (PDaE) 2006-2007 2007-2WS 2008.2oo9 Total PD3E Cost Design 2008-2007 2007-2009 2008-2oo9 Total Design Cost Right -Of -Way 2008-2W7 2W7-2008 2008-20W9 :onstructlon 2006.2007 2007-20o8 2008-2W9 2009.201 o onstniction Engineering and inspection (CE) 2006-2007 2007-2W8 2008-2009 Total CEI Cost CEI TO AL I AGENCY I (3) iECT FUNDS n ,..,,,, STATE d the Department's fiscal year begins on July 1. For this project, funds are not projected aach fiscal year. The Department will no ' the P )acted to be available until after the 1st of July of try Agency, in writing, when funds are available. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTIONS PP1ORT 03109 Page EXHIS7 "S" 2009 AMERICAN RECOVERY AND REINVESTMENT ACT (ARRA) JOB REPORTING FPN: —,;2 This exhibit forms an integral part of the Agreement between the State of Florida, Department of Transportation (Department) and Dated 7 %1 L09 SPECIAL CONSIDERATIONS BY AGENCY: Compliance with the 2009 American Recovery and Reinvestment Act (ARRA) This project is subject to the criteria and conditions of the 2009 American Recovery and Reinvestment Act (ARRA). The Agency will satisfy the Federal reporting requirements for the project(s), such as the monthly employment report, for both the Contractor and Subcontractor. The Agency will provide the required information on form(s) provided by the Department in the timeframe indicated in the instructions. The Agency will ensure that the reporting requirements are included in all ARRA contracts and subcontracts. The Agency will withhold. the Contractor's progress payments, project acceptance, and final payment for failure to comply with the requirements of the 2009 ARRA. Authority of the U.S. Comptroller General Section 902 of the 2009 ARRA provides the U.S. Comptroller General and his representatives the authority: 1. To examine any records of the Contractor or any of its Subcontractors, or any State or Local Agency administering such contract, that directly pertain to, and involve transactions relating to, the contract or subcontract; and 2. To interview any officer or employee of the Contractor or any of its Subcontractors, or of any State or Local Agency administering the contract, regarding such transactions. Accordingly, the U.S. Comptroller General and his representatives shall have the authority and rights as provided under Section 902 of the 2009 ARRA with respect to this contract, which is funded with funds made available under the 2009 ARRA. Section 902 further states that nothing in this Section shall be interpreted to limit or restrict, in any way, any existing authority of the U.S. Comptroller General. Authority of the U.S. Inspector General Section 1515(a) of the 2009 ARRA provides authority for any representatives of the Inspector General to examine any records or interview any employee or officers working on this contract. The Contractor is advised that representatives of the U.S. Inspector General have the authority to examine any record and interview any employee or officer of the Contractor, its Subcontractors or other firms working on this contract. Section 1515(b) further provides that nothing in this Section shall be interpreted to limit or restrict, in any way, any existing authority, of the Inspector Gef�eral. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT EXHIBIT "X" PROJECT ESTIMATE AND DISBURSEMENT SCHEDULE 525.01 G-40 PRODUCTION SUPPORT 05/09 Pape FPN: This exhibit forms an integral part of the Agreement between the State of Florida, Department of Transportation (Department) and Dated 7 �� �04 SPECIAL CONSIDERATIONS BY AGENCY: The following paragraph replaces Section 4.00 Project Estimate and Disbursement Schedule of the Local Agency Program Agreement executed between the Department and Cc0,4 / Dated ? // /0 y Prior to the execution of this Agreement, a project schedule of funding shall be prepared by the Agency and approved by the Department. The Agency shall maintain said schedule of funding, carry out the project, and shall incur obligations against and make disbursements of project funds only in conformity with the latest approved schedule of funding for the project. The schedule of funding may be revised by execution of a LAP Supplemental Agreement between the Department and the Agency. The Agency acknowledges and agrees that funding for this project or any American Recovery and Reinvestment Act (ARRA) project shall/may be reduced upon determination of the award amount and execution of a LAP Supplemental Agreement. If a LAP Supplemental Agreement is executed, a copy of the LAP Supplemental should be forwarded to the Department's Federal -Aid Management Office. BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: Public Works Bulk Item: Yes X No — Department: Engineering Staff Contact Person/Phone #:_Judy Clarke X4329 AGENDA ITEM WORDING: Approval to execute a contract with MACTEC Engineering & Consulting, Inc. for Construction Engineering and Inspection Services for the Geiger Creek Bridge Repair Design Build Project. i t L+ 1V1 tsAl;liliK(I AD: The Engineering Department advertised a Request for Qualifications (RFQ) in which MACTEC Engineering & Consulting, Inc. was ranked first of four respondents by a selection committee on October 27, 2009. The project is partially funded with Federal Transportation Stimulus money and administered through the Florida Department of Transportation (FDOT) Local Agency Program (LAP). rxr, V tvw HIME V ANT HOCC ACTION: At the February 18, 2009 meeting, the BOCC adopted Resolution 065 - 2009, making a priority list of transportation projects to be funded with upcoming federal stimulus dollars for the Florida Keys. At the April 15, 2009 meeting, Agenda item C 33, the BOCC gave approval to execute a Local Agency Program (LAP) Agreement with the Florida Department of Transportation (FDOT) to provide transportation stimulus funding for the Geiger Creek Bridge Repair Project. At the November 18, 2009 meeting the BOCC approved contract negotiations with MACTEC Engineering & Consulting for Construction Engineering and Inspection Services. CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval of the Contract as requested above. TOTAL COST: 84 974 INDIRECT COST: n/a BUDGETED: Yes X No DIFFERENTIAL OF LOCAL PREFERENCE: Local preference is not permitted in ARRA funded projects. COST TO COUNTY: $8,124 SOURCE OF FUNDS: Fund 102 and ARRA Stimulus Grant REVENUE PRODUCING: Yes _ No x AMOUNT PER MONTH Year APPROVED BY: County Atty — urchasing _ Risk Management DOCUMENTATION: Included x Not Required DISPOSITION: AGENDA ITEM # revised 7/09 MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: MACTEC Engineering and Contract # Consulting, Inc. Effective: January 20, 2010 Expiration Date: June 30, 2010 Contract Purpose/Description: Construction Engineering and Inspection Services for repairs to the Geiger Creek Bridge Repair project and administered through FDOT Local Agency Program (LAP). Contract Manager: Judy Clarke 4329 Engineering/#1 (Name) (Ext.) (Department/Stop #) for BOCC meeting on Januar 20, 2010 Agenda Deadline: January 5, 2010 CONTRACT COSTS Total Dollar Value of Contract: $ $84,974 Current Year Portion: $ 84,974 Budgeted? Yes® No ❑ Account Codes: ) 21-' Grant: $ $76,850 County Match: $ $8,124 Estimated Ongoing Costs: $0/yr (Not included in dollar value above) In Division Director Risk Mana ment`p� O.M.B./Purchasing County Attorney 1/L12 Comments: 1vm romi Aevlseu L/G//V1 iw-y�F/ ADDITIONAL COSTS For: (eg. maintenance, CONTRACT REVIEW utilities, janitorial, salaries, etc. Changes Needed Reviewer Yes❑ NoE Yes❑ No[D/ Yes❑ NoUl Yes❑ Novi Date Out 1103 ho Standard Form of Agreement Between Owner and Construction Engineering Inspection Consultant Where the basis of payment is a STIPULATED SUM This Agreement ("Agreement") made and entered into this 20th day of January, 2010 by and between Monroe County, a political subdivision of the State of Florida, whose address is 1100 Simonton Street, Key West, Florida, 33040, its successors and assigns, hereinafter referred to as "COUNTY," through the Monroe County Board of County Commissioners ("BOCC"), _►e MACTEC Engineering and Consulting, Inc., its successors and assigns, hereinafter referred to as "CONSULTANT", WITNESSETH: WHEREAS, COUNTY desires to employ the professional services of CONSULTANT for Construction Engineering Inspection Services; and WHEREAS, CONSULTANT has agreed to provide professional services which shall include but not be limited to providing Construction Engineering Inspection Services in accordance with Florida Department of Transportation's Local Agency Program for the Geiger Creek Bridge Repair Design Build Project, which services shall collectively be referred to as the "Project"; NOW, THEREFORE, in consideration of the mutual promises, covenants and agreements stated herein, and for other good and valuable consideration, the sufficiency of which is hereby acknowledged, COUNTY and CONSULTANT agree as follows: FORM OF AGREEMENT ARTICLE 1 1.1 REPRESENTATIONS, WARRANTIES, AND TERM OF AGREEMENT By executing this Agreement, CONSULTANT makes the following express representations and warranties to the COUNTY: 1. f.2 The CONSULTANT shall maintain all necessary licenses, permits or other authorizations necessary to act as CONSULTANT for the Project until the CONSULTANT'S duties hereunder have been fully satisfied; 1.1.3 The CONSULTANT has become familiar with the Project site and the local conditions under which the Work is to be completed. 1.1.4 The CONSULTANT shall prepare all documentation required by this Agreement in such a manner that they shall be accurate, coordinated and adequate for use in verifying work completed by design build contractors and associated costs and shall be in conformity and comply with all applicable law, codes and regulations. The CONSULTANT warrants that the documents prepared as a part of this Agreement will be adequate and sufficient to document costs in a manner that is acceptable for reimbursement by government agencies, therefore eliminating any additional cost due to missing or incorrect information; 1.1.5 The CONSULTANT assumes full responsibility to the extent allowed by law with regards to his performance and those directly under his employ. 1.1.6 The CONSULTANT will perform the Services using a degree of skill and care ordinarily exercised under similar conditions by reputable members of other professionals practicing in the same or similar locality at the time of performance. 1.1.7 The CONSULTANT'S services shall be performed as expeditiously as is consistent with professional skill and care and the orderly progress of the Project. In providing all services pursuant to this agreement, the CONSULTANT shall abide by all statutes, ordinances, rules and regulations pertaining to, or regulating the provisions of such services, including those now in effect and hereinafter adopted. Any violation of said statutes, ordinances, rules and regulations shall constitute a material breach of this agreement and shall entitle the Board to terminate this contract immediately upon delivery of written notice of termination to the CONSULTANT. 1.1.8 At all times and for all purposes under this agreement the CONSULTANT is an independent contractor and not an employee of the Board of County Commissioners for Monroe County. No statement contained in this agreement shalt be construed so as to find the CONSULTANT or any of his/her employees, contractors, servants, or agents to be employees of the Board of County Commissioners for Monroe County. 1.1.9 The CONSULTANT shall not discriminate against any person on the basis of race, creed, color, national origin, sex, age, or any other characteristic or aspect which is not job related, in its recruiting, hiring, promoting, terminating, or any other area affecting employment under this agreement or with the provision of services or goods under this agreement. 1.2 The effective date of this agreement shall be January 20, 2009. The term of the agreement shall be for 30 days prior to start of the Geiger Creek Bridge Repair Design Build Project contract begins to 30 days after completion of the Design Build Project contract, estimated to be 180 calendar days total, unless otherwise terminated as provided herein. ARTICLE If SCOPE OF BASIC SERVICES 2.1 DEFINITION CONSULTANT'S Scope of Basic Services consists of those described in Attachment A. The CONSULTANT shall commence work on the services provided for in this Agreement promptly upon his receipt of a written notice to proceed from the COUNTY. 2.2 CORRECTION OF ERRORS, OMISSIONS, DEFICIENCIES The CONSULTANT shall, without additional compensation, promptly correct any errors, omissions, deficiencies, or conflicts in the work product of the CONSULTANT or its subconsultants, or both. 2.3 NOTICE REQUIREMENT All written correspondence to the COUNTY shall be dated and signed by an authorized representative of the CONSULTANT. Any notice required or permitted under this agreement shall be in writing and hand delivered or mailed, postage pre -paid, to the COUNTY by certified mail, return receipt requested, to the following: Judith S Clarke, P.E. Director Monroe County Engineering Services 1100 Simonton Street, Room 2-215 Key West, Florida 33040 - And: Mr. Roman Gastesi Monroe County Administrator 1100 Simonton Street, Room 2-205 Key West, Florida 33040 For the Consultant: Dana Pollitt MACTEC Engineering and Consulting, Inc. 3100 Overseas Highway Marathon, Florida 33050 ARTICLE III ADDITIONAL SERVICES 3.1 The services described in this Article III are not included in Basic Services. They shall be paid for by the COUNTY as an addition to the compensation paid for the Basic Services but only if approved by the COUNTY before commencement, and are as follows: A. Providing services of CONSULTANTs for other than the previously listed consulting scope of the Project provided as a part of Basic Services. B. Providing any other services not otherwise included in this Agreement or not customarily furnished in accordance with generally accepted consulting practice. B. Providing representation before public bodies in connection with the Project, upon approval by COUNTY. 3.2 If Additional Services are required, such as those listed above, the COUNTY shall issue a letter requesting and describing the requested services to the CONSULTANT. The CONSULTANT shalt respond with a fee proposal to perform the requested services. Only after receiving an amendment to the Agreement and a notice to proceed from the COUNTY, shall the CONSULTANT proceed with the Additional Services. ARTICLE IV COUNTY'S RESPONSIBILITIES 4.1 The COUNTY shall provide full information regarding requirements for the Work. 4.2 The COUNTY shall designate a representative to act on the COUNTY's behalf with respect to the Project. The COUNTY or its representative shall render decisions in a timely manner pertaining to documents submitted by the CONSULTANT in order to avoid unreasonable delay in the orderly and sequential progress of the CONSULTANT'S services. 4.3 Prompt written notice shall be given by the COUNTY and its representative to the CONSULTANT if they become aware of any fault or defect in the Project or non- conformance with the Agreement Documents. Written notice shall be deemed to have been duly served if sent pursuant to paragraph 2.3. 4.4 The COUNTY shall furnish the required information and services and shall render approvals and decisions as expeditiously as necessary for the orderly progress of the CONSULTANT'S services and work of the contractors. 4.5 The COUNTY's review of any documents prepared by the CONSULTANT or its subconsultants shall be solely for the purpose of determining whether such documents are generally consistent with the COUNTY's criteria, as, and if, modified. No review of such documents shall relieve the CONSULTANT of responsibility for the accuracy, adequacy, fitness, suitability or coordination of its work product. 4.6 The COUNTY shall provide copies of necessary documents required to complete the work. 4.7 Any information that may be of assistance to the CONSULTANT that the COUNTY has immediate access to will be provided as requested. ARTICLE V INDEMNIFICATION AND HOLD HARMLESS The CONSULTANT covenants and agrees to indemnify, hold harmless and defend COUNTY, its commissioners, officers, employees, agents and servants from any and all claims for bodily injury, including death, personal injury, and property damage, including damage to property owned by Monroe County, and any other losses, damages, and expenses of any kind, including reasonable attorney's fees, court costs and expenses, which arise out of, in connection with, or by reason of services provided by CONSULTANT or its Subcontractor(s) in any tier, to the extent occasioned by the negligence, or intentionally wrongful act or omission of the CONSULTANT, its Subcontractor(s) in any tier, their officers, employees, servants and agents. In the event that the completion of the project (to include the work of others) is delayed or suspended as a result of the Consultant's failure to purchase or maintain the required insurance, the CONSULTANT shall indemnify COUNTY from any and all increased expenses resulting from such delay. Should any claims be asserted against COUNTY by virtue of any deficiency or ambiguity in the plans and specifications provided by the CONSULTANT, the CONSULTANT agrees and warrants that CONSULTANT hold the County harmless and shall indemnify it from all losses occurring thereby and shall further defend any claim or action on the COUNTY's behalf. The first ten dollars ($10.00) of remuneration paid to the CONSULTANT is consideration for the indemnification provided for above. The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. This indemnification shall survive the expiration or earlier termination of the Agreement. ARTICLE VI PERSONNEL 6.1 PERSONNEL The CONSULTANT shall assign only qualified personnel to perform any service concerning the project. At the time of execution of this Agreement, the parties anticipate that the following named Individuals will perform those functions as indicated: NAME FUNCTION Mike Hammond Senior Project Engineer Eddie Abonce Project Engineer/Administrator Robert Russell Senior Inspector Melissa Lopez Resident Compliance Specialist So long as the individuals named above remain actively employed or retained by the CONSULTANT, they shall perform the functions indicated next to their names. If they are replaced the CONSULTANT shall notify the COUNTY of the change immediately. ARTICLE VII COMPENSATION 7A PAYMENT SUM 7.1.1 The COUNTY shall pay the CONSULTANT in current funds for the CONSULTANT'S performance, of this Agreement based on rates negotiated and agreed upon and shown in Attachment C. 7.1.2 Rates shown in Attachment C are inclusive of reimbursable expenses, except for airfare, which will be billed to the County at the Consultant's Cost 7.2 PAYMENTS 7.2.1 For its assumption and performances of the duties, obligations and responsibilities set forth herein, the CONSULTANT shall be paid monthly. (A) If the CONSULTANT'S duties, obligations and responsibilities are materially changed by amendment to this Agreement after execution of this Agreement, compensation due to the CONSULTANT shall be equitably adjusted, either upward or downward; (B) As a condition precedent fior any payment due under this Agreement, the CONSULTANT shall submit monthly, unless otherwise agreed in writing by the COUNTY, a proper invoice to COUNTY requesting payment for services property rendered and reimbursable expenses due hereunder. The CONSULTANT'S invoice shall describe with reasonable particularity the service rendered. The CONSULTANT'S invoice shall be accompanied by such documentation or data in support of expenses for which payment is sought at the COUNTY may require. 7.3 REIMBURSABLE EXPENSES 7.3.1 Reimbursable expenses include expenses incurred by the CONSULTANT in the interest of the project_ Expense of transportation submitted by CONSULTANT, in writing, and living expenses in connection with travel authorized by the COUNTY, in writing, but only to the extent and in the amounts authorized by Section 112,061, Florida Statutes; b. Cost of reproducing maps or drawings -or other materials used in performing the scope of services; C. Postage and handling of reports; 7.4 BUDGET 7.4.1 The CONSULTANT may not be entitled to receive, and the COUNTY is not obligated to pay, any fees or expenses in excess of the amount budgeted for this contract in each fiscal year (October 1 - September 30) by COUNTY's Board of County Commissioners. The budgeted amount may only be modified by an affirmative act of the COUNTY's Board of County Commissioners. 7.4.2 The COUNTY's performance and obligation to pay under this Agreement is contingent upon an annual appropriation by the Board of County Commissioners and the approval of the Board members at the time of contract initiation and its duration. ARTICLE VIII INSURANCE 8.1 The CONSULTANT shall obtain insurance as specified and maintain the required insurance at all times that this Agreement is in effect. In the event the completion of the project (to include the work of others) is delayed or suspended as a result of the CONSULTANT'S failure to purchase or maintain the required insurance, the CONSULTANT shall indemnify the COUNTY from any and all increased expenses resulting from such delay. 8.2 The coverage provided herein shall be provided by an insurer with an A.M. Best rating of VI or better, that is licensed to business in the State of Florida and that has an agent for service of process within the State of Florida. The coverage shall contain an endorsement providing sixty (60) days notice to the COUNTY prior to any cancellation of said coverage. Said coverage shall be written by an insurer acceptable to the COUNTY and shall be in a form acceptable to the COUNTY. 8.3 CONSULTANT shall obtain and maintain the following policies: A. Workers' Compensation insurance as required by the State of Florida, sufficient to respond to Chapter 440, Florida Statute. B. Employers Liability Insurance with limits of $500,000 per Accident, $500,000 Disease, policy limits, $500,000 Disease each employee. C. Comprehensive business automobile and vehicle liability insurance covering claims for injuries to members of the public and/or damages to property of others arising from use of motor vehicles, including onsite and offsite operations, and owned, hired or non -owned vehicles, with One Hundred Thousand Dollars ($100,000.00) combined single limit and One Hundred Thousand Dollars ($100,000.00) annual aggregate. D. Commercial general liability, including Personal injury Liability, covering claims for injuries to members of the public or damage to property of others arising out of any covered act or omission of the CONSULTANT or any of its employees, agents or subcontractors or subconsultants, including Premises and/or Operations, Products and Completed Operations, Independent Contractors; Broad Form Property Damage and a Blanket Contractual Liability Endorsement with Five Hundred Thousand Dollars ($500,000.00) per occurrence and annual aggregate. An Occurrence Form policy is preferred. If coverage is changed to or provided on a Claims Made policy, its provisions should include coverage for claims filed on or after the effective date of this contract. In addition, the period for which claims may be reported must extend for a minimum of 48 months following the termination or expiration of this contract. E. Professional liability insurance of One Million Dollars ($1,000,000.00) per occurrence and One Million Dollars ($1,000,000.00) annual aggregate. If the policy is a "claims made" policy, CONSULTANT shall maintain coverage or purchase a "tail" to cover claims made after completion of the project to cover the statutory time limits in Chapter 95 of the Florida Statutes. F. It is agreed that the CONSULTANT is not responsible for safety or security at the Site, other than for the CONSULTANT'S employees, and the CONSULTANT does not have the right or duty to stop the work of others. G. COUNTY shall be named as an additional insured with respect to CONSULTANT'S liabilities hereunder in insurance coverages identified in Paragraphs C and D. H. CONSULTANT shall require its subconsultants to be adequately insured at least to the limits prescribed above, and to any increased limits of CONSULTANT if so required by COUNTY during the term of this Agreement. COUNTY will not pay for increased limits of insurance for subconsultants. 1. CONSULTANT shall provide to the COUNTY certificates of insurance or a copy of all insurance policies including those naming the COUNTY as an additional insured. The COUNTY reserves the right to require a certified copy of such policies upon request. J. If the CONSULTANT participates in a self-insurance fund, a Certificate of Insurance will be required. In addition, the CONSULTANT may be required to submit updated financial statements from the fund upon request from the COUNTY. ARTICLE IX MISCELLANEOUS 9.1 SECTION HEADINGS Section headings have been inserted in this Agreement as a matter of convenience of reference only, and it is agreed that such section headings are not a part of this Agreement and will not be used in the interpretation of any provision of this Agreement. 9.2 OWNERSHIP OF THE PROJECT DOCUMENTS The documents prepared by the CONSULTANT for this Project belong to the COUNTY and may be reproduced and copied without acknowledgement or permission of the CONSULTANT. 9.3 SUCCESSORS AND ASSIGNS The CONSULTANT shall not assign or subcontract its obligations under this agreement, except in writing and with the prior written approval of the Board of County Commissioners for Monroe County and the CONSULTANT, which approval shall be subject to such conditions and provisions as the Board may deem necessary. This paragraph shall be incorporated by reference into any assignment or subcontract and any assignee or subcontractor shalt comply with all of the provisions of this agreement. Subject to the provisions of the immediately preceding sentence, each party hereto binds itself, its successors, assigns and legal representatives to the other and to the successors, assigns and legal representatives of such other party. 9.4 NO THIRD PARTY BENEFICIARIES Nothing contained herein shall create any relationship, contractual or otherwise, with or any rights in favor of, any third party. 9.5 TERMINATION A. in the event that the CONSULTANT shall be found to be negligent in any aspect of service, the COUNTY shall have the right to terminate this agreement after five days written notification to the CONSULTANT. B. The County may cancel this Agreement without cause by giving the CONSULTANT sixty (60) days written notice of its intention to do so. 9.6 CONTRACT DOCUMENTS This contract consists of the Request for Qualifications, any addenda, the Form of Agreement (Articles I -IX), the CONSULTANT'S response to the RFQ, the documents referred to in the Form of Agreement as a part of this Agreement, attachments A, B and C, and modifications made after execution by written amendment. In the event of any conflict between any of the Contract documents, the one imposing the greater burden on the CONSULTANT will control. 9.7 PUBLIC ENTITIES CRIMES A person or affiliate who has been placed on the convicted vendor list following a conviction for public entity crime may not submit a bid on contracts to provide any 9.8 goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017 of the Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list. By signing this Agreement, CONSULTANT represents that the execution of this Agreement will not violate the Public Entity Crimes Act (Section 287.133, Florida Statutes). Violation of this section shall result in termination of this Agreement and recovery of all monies paid hereto, and may result in debarment from COUNTY's competitive procurement activities. in addition to the foregoing, CONSULTANT further represents that there has been no determination, based on an audit, that it or any subconsultant has committed an act defined by Section 287.133, Florida Statutes, as a "public entity crime" and that it has not been formally charged with committing an act defined as a "public entity crime" regardless of the amount of money involved or whether CONSULTANT has been placed on the convicted vendor list. CONSULTANT will promptly notify the COUNTY if it or any subcontractor or subconsultant is formally charged with an act defined as a "public entity crime" or has been placed on the convicted vendor list. MAINTENANCE OF RECORDS CONSULTANT shall maintain all books, records, and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. Records shall be retained for a period of five years from the termination of this agreement. Each party to this Agreement or its authorized representatives shall have reasonable and timely access to such records of each other party to this Agreement for public records purposes during the term of the Agreement and for four years following the termination of this Agreement. If an auditor employed by the COUNTY or Clerk determines that monies paid to CONSULTANT pursuant to this Agreement were spent for purposes not authorized by this Agreement, or were wrongfully retained by the CONSULTANT, the CONSULTANT shall repay the monies together with interest calculated pursuant to Sec. 55.03, of the Florida Statutes, running from the date the monies were paid by the COUNTY. 9.9 GOVERNING LAW, VENUE, INTERPRETATION, COSTS, AND FEES This Agreement shall be governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Agreement, COUNTY and CONSULTANT agree that venue shall lie in the 16`h Judicial Circuit, Monroe County, Florida, in the appropriate court or before the appropriate administrative body. This agreement shall not be subject to arbitration. Mediation proceedings initiated and conducted pursuant to this Agreement shall be in accordance with the Florida Rules of Civil Procedure and usual and customary procedures required by the circuit court of Monroe County. 9.10 SEVERABILITY If any term, covenant, condition or provision of this Agreement (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Agreement, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Agreement shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Agreement would prevent the accomplishment of the original intent of this Agreement. The COUNTY and CONSULTANT agree to reform the Agreement to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. 9.11 ATTORNEY'S FEES AND COSTS The COUNTY and CONSULTANT agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of the Agreement, the prevailing party shall be entitled to reasonable attorney's fees and court costs, as an award against the non -prevailing party, and shall include attorney's fees and courts costs in appellate proceedings. 9.12 BINDING EFFECT The terms, covenants, conditions, and provisions of this Agreement shall bind and inure to the benefit of the COUNTY and CONSULTANT and their respective legal representatives, successors, and assigns. 9.13 AUTHORITY Each party represents and warrants to the other that the execution, delivery and performance of this Agreement have been duly authorized by all necessary County and corporate action, as required by law. 9.14 CLAIMS FOR FEDERAL OR STATE AID CONSULTANT and COUNTY agree that each shall be, and is, empowered to apply for, seek, and obtain federal and state funds to further the purpose of this Agreement; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission. 9.15 ADJUDICATION OF DISPUTES OR DISAGREEMENTS COUNTY and CONSULTANT agree that all disputes and disagreements shall be attempted to be resolved by meet and confer sessions between representatives of each of the parties. If no resolution can be agreed upon within 30 days after the first meet and confer session, the issue or issues shall be discussed at a public meeting of the Board of County Commissioners. If the issue or issues are still not resolved to the satisfaction of the parties, then any party shall have the right to seek such relief or remedy as may be provided by this Agreement or by Florida law. This provision does not negate or waive the provisions of paragraph 9.5 concerning termination or cancellation. 9.16 COOPERATION In the event any administrative or legal proceeding is instituted against either party relating to the formation, execution, performance, or breach of this Agreement, COUNTY and CONSULTANT agree to participate, to the extent required by the other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Agreement or provision of the services under this Agreement. COUNTY and CONSULTANT specifically agree that no party to this Agreement shall be required to enter into any arbitration proceedings related to this Agreement. 9.17 NONDISCRIMINATION CONSULTANT and COUNTY agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent jurisdiction that discrimination has occurred, this Agreement automatically terminates without any further action on the part of any party, effective the date of the court order. CONSULTANT or COUNTY agrees to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss. 1681-1683, and 1685- 1686), which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975, as amended (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; 8) Title Vill of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. 1201 Note), as may be amended from time to time, relating to nondiscrimination on the basis of disability; 10) Monroe County Code Chapter 13, Article Vl, which prohibits discrimination on the basis of race, color, sex, religion, national origin, ancestry, sexual orientation, gender identity or expression, familial status or age; 11) Any other nondiscrimination provisions in any Federal or state statutes which may apply to the parties to, or the subject matter of, this Agreement. 9.18 COVENANT OF NO INTEREST CONSULTANT and COUNTY covenant that neither presently has any interest, and shall not acquire any interest, which would conflict in any manner or degree with its performance under this Agreement, and that only interest of each is to perform and receive benefits as recited in this Agreement. 9.19 CODE OF ETHICS COUNTY agrees that officers and employees of the COUNTY recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112,313, Florida Statutes, regarding, but not limited to, solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. 9.20 NO SOLICITATION/PAYMENT The CONSULTANT and COUNTY warrant that, in respect to itself, it has neither employed nor retained any company or person, other than a bona fide employee working solely for it, to solicit or secure this Agreement and that it has not paid or agreed to pay any person, company, corporation, individual, or firm, other than a bona fide employee working solely for it, any fee, commission, percentage, gift, or other consideration contingent upon or resulting from the award or making of this Agreement. For the breach or violation of the provision, the CONSULTANT agrees that the COUNTY shall have the right to terminate this Agreement without liability and, at its discretion, to offset from monies owed, or otherwise recover, the full amount of such fee, commission, percentage, gift, or consideration. 9.21 PUBLIC ACCESS. The CONSULTANT and COUNTY shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the CONSULTANT and COUNTY in connection with this Agreement; and the COUNTY shall have the right to unilaterally cancel this Agreement upon violation of this provision by CONSULTANT. 9.22 NON -WAIVER OF IMMUNITY Notwithstanding the provisions of Sec. 768.28, Florida Statutes, the participation of the CONSULTANT and the COUNTY in this Agreement and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government liability insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any contract entered into by the COUNTY be required to contain any provision for waiver. 9.23 PRIVILEGES AND IMMUNITIES All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the COUNTY, when performing their respective functions under this Agreement within the territorial limits of the COUNTY shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the COUNTY. 9.24 LEGAL OBLIGATIONS AND RESPONSIBILITIES Non -Delegation of Constitutional or Statutory Duties, This Agreement is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the COUNTY, except to the extent permitted by the Florida constitution, state statute, and case law. 9.25 NON -RELIANCE BY NON-PARTIES No person or entity shall be entitled to rely upon the terms, or any of them, of this Agreement to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the CONSULTANT and the COUNTY agree that neither the CONSULTANT nor the COUNTY or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity or entities, have entitlements or benefits under this Agreement separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Agreement. 9.26 ATTESTATIONS AND TRUTH IN NEGOTIATION CONSULTANT agrees to execute such documents as COUNTY may reasonably require, including a Public Entity Crime Statement, an Ethics Statement, and a Drug - Free Workplace Statement. Signature of this Agreement by CONSULTANT shall act as the execution of a truth in negotiation certificate stating that wage rates and other factual unit costs supporting the compensation pursuant to the Agreement are accurate, complete, and current at the time of contracting. The original contract price and any additions thereto shall be adjusted to exclude any significant sums by which the agency determines the contract price was increased due to inaccurate, incomplete, or concurrent wage rates and other factual unit costs. All such adjustments must be made within one year following the end of the Agreement. 9.27 NO PERSONAL LIABILITY No covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Agreement or be subject to any personal liability or accountability by reason of the execution of this Agreement. 9.28 EXECUTION IN COUNTERPARTS This Agreement may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken together shall constitute one and the same instrument and any of the parties hereto may execute this Agreement by signing any such counterpart. 9.29 FEDERAL HIGHWAY ADMINISTRATION REQUIREMENTS The following forms and provisions are incorporated in and made a part of this contract. 9.29.1 Davis -Bacon Act - In accordance with the Davis -Bacon Act, the CONSULTANT or their subcontractors shall pay workers employed directly upon the site of the work no less than the locally prevailing wages and fringe benefits paid on projects of a similar character. The current prevailing wage rates can be found at: www.access.gpo.,qov/davisbacon/fl.htmI under Monroe County. 9.29.2 Americans with Disabilities Act of 1990 (ADA) - The CONSULTANT will comply with all the requirements as imposed by the ADA, the regulations of the Federal government issued thereunder, and the assurance by the CONSULTANT pursuant thereto. 9.29.3 Disadvantaged Business Enterprise (DBE) Policy and Obligation - It is the policy of the COUNTY that DBE's, as defined in 49 C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole or in part with COUNTY funds under this Agreement. The DBE requirements of applicable federal and state laws and regulations apply to this Agreement. The COUNTY and its CONSULTANT agree to ensure that DBE's have the opportunity to participate in the performance of this Agreement. In this regard, all recipients and contractors shalt take all necessary and reasonable steps in accordance with applicable federal and state laws and regulations to ensure that the DBE's have the opportunity to compete for and perform contracts. The COUNTY and the CONSULTANT and subcontractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts, entered pursuant to this Agreement. 9.29.4 Convict Labor - The convict labor prohibition in 23 U.S.C. 114 applies to emergency repair projects. Convict labor cannot be used in emergency repair construction projects. 9.29.5 FHWA Form 1273 is attached hereto as Attachment B and made a part of this Agreement. IN WITNESS WHEREOF, each party has caused this Agreement tobeexecuted byits duly auihorzedrepresentative onthe day and year first above written. (SEAL) Attest: DANNYLKOLHAGE'Clerk Bv Deputy Clerk BY: Dina Pollitt X-1 1/j " V 4 - BOARD 0FCOUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA MeyorlChmrn»an CONSULTANT ' By: 3 OF AGREEMENT M[>NROECOUNTY ATTORNEY PPRO ASTOFORM: ATTACHMENT A ATTACHMENT A Scope of Services 1.0 This is a Local Agency Program (LAP) project for which the Consultant shall be responsible for performing in accordance with all applicable Florida Department of Transportation (FDOT) manuals, procedures, specifications and guidance. Construction Engineering and Inspection Services are required for the following project: Geiger Creek Bridge Repair Design Build Project Repairs shall include, but not be limited to, replacement of bridge guardrails, cleaning and resealing of deck joints, and repairs to deficiencies in the bridge deck and sidewalks, deck underside, reinforced concrete beams, diaphragms, concrete columns, pile jackets, caps and abutments. This project is funded through the America Recovery and Reinvestment Act of 2009 (ARRA) and will be administered under the Florida Department of Transportation's Local Agency Program (LAP). Interested firms must be familiar with and must comply with all applicable federal, state and local requirements of these programs. The Consultant shall exercise their independent professional judgment in performing their obligations and responsibilities under this Agreement. Pursuant to Section 4.1.4 of the Florida Department of Transportation's, Construction Project Administration Manual (CPAM), the authority of the Consultant's lead person, such as the Senior Project Engineer, and the Consultant's Project Administrator shall be identical to the Department's Resident Engineer and Project Administrator respectively and shall be interpreted as such. Services provided by the Consultant shall comply with Department manuals, procedures, and memorandums in effect as of the date of execution of the Agreement unless otherwise directed in writing by the County. On a single Construction Contract, it is a conflict of interest for a professional firm to receive compensation from both the County and the Contractor either directly or indirectly. 2.0 LENGTH OF SERVICE: The Consultant services for the Construction Contract shall begin upon written notification to proceed by County. The Consultant Senior Project Engineer will track the execution of the Construction Contract such that the Consultant is given timely authorization to begin work. While no personnel shall be assigned until written notification by the County has been issued, the Consultant shall be ready to assign personnel within two weeks of notification. For the duration of the project, the Consultant shall coordinate closely with the County and Contractor to minimize rescheduling of Consultant activities due to construction delays or changes in scheduling of Contractor activities. For estimating purposes, the Consultant will be allowed an accumulation of thirty working days to perform preliminary administrative services prior to the issuance of the Contractor's notice to proceed and thirty calendar days to demobilize after final acceptance of the Construction Contract. The anticipated letting schedule and construction time for the project is tabulated below: Construction Contract Estimate Financial Letting Date Start Date Duration Project ID (Mo/Day/Yr) (Mo/Day/Yr) (Days) 426355-1-58-01 01/20/10 2/17/10 120 3.0 DEFINITIONS: A. Resident Engineer: The Engineer assigned to a particular Project or area to administer Construction Contracts for the County. B. Construction Project Manager: The County employee assigned to manage the Construction Engineering and Inspection Contract and represent the County during the performance of the services covered under this Agreement. C. Engineer of Record: The Engineer noted on the Construction plans as the responsible person for the design and preparation of the plans. D. Consultant: The Consulting firm under contract to the County for administration of Construction Engineering and Inspection services. E. Agreement: The Professional Services Agreement between the County and the Consultant setting forth the obligations of the parties thereto, including but not limited to the performance of the work, furnishing of services, and the basis of payment. F. Consultant Senior Project Engineer: The Engineer assigned by the Consultant to be in charge of providing Construction Contract administration for one or more Construction Projects. This person may supervise other Consultant employees and act as the lead Engineer for the Consultant. G. Consultant Project Administrator: The employee assigned by the Consultant to be in charge of providing Construction Contract administration services one or more Construction Projects. H. Contractor: The individual, firm, or company contracting with the County for performance of work or furnishing of materials. I. Construction Contract: The written agreement between the County and the Contractor setting forth the obligations of the parties thereto, including but not limited to the performance of the work, furnishing of labor and materials, and the basis of payment. J. CPAM: Florida Department of Transportation, Construction Project Administration manual; latest. K. Department: Florida Department of Transportation L. F.D.O.T.: Florida Department of Transportation. M. County: Monroe County Board of County Commissioners. 4.0 ITEMS TO BE FURNISHED BY THE COUNTY TO CONSULTANT: A. The County, on as needed basis, will furnish the following Design Build Contract documents for this project. These documents may be provided in either paper or electronic format. 1 Special Provisions 2 Copy of the Executed Design Build Contract. 5.0 ITEMS FURNISHED BY THE CONSULTANT: 5.1 County Documents: All applicable documents referenced herein shall be a condition of this Agreement. 5.2 Office Automation: The Consultant shall provide and have available for their use a computer, modem, printer, and appropriate software. The Consultant will also be required to obtain monthly Internet access and maintain an e-mail address for the project. The Consultant shall use Microsoft Word 2003, Microsoft Excel 2003, and Adobe Acrobat 7.0 or latest version available software. The Consultant will furnish computer services/software needed for project scheduling, documentation, and control (Primavera/Suretrak, Claim Digger, etc.). All computer coding shall be input by Consultant personnel using equipment furnished by them. Ownership and possession of computer equipment and related software, which is provided by the Consultant, shall remain at all times with the Consultant. The Consultant shall retain responsibility for risk of loss or damage to said equipment during performance of this Agreement. Field office equipment should be maintained and operational at all times. 5.3 Field Office: The Consultant shall provide a field office with sufficient room and furnishings to effectively carry out their responsibilities under this Scope of Services. Routine expenses for operation of the office, such as stamps, postage costs, custodial fees, telephone service, etc., will be the responsibility of the Consultant and will be compensated by the County. 5.4 Vehicles: Vehicles will be equipped with appropriate safety equipment and must be able to effectively carry out requirements of this Agreement. Vehicles shall have the name and phone number of the consulting firm visibly displayed on both sides of the vehicle. 5.5 Field Equipment: The Consultant shall supply survey, inspection and testing equipment, essential in order to carry out the work under this Agreement. Such equipment includes those non -consumable and non -expendable items, which are normally needed for a CEI project and are essential in order to carry out the work under this Agreement. Hard hats shall have the name of the consulting firm visibly displayed. Equipment described herein and expendable materials under this Agreement will remain the property of the Consultant and shall be removed at completion of the work. The Consultant's handling of nuclear density gauges shall be in compliance with their license. The Consultant shall retain responsibility for risk of loss or damage to said equipment during performance of this Agreement. Field office equipment shall be maintained and in operational condition at all times. 5.6 Licensing for Equipment Operations: The Consultant will be responsible for obtaining proper licenses for equipment and personnel operating equipment when licenses are required. The Consultant shall make the license and supporting documents available to the County, for verification, upon request. Radioactive Materials License for use of Surface Moisture Density Gauges shall be obtained through the State of Florida Department of Health. 6.0 LIAISON: The Consultant shall keep the Construction Project Manager informed of all significant activities, decisions, correspondence, reports, and other communications related to its responsibilities under this Agreement, and seek input from the Construction Project Manager in order for the Construction Project Manager to oversee the Consultant's performance. Agreement administrative duties relating to Invoice Approval Requests, Personnel Approval Requests, User ID Requests, Time Extension Requests, and Amendment and Supplemental Amendment Requests shall be reviewed and approved by the Construction Project Manager. 7.0 PERFORMANCE OF THE CONSULTANT: During the term of this Agreement and all supplements thereof, the County will review various phases of Consultant operations, such as construction inspection, materials sampling and testing, and administrative activities, to determine compliance with this Agreement. The Consultant shall cooperate and assist County representatives in conducting the reviews. If deficiencies are indicated, the Consultant shall implement remedial action immediately upon the approval of the Construction Project Manager. County recommendations and Consultant responses/actions are to be properly documented by the Senior Project Engineer. No additional compensation shall be allowed for remedial action taken by the Consultant to correct deficiencies. Remedial actions and required response times may include but are not necessarily limited to the following: A. Further subdivide assigned inspection responsibilities, reassign inspection personnel, or assign additional inspection personnel, within one week of notification. B. Replace personnel whose performance has been determined by the County to be inadequate. Personnel whose performance has been determined to be unsatisfactory shall be removed immediately. C. Immediately increase the frequency of monitoring and inspection activities in phases of work that are the Consultant's responsibility. D. Increase the scope and frequency of training of the Consultant personnel. 8.0 REOUIREMENTS: 8.1 General: It shall be the responsibility of the Consultant to administer, monitor, and inspect the Design Build Contract such that the project is constructed in reasonable conformity with the plans, specifications, and special provisions for the Design Build Contract. The Consultant shall observe the Contractor's work to determine the progress and quality of work, identify discrepancies, report significant discrepancies to the County, and direct the Contractor to correct such observed discrepancies. The Consultant is hereby designated by the County to negotiate Supplemental Agreements. However, the Consultant must seek input from the Construction Project Manager. The Consultant shall prepare the Supplemental Agreement as a recommendation to the County, which the County may accept, modify or reject upon review. The Consultant shall consult with the Construction Project Manager, as it deems necessary and shall direct all issues, which exceed its delegated authority to the Construction Project Manager for County action or direction. The Consultant shall advise the Construction Project Manager of any significant omissions, substitutions, defects, and deficiencies noted in the work of the Contractor and the corrective action that has been directed to be performed by the Contractor. Work provided by the Consultant shall not relieve the Contractor of responsibility for the satisfactory performance of the Design Build Contract. 8.2 Survey Control: The Consultant shall check or establish the survey control baseline(s) along with sufficient baseline control points and bench marks at appropriate intervals along the project in order to: (1) make and record such measurements as are necessary to calculate and document quantities for pay items; (2) make and record pre -construction and final cross section surveys of the project site in those areas where earthwork (i.e., embankment, excavation, subsoil excavation, etc.) is part of the construction project; and (3) perform incidental engineering surveys. The Senior Project Engineer will establish the specific survey requirements for each project prior to construction. Any questions or requests for "Waiver of Survey" should be directed to the Senior Project Engineer. 8.3 On -site Inspection: The Consultant shall monitor the Contractor's on -site construction activities and inspect materials entering into the work in accordance with the plans, specifications, and special provisions for the Design Build Contract to determine that the projects are constructed in reasonable conformity with such documents. The County will monitor all off -site activities and fabrication. The Consultant shall keep detailed accurate records of the Contractor's daily operations and of significant events that affect the work. Consultant shall be responsible for monitoring and inspection of Contractor's Work Zone traffic control plan and review of modifications to the Work Zone Traffic Control Plan, including alternate Work Zone Traffic Control Plan, in accordance with F.D.O.T. procedures. Consultant employees performing such services shall be qualified in accordance with F.D.O.T. department procedure. 8.4 Sampling and Testing: The Consultant shall perform sampling and testing of component materials and completed work in accordance with the Design Build Contract documents and Local Agency Program requirements for Federal Aid Projects. The minimum sampling frequencies set out in the Department's Materials Sampling, Testing and Reporting Guide shall be met. In complying with the aforementioned guide, the Consultant shall provide daily surveillance of the Contractor's Quality Control activities at the project site and perform the sampling and testing of materials and completed work items that are normally done in the vicinity of the project for verification and acceptance. The Consultant shall be specifically responsible for job control samples determining the acceptability of all materials and completed work items on the basis of either test results or verification of a certification, certified mill analysis, DOT label, DOT stamp, etc. The County will monitor the effectiveness of the Consultant's testing procedures through surveillance and obtaining and testing independent assurance samples. Sampling, testing and laboratory methods shall be as required by the Department's Standard Specifications, Supplemental Specifications or as modified by the special provisions of the Construction Contract. Documentation reports on sampling and testing shall be submitted to responsible parties during the same week that the construction work is done. 8.5 Engineering Services: The Consultant shall coordinate the Design Build Contract administration activities of all parties other than the Contractor involved in completing the construction project. Notwithstanding the above, the Consultant is not liable to the County for failure of such parties to follow written direction issued by the Consultant. Services include maintaining the required level of surveillance of Contractor activities, interpreting plans, specifications, and special provisions for the Design Build Contract, maintaining complete, accurate records of all activities and events relating to the project, and properly documenting all significant project changes. The Consultant shall perform the following services: (1) Schedule and attend, within ten days after the Notice to Proceed, a pre -service conference for the project in accordance with County procedure. The Consultant shall provide appropriate staff to attend and participate in the pre -service meeting. The Consultant shall record a complete and concise record of the proceedings of the pre -service meeting and distribute copies of this summary to the participants and other interested parties within seven days. The Consultant shall submit Action Request packages for Personnel Approval for immediate staff needs and a copy/computer file of the final negotiated staffing to the Construction Project Manager, either at this meeting or within seven days. (2) Schedule and attend, within ten (10) days after the Notice to Proceed, a Final Estimate informational meeting with the County Engineering Staff. The Consultant shall provide appropriate staff to attend and participate in this meeting. (3) Verify that the Contractor is conducting inspections, preparing reports and monitoring all storm water pollution prevention measures associated with the project. (4) Analyze problems that arise on a project and proposals submitted by the Contractor, endeavor to resolve such issues, and process the necessary paperwork. (5) Produce reports, verify quantity calculations, field measure for payment purposes as needed to prevent delays in Contractor operations and ensure prompt processing of such information in order for the County to make timely payment to the Contractor. (6) Prepare and make presentation before the Dispute Review Boards in connection with the project covered by this Agreement. (7) Provide Public Information services as required to manage inquiries from the public, public officials, and the news media. Prepare newsletters for distribution to adjacent property owners. The County Construction Project Manager shall approve all notices, brochures, responses to news media, etc., prior to release. (8) Prepare and submit to the Construction Project Manager monthly, a Construction Status Reporting System (CSRS) report, in a format to be provided by the County. (9) Schedule and conduct a meeting with the County Engineering Office at least 45 calendar days prior to project final acceptance. The purpose of this meeting is to discuss the required documentation, including as-builts, necessary to close out the permit(s). (10) Video tape the pre -construction conditions throughout the project limits. Provide a digital photo log or video of project activities, with heavy emphasis on potential claim items/issues and on areas of real/potential public controversy. (11) The Consultant shall have a digital camera for photographic documentation of noteworthy incidents or events to cover the following areas: (a). Pre -construction photographs (b). Normal and exceptional progress of work (c). Critical path activities (d). Accidents showing damage (e). Unsafe working conditions (f). Unusual construction techniques (g). Damaged equipment or materials (h). Any activity, which may result in claims These photographs will be filed and maintained on the Consultant's computer using the LYNX Digital Photo Management system or equivalent. Copies of photographs will be electronically transferred to the County at an interval determined by the Senior Project Engineer and the Construction Project Manager. The taking of the photographs shall begin the day prior to the start of construction and continue regularly throughout this project. Photographs shall be taken the days of Conditional, Partial and/or Final Acceptance. 9.0 PERSONNEL: 9.1 General Requirements: The Consultant shall staff the project with the qualified personnel necessary to efficiently and effectively carry out its responsibilities under this Agreement. Unless otherwise agreed by the County, the County will not compensate straight overtime or premium overtime for the positions of Senior Project Engineer, Project Administrator, Contract Support Specialist, and Associate Contract Support Specialist. 9.2 Personnel Oualifications: The Consultant shall utilize only competent personnel, qualified by experience, and education. The Consultant shall submit in writing to the Construction Project. Manager the names of personnel proposed for assignment to the project, including a detailed resume for each containing at a minimum salary, education, and experience. The Consultant Action Request form for personnel approval shall be submitted to the Construction Project Manager at least two weeks prior to the date an individual is to report to work. Personnel identified in the Consultant technical proposal are to be assigned as proposed and are committed to performing services under this Agreement. Personnel changes will require written approval from County. Previously approved staff, whose performance is unsatisfactory, shall be replaced by the Consultant within one week of County notification. Before the project begins, all project staff shall have a working knowledge of the current CPAM and must possess all the necessary qualifications/certifications for obtaining the duties of the position they hold. Cross training of the Consultant's project staff is highly recommended to ensure a knowledgeable and versatile project inspection team but shall not be at any additional cost to the County and should occur as workload permits. Visit the training page on the State Construction Office website for training dates. Minimum qualifications for the Consultant personnel are set forth as follows. Exceptions to these minimum qualifications will be considered on an individual basis. The County Engineer or designee will have the final approval authority. CEI SENIOR PROTECT ENGINEER - A Civil Engineer degree and be registered in the State of Florida as a Professional Engineer (or if registered in another state, the ability to obtain registration in the State of Florida within six months) and six years of engineering experience (two years of which are in major road and bridge construction), or for non- degreed personnel the aforementioned registration and ten years of engineering experience (two years of which are in major road or bridge construction). Qualifications include the ability to communicate effectively in English (verbally and in writing); direct highly complex and specialized construction engineering administration and inspection program; plans and organizes the work of subordinate and staff members; develops and/or reviews policies, methods, practices, and procedures; and reviews programs for conformance with County standards. Also must have the following: Qualification: FDOT Advanced MOT Pass the CTQP examination covering the training video "Grouting of Bridge Post -tensioning Tendons" (If applicable) Attend the CTQP Quality Control Manager course and pass the examination. Certifications: None A Master's Degree in Engineering may be substituted for one (1) year engineering experience. CEI PROTECT ADMINISTRATOR -A Civil Engineering degree plus two (2) years of engineering experience in construction of major road or bridge structures, or eight (8) years of responsible and related engineering experience, two (2) years of which involved construction of major road and bridge structures. Receives general instructions regarding assignments and is expected to exercise initiative and independent judgment in the solution of work problems. Directs and assigns specific tasks to inspectors and assists in all phases of the construction project. Will be responsible for the progress and final estimates throughout the construction project duration. Must have the following: Qualifications: FDOT Intermediate MOT Pass the CTQP examination covering the training video "Grouting of Bridge Post -tensioning Tendons" (If applicable) CTQP Final Estimates Level II Certifications: None Other: Attend CTQP Quality Control Manager Course and pass the examination. A Master's Degree in Engineering may be substituted for one (1) year of engineering experience CEI CONTRACT SUPPORT SPECIALIST - A Civil Engineering Degree or High School diploma or equivalent and four years of road & bridge construction engineering inspection (CEI) experience having performed/assisted in project related duties (i.e., progress and final estimates, EEO compliance, processing Construction Contract changes, etc.) or a Civil Engineering degree. Should exercise independent judgment in planning work details and making technical decisions related to the office aspects of the project. Should be familiar with the County's Procedures covering the project related duties as stated above and be proficient in the computer programs necessary to perform these duties. Shall become trained in CTQP Final Estimates Level II course and maintain a current qualification. CEI SENIOR INSPECTOR/ CEI SENIOR ENGINEER INTERN — High school graduate or equivalent plus four years of experience in construction inspection, two years of which shall have been in bridge and/or roadway construction inspection. Must have the following: Qualifications: CTQP Concrete Field Inspector Level I CTQP Concrete Transportation Construction Inspector (CTCI) Level II (all bridges) CTQP Asphalt Roadway Level I (If applicable) CTQP Asphalt Roadway Level II (If applicable) CTQP Earthwork Construction Inspection Level I CTQP Earthwork Construction Inspection Level II CTQP Pile Driving Inspection (If applicable) CTQP Drilled Shaft Inspection (If applicable) CTQP Grouting Technician Level I (If applicable) CTQP Post -Tensioning Technician Level I (If applicable) FDOT Intermediate MOT CTQP Final Estimates Level I Certifications: Nuclear Radiation Safety Or a Civil Engineering degree and one year of road & bridge CEI experience with the ability to earn additional required qualifications within one year. (Note: Senior Engineer Intern classification requires one year experience as an Engineer Intern.) Responsible for performing highly complex technical assignments in field surveying and construction layout, making, and checking engineering computations, inspecting construction work, and conducting field tests and is responsible for coordinating and managing the lower level inspectors. Work is performed under the general supervision of the Project Administrator. 9.3 Staffing: Once authorized, the Consultant shall establish and maintain an appropriate staff through the duration of construction and completion of the final estimate. Responsible personnel, thoroughly familiar with all aspects of construction and final measurements of the various pay items, shall be available to resolve disputed final pay quantities until the appropriate Construction Contract has been paid off. Construction engineering and inspection forces will be required of the Consultant at all times while the Contractor is working. If Contractor operations are substantially reduced or suspended, the Consultant will reduce its staff appropriately. In the event that the suspension of Contractor operations requires the removal of Consultant forces from the project, the Consultant will be allowed ten (10) days maximum to demobilize, relocate, or terminate such forces. 10.0 QUALITY ASSURANCE (QA) PROGRAM: 10.1 Ouality Reviews: The Consultant shall conduct semi-annual reviews to make certain his own organization is in compliance with the requirements cited in the Scope of Services. Quality Reviews shall be conducted to evaluate the adequacy of materials, processes, documentation, procedures, training, guidance, and staffing included in the execution of this Agreement. Quality Reviews shall also be developed and performed to achieve compliance with specific QA provisions contained in this Agreement. The semi-annual reviews shall be submitted to the Construction Project Manager in written form no later than one month after the review. On short duration CCEI projects (nine months or less), the CCEI shall perform an initial QA review within the first two months of the start of construction. 10.2 OA Plan: Within thirty days after receiving award of an Agreement, the Consultant shall furnish a QA Plan to the Construction Project Manager. The QA Plan shall detail the procedures, evaluation criteria, and instructions of the Consultant's organization to assure conformance with the Agreement. Unless specifically waived, no payment shall be made until the County approves the Consultant QA Plan. Significant changes to the work requirements may require the Consultant to revise the QA Plan. It shall be the responsibility of the Consultant to keep the plan current with the work requirements. The Plan shall include, but not be limited to, the following areas: A. Organization: A description is required of the Consultant QA Organization and its functional relationship to the part of the organization performing the work under the Agreement. The authority, responsibilities and autonomy of the QA organization shall be detailed as well as the names and qualifications of personnel in the quality control organization. B. Ouality Reviews: The Consultant QA shall detail the methods used to monitor and achieve organization compliance with Agreement requirements for services and products. C. Ouality Records: The Consultant will outline the types of records, which will be generated and maintained during the execution of his QA program. D. Control of Sub -consultants and Vendors: The Consultant will detail the methods used to control sub - consultants and vendor quality. 11.0 E. Quality Assurance Certification: An officer of the Consultant firm shall certify that the inspection and documentation was done in accordance with FDOT specifications, plans, standard indexes, and County procedures. 10.3 Quality Records: The Consultant shall maintain adequate records of the quality assurance actions performed by his organization (including subcontractors and vendors) in providing services and products under this Agreement. All records shall indicate the nature and number of observations made, the number and type of deficiencies found, and the corrective actions taken. These records shall be available to the County, upon request, during the Agreement term. All records shall be kept at the primary job site and shall be subject to audit review. CERTIFICATION OF FINAL ESTIMATES: 11.1 Final Estimate and As -Built Plans Submittal: Prepare documentation and records in compliance with the Agreement, Consultant's approved QC Plan and the County's Procedures. Submit the Final Estimate(s) and three sets of final as built plans documenting Contractor's work (one record set with two copies) as follows: (a) Within thirty calendar days of final acceptance; or (b) Where all items of work are complete and conditional/partial acceptance is utilized (Lighting, Plant establishment, etc.) for a period exceeding thirty calendar days, the final estimate(s) will be due on the thirtieth (30th) day after conditional/partial acceptance. A memorandum with documentation will be transmitted to the Director of Engineering Services at final acceptance detailing any necessary revisions to the pay items covered under the conditional/partial acceptance. The Consultant shall be responsible for making any revisions to the Certified Final Estimate. 11.2 Certification: Consultant personnel preparing the Certified Final Estimate Package shall be CTQP Final Estimates Level II qualified. Duly authorized representative of the Consultant firm will provide a notarized certification on a form pursuant to Department procedures. 12.0 SUBCONSULTANT SERVICES: Upon written approval by the Construction Project Manager and the County, and prior to performance of work, the Consultant may subcontract for engineering surveys, materials testing, or specialized professional services. 13.0 OTHER SERVICES: Upon written authorization by the Director of Engineering Services or designee, the Consultant will perform additional services in connection with the project not otherwise identified in this Agreement. The following items are not included as part of this Agreement, but may be required by the County to supplement the Consultant services under this Agreement. A. Assist in preparing for arbitration hearings or litigation that occurs during the Agreement time in connection with the construction project covered by this Agreement. B. Provide qualified engineering witnesses and exhibits for any litigation or hearings in connection with the Agreement. C. Provide on- and off -site inspection services in addition to those provided for in this Agreement. 14.0 POST CONSTRUCTION CLAIMS REVIEW: In the event the Contractor submits a claim for additional compensation and/or time after the Consultant has completed this Agreement, the Consultant shall, at the written request from the County, analyze the claim, engage in negotiations leading to settlement of the claim, and prepare and process the required documentation to close out the claim. Compensation for such services will be negotiated and effected through a Supplement to this Agreement. 15.0 CONTRADICTIONS: In the event of a contradiction between the provisions of this Scope of Services and the Consultant's proposal as made a part of their Agreement, the provisions of the Scope of Services shall apply. 16.0 THIRD PARTY BENEFICIARY: It is specifically agreed between the parties executing this Agreement that it is not intended by any of the provisions of any part of the Agreement to create in the public or any member thereof, a third party beneficiary hereunder, or to authorize anyone not a party to this Agreement to maintain a claim, cause of action, lien or any other damages or any relief of any kind pursuant to the terms or provisions of this Agreement. 17.0 COUNTY AUTHORITY: The County shall be the final authority in considering contract modification of the Contractor for time, money or any other consideration except matters agreed to by the Contractor through contract changes negotiated by the Consultant, as authorized in Section 9.1 herein. END OF ATTACHMENT A ATTACHMENT B REQUIRED CONTRACT PROVISIONS FEDERAL -AID CONSTRUCTION CONTRACTS Page I. General ..................................... 1 It. Nondiscrimination ............................. 1 III. Nonsegregated Facilities ........................ 3 IV. Payment of Predetermined Minimum Wage ......... 3 V. Statements and Payrolls ........................ 5 VI. Record of Materials, Supplies, and Labor ........... 5 VII. Subletting or Assigning the Contract ............... 5 VIIL Safety: Accident Prevention . 6 IX. False Statements Concerning Highway Projects ...... 6 X. Implementation of Clean Air Act and Federal Water Pollution Control Act ............. . ........ 6 XI. Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion ..... 6 XII. Certification Regarding Use of Contract Funds for Lobbying.................................... 8 ATTACHMENTS A. Employment Preference for Appalachian Contracts (included in Appalachian contracts only) 1. GENERAL 1. These contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superinten- dence and to all work performed on the contract by piecework, station work, or by subcontract. 2. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Contract Provisions shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Contract Provisions. 3. A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for termination of the contract. 4. A breach of the following clauses of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5.12: Section I, paragraph 2; Section IV, paragraphs 1, 2, 3, 4, and 7; Section V, paragraphs 1 and 2a through 2g. 5. Disputes arising out of the labor standards provisions of Section IV (except paragraph 5) and Section V of these Required Contract Provisions shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractor's employees or their representatives. 6. Selection of Labor: During the performance of this contract, the contractor shall not: a. discriminate against labor from any other State, possession, or territory of the United States (except for employment preference for Appalachian contracts, when applicable, as specified in Attachment A), or b. employ convict labor for any purpose within the limits of the project unless it is labor performed by convicts who are on parole, supervised release, or probation. II. NONDISCRIMINATION (Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more.) 1. Equal Employment Opportunity: Equal employment opportu- nity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities underthis contract. The Equal Opportu- nity Construction Contract Specifications set forth under 41 CFR 60- 4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporates by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO: a. The contractor will work with the State highway agency (SHA) and the Federal Government in carrying out EEO obligations and in their review of his/her activities under the contract. b. The contractor will accept as his operating policy the following statement: "It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprentice- ship, preapprenticeship, and/or on-the-job training." 2. EEO Officer: The contractor will designate and make known to the SHA contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so. 3. Dissemination of Policy: All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved in such action, will be made fully cognizant of, and will implement, the contractor's EEO policy and contractual responsibili- ties to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractor's EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer. b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor. c. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor's procedures for locating and hiring minority group employees. d. Notices and posters setting forth the contractor's EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees. e. The contractor's EEO policy and the procedures to imple- ment such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means. 4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such advertisements will be placed Form FHWA-1273 (Rev. 3-94) Page I in publications having a large circulation among minority groups in the area from which the project work force would normally be derived. a. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractor for employment consider- ation. b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, he is expected to observe the provisions of that agreement to the extent that the system permits the contractor's compliance with EEO contract provisions. (The DOL has held that where implementation of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) c. The contractor will encourage his present employees to refer minority group applicants for employment. Information and proce- dures with regard to referring minority group applicants will be discussed with employees. 5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed: a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discrimi- natory wage practices. c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence ofdiscrimina- tion. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons. d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such com- plaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal. 6. Training and Promotion: a. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment. b. Consistent with the contractor's work force requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. Where feasible, 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training. In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. c. The contractor will advise employees and applicants for employment of available training programs and entrance require- ments for each. d. The contractor will periodically review the training and promotion potential of minority group and women employees and will encourage eligible employees to apply for such training and promo- tion. 7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use his/her best efforts to obtain the cooperation of such unions to increase opportunities for minority groups and women within the unions, and to effect referrals by such unions of minority and female employees. Actions by the contractor either directly or through a contractors association acting as agent will include the procedures set forth below: a. The contractor will use best efforts to develop, in coopera- tion with the unions, joint training programs aimed toward qualifying more minority group members and women for membership in the unions and increasing the skills of minority group employees and women so that they may qualify for higher paying employment. b. The contractor will use best efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability. c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the SHA and shall set forth what efforts have been made to obtain such information. d. In the event the union is unable to provide the contractor with a reasonable flow of minority and women referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minority group persons and women. (The DOL has held that it shall be no excuse that the union with which the contractor has a collective bargaining agreement providing for exclusive referral failed to refer minority employees.) In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the SHA. 8. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procure- ment of materials and leases of equipment. a. The contractor shall notify all potential subcontractors and suppliers of his/her EEO obligations under this contract. b. Disadvantaged business enterprises (DBE), as defined in 49 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construction firms from SHA personnel. c. The contractor will use his best efforts to ensure subcontrac- tor compliance with their EEO obligations. 9. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by authorized representatives of the SHA and the FHWA. a. The records kept by the contractor shall document the following: (1) The number of minority and non -minority group members and women employed in each work classification on the project; (2) The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; (3) The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minority and female employees; and (4) The progress and efforts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees. b. The contractors will submit an annual report to the SHA Page 2 Form FHWA-1273 (Rev. 3-94) each July for the duration of the project, indicating the number of minority, women, and non -minority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA-1391. If on -the job training is being required by special provision, the contractor will be required to collect and report training data. Ill. NONSEGREGATED FACILITIES (Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more.) a. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, as appropriate, the bidder, Federal -aid construc- tion contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The firm agrees that a breach of this certification is a violation of the EEO provisions of this contract. The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. b. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, timeclocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive, or are, in fact, segregated on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking). c. The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. IV. PAYMENT OF PREDETERMINED MINIMUM WAGE (Applicable to all Federal -aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural minor collectors, which are exempt.) 1. General: a. All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction or rebate on any account [except such payroll deductions as are permitted by regulations (29 CFR 3) issued by the Secretary of Labor under the Copeland Act (40 U.S.C. 276c)] the full amounts of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment. The payment shall be computed at wage rates not less than those contained in the wage determination of the Secretary of Labor (hereinafter "the wage determination") which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor or its subcon- tractors and such laborers and mechanics. The wage determination (including any additional classifications and wage rates conformed under paragraph 2 of this Section IV and the DOL poster (WH-1321) or Form FHWA-1495) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1(b)(2) of the Davis -Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of Section IV, paragraph 3b, hereof. Also, for the purpose of this Section, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in paragraphs 4 and 5 of this Section IV. b. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein, provided, that the employees payroll records accurately set forth the time spent in each classification in which work is performed. c. All rulings and interpretations of the Davis -Bacon Act and related acts contained in 29 CFR 1, 3, and 5 are herein incorporated by reference in this contract. 2. Classification: a. The SHA contracting officer shall require that any class of laborers or mechanics employed under the contract, which is not listed in the wage determination, shall be classified in conformance with the wage determination. b. The contracting officershall approve an additional classifica- tion, wage rate and fringe benefits only when the following criteria have been met: (1) the work to be performed by the additional classifica- tion requested is not performed by a classification in the wage determination; (2) the additional classification is utilized in the area by the construction industry; (3) the proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and (4) with respect to helpers, when such a classification prevails in the area in which the work is performed. c. If the contractor or subcontractors, as appropriate, the laborers and mechanics (if known) to be employed in the additional classification or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the DOL, Administratorof the Wage and Hour Division, Employment Standards Administration, Washington, D.C. 20210. The Wage and Hour Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notfy the contract- ing officer within the 30-day period that additional time is necessary. d. In the event the contractor or subcontractors, as appropri- ate, the laborers or mechanics to be employed in the additional classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorized representative, will issue a determina- tion within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary e. The wage rate (including fringe benefits where appropriate) determined pursuant to paragraph 2c or 2d of this Section IV shall be paid to all workers performing work in the additional classification from the first day on which work is performed in the classification. 3. Payment of Fringe Benefits: a. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor or subcontractors, as appropriate, shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof. b. If the contractor or subcontractor, as appropriate, does not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. Form FHWA-1273 (Rev. 3-94) Page 3 4. Apprentices and Trainees (Programs of the U.S. DOL) and Helpers: a. Apprentices: (1) Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau, or if a person is employed in his/her first 90 days of probationary employ- ment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State apprenticeship agency (where appropriate) to be eligible for probationary employ- ment as an apprentice. (2) The allowable ratio of apprentices to journeyman -level employees on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman -level hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. (3) Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeyman -level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. (4) In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, with- draws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work performed by regular employees until an acceptable program is approved. b. Trainees: (1) Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the DOL, Employment and Training Administration. (2) The ratio of trainees tojourneyman-level employees on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. (3) Every trainee must be paid at not less than the rate specified in the approved program for his/her level of progress, expressed as a percentage of the journeyman -level hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associ- ated with the corresponding journeyman -level wage rate on the wage determination which provides for less than full fringe benefits for apprentices, in which case such trainees shall receive the same fringe benefits as apprentices. (4) In the event the Employment and Training Administra- tion withdraws approval of a training program, the contractor or subcontractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. c. Helpers: Helpers will be permitted to work on a project if the helper classification is specified and defined on the applicable wage determination or is approved pursuant to the conformance procedure set forth in Section IV.2. Any worker listed on a payroll at a helper wage rate, who is not a helper under a approved definition, shall be paid not less than the applicable wage rate on the wage determina- tion for the classification of work actually performed. 5. Apprentices and Trainees (Programs of the U.S. DOT): Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal -aid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to journeymen shall not be greater than permitted by the terms of the particular program. 6. Withholding: The SHA shall upon its own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other Federally -assisted contract subject to Davis -Bacon prevailing wage requirements which is held by the same prime contractor, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontrac- tor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the SHA contracting officer may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. 7. Overtime Requirements: No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers, mechanics, watchmen, or guards (including apprentices, trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, watchman, or guard in any workweek in which he/she is employed on such work, to work in excess of 40 hours in such workweek unless such laborer, mechanic, watchman, or guard receives compensation at a rate not less than one -and -one-half times his/her basic rate of pay for all hours worked in excess of 40 hours in such workweek. 8. Violation: Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the clause set forth in paragraph 7 above, the contractor and any subcontractor responsible thereof shall be liable to the affected employee for his/her 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 liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer, mechanic, watchman, or guard employed in violation of the clause set forth in paragraph 7, in the sum of $10 for each calendar day on which such employee was required or permit- ted to work in excess of the standard work week of 40 hours without payment of the overtime wages required by the clause set forth in paragraph 7. 9. Withholding for Unpaid Wages and Liquidated Damages: Page Form FHWA-1273 (Rev. 3-94) The SHA shall upon its own action or upon written request of any authorized representative of the DOL withhold, or cause to be withheld, from any monies 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 sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 8 above. V. STATEMENTS AND PAYROLLS (Applicable to all Federal -aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural collectors, which are exempt.) 1. Compliance with Copeland Regulations (29 CFR 3): The contractor shall comply with the Copeland Regulations of the Secretary of Labor which are herein incorporated by reference. 2. Payrolls and Payroll Records: a. Payrolls and basic records relating thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics, apprentices, trainees, watchmen, helpers, and guards working at the site of the work. b. The payroll records shall contain the name, social security number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contribu- tions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. In addition, for Appala- chian contracts, the payroll records shall contain a notation indicating whether the employee does, or does not, normally reside in the labor area as defined in Attachment A, paragraph 1. Whenever the Secretary of Labor, pursuant to Section IV, paragraph 3b, has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1(b)(2)(B) of the Davis Bacon Act, the contractor and each subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprentices and trainees, and ratios and wage rates prescribed in the applicable programs. c. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the SHA resident engineer a payroll of wages paid each of its employees (including apprentices, trainees, and helpers, described in Section IV, para- graphs 4 and 5, and watchmen and guards engaged on work during the preceding weekly payroll period). The payroll submitted shall set out accurately and completely all of the information required to be maintained under paragraph 2b of this Section V. This information may be submitted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superin- tendent of Documents (Federal stock number 029-005-0014-1), U.S. Government Printing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. d. Each payroll submitted shall be accompanied by a "State- ment of Compliance," signed by the contractor or subcontractor or his/her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this Section V and that such information is correct and complete; (2) that such laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR 3; (3) that each laborer or mechanic has been paid not less that the applicable wage rate and fringe benefits or cash equivalent for the classification of worked performed, as specified in the applicable wage determination incorporated into the contract. e. The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph 2d of this Section V. f. The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 231. g. The contractor or subcontractor shall make the records required under paragraph 2b of this Section V available for inspec- tion, copying, or transcription by authorized representatives of the SHA, the FHWA, or the DOL, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the SHA, the FHWA, the DOL, or all may, after written notice to the contractor, sponsor, applicant, or owner, take such actions as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR 1. On all Federal -aid contracts on the National Highway System, except those which provide solely for the installation of protective devices at railroad grade crossings, those which are constructed on a force account or direct labor basis, highway beautification contracts, and contracts for which the total final construction cost for roadway and bridge is less than $1,000,000 (23 CFR 635) the contractor shall: a. Become familiar with the list of specific materials and supplies contained in Form FHWA-47, "Statement of Materials and Labor Used by Contractor of Highway Construction Involving Federal Funds," prior to the commencement of work under this contract. b. Maintain a record of the total cost of all materials and supplies purchased for and incorporated in the work, and also of the quantities of those specific materials and supplies listed on Form FHWA-47, and in the units shown on Form FHWA-47. c. Furnish, upon the completion of the contract, to the SHA resident engineer on Form FHWA-47 together with the data required in paragraph 1b relative to materials and supplies, a final labor summary of all contract work indicating the total hours worked and the total amount earned. 2. At the prime contractor's option, either a single report covering all contract work or separate reports for the contractor and for each subcontract shall be submitted. VII. SUBLETTING OR ASSIGNING THE CONTRACT 1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the State. Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor's own organization (23 CFR 635). a. 'Its own organization" shall be construed to include only workers employed and paid directly by the prime contractor and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of Form FHWA-1273 (Rev. 3-94) Page 5 a subcontractor, assignee, or agent of the prime contractor b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid on the contract as a whole and in general are to be limited to minor components of the overall contract. 2. The contract amount upon which the requirements set forth in paragraph 1 of Section VII is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions. 3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract require- ments, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the SHA contracting officer determines is necessary to assure the performance of the contract. 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the SHA contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the SHA has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract. Vill. SAFETY: ACCIDENT PREVENTION 1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the SHA contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surround- ings or under conditions which are unsanitary, hazardous or danger- ous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). 3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS In order to assure high quality and durable construction in confor- mity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal -aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, the following notice shall be posted on each Federal -aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project: NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL -AID HIGHWAY PROJECTS 18 U.S.C. 1020 reads as follows: "Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false state- ment, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or Whoever knowingly makes any false statement, false representa- tion, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoever knowingly makes anyfalse statement orfalse representa- tion as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal -aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supple- mented; Shall be fined not more that $10, 000 or imprisoned not more than 5 years or both." X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT (Applicable to all Federal -aid construction contracts and to all related subcontracts of $100,000 or more.) By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, Federal -aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows: 1. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 et seq. as amended by Pub.L. 91-604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C. 1251 et seq., as amended by Pub.L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. 2. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. 3. That the firm shall promptly notify the SHA of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. 4. That the firm agrees to include or cause to be included the requirements of paragraph 1 through 4 of this Section X in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements. XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION 1. Instructions for Certification - Primary Covered Transac- tions: (Applicable to all Federal -aid contracts - 49 CFR 29) a. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanafion of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. c. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later deter- mined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this Page Form FHWA-1273 (Rev. 3-94) transaction for cause of default. d. The prospective primary participant shall provide immediate written notice to the department or agency to whom this proposal is submitted if any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. e. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal, and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy of those regulations. f. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transac- tion with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. g. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled "Certifica- tion Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicita- tions for lower tier covered transactions. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the nonprocurement portion of the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs" (Nonprocurement List) which is compiled by the General Services Administration. i. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. j. Except for transactions authorized under paragraph f of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Primary Covered Transactions 1. The prospective primary 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 3-year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtain- ing, 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 governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph 1b of this certification; and d. Have not within a 3-year period preceding this applica- tion/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 2. Instructions for Certification -Lower Tier Covered Transac- tions: (Applicable to all subcontracts, purchase orders and other lower tier transactions of $25,000 or more - 49 CFR 29) a. By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. b. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the depart- ment, or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. c. The prospective lower tier participant shall provide immedi- ate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances. d. The terms "covered transaction," "debarred," "suspended," "ineligible," "primary covered transaction," "participant," "person," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. e. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certifica- tion Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. g. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and Form FHWA-1273 (Rev. 3-94) Page 7 frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. i. Except for transactions authorized under paragraph a of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion --Lower Tier Covered Transactions: 1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or volun- tarily excluded from participation in this transaction by any Federal department or agency. 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING (Applicable to all Federal -aid construction contracts and to all related subcontracts which exceed $100,000 - 49 CFR 20) 1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal 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. b. 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 Federal 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. 2. 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 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penal of not less than $10,000 and not more than $100,000 for each sucfi failure. 3. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly. Page 8 Form FHWA-1273 (Rev. 3-94) ATTACHMENT A - EMPLOYMENT PREFERENCE FOR APPALACHIAN CONTRACTS (Applicable to Appalachian contracts only.) 1. During the performance of this contract, the contractor under- taking to do work which is, or reasonably may be, done as on -site work, shall give preference to qualified persons who regularly reside in the labor area as designated by the DOL wherein the contract work is situated, or the subregion, or the Appalachian counties of the State wherein the contract work is situated, except: a. To the extent that qualified persons regularly residing in the area are not available. b. For the reasonable needs of the contractor to employ supervisory or specially experienced personnel necessary to assure an efficient execution of the contract work. c. For the obligation of the contractor to offer employment to present or former employees as the result of a lawful collective bargaining contract, provided that the numberof nonresident persons employed under this subparagraph 1 c shall not exceed 20 percent of the total number of employees employed by the contractor on the contract work, except as provided in subparagraph 4 below. 2. The contractor shall place a job order with the State Employ- ment Service indicating (a) the classifications of the laborers, mechanics and other employees required to perform the contract work, (b) the number of employees required in each classification, (c) the date on which he estimates such employees will be required, and (d) any other pertinent information required by the State Employ- ment Service to complete the job order form. The job order may be placed with the State Employment Service in writing or by telephone. If during the course of the contract work, the information submitted by the contractor in the original job order is substantially modified, he shall promptly notify the State Employment Service. 3. The contractor shall give full consideration to all qualified job applicants referred to him by the State Employment Service. The contractor is not required to grant employment to any job applicants who, in his opinion, are not qualified to perform the classification of work required. 4. If, within 1 week following the placing of a job order by the contractor with the State Employment Service, the State Employment Service is unable to refer any qualified job applicants to the contrac- tor, or less than the number requested, the State Employment Service will forward a certificate to the contractor indicating the unavailability of applicants. Such certificate shall be made a part of the contractor's permanent project records. Upon receipt of this certificate, the contractor may employ persons who do not normally reside in the labor area to fill positions covered by the certificate, notwithstanding the provisions of subparagraph 1c above. 5. The contractor shall include the provisions of Sections 1 through 4 of this Attachment A in every subcontract for work which is, or reasonably may be, done as on -site work. Form FHWA-1273 (Rev. 3-94) Page 9 ATTACHMENT C STANDARD FORM OF AGREEMENT BETWEEN OWNER AND CONSTRUCTION ENGINEER AND INSPECTION CONSULTANT GEIGER CREEK BRIDGE REHABILITATION ATTACHMENT C Classification CEI Senior Project Engineer CEI Project Engineer CEI Senior Inspector CEI Resident Compliance Specialist Billing Rate per Hour* $ 173.60 $ 117.60 $ 78.00 $ 48.00 *It is assumed that the work hours will be Monday thru Friday, 8 hour days. Testmg Miscellaneous Testing Services (concrete cylinders, grouts, etc.) $1,500 LS Staffing Estimate Geiger Creek Bridae Oversight 190 rrnnetn ir,4inn rlo„� 4(A J 2010 (hours) Total Position Jan Feb Mar Apr MayJun Hours Cost $ CEI Senior Project Engineer 0 8 8 8 8 8 40 6,944 CEI Project Engineer/ i CEI Project Administrator/ CEI Contract Support Specialist 0 40 1 40 40 1 40 40 200 23,520 CEI Senior Inspector 0 85 160 i 160 1 160 ! 90 655 51,090 CEI Resident Compliance Specialist o 8 8 8 1 8 8 40 1 1,920 Based on the staffing schedule, billing rates, and testing services fee listed above, MACTEC's Not to exceed contract amount for all services as listed in the scope of services is $ 84,974. Reimbursable Expenses As per Article 7.1.2, rates shown are inclusive of reimbursable expenses, except for airfare, which will be billed to the County at the Consultant's Cost. BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: Public Works Bulk Item: Yes X No _ Department: Engineering Staff Contact Person/Phone #: _Judy Clarke X 4329 AGENDA ITEM WORDING: Approval to execute designibuild contract with Structural Preservation Systems, LLC for the Geiger Creek Bridge Repair project. ITEM BACKGROUND: The bridge is in need of repairs based on inspection reports. Transportation stimulus funds are available to fund a portion of the work. Staff advertised a Request for Proposals (RFP) and received four responses. Structural Preservation Systems, LLC had the lowest adjusted score. PREVIOUS RELEVANT BOCC ACTION: BOCC approved the prioritization of Monroe County Transportation projects at the February 2009 meeting. BOCC approved the LAP Agreement for this project at the April 2009 meeting. CONTRACT/AGREEMENT CHANGES: none STAFF RECOMMENDATIONS: Approval TOTAL COST: $871,983 INDIRECT COST: BUDGETED: Yes X No DIFFERENTIAL OF LOCAL PREFERENCE: Not permitted on federally funded projects COST TO COUNTY:_ $180,333 SOURCE OF FUNDS: Fund 102 and ARRA funds REVENUE PRODUCING: Yes — No X AMOUNT PER MONTH Year APPROVED BY: County Att -V B/Pur asing Risk Management _ DOCUMENTATION: Included Not Required DISPOSITION: Revised 7/09 AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: Structural Preservation Contract # Systems, LLC Effective Date: January 20, 2010 Expiration Date: June 15, 2010 (estimated) Contract Purpose/Description: Design/Build contract for design and construction of repairs as part of Geiger Creek Bridge Repair Project. Contract Manager: Judy Clarke 4329 En ineerin /#1 (Name) (Ext.) (Department/Stop #) for BOCC meeting on January 20, Agenda Deadline: January 5, 2010 2010 CONTRACT COSTS Total Dollar Value of Contract: $ 871,983 Current Year Portion: $ 871,983 Budgeted? Yes X No ❑ Account Codes: tz Grant: $ 691,650 County Match: $ 180,333 Estimated Ongoing Costs: $0/yr (Not included in dollar value above) ADDITIONAL COSTS For: utilities, janitorial, salaries, etc. CONTRACT REVIEW Date In Division Director D Changes Date Out Needed Reviewer Yes❑ No❑ Risk Manaement ! .Z�� O.M.B/Pu7hag C Yes❑ Noz Yes[] No County Attorney jAf21W Yes❑ No[ Comments: DBPR - STOERKEL, BRUCE P; Doing Business As: STRUCTURAL PRESERVATION SYSTEMS LLC. Page 1 of 1 10:14:33 AM 1213012009 Licensee Details Licensee Information Name: STOERKEL, BRUCE P (Primary Name) STRUCTURAL PRESERVATION SYSTEMS LLC (DBA Name) Main Address: 3000 SOUTHWEST 10TH STREET POMPANO BEACH Florida 33060 County: BROWARD License Mailing: Lice nseLocation: 3000 SOUTHWEST 10TH STREET POMPANO BEACH FL 33069 County: BROWARD License Information License Type: Rank: License Number: Status: Licensure Date: Expires: Special Qualifications Construction Business Certified General Contractor Cert General CGC1515438 Current,Active 05/08/2008 08/31/2010 Qualification Effective 05/08/2008 View Related License Information View License Complaint Terms of Use i ( Privacy Statement j ttps://www.myfloridalicense.com/LicenseDetail. asp?SID=&id=5 ECE2BAC548B33OB4184B7923C 106A46 12/30/2009 Licensing Portal - License Relationships Page 1 of 1 Licensee Name: Rank: Primary Status: Secondary Status: STOERKEL, BRUCE P Certified General Contractor Current Active Related License Information License Number: License Expiration Date: Original License Date: 1515438 08/31/2010 05/08/2008 License Relationship Relation Expiration Number Status Related Party Type Effective Rank Date Date 49769 Current STRUCTURAL PRESERVATION SYSTEMS LLC Second 05/08/2008 Construction 08/31/2011 Qualifying Business Agent for Information Business Related License Search License Type First Name License Number Expiration Date From View all related licenses Last Name To FYI Terms of Use I I Pmvacy Statomont i Page 1of1 L.. 'ver u' J ttps://www.myfloridalicense.com/licenseRelation.asp?SID=&licid=2898945 12/30/2009 Geiizer Creek Bridge Repair Design Build Proiect Section 00500 Standard Form of Agreement Between Owner and Design/Builder Where the basis of payment is a STIPULATED SUM AGREEMENT Made as of the 20th day of January in the year of Two Thousand and Ten. BETWEEN the Owner: Monroe County Board of County Commissioners 1100 Simonton Street Key West, Florida 33040 and the Design/Builder: Structural Preservation Systems, LLC 2001 Blount Road Pompano Beach, Florida 33069 For the following Project: Geiger Creek Bridge Repair Design Build Project Scope: The Scope of Work shall include, but not be limited to, all work shown and listed in the Request for Proposal (RFP), the Design/Builders Technical Proposal and Bid Price Proposal. The Design/Builder is required to provide a complete job as contemplated by the RFP, the Technical Proposal, Bid Price Proposal, all drawings, specifications and submittals, which are a part of this Agreement. Oversight for Owner is: MACTEC Engineering and Consulting, Inc. 3100 Overseas Highway Marathon, Florida 33050 The Owner and Design/Builder agree as set forth below. Geiger Creek Bridge Repair Design Build Project ARTICLE 1 The Contract Documents The Contract Documents consist of this Agreement, Conditions of the Contract (General, Supplementary and other Conditions), the Request for Proposals (RFP), the Design/Builders Technical Proposal, Bid Price Proposal, Drawings, Specifications and Submittals, Insurance Requirements and Documents, Milestone Schedule, Addenda issued prior to execution of this Agreement, other documents listed in this Agreement and Modifications issued after execution of this Agreement. These form the Contract, and are as fully a part of the Contract as if attached to this Agreement or repeated herein. The Contract represents the entire and integrated agreement between the parties hereto and supersedes prior negotiations, representations or agreements, either written or oral. ARTICLE 2 The Work of this Contract The Design/Builder shall execute the entire Work described in the Contract Documents, except to the extent specifically indicated in the Contract Documents to be the responsibility of others, or as follows: Scope of Work as specified in the Request for Proposal, the Design Build Firm's Technical Proposal and Bid Price Proposal for this project and in Specification Section 00300. The contract constitutes the entire and exclusive agreement between the Owner and the Design/Builder with reference to the Geiger Creek Bridge Repair Design Build Project. ARTICLE 3 Date of Commencement and Substantial Completion 3.1 The date of commencement is the date from which the Contract Time of Paragraph 3.2 is measured, and shall be the date of this Agreement, as first written above, unless a different date is stated below or provision is made for the date to be fixed in a notice to proceed issued by the Owner as stated in Section 00350, Milestone Schedule. Unless the date of commencement is established by a notice to proceed issued by the Owner, the Design/Builder shall notify the Owner, through the Director of Engineering Services, in writing not less than five days before commencing the Work. The date of commencement shall be the date specified in the Notice to Proceed, issued to the Design/Builder. 3.2 The Design/Builder shall achieve Substantial Completion of the entire Work not later than One Hundred and Twenty (120) Days after the Date of Commencement, subject to adjustments of the Contract Time as provided by the Contract Document. LIQUIDATED DAMAGES Liquidated damages will be based on the Substantial Completion Date for all work, modified by all approved extension in time as set forth by the Director of Engineering Service's signature of approval on the Certificate of Substantial Completion. The liquidated damages table below shall be utilized to determine the amount of liquidated damages. FIRST SECOND 31 IT DAY & CONTRACT AMOUNT 15 DAYS 15 DAYS THEREAFTER Under 50,000.00 $50.00/DAY $100.00/DAY $250.00/DAY $50,000.00-$99,999.00 100.00/DAY 200.00/DAY 750.00/DAY $100,000.00499,999.00 200.00/DAY 500.00/DAY 2,000.00/DAY $500,000.0 and Up 500.00/DAY 1,000.00/DAY 3,500.00/DAY The Design/Builder's recovery of damages and sole remedy for any delay caused by the Owner shall be an extension of time on the Contract. Geiger Creek Bridge Repair Design Build Proiect ARTICLE 4 Contract Sum 4.1 The owner shall pay the Design/Builder in current funds for the Design/Builder's performance of the Contract, for the Geiger Creek Bridge Repair Design Build Project the sum of Eight Hundred Seventy-one Thousand Nine Hundred Eighty Three and Zero/100 Dollars ($871,983.00) subject to additions and deductions as provided in the Contract Documents. 4.2 The Contract Sum is based upon the following alternates, if any, which are described in the Contract Documents and are hereby accepted by the Owner: none 4.3 Unit prices, if any, are as follows: As specified in Bid Price Proposal. ARTICLE 5 Progress Payments 5.1 Based upon Applications for Payment submitted by the Design/Builder to the Director of Engineering Services, and upon approval for payment issued by the Director of Engineering Services, the Owner shall make progress payments on account of the Contract Sum to the Design/Builder as provided below and elsewhere in the Contract Documents. 5.2 The period covered by each Application for payment shall be one calendar month ending on the last day of the month, or as follows: 5.3 Payment will be made by the Owner in accordance with the Florida Local Government Prompt Payment Act 218, Florida Statutes. 5.4 Each Application for Payment shall be based upon the Schedule of Values submitted by the Design/Builder in accordance with the Contract Documents. The Schedule of Values shall allocate the entire Contract Sum among the various portions of the Work and be prepared in such form and supported by such data to substantiate its accuracy as the Owner may require. This schedule, unless objected to by the Owner, shall be used as a basis for reviewing the Design/Builder's Applications for Payment. 5.5 Applications for Payment shall indicate the percentage of completion of each portion of the Work as of the end of the period covered by the Application for Payment. 5.6 Subject to the provisions of the Contract Documents, the amount of each progress payment shall be computed as follows: 5.6.1 Take that portion of the Contract Sum properly allocable to completed Work as determined by multiplying the percentage completion of each portion of the Work by the share of the total Contract Sum allocated to that portion of the Work in the Schedule of Values, less retainage of Ten percent (10%). Pending final determination of cost to the Owner of changes in the Work, amounts not in dispute may be included in applications for Payment. The amount of credit to be allowed by the Design/Builder to the Owner for a deletion or change which results in a net decrease in the Contract Sum shall be the net cost to the Owner, less Overhead, Profit and Documented Costs incurred prior to the Change Request, as indicated in the corresponding line item in the Approved Schedule of Values for that line item as confirmed by the Director of Engineering Services. When both additions and credits covering related Work or substitutions are involved in a change the allowance for overhead and profit shall be figured on the basis of net increase, if any, with respect to that change. 5.6.2 Add that portion of the Contract Sum properly allocable to materials and equipment delivered and suitably stored at the site for subsequent incorporation in the completed construction (or, if approved in advance by the Owner, suitably stored off the site at a location agreed upon in writing), less retainage of Ten percent (10%): 12/28M SFANDARDFORMOFAGRMM3' TBBWE)NOWNFRANDDFSIGNBUILDER (rev08) "W-3 Geieer Creek Bridge Repair Design Build Project 5.6.3 Subtract the aggregate of previous payments made by the Owner; and 5.6.4 Subtract amounts, if any, for which the Director of Engineering Services or Architect has withheld or nullified a Certificate for Payment as provided in Paragraph 9.5 of the General conditions. 5.7 The progress payment amount determined in accordance with Paragraph 5.6 shall be further modified under the following circumstances: 5.7.1 Add, upon Substantial Completion of the Work, a sum sufficient to increase the total payments to Ninety percent (90%) of the Contract Sum, less such amounts as the Director of Engineering Services recommends and the Architect determines for incomplete Work and unsettled claims; and 5.7.2 Add, if final completion of the Work is thereafter materially delayed through no fault of the Design/Builder, any additional amounts payable in accordance with Subparagraph 9.10.3 of the General Conditions. 5.8 Reduction or limitation of retainage, if any, shall be as follows: None 5.9 The County will withhold progress payments from the Design/Builder for failure to comply with the requirements of 7-1.1.1 Compliance with American Recovery and Reinvestment Act of 2009 (ARRA) which is attached to this contract as Attachment A, all additional documentation and certification requirements under ARRA and the FDOT Local Agency Program (LAP) requirements. 5.10 The County intends to pay for this contract in whole or in part with Federal funds, the parties acknowledge that payment under this contract is contingent upon receipt of federal funding. ARTICLE 6 Final Payment Final payment, constituting the entire unpaid balance of the Contract Sum, shall be made by the Owner to the Design/Builder when (1) the Contract has been fully performed by the Design/Builder except for the Design/Builder's responsibility to correct nonconforming Work as provided in Subparagraph 12.2.2 of the General Conditions and to satisfy other requirements, if any, which necessarily survive final payment: and (2) a final Certificate for Payment has been issued by the Owner and 3) the Design/Builder has met all provisions of the reporting requirements under the American Recovery and Reinvestment Act of 2009 and the FDOT LAP requirements; such final payment shall be made by the Owner not more than 20 days after the issuance of the final Certificate for Payment. ARTICLE 7 Miscellaneous Provisions 7.1 Where reference is made in this Agreement to a provision of the General Conditions or another Contract Document, the reference refers to that provision as amended or supplemented by other provisions of the Contract Documents. 7.2 Payments shall be made according to the Florida Local Government Prompt Payment Act Chapter 218 Florida Statutes. 7.3 Temporary facilities and services: None for this project. 7.4 Monroe County's performance and obligation to pay under this contract is contingent upon an annual appropriation by the Board of County Commissioners. 7.5 Public Entities Crimes By signing this Agreement, Design/Builder represents that the execution of this Agreement will not violate the Public Entities Crime Act (Section 287.133, Florida Statutes). Violation of 1• • ' •' • ' •• iEi •• • E' It •► !' C I Ei• 11 11 Geijzer Creek Bridge Repair Design Build Project this section shall result in termination of this Agreement and recovery of all monies paid hereto, and may result in debarment from County's competitive procurement activities. In addition to the foregoing, Design/Builder further represents that there has been no determination, based on an audit, that it or any subcontractors has committed an act defined by Section 287.133, Florida Statutes, as a "public entity crime" and that it has not been formally charged with committing an act defined as a "public entity crime" regardless of the amount of money involved or whether subcontractor has been placed on the convicted vendor list. Design/Builder will promptly notify the County if it or any contractor is formally charged with an act defined as a "public entity crime" or has been placed on the convicted vendor list. A person or affiliate who has been placed on the convicted vendor list following a conviction for public entity crime may not submit a bid on a contract to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to public entity, may not be awarded or perform work as Design/Builder, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list. 7.6 The following items are part of this contract: a) Maintenance of Records Design/Builder shall maintain all books, records, and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. Each party to this Agreement or their authorized representatives shall have reasonable and timely access to such records of each other party to this Agreement for public records purposes during the term of the Agreement and for five years following the termination of this Agreement. If an auditor employed by the County or Clerk determines that monies paid to Design/Builder pursuant to this Agreement were spent for purposes not authorized by this Agreement, the Design/Builder shall repay the monies together with interest calculated pursuant to Sec. 55.03; FS, running from the date the monies were paid to Design/Builder. b) Governing Law, Venue, Interpretation, Costs, and Fees: This Agreement shall be governed by and construed in accordance with the laws of the State of Florida applicable to contracts made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Agreement, the County and Design/Builder agree that venue will lie in the appropriate court or before the appropriate administrative body in Monroe County, Florida. c) Severabitity: If any term, covenant, condition or provision of this Agreement (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Agreement, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Agreement shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Agreement would prevent the accomplishment of the original intent of this Agreement. The County and Design/Builder agree to reform the Agreement to replace any stricken provision. d) Attorney's Fees and Costs: The County and Design/Builder agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees and court costs, as an award against the non -prevailing party, and shall include attorney's fees and courts costs in appellate proceedings. Mediation proceedings initiated and conducted pursuant to this Agreement shall be in accordance with the Florida Rules of Civil Procedure and usual and customary procedures required by the circuit court of Monroe County. e) Binding Effect: The terms, covenants, conditions, and provisions of this Agreement shall bind and inure to the benefit of the County and Design/Builder and their respective legal representatives, successors, and assigns. Geieer Creek Bridge Repair Design Build Project f) Authority: Each party represents and warrants to the other that the execution, delivery and performance of this Agreement have been duly authorized by all necessary County and corporate action, as required by law. g) Claims for Federal or State Aid: Design/Builder and County agree that each shall be, and is, empowered to apply for, seek, and obtain federal and state funds to further the purpose of this Agreement; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission. h) Adjunction of Disputes or Disagreements: The Owner and Design/Builder agree that all disputes and disagreement shall be attempted to be resolved by meet and confer sessions between representatives of each of the parties. If the issue or issues are still not resolved to the satisfaction of the parties, then any party shall have the right to seek such relief or remedy as may be provided by this Agreement or by Florida law. This Agreement is not subject to arbitration. i) Cooperation: In the event any administrative or legal proceeding is instituted against either party relating to the formation, execution, performance, or breach of this Agreement, County and Design/Builder agree to participate, to the extent required by the other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Agreement or provision of the services under this Agreement. County and Design/Builder specifically agree that no party to this Agreement shall be required to enter into any arbitration proceedings related to this Agreement. D Nondiscrimination: County and Design/Builder agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent jurisdiction that discrimination has occurred, this Agreement automatically terminates without any further action on the part of any party, effective the date of the court order. County or Design/Builder agree to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss.1681-1683, and 1685- 1686), which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975, as amended (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patent records; 8) Title VIII of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. 1201 Note), as maybe amended from time to time, relating to nondiscrimination on the basis of disability; 10) Monroe County Code Chapter 13, Article VI, which prohibits discrimination on the basis of race, color, sex, religion, national origin, ancestry, sexual orientation, gender identity or expression, familial status or age; 11) Any other nondiscrimination provisions in any Federal or state statutes which may apply to the parties to, or the subject matter of, this Agreement. k) Covenant of No Interest: County and Design/Builder covenant that neither presently has any interest, and shall not acquire any interest, which would conflict in any manner or degree with its performance under this Agreement, and that only interest of each is to perform and receive benefits as recited in this Agreement. 1) Code of Ethics: County agrees that officers and employees of the County recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112.313, Florida Statutes, regarding, but not limited to, solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. m) No Solicitation/Payment: The County and Design/Builder warrant that, in respect to itself, it has neither employed nor retained any company or person, other than a bona fide employee working solely for it, to solicit or secure this Agreement and that it has not paid or agreed to pay any person, company, corporation, individual, or firm, other than a bona fide employee working solely for it, any fee, commission, percentage, gift, or other consideration contingent upon or resulting from the award or making of this Agreement. For the breach or violation of the provision, the Design/Builder agrees that the County shall have the right to terminate this Agreement iiii,13i 11112I• • ' • •' • ' •• ICI C d�! • •' • •. I .• N 1: It 11 • Geiger Creek Bridge Repair Design Build Project without liability and, at its discretion, to offset from monies owed, or otherwise recover, the full amount of such fee, commission, percentage, gift, or consideration. n) Public Access: The County and Design/Builder shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the County and Design/Builder in conjunction with this Agreement; and the County shall have the right to unilaterally cancel this Agreement upon violation of this provision by Design/Builder. o) Non -Waiver of Immunity: Notwithstanding the provisions of Sec. 768.28, Florida Statutes, the participation of the County and the Design/Builder in this Agreement and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government liability insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any contract entered into by the County be required to contain any provision for waiver. p) Privileges and Immunities: All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the County, when performing their respective functions under this Agreement within the territorial limits of the County shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the County. q) Legal Obligations and Responsibilities: Non -Delegation of Constitutional or Statutory Duties. This Agreement is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the County, except to the extent permitted by the Florida constitution, state statute, and case law. r) Non -Reliance by Non -Parties: No person or entity shall be entitled to rely upon the terms, or any of them, of this Agreement to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the County and the Design/Builder agree that neither the County nor the Design/Builder or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity or entities, have entitlements or benefits under this Agreement separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Agreement. s) Attestations: Design/Builder agrees to execute such documents as the County may reasonably require, to include a Public Entity Crime Statement, an Ethics Statement, and a Drug -Free Workplace Statement. t) No Personal Liability: No covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Agreement or be subject to any personal liability or accountability by reason of the execution of this Agreement. u) Execution in Counterparts: This Agreement may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken together shall constitute one and the same instrument and any of the parties hereto may execute this Agreement by singing any such counterpart. v) Section Headings: Section headings have been inserted in this Agreement as a matter of convenience of reference only, and it is agreed that such section headings are not a part of this Agreement and will not be used in the interpretation of any provision of this Agreement. W) Special Conditions, if any are detailed in the Request for Proposal for this Project. x) Hold Harmless: The Design/Builder covenants and agrees to indemnify and hold harmless Monroe County Board of County Commissioners from any and all claims for bodily injury (including death), personal injury, and property damage (including property owned by Monroe County) and other losses, damages, and expenses (including attorney's fees) which arise out of, in connection with, or by reason of services provided by the 122&W STANDARDFORMOFAGRMAENTBENVffiVOWNERANDDBSUi UI DER (rev08) 00500-7 Geiger Creek Bridge Repair Design Build Proiect Design/Builder or any of its Subcontractors(s) in any tier, occasioned by the negligence, errors, or other wrongful act or omission of the Design/Builder or its Subcontractors(s) in any tier, their employees, or agents. In the event the completion of the project (including the work of others) is delayed or suspended as a result of the Design/Builder's failure to purchase or maintain the required insurance, the Design/Builder shall indemnify the County from any and all increased expenses resulting from such delay. The first ten dollars ($10.00) of remuneration paid to the Design/Builder is for the indemnification provided for above. The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. y) Cancellation: In the event that the Design/Builder shall be found to be negligent in any aspect of installation, stocking, maintenance, repair, or service, the County shall have the right to terminate this agreement after five days written notification to the Design/Builder. 7.7 Ownership of the Project Documents: The documents prepared by the Design/Builder for this Project belong to the County and may be reproduced and copied without acknowledgement or permission of the Design/Builder. 7.8 Successors and Assigns: The Design/Builder shall not assign or subcontract its obligations under this agreement, except in writing and with the prior written approval of the Board of County Commissioners for Monroe County, which approval shall be subject to such conditions and provisions as the Board may deem necessary. This paragraph shall be incorporated by reference into any assignment or subcontract and any assignee or subcontractor shall comply with all of the provisions of this Agreement. Subject to the provisions of the immediately preceding sentence, each party hereto binds itself, its successors, assigns and legal representatives to the other and to the successors, assigns and legal representatives of such other Ply 7.9 No third Party Beneficiaries: Nothing contained herein shall create any relationship, contractual or otherwise, with or any rights in favor of, any third party. 7.10 Disadvantaged Business Enterprise (DBE) Policy and Obligation: The Design/Builder agrees to comply with the provisions of FDOT's Disadvantaged Business Enterprise Program as outlined in the Certification contained in the RFP. The Design/Builder will complete and execute FDOT form 275-030-11B, DBE Affirmative Action Plan, which is included as Attachment B to this Agreement. 7.11 FHWA Form 1273: Form 1273 is attached hereto as Attachment C and made a part of this contract. The DesignBuilder will adhere to all provisions in FHWA Form 1273. Section V. Statements and Payrolls on Page 5 of FHWA Form 1273 is amended as follows: The statement, "except for projects located on roadways classified as local roads or rural collectors, which are exempt", is deleted. 2. Payrolls and Payroll Records Part d (1) is revised to read: that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this Section V, with the exception of the employees' social security number and address, which should not be included on payrolls submitted, and that such information is correct and complete; Payroll statements shall include an individually identifying number for each employee. 7.12 Buy America: The Design/Builder agrees that it will comply with the requirements of 49 U.S.0 Section 5323 0) (1). Section 165 (a) of the Surface Transportation Assistance Act of 1982, as amended, but it may qualify for an exception to the requirements pursuant to Section 165 (b) (2) or (b) (4) of the Surface Transportation Assistance Act of 1982 and regulation in 49 CFR 661.7. 7.13 Foreign Contractor and Supplier Restriction: The Design/Builder shall not knowingly enter into any subcontract under this contract: Geier Creek Bridge Repair Design Build Project (1) With a subcontractor of a foreign country included on the list of countries that discriminate against U.S. firms published by the United States Trade Representative (USTR) or (2) For the supply of any product for use on the Federal Public Works project under this contract that is produced or manufactured in a foreign country included on the list of countries that discriminate against U.S. firms published by USTR (Includes `Buy American" provisions). 7.14 Public Agency Subcontracting to Private Sector Entity Contract Provision: in accordance with the provisions of 23 CFR 635.112(e), No public agency shall be permitted to bid in competition or to enter into subcontracts with private Contractors. A breach of any of the stipulations 23 CFR 635.112(e) shall be sufficient grounds for termination of the Contract. 7.15 Design/Builder Purchased Equipment for Local Ownership: in accordance with the provisions of 23 CFR 140 and 49 CFR Section 18.3 the Design/Builder will not purchase equipment for County ownership. 7.16 Equipment Rental Rates: in accordance with 23 CFR 635.120 and 48 CFR 31 the County will pay standard equipment rental rates for the local area where the Work is being conducted for rented equipment, as needed during the project. 7.17 Local Hiring Preference: the County will not include a Local Hiring Preference for this contract. 7.18 Publicly Owned Equipment: in accordance with the provisions of 23 CFR 635.106 publicly owned equipment will not be allowed to compete with privately owned equipment under this agreement. 7.19 State Preference: No requirement will be imposed: (a) To require the use of or provide a price differential in favor of articles or materials produced within the State, or otherwise to prohibit, restrict or discriminate against the use of articles or materials shipped from or prepared, made or produced in any State, territory or possession of the United States; or (b) To prohibit, restrict or otherwise discriminate against the use of articles or materials of foreign origin to any greater extent than is permissible under policies of the Department of Transportation as evidenced by requirements and procedures prescribed by the FHWA Administrator to carry out such policies. 7.20 American Recovery and Reinvestment Act of 2009: Special provision SP00701 I IES is attached hereto as Attachment A and made a part of this contract. The Design/Builder will adhere to all provisions of the Special Provision. 7.21 Salvage Credits: The Design/Builder will not receive credits for salvageable materials. 7.22 Equal Employment Opportunity (EEO) Requirements: the Contractor will adhere to the DOT EEO requirements in accordance with Executive Order 11246 and as outlined in the Equal Employment Opportunity Certification in Section Five of the RFP. Prior to the start of construction the Contractor will complete FDOT Form 275-021-13 Notification to FDOT of EEO Officer and Form 275-021-05, Record of Supervisory and Office Personnel EEO Meeting or Individual Orientation, which are included as Attachment D to this Agreement. 7.23 Davis -Bacon Act: In accordance with the Davis -Bacon Act, the Contractor and their subcontractors shall pay workers employed directly upon the site of the work no less than the locally prevailing wages and fringe benefits paid on projects of a similar character. The current prevailing wage rates can be found at: www.access.gpo.gov/davisbacon/fl.html under Monroe County. Wage Rate Decision FL-299 applies to this project. ARTICLE 8 Termination or Suspension 8.1 The Contract may be terminated by the Owner as provided in Article 14 of the General Conditions. 1• 1 • ' 1 •' • ' IID 111 C •• • •' 1 19► C 1111' 1: 11 11 • Geiger Creek Bridge Repair Design Build Project 8.2 The Work may be suspended by the Owner as provided in Article 14 of the General Conditions. Article 9 Enumeration of Contract Documents 9.1 The Contract Documents, except for Modifications issued after execution of this Agreement, are enumerated as follows: 9.1.1 The Agreement is this executed Standard Form of Agreement between Owner and Design/Builder. 9.1.2 The General Conditions are the General Conditions of the Contract for Design and Construction. 9.1.3 The Supplementary and other Conditions of the Contract are those contained in the Request for Proposal including but not limited to: a) Bidder's Technical Proposal b) Bid Price Proposal c) Schedule of Values d) Monroe County Certification Forms (Section Five of Request for Proposal). 9.1.4 The Addenda, if any, are as follows: All bid documents, Request for Proposal and portions of Addenda relating to bidding requirements are part of the Contract Documents. 9.1.5 Other documents, if any, forming part of the contract Documents are as follows: This Agreement is entered into as of the day and year first written above and is executed in at least four original copies of which one is to be delivered to the Design/Builder, one each to the Director of Engineering Services and Architect for use in the administration of the Contract, and the remainder to the Owner (SEAL) Attest: DANNY L. KOLHAGE, Clerk By: Deputy Clerk Date (SEAL) Attest: By: Title: Title: BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Lo Mayor DESIGNBUILDER iIn END OF SECTION 00500 ATTACHMENT A LAWS TO BE OBSERVED. (REV 3-31-09) (3-09) ARTICLE 7-1 (Pages, 60 and 61) is expanded by the €ollowing- 7-1.1.1 Compliance with American Recovery and Reinvestment Act of 2009: This project is subject to the criteria and conditions of the American Recovery and Reinvestment Act (ARRA) of 2009. Satisfy the federal reporting requirements for the project(s), such as the monthly employment report, for both the contractor and subcontractors. Provide the required information on form(s) provided by the Department in the timeframe indicated in the instructions. Include these reporting requirements in all subcontracts. 7-1.1.1.1 Authority of the Comptroller General: Section 902 of the ARRA of 2009 provides the U.S. Comptroller General and his representatives the authority: (1) to examine any records of the Contractor or any of its subcontractors, or any State or Local agency administering such contract, that directly pertain to, and involve transactions relating to, the contract or subcontract; and (2) to interview any officer or employee of the Contractor or any of its subcontractors, or of any State or Local government agency administering the Contract, regarding such transactions. Accordingly, the Comptroller General and his representatives shall have the authority and rights as provided under Section 902 of the ARRA with respect to this Contract, which is funded with funds made available under the ARRA. Section 902 further states that nothing in this Section shall be interpreted to limit or restrict in any way any existing authority of the Comptroller General. 7-1.1.1.2 Authority of the Inspector General: Section 1515(a) of the ARRA provides authority for any representatives of the Inspector General to examine any records or interview any employee or officers working on this Contract. The Contractor is advised that representatives of the Inspector General have the authority to examine any record and interview any employee or officer of the Contractor, its subcontractors or other firms working on this Contract. Section 1515(b) further provides that nothing in this Section shall be interpreted to limit or restrict in any way any existing authority of an Inspector General. ATTACHMENT B DBE AFFIRMATIVE ACTION PLAN POLICY STATEMENT 275-03a1i s EQUAL OPPORTUNITY OFFICE 02/08 Page t of 3 It is the policy of that disadvantaged businesses, as defined by 49 CFR Part 26, Subpart D and implemented under Rule Chapter 14-78, F.A.C., shall have the opportunity to participate as subcontractors and suppliers on all contracts awarded by the Florida Department of Transportation. The requirements of Rule Chapter 14-78, F.A.C., shall apply to all contracts entered into between the Florida Department of Transportation and Subcontractors and/or suppliers to will also be bound by the requirements of Rule Chapter 14-78 F.A.C. , and it's subcontractors shall take all necessary and reasonable steps in accordance with Chapter 14-78, F.A.C., to ensure that disadvantaged businesses have the opportunity to compete and perform work contracted with the Florida Department of Transportation. , and its subcontractors shall not discriminate on the basis of race, color, religion, national origin, disability, sex, or age in the administration of contracts with the Department of Transportation. , has designated and appointed a Liaison Officer to develop, maintain, and monitor the DBE Affirmative Action Plan implementation. The Liaison Officer will be responsible for disseminating this policy statement throughout and to disadvantaged controlled businesses. The statement is posted on notice boards of the Company. X X , President 275-030-118 EQUAL OPPORTUNITY OFFICE 02/08 Page 2 of 3 I. DESIGNATION OF LIAISON OFFICER will aggressively recruit disadvantaged businesses as subcontractors and suppliers for all contracts with the Florida Department of Transportation. The Company has appointed a Liaison Officer to develop and maintain this Affirmative Action Plan in accordance with the requirements of Rule Chapter 14-78, F.A.C. The Liaison Officer will have primary responsibility for developing, maintaining, and monitoring the Company's utilization of disadvantaged subcontractors in addition to the following specific duties: (1) The Liaison Officer shall aggressively solicit bids from disadvantaged business subcontractors for all Florida Department of Transportation contracts; (2) The Liaison Officer will submit all records, reports, and documents required by the Florida Department of Transportation, and shall maintain such records for a period of not less than three years, or as directed by any specific contractual requirements of the Florida Department of Transportation. The following individual has been designated Liaison Officer with responsibility for implementing the Company's affirmative action program in accordance with the requirements of the Florida Department Transportation. (Liaison Officer's Name) (Your Company's Name) (Your Company's Address) (Phone Number for Liaison Officer) (Enter FEIN or Tax Id Number) II. AFFIRMATIVE ACTION METHODS In order to formulate a realistic Affirmative Action Plan, has identified the following known barriers to participation by disadvantaged subcontractors, before describing its proposed affirmative action methods: 1. Lack of qualified disadvantaged subcontractors in our specific geographical areas of work; 2. Lack of certified disadvantaged subcontractors who seek to perform Florida Department of Transportation work; 3. Lack of interest in performing on Florida Department of Transportation contracts; 4. Lack of response when requested to bid; 5. Limited knowledge of Florida Department of Transportation plans and specifications to prepare a responsible bid. In view of the barriers to disadvantaged businesses stated above, it shall be the policy of to provide opportunity by utilizing the following affirmative action methods to ensure participation on the contracts with the Florida Department of Transportation. will: 1. Provide written notice to all certified DBE subcontractors in the geographical area where the work is to be subcontracted by the Company; 2. Advertise in minority focused media concerning subcontract opportunities with the Company; 3. Select portions of work to be performed by DBEs in order to increase the likelihood of meeting contract goals (including, where appropriate, breaking down contracts into economically feasible units to facilitate DBE participation); 275-030-116 EQUAL OPPORTUNITY OFFICE 02108 Page 3 of 3 4. Provide adequate information about the plans, specifications, and requirements of the contract, not rejecting subcontractors without sound reasons based on a thorough investigation of their capabilities; 5. Waive requirements of performance bonds where it is practical to do so; 6. Attend pre -bid meetings held by the Florida Department of Transportation to apprise disadvantaged subcontractors of opportunities with the Company; 7. Follow up on initial solicitations of interest to DBE subcontractors to determine with certainty whether the DBE company is interested in the subcontract opportunity. understands that this list of affirmative action methods is not exhaustive and will include additional approaches after having established familiarity with the disadvantaged subcontracting community and/or determined the stated approaches to be ineffective. III. IMPLEMENTATION On contracts with specific DBE goals, will make every effort to meet contract goals as stated by utilizing its affirmative action methods. On projects with no specific goals, the Company will, as an expression of good faith, seek to utilize DBE subcontractors where work is to be subcontracted. IV. REPORTING shall keep and maintain such records as are necessary to determine the Company's compliance with its DBE Affirmative Action Plan. The Company will design its record keeping system to indicate: 1. The number of DBE subcontractors and suppliers used by the Company, identifying the items of work, materials and services provided; 2. The efforts and progress being made in obtaining DBE subcontractors through local and community sources; 3. Documentation of all contracts, to include correspondence, telephone calls, newspaper advertisements, etc., to obtain DBE participation on all Florida Department of Transportation projects; 4. The Company shall comply with Florida Department of Transportation's requirements regarding payments to subcontractors including DBEs for each month (estimate period) in which the companies have worked. V. DBE DIRECTORY by the Florida Department of Transportation. will utilize the DBE Directory published The Company will distribute Form Number 275-030-01, Schedule A Certification Form Number 1, to potential DBE contractors and assist in their completion. ATTACHMENT C REQUIRED CONTRACT PROVISIONS FEDERAL -AID CONSTRUCTION CONTRACTS Page 1. General II. Nondiscrimination ............................. 1 III. Nonsegregated Facilities ........................ 3 IV. Payment of Predetermined Minimum Wage ......... 3 V. Statements and Payrolls .................... 5 VI. Record of Materials, Supplies, and Labor ........... 5 VII. Vill, Subletting or Assigning the Contract ............... Safety: Accident 5 IX. Prevention ..................... False Statements Conceming Highway Projects ...... 6 6 X. Implementation of Clean Air Act and Federal Water Pollution Control Act .. g XI. Certification Regarding Debarment, Suspension, XII. Ineligibility, and Voluntary Exclusion ............... Certification Regarding 6 Use of Contract Funds for Lobbying.................................... 8 ATTACHMENTS A. Employment Preference for Appalachian Contracts (included in Appalachian contracts only) 1. GENERAL 1. These contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractors Immediate superinten- dence and to all work performed on the contract by piecework, station work, or by subcontract. 2. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Contract Provisions shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Contract Provisions. 3. A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for termination of the contract. 4. A breach of the following clauses of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5.12: Section I, paragraph 2; Section IV, paragraphs 1, 2, 3, 4, and 7; Section V, paragraphs 1 and 2a through 2g. S. Disputes arising out of the labor standards provisions of Section IV (except paragraph 5) and Section V of these Required Contract Provisions shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractors employees or their representatives. 6. Selection of Labor: During the performance of this contract, the contractor shall not: a. discriminate against labor from any other State, possession, or territory of the United States (except for employment preference for A alachian contracts, when applicable, as specified in Attachment A),or b. employ convict labor for any purpose within the limits of the project unless it is labor performed by convicts who are on parole, supervised release, or probation. 11. NONDISCRIMINATION (Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more.) 1. Equal Employment Opportunity: Equal employment opportu- nity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35,29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract. The Equal Opportu- nity Construction Contract Specifications set forth under 41 CFR 60- 4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.C. 12101 at seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporates y reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO: a. The contractor will work with the State highway agency (SHA) and the Federal Government in carrying out EEO obligations and in their review of his/her activities under the contract. b. The contractor will accept as his operating policy the following statement: "it is the policy of this Company to assure that applicants are employed and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer, recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprentice- ship, preapprenticeship, and/or on-the-job training." 2. EEO Officer. The contractor will designate and make known to the SHA contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an acute contractor program of EEO and who must be assigned adequate authority and responsibility to do so. 3. Dissemination of Policy: All members of the contractors staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved In such action, will be made fully cognizant of, and will Implement, the contractor's EEO policy and contractual responsibili- ties to provide EEO In each grade and classification of empkyment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractors EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer. b. All new supervisory or personnel office employees will be given a thorough Indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor. c. All personnel who are engaged in direct recruitment for the project wiit be instructed by the EEO Officer in the contractor's procedures for locating and hiring minority group employees, d. Notices and posters setting forth the contractors EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees. e. The contractors EEO policy and the Procedures to imple- ment such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means. 4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such advertisements will be placed Form FHWA-1273 (Rev. 3-94) Page t in publications having a large circulation among minority groups in the area from which the project work force would normally be derived. a. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractor foremployment consider- ation. b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, he is expected to observe the provisions of that agreement to the extent that the system permits the contractor's compliance with EEO contract provisions. (The DOL has held that where implementation of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) c. The contractor will encourage his present employees to refer minority group applicants for employment. Information and proce- dures with regard to referring minority group applicants will be discussed with employees. 5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed: a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not Indicate discriminatory treatment of project site personnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discrimi- natory wage practices. c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimina- tion. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include aft affected persons. d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such com- plaints, and will take appropriate corrective action within a reasonable time. if the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall Include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal. 6. Training and Promotion: a. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment. b. Consistent with the contractor's work force requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. Where feasible, 25 percent of apprentices or trainees in each occupation shaft be in their first year of apprenticeship or training. In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. c. The contractor will advise employees and applicants for employment of available training programs and entrance require- ments for each. d. The contractor wit periodically review the training and promotion potential of minority group and women employees and will encourage eligible employees to apply for such training and promo- tion. 7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use his/her best efforts to obtain the cooperation of such dons to increase opportunities for minority groups and women within the unions, and to effect referrals by such unions of minority and female employees. Actions by the contractor either directly or through a contractor's association acting as agent will include the procedures set forth below: a. The contractor will use best efforts to develop, in coopera- tion with the unions, joint training programs aimed toward qualifying more minority group members and women for membership in the unions and increasing the skills of minority group employees and women so that they may quality for higher paying employment. b. The contractor will use best efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability. c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to fumish such information to the contractor, the contractor shall so certify to the SHA and shall set forth what efforts have been made to obtain such information. d. In the event the union is unable to provide the contractor with a reasonable flow of minority and women referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age l�wdisability; making full efforts to obtain qualified and/or q minority group persons and women. (The DOL has held that A shall be no excuse that the union with which the contractor has a collective bargaining agreement providing for exclusive referral failed to refer minority employees.) In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the SHA. 8. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procure- ment of materials and leases of equipment. a. The contractor shall notify all potential subcontractors and suppliers of his/her EEO obligations under this contract. b. Disadvantaged business enterprises (DBE), as defined in 49 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construction firms from SHA personnel. c. The contractor will use his best efforts to ensure subcontrac- tor compliance with their EEO obligations. 9. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by authorized representatives of the SHA and the FHWA. a. The records kept by the contractor shall document the following: (1) The number of minority and non -minority group members and women employed in each work classification on the project; (2) The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; (3) The progress and efforts being made in locating, hiring, and training, qualifying, and upgrading minority and female employees; (4) The progress and efforts being made in securing the services of OBE subcontractors or subcontractors with meaningful minority and female representation among their employees. b. The contractors will submit an annual report to the SHA Page 2 Form FHWA-1273 (Rev. 3-94) each July for the duration of the project, indicating the number of minority, women, and non -minority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA-1391. If on -the job training is being required by special provision, the contractor will be required to collect and report training data. Ill. NONSEGREGATED FACILITIES (Applicable to all Federal -aid construction contracts and to aft related subcontracts of $10,000 or more.) a. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material suppply agreement or purchase order, as appropriate, the bidder, Federai-aid construc- tion contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The firm agrees that a breach of this certification is a violation of the EEO provisions of this contrail. The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. b. As used in this certification, the term "segregated facilities' means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, timedocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive, or are, in fact, segregated on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking). c. The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications In its files. IV. PAYMENT OF PREDETERMINED MINIMUM WAGE Appilcable to all Federal -aid construction contracts exceeding $2, 0 and to all related subcontracts, except for projects located on roadways classified as local roads or rural minor collectors, which are exempt.) 1. General: a. All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction or rebate on any account [except such payroll deductions as are permitted by regulations (29 CFR 3) issued by the Secretary of Labor under the Copeland Act (40 U.S.C. 276c)j the full amounts of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment The payment shall be computed at wage rates not less than those contained In the wage determination of the Secretary of Labor (hereinafter "the wage determination") which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor or its subcon- tractors and such laborers and mechanics. The wage determination (including any additional classifications and wage rates conformed under paragraph 2 of this Section IV and the DOL poster (WH-1321) or Form FFtiiWAAA495) shaft be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1(bx2) of the Davis -Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of Section IV, paragraph 3b, hereof. Also, for the purpose of this Section, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in paragraphs 4 and 5 of this Section IV. b. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein, Provided, that the employers payroll records accurately set forth the time spent in each classification in which work is performed. c. All rulings and interpretations of the Davis -Bacon Act and related acts contained in 29 CFR 1, 3, and 5 are herein incorporated by reference in this contract. 2. Classification: a. The SHA contracting officer shall require that any class of laborers or mechanics employed under the contract, which is not listed In the wage determination, shall be classified in conformance with the wage determination. b. The contracting officer shall approve an additional classifica- tion, wage rate and fringe benefits only when the following criteria have been met: (1) the work to be performed by the additional classifica- tion requested Is not performed by a classification in the wage determination; (2) the additional classification is utilized in the area by the construction industry; (3) the proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and (4) with respect to helpers, when such a classification prevails in the area in which the work is performed. c. If the contractor or subcontractors, as appropriate, the laborers and mechanics (if known) to be employed in the additional classification or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the DOL, Administratorof the Wage and Hour Division, Employment Standards Administration, Washington, D.C. 20210. The Wage and Hour Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of recut and so advise the contracting officer or will notify the contract- ing officer within the 30-day period that additional time is necessary. d. In the event the contractor or subcontractors, as appropri- ate, the laborers or mechanics to be employed in the additional classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (Including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorized representative, will issue a determina- tion within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary e. The wage rate (including fringe benefits where appropriate) determined pursuant to pparagraph 2c or 2d of this Section IV shall be paid to all workers perfuming work in the additional classification from the first day on which work is performed in the classification . 3. Payment of Fringe Benefits: a. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor or subcontractors, as appropriate, shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof. b. If the contractor or subcontractor, as appropriate, does not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secretary of labor has found, upon the written request of the contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. Form FHWA-1273 (Rev. 3-94) Page 3 4. Apprentices and Trainees (Programs of the U.S. DOL) and Helpers: a. Apprentices: (1) Apprentices will be permitted to work at less than the predetermined rate for the work the performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau, or if a person is employed in his/her first 90 days of probationary employ- ment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State apprenticeship agency (where appropriate) to be eligible for probationary employ- ment as an apprentice. (2) The allowable ratio of apprentices tojoumeyman-level employees on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who Is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determination for the ciassification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the joumeyman-level hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. (3) Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeyman -level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. if the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. (4) In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, with- draws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work performed by regular employees until an acceptable program is approved. b. Trainees: (1) Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the DOL, Employment and Training Administration. (2) The ratio of trainees tojoumayman-level employees on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. (3) Every trainee must be paid at not less than the rate specified in the approved program for his/her level of progress, expressed as a percentage of the joumeyman-level hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associ- ated with the corresponding Journeyman -level wage rate on the wage determination which provides for less than full fringe benefits for apprentices, in which case such trainees shall receive the same fringe benefits as apprentices. (4) In the event the Employment and Training Administra- tion withdraws approval of a training program, the contractor or subcontractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. c. Helpers: Helpers will be permitted to work on a project if the helper classification Is specified and defined on the applicable wage determination or is approved pursuant to the conformance procedure set forth in Section V.2. Any worker listed on a payroll at a helper wage rate, who Is not a helper under a approved definition, shall be paid not less than the applicable wage rate on the wage determina- tion for the classification of work actually performed. 5. Apprentices and Trainees (Programs of the U.S. DOT): Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal -aid highway construction pngrams are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such rams will be established by the particular programs. The ratio of programs prentices and trainees to journeymen shall not be greater than permitted by the terms of the particular program. 6. Withholding: The SHA shall upon its own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other Federalty-assisted contract subject to Davis -Bacon prevailing wage requirements which is held by the same prime contractor, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontrac- tor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the SHA contracting officer may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. 7. Overtime Requirements: No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers, mechanics, watchmen, or guards (Including apprentices, trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, watchman, or guard in any workweek In which he/she is employed on such work, to work in excess of 40 hours in such workweek unless such laborer, mechanic, watchman, or guard receives compensation at a rate not less than one -and -one-half times his/her basic rate of pay for all hours worked in excess of 40 hours in such workweek. 8. Violation: Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the clause set forth in paragraph 7 above, the contractor and any subcontractor responsible thereof shall be liable to the affected employee for his/her 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 liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer, mechanic, watchman, or guard employed in violation of the clause set forth in paragraph 7, in the sum of 10 for each calendar day on which such employee was required or permit- ted to work in excess of the standard work week of 40 hours without payment of the overtime wages required by the clause set forth in paragraph 7. 9. Withholding for Unpaid Wages and Liquidated Damages: Page 4 Form FHWA-1273 (Rev. 3-94) The SHA shall upon its own action or upon written request of any authorized representative of the DOL withhold, or cause to be withheld, from any monies 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 sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 8 above. V. STATEMENTS AND PAYROLLS Applicable to all Federal -aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural collectors, which are exempt.) 1. Compliance with Copeland Regulations (29 CFR 3): The contractor shall comply with the Copeland Regulations of the Secretary of Labor which are herein incorporated by reference. 2. Payrolls and Payroll Records: a. Payrolls and basic records relating thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics, apprentices, trainees, watchmen, helpers, and guards working at the site of the work. b. The payroll records shall contain the name, social security number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contribu- tions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1(bX2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. In addition, for Appala- chian contracts, the payroll records shall contain a notation indicating whether the employee does, or does not, normally reside in the labor area as defined in Attachment A, paragraph 1. Whenever the Secretary of Labor, pursuant to Section IV, paragraph 3b, has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1(bX2XB) of the Davis Bacon Act, the contractor and each subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprentices and trainees, and ratios and wage rates prescribed in the applicable programs. c. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the SHA resident engineer a payroll of wages paid each of its employees (including apprentices, trainees, and helpers, described in Section IV, para- graphs 4 and 5, and watchmen and guards engaged on work during the preceding weekly payroll period). The payroll submitted shall set out accurately and completely all of the information required to be maintained under paragraph 2b of this Section V. This information may be submitted In any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superin- tendent of Documents (Federal stock number 029-005-0014-1), U.S. Government Printing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. d. Each payroll submitted shall be accompanied by a "State- ment of Compliance," signed by the contractor or subcontractor or his/her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this Section V and that such information is correct and complete; (2) that such laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR 3; (3) that each laborer or mechanic has been paid not less that the applicable wage rate and fringe benefits or cash equivalent for the classification of worked performed, as specified in the applicable wage determination incorporated into the contract. e. The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisl� the requirement for submission of the "Statement of Compliance required by paragraph 2d of this Section V. f. The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 231. g. The contractor or subcontractor shall make the records required under paragraph 2b of this Section V available for inspec tion, copyinngg,� or transcription by authorized representatives of the SHA, the FH VA, or the DOL, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the SHA, the FHWA, the DOL, or all may, after written notice to the contractor, sponsor, applicant, or owner, take such actions as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR 1. On all Federal -aid contracts on the National Highway System, except those which provide solely for the installation of protective devices at railroad grade crossings, those which are constructed on a force account or direct labor basis, highway beautification contracts, and contracts for which the total final construction cost for roadway and bridge is less than $1,000,000 (23 CFR 635) the contractor shall: a. Become familiar with the list of specific materials and supplies contained in Form FHWA-47, "Statement of Materials and Labor Used by Contractor of Highway Construction Involving Federal Funds," prior to the commencement of work under this contract. b. Maintain a record of the total cost of all materials and supplies purchased for and Incorporated in the work, and also of the quandbes of those specific materials and supplies listed on Form FHWA-47, and in the units shown on Form FHWA-47. c. Furnish, upon the completion of the contract, to the SHA resident engineer on Form FHWA-47 together with the data required In paragraph 1b relative to materials and supplies, a final labor summary of all contract work indicating the total hours worked and the total amount earned. 2. At the prime contractor's option, either a single report covering all contract work or separate reports for the contractor and for each subcontract shall be submitted. VII. SUBLETTING OR ASSIGNING THE CONTRACT 1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the State. Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to De performed by the contractors own organization (23 CFR 635). a. "Its own organization" shall be construed to include only workers employed and paid directly by the prime contractor and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of Form FHWA-1273 (Rev. 3-94) Page a subcontractor, assignee, or agent of the prime contractor b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid on the contract as a whole and in general are to be limited to minor components of the overall contract. 2. The contract amount upon which the requirements set forth in paragraph 1 of Section VII is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions. 3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract require- ments, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the SHA contracting officer determines is necessary to assure the performance of the contract. 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the SHA contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the SHA has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract. VNI. SAFETY: ACCIDENT PREVENTION 1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the SHA contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, In performance of the contract, to work in surround- ings or under conditions which are unsanitary, hazardous or danger- ous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). 3. Pursuant to 29 CFR 1926,3, it Is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS In order to assure high quality and durable construction in confor- mity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal -aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, the following notice shall be posted on each Federal -aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project: NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL -AID HIGHWAY PROJECTS 18 U.S.C. 1020 reads as follows: "Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false state- ment, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or Whoever knowingly makes any false statement, fake representa- tion, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, In connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoeverknowingly makes any false statement or false representa- tion as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal -aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supple- mented,- Shalt be fined not more that $10, 000 or Imprisoned not more than 5 years or both.' X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT (Applicable to all Federal -aid construction contracts and to all related subcontracts of $100,000 or more.) By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, Federal -aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows: 1. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 at sue. as amended by Pub.L. 91-604), and under the Federal Water Fo seq., Control Act, as amended (33 U.S.C. 1251 at sew , as amended by Pub.L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. 2. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. 3. That the firth shall promptly notify the SHA of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that Is or will be utilized for the contract is under consideration to be fisted on the EPA List of Violating Facilities. 4. That the firm agrees to include or cause to be included the requirements of paragraph 1 through 4 of this Section X in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements. XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION 1. Instructions for Certi icadon - Primary Covered Transac- tions: (Applicable to all Federal -aid contracts - 49 CFR 29) a. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. c. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later deter- mined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this Page 6 Form FHWA-1273 (Rev. 3-94) transaction for cause of default. d. The prospective primary participant shall provide immediate written notice to the department or agency to whom this proposal is submitted if any time the prospective primary participant teams that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. e. The terns "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant,' person," "primary covered transaction," "principal," "proposal, and'voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of riles implementing Executive Order 12549. You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy of those regulations. f. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transac- tion with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. g. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled "Certlfica- tan Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction,' provided by the department or agency entering into this covered transaction, without modification, In all lower tier covered transactions and in all solicita- tions for lower tier covered transactions. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of Its principals. Each participant may, but is not required to, check the nonprocurement portion of the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs' (Nonprocurement List) which is compiled by the General Services Administration. I. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 1. Except for transactions authorized under paragraph f of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Primary Covered Transactions 1. The prospective primary 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 3-year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtain- ing, attemptin9 to obtain, or performing a public (Federal, State or loc ) 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 governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph 1b of this certification; and d. Have not within a 3-year period preceding this applica- tion/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 2. Instructions for Certification - Lower Tier Covered Transac- tions: (Applicable to all subcontracts, purchase orders and other lower tier transactions of $25,000 or more - 49 CFR 29) a. By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. b. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower her participant knowingly rendered an erroneous certification; in addition to other remedies available to the Federal Government, the depart- ment, or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. c. The prospective lower tier participant shalt provide immedi- ate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant teams that its certification was erroneous by reason of changed circumstances. d. The terms "covered transaction,* 'debarred," "suspended," "ineligible," "primary covered transaction," "participant,' person," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out In the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. e. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower fier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certifica- tion Regarding Debarment, Suspension, Ineli�ibility and Voluntary Exclusion -Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. g. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and Form FHWA-1273 (Rev. 3-94) Page 7 frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. I. Except for transactions authorized under paragraph a of these Instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, ineligibility and Voluntary Excluslon—Lower Tier Covered Transactions: 1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals Is presently debarred, suspended, proposed for debarment, declared inel"gibW or volun- tarily excluded from participation in this transaction by any Federal department or agency. 2. Where the prospective lower tier participant Is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING (Applicable to all Federal -aid construction contracts and to all related subcontracts which exceed $100,000 - 49 CFR 20) 1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: a. No Federal appropriated funds have been paid or will be paid, byor on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal 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. b. 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 Federal 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. 2. 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 31 U.S.C. 1352. 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. 3. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly. Pape 8 Form FHWA-1273 (Rev. 3-94) ATTACHMENT A - EMPLOYMENT PREFERENCE FOR APPALACHIAN CONTRACTS (Applicable to Appalachian contracts only.) 1. During the performance of this contract, the contractor under- taking to do work which is, or reasonably may be, done as on -site work, shall give preference to qualified persons who regularly reside in the labor area as designated by the DOL wherein the contract work is situated, or the subregion, or the Appalachian counties of the State wherein the contract work is situated, except: a. To the extent that qualified persons regularly residing in the area are not available. b. For the reasonable needs of the contractor to employ supervisory or specialty experienced personnel necessary to assure an efficient execution of the contract work. C. For the obligation of the contractor to offer employment to present or former employees as the result of a lawful collective bargaining contract, provided that the number of nonresident persons employed under this subparagraph 1 c shall not exceed 20 percent of the total number of employees employed by the contractor on the contract work, except as provided in subparagraph 4 below. 2. The contractor shall place a job order with the State Employ- ment Service indicating (a) the classifications of the laborers, mechanics and other employees required to perform the contract work, (b) the number of employees required In each classification, (c) the date on which he estimates such employees will be required, and (d) any other pertinent information required by the State Employ- ment service to complete the job order form. The job order may be pplaced with the State Employment Service in writing or by telephone. If during the course of the contract work, the information submitted by the contractor in the original job order is substantially modified, he shall promptly notify the State Employment Service. 3. The contractor shall give full consideration to all qualified job applicants referred to him by the Stale Employment Service. The contractor is not required to grant employment to any job applicants who, in his opinion, are not qualified to perform the classification of work required. 4. If, within 1 week following the placing of a job order by the contractor with the State Employment Service, the State Employment Service is unable to refer any qualified job applicants to the contrac- tor, or less than the number requested, the State Employment Service will forward a certificate to the contractor indicating the unavailability of applicants. Such certificate shall be made a part of the contractors permanent project records. Upon receipt of this certificate, the contractor may employ persons who do not normally reside in the labor area to fill positions covered by the certificate, notwithstanding the provisions of subparagraph 1c above. S. The contractor shalt include the provisions of Sectlons 1 through 4 of this Attachment A in every subcontract for work which is, or reasonably may be, done as on -site work. Form FHWA-1273 (Rev. 3-94) Page ATTACHMENT D STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 275-021_13 NOTIFICATION TO FDOT OF EEO OFFICER EQUAL OPPORTUNITY 01/07 Mail signed original to: FDOT Equal Opportunity Office , 605 Suwannee Street -MS 65, Tallahassee, FI 32399-0450 Section 1: COMPANY IDENTIFICATION 1. Contractor Name: 2.. FEID No.: 3. Home Office Mailing Address: (street) 4. Home Office Mailing Address: (city, State, Zip)) 5. Main Phone Number: 6. Fax Number: 7. What is being I Initial EEO Officer Notice to FDOT New Person Appointed I Appointee Changed Name I Contact Data Changed Changed? I El Yes 7NO I LJ Yes El No I L1 Yes El No I El Yes No Section 2: EEO OFFICER IDENTIFICATION 8. Name of EEO Officer: ( first name, middle initial, last name) 9. EEO Officer's Working Title: 10. Work Address of EEO Officer. (Street) 11. Work Address of EEO Officer: (city, state, zip) 12. EEO Officer Phone Number: 13. EEO Officer Fax Number. 14. EEO Officer email address: Section 3: SIGNATURE OF CORPORATE OFFICIAL As required in the Equal Employment Opportunity Special Provisions included in Federally Funded Highway Construction Contracts and as required in the Equal Employment Opportunity Requirements included in all State funded highway construction contracts, this official notice of EEO Officer appointment (and/or update) is made to the Florida Department of Transportation and the U.S. Federal Highway Administration (FHWA). I understand that additional Information regarding the EEO Officer, the EEO Policy and other aspects of the construction contract compliance program may be found in the EEO Construction Contract Compliance Workbook. 15. Appointing Official's Signature: 16. Date: (Mo/Dayft) 17. Official's Name: (printed) 18. Official's Title: (printed) (This Section For FDOT Use) Section 4: Processing of Notification 19. Processed by: (First and Last Name) 20. Date Processed: (mo/day/yr) DISTRIBUTION: Original to FDOT Central EO Office Files; Copy: Mailed to Contractor UPDATE ACTION: Input In FORS stem 275-021-13 EQUAL OPPORTUNITY 01 /07 State of Florida Department of Transportation EEO Officer Notification This form is used by contractors to communicate the appointment of an EEO Officer and to provide EEO Officer Contact data. The form is also used to update that information in the event of new appointees, name changes or contact data changes. Refer to the EEO Construction Contract Compliance Workbook and the FDOT contract for compliance program requirements and instructions. The contractor mails original of the completed form to FDOT Equal Opportunity Office 605 Suwannee Street -MS 65 Tallahassee, FI 32399-0450 A copy of the form is returned to the contractor upon completion of processing by FDOT General: Complete all boxes each time this form is submitted Section 1: Proiect Identification Box 1 Contractor Name — The name of the contractor. Box 2 FEID No. — The contractor's Federal Identification Number Box 3 - Home Office Mailing Address (Street) — The contractor's home office street address; if the business' home office is outside of Florida, indicate the address of the Florida Home Office. Box 4- Home Office Mailing Address (City, State, Zip) — The contractor's home office city, state and zip code; if the business' home office is outside of Florida, indicate the address of the Florida Home Office. Box 5 Main Phone No. — Area code and phone number contractor's main business phone Box 6 Fax Number No. — Area code and phone number contractor's main fax Box 7 What is Being Changed? — Mark `Yes' or `No" to indicate if this is the company's initial submission of EEO Officer information; If a new person has been appointed as EEO Officer, If the appointee of record had a name change, and if the appointee's contact data is being updated. Section 2: EEO Officer Identification Box 8 Name of EEO Officer — First name, middle initial and last name of EEO Officer Box 9 EEO Officer's Working Title — Job title if the EEO Officer has other duties (e.g. Treasurer, Manager of Contract Services, etc) Box 10 Work Address of EEO Officer (Street) — Address of EEO Officer's office Box 11 Work Address of EEO Officer (City, State, Zip) — Address of EEO Officer's office Box 12 EEO Officer Phone Number — Area code and phone number for EEO Officer Box 13 EEO Officer Fax Number — Area code and fax number for EEO Officer Box 14 EEO Officer email address — EEO Officer Email address Section 3: Signature of Corporate Official Box 15 Appointing Official's Signature — Signature of Company Official responsible for EEO Officer Appointment Box 16 Date (Mo/Day/Year) — Date appointing official signs this Notification form Box 17 Official's Name (printed) — Printed first name and last name of person signing Box 15 Box 18 Official's Title (printed) — Printed title of person signing Box 15 (e.g. President, CEO, etc) Section 4: Processing of Notification This section is completed by FDOT Box 19 Processed by — First and last name of person processing the Notification Box 20 Date Processed — Date processing is completed STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 275-021-05 RECORD OF SUPERVISORY AND OFFICE PERSONNEL EQUAL OPPORTUNITY o1ro7 EEO MEETING OR INDIVIDUAL ORIENTATION 1. COMPANY NAME: 3. FEID # OR FDOT VENDOR #: 2. DATE OF MEETING (M/D/Y): 4. NAME OF EEO OFFICER: 5. CHECK TYPE OF MEETING: 6. ADDRESS WHERE MEETING HELD: ❑ INDIVIDUAL ORIENTATION ❑ EEO MEETING 7. EEO OFFICER'S CERTIFICATION: The signature of this Company's EEO Officer is certification that an individual orientation or meeting was held with supervisory personnel and others involved in personnel matters to address all aspects of our equal employment opportunity (EEO) obligations. The major topics were addressed and a signed attendance record was made. SIGNATURE: , EEO OFFICER 8. MAJOR TOPICS ADDRESSED: ✓ EEO Policy and Affirmative Action Plan ✓ Bulletin Boards ✓ Identification of EEO Officer ✓ Interviews by State and Federal representatives ✓ Equal Employment Opportunity and recruitment ✓ Training opportunities ✓ Wages and Payrolls ✓ Complaints ✓ Utilization of Disadvantaged Businesses I9. ATTENDEES: f PRINTED NAME AND TITLE SIGNATURE ATTACH A PAGF.0 /F VFC'F.CAARY BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: Public Works Bulk Item: Yes x No — Department: Engineering Services Staff Contact Person/Phone #: Judy Clarke X4329_ AGENDA ITEM WORDING: Approval to execute Local Agency Program (LAP) Agreement with Florida Department of Transportation (FDOT) to provide additional transportation stimulus funding for the Geiger Creek Bridge Repair Project. ITEM BACKGROUND: This bridge repair project is eligible for transportation stimulus funding under the American Economic Recovery and Reinvestment Act; transportation projects funded by stimulus money must be performed under the FDOT LAP program. The supplemental agreement provides for an additional $143,011 of stimulus funding for the project, which was not fully funded previously due to a shortage of ARRA funds. PREVIOUS RELEVANT BOCC ACTION: BOCC approved the prioritization of Monroe County Transportation projects at the February 2009 meeting. BOCC approved the LAP Agreement for this project at the April 2009 meeting. CONTRACT/AGREEMENT CHANGES: Increase stimulus funds by $143,011 STAFF RECOMMENDATIONS: Approval TOTAL COST �6,_?_5 7- INDIRECT COST: BUDGETED: Yes ,_No COST TO COUNTY: y57 SOURCE OF FUNDS: Grant ryttd Pol REVENUE PRODUCING: Yes —No X AMOUNT PER MONTH Year APPROVED BY: County Atty Purchasing Risk Management 7 DOCUMENTATION: Included X Not Required DISPOSITION: Revised 1/09 AGENDA ITEM # MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: FDOT Contract # APN 75 Effective Date: September 4, 2009 Expiration Date: December 31, 2011 Contract Purpose/Description: The Local Agency Program (LAP) Agreement with DOT provides transportation stimules money to fund the design and construction of the Geiger Creek (#904110) Bridge Repair Project. The supplemental agreement increases the amount of stimulus fundingfor or the project from $625,489 to $768,500. Additional funds are from Baypoint Bride project which had surplus funds. Contract Manager: Judy Clarke 4329 Engineering/#1 (Name) (Ext.) (Department/Stop #) for BOCC meeting on January 20, Agenda Deadline: January 5, 2010 2010 CONTRACT COSTS Total Dollar Value of Contract: $ 7 Current Year Portion: $ 95 (a 9S 7 Budgeted? Yes❑ No ❑ Account Codes: 1 z�5 �30 Grant: $ 768,500 County Match: $ 1$$ y57 Estimated Ongoing Costs: $0/yr (Not included in dollar value above) Division Director Risk Management (')LA, O.M.B./Purchasing County Attorney Comments: ADDITIONAL COSTS For: CONTRACT REVIEW Changes Date In Needed Yes❑ NoZ Uka YesQ Nog/ X !4°IYes❑ Not �Iw Yes[:] No( ] � We - MI.. 0.,i � 11 etc. Date Out l- V -/ v 525-010-32 PRODUCTION SUPPORT 02/09 Page 1 of 3 SUPPLEMENTAL NO. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION FPN 1 LOCAL AGENCY PROGRAM 426355-1-58-01 DUNS NO. SUPPLEMENTAL CONTRACT NO. 073876757 AGREEMENT APN75 The Monroe County desires to supplement the original Agreement entered into and executed on September 4. 2009 as identified above. All provisions in the original Agreement and supplements, if any, remain in effect except as expressly modified by this supplement. The changes to the Agreement and supplements, if any, are described as follows: PROJECT DESCRIPTION Name Geiger Creek Bridge Repair Project, Bridge #904110 Length 125 feet Termini Description of Work: The project consists of design, permitting and construction of repairs to the Geiger Creek Bridge (#904110) on Boca Chica Key in Monroe County, including repairing areas of concrete spalling on the bridge deck and underside and cleaning and repairing the joint seals; additional work will include repairing and/or replacing deteriorating concrete and rebar on various elements of the structure such as the concrete beams, columns, pile caps and pile jackets. The scope also includes construction engineering and inspection services. Reason for Supplement: State and Federal funds for the construction portion of the project are being increased from $625,489 to $691,650 with $180,333 of Local Funds and the state and federal funds for the construction engineering and inspection (CEI) portion of the project are being increased from $0 to $76,850 with $8,124 of Local Funds as shown on the following page. Funds to supplement this contract are from Project FM426182-1 and a Local Fund contribution. 525-010-32 PRODUCTION SUPPORT 02/09 Page 2 of 3 SUPPLEMENTAL NO. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION FPN 1 LOCAL AGENCY PROGRAM SUPPLEMENTAL 426355-1-58-01 DUNS NO. AGREEMENT CONTRACT NO. 073876757 APN75 TYPE OF WORK By Fiscal Year FUNDING (1) PREVIOUS TOTAL PROJECT FUNDS (2) ADDITIONAL PROJECT FUNDS (3) CURRENT TOTAL PROJECT FUNDS (4) TOTAL AGENCY FUNDS (5) TOTAL STATE i£ FEDERAL FUNDS Planning 2007-2008 2008-2009 2009-2010 2010-2011 Total Planning Cost $0.00 $0.00 $0.00 $0.00 $0.00 Project Development & Environment (PD&E) 2007-2008 2008-2009 2009-2010 2010-2011 Total PD&E Cost $0.00 $0.00 $0.00 $0.00 $0.00 Design 2007-2008 2008-2009 2009-2010 2010-2011 Total Design Cost $0.00 $0.00 $0.00 $0.00 $0.00 Right -of -Way 2007-2008 2008-2009 2009-2010 2010-2011 Total Right -of -Way Cost $0.00 $0.00 $0.00 $0.00 $0.00 Construction 2007-2008 2008-2009 2009-2010 2010-2011 Total Construction Cost $691.650 $180,333 $871,983.00 $180,333.00 $691,650.00 $691,650.00 $691,650.00 $180,333.00 $871,983.00 $180,333.00 Construction Engineering and Inspection (CEI) 2007-2008 2008-2009 2009-2010 2010-2011 Total CEI Cost Total Construction & CEI Costs $76,850.00 $8,124.00 $84,974.00 $8,124 $76,850.00 $76,850.00 $8,124.00 $84,974.00 $8,124.00 $76,850.00 $768,500.00 $188,457.00 $956,957.00 $188,457.00 $768,500.00 TOTAL COST OF THE PROJECT $768,500.00 $188,457.00 $956,957.00 $188,457.00 $768,500.00 525-010-32 PRODUCTION SUPPORT 02/09 Page 3 of 3 SUPPLEMENTAL NO. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION FPN LOCAL AGENCY PROGRAM 426355-1-58 01 7b7 DUNS NO. 07367 SUPPLEMENTAL AGREEMENT CONTRACT NO. APN75 IN WITNESS WHEREOF, the parties have caused these presents to be executed the day and year first above written. AGENCY Monroe County By: Name: Title: Attest: Name: Title: Date: 112 W3 10 Iq As to form: Attorney STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION By: Name: Title: Attest: Name: Title: Date: As to form: District Attorney See attached Encumbrance Form for date of funding approval by Comptroller. MONROE COUNTY ATTORNEY RPROVr- AS TO FORM: C PRISTINE M. LIMBERT-BARROWS ASSISTAN CO NT ATTORNEY Date �a3y�____ STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40 LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 08/06 Page EXHIBIT "B" SCHEDULE OF FUNDING Monroe County FPN: 426355-1 c/o Engineering Department ARRA 325-B 1100 Simonton Street Key West, Florida 33040 PROJECT DESCRIPTION Name: Geiger Creek Bridge Repair Project; bridge #90411 Termini: Length: 125 ft TYPE OF WORK B Fiscal Year Y FUNDING TOTAL PROJECT FUNDS (2) AGENCY FUNDS (3) STATE & FEDERAL FUNDS Planning 2006-2007 2007-2008 2008-2009 Total Planning Cost Project Development & Environment (PD$E) 2006-2007 2007-2008 2008-2009 Total PD&E Cost Design 2006-2007 2007-2008 2008-2009 Total Design Cost Right -of -Way 2006-2007 2007-2008 2008-2009 Total Right -of -Way Cost Construction 2006-2007 2007-2008 2008-2009 2009-2010 Total Construction Cost $871,983 $180,333 $691,650 $871,983 $180,333 $691,650 Construction Engineering and Inspection (CEI) 2008-2009 2009-2010 Total CEI Cost Total Construction and CEI Costs $84,974 $8.124 $76,850 $84,973 $8,124 $76,850 $956,957 $188,457 $768,500 TOTAL COST OF THE PROJECT $956,957 $188,457 $768,500 The Department's fiscal year begins on July 1. For this project, funds are not projected to be available until after the 1 st of July of each fiscal year. The Department will notify the Agency, in writing, when funds are available. 1 STATE OF FLORIDA OEPART/NENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT ozo9 Page 1 FPN: 426355-1-5"1 Federal No: �} _ IRIZ-A - 3 ?_ FPN: Fund: FLAIR A _ pprop: FLAIR Obj: _ g Ora Code: 5 C Federal No: FPN: Fund: Org Code: FLAIR Approp:FLAIR Obi: Federal No: Fund: Org Code: FLAIR A FPN: Federal No: Fund: FLAIR ON: FLAIR A N: pprop: Org Code: County No: 0 019 Contract No: q��-YS Data Universal Number System (DUNS) No: 80-939-7102 FLAIR Obj: Vendor No: Catalog of Federal Domestic Assistance (CFDA): 20.205 Highway Planning and Construction THIS AGREEMENT, made and entered into this _ day of Lm6w _ 'lpp OF FLORIDA DEPARTMENT OF TRANSPORTATION, an a —� by and between the STATE 9�cY Department, and Monroe County hereinafter called the Agency. the State of Florida, hereinafter called the WITNESSETH: WHEREAS, the Agency has the authority to enter into this Agreement and to undertake the project hereinafter described, and the Department has been granted the authority to function adequately in all areas of appropriate jurisdiction Including the implementation of an integrated and balanced transportation system and is authorized under Section 339.12, Florida Statutes, to enter into this Agreement; NOW, THEREFORE, in consideration of the mutual covenants, promises and representations herein, the parties agree as follows: 1.00 Purpose of Agreement: The purpose of this Agreement Is to Geiger Creek (u9o4��n► �a-e o......� � provide for the Department's participation in ICS .4-- Repair Proiect and as further described in Exhibit "A" attached hereto and by this reference made a part hereof, hereinafter called the "project," and to provide Department financial assistance to the Agency and state the terms and conditions upon which such assistance will be provided and the understandings as to the manner In which the project will be undertaken and completed. 1.01 Attachments: Exhibit(s) A, B. and S trye attached and made a part hereof. !.01 General Requirements: The Agency shall complete the project as described in Exhibit "A" with all practical Ispatch, in a sound, economical, and efficient manner, and in accordance with the provisions herein, and all applicable iws. The project will be performed In accordance with all applicable Department procedures, guidelines, manuals, tandards, and directives as described in the Department's Local Agency Proeram A-.,—f which fernce is lade a part hereof as if fully set forth herein. Time is of the essence as to each and every obligatiion eu der this greement. full time employee of the Agency, qualified to ensure that the work being pursued is complete, accurate, and consistent th the terms, conditions, and specifications of this Agreement shall be in charge of each project. ►moval of Any Unbiiled Funds Agency fails to timely perform its obligations in submitting invoices and documents necessary for the close out of the eject, and said failure results in a loss of the remaining unbilled funding either by Federal withdrawal of funds or loss of ite appropriation authority (which may include both federal funds and state funds, if any state funds are on the 3ncy will be responsible for the remaining unbilied funds on the project), )artment. A ►9 projecK. No other funds will be provided by the Agency waives the right to contest such removal of funds by the Department, if said removal is directly ted to Federal (FHWA) withdrawal of funds or loss of State appropriation authority, due to Local Agency's performance. in addition to loss of funding, the Department will consider de -certification of said Agency for futurerLAP acts. roval of All Funds STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 02/09 Pa" 2 If all funds are removed from the project, including amounts previously billed to the Department and reimbursed to the Agency, and the project is off the state highway system, then the department will have to request repayment for the previously billed amounts from the Local Agency. No state funds can be used on off -system projects. 2.02 Expiration of Agreement: The Agency agrees to complete the project on or before 17,11,1 lot . If the Agency does not complete the project within this time period, this Agreement will expire on the last day of the scheduled completion as provided in this paragraph unless an extension of the time period is requested by the Agency and granted in writing by the Department prior to the expiration of this Agreement. Expiration of this Agreement will be considered termination of the project. The cost of any work performed after the expiration date of this Agreement will not be reimbursed by the Department. 2.03 Pursuant to Federal, State, and Local Laws: in the event that any election, referendum, approval, no or other proceeding or authorization is requisite under applicable law to enable the Agency to enter into this Agreementcor to undertake the project hereunder or to observe, assume or carry out any of the provisions of the Agreement, the Agency will initiate and consummate, as provided by law, all actions necessary with respect to any such matters so requisite. 2.04 Agency Funds: The Agency shall initiate and prosecute to completion all proceedings necessary, including federal -aid requirements, to enable the Agency to provide the necessary funds for completion of the project. 2.05 Submission of Proceedings, Contracts, and Other Documents: The Agency shall submit to the Department such data, reports, records, contracts, and other documents relating to the project as the Department and the Federal Highway Administration (FHWA) may require. 3.00 Project Cost: 3.01 Total Cost: The total cost of the project is $ 768,500. This amount is based u pon in "B." The Agency agrees to bear all expenses In excess of the total cost of the project the schnyudeficitle oftss nding Involved.xThe schedule of funding may be modified by mutual agreement as provided for in paragraph 4.00. 3.02 Department Participation: The Department agrees to participate, including contingencies, in the project cost to the 3xtent provided in Exhibit "B." This amount includes federal -aid funds which are limited to the actual amount of federal- iid participation. 1.03 Limits on Department Funds: Project costs eligible for Department participation will be allowed only from the date f this Agreement. it is understood that Department participation in eligible project costs is subject to: a) Legislative approval of the Department's appropriation request in the work program year that the project is scheduled to be committed; b) Availability of funds as stated In paragraphs 3.04 and 3.05 of this Agreement; c) Approval of all plans, specifications, contracts or other obligating documents and all other terms of this Agreement; and d) Department approval of the project scope and budget at the time appropriation authority becomes available. 4 Appropriation of Funds: The Department's performance and obligation to pay under this Agreement is contingent xt an annual appropriation by the Legislature. If the Department's funding for this project is in multiple fiscal years, de approval from the Department's Comptroller must be received each fiscal year prior to costs being incurred. See iibit "B" for funding levels by fiscal year. Project costs utilizing these fiscal year funds are not eligible for ibursement if incurred prior to funds approval being received. The Department will notify the Agency, in writing, when Is are available. i Multi -Year Commitment: in the event this Agreement is in excess of $25,000 and has a term for a period of more one year, the provisions of Section 339.135(6xa), Florida Statutes, are hereby incorporated: "(a) The department, during any fiscal year, shall not expend money, incur any liability, or enter into any STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT 32sSUPPORPT PRODUCTION PORT 02109 Page 3 contract which, by its terms, involves the expenditure of money in excess of the amounts budgeted as available for expenditure during such fiscal year. Any contract, verbal or written, made in violation of this subsection is null and void, and no money may be paid on such contract. The department shall require a statement from the comptroller of the Department that funds are available prior to entering into any such contract or other binding commitment of funds. Nothing herein contained shall prevent the making of contracts for periods exceeding 1 year, but any contract so made shall be executory only for the value of the services to be rendered or agreed to be paid for in succeeding fiscal years, and this paragraph shall be incorporated verbatim in all contracts of the Department which are for an amount in excess of $25,000 and which have a term for a period of more than 1 year." 3.06 Notice -to -Proceed: No cost may be incurred under this Agreement until the Agency has received a written Notice - to -Proceed from the Department. 3.07 Limits on Federal Participation: Federal -aid funds shall not participate in any cost which Is not incurred in conformity with applicable Federal and State laws, the regulations in 23 Code of Federal Regulations (C.F.R.) and 49 C.F.R., and policies and procedures prescribed by the Division Administrator of FHWA. Federal funds shall not be paid on account of any cost incurred prior to authorization by the FHWA to the Department to proceed with the project or part thereof involving such cost (23 C.F.R. 1.9 (a)). If FHWA or the Department determines that any amount claimed Is not eligible, federal participation may be approved In the amount determined to be adequately supported and the Department shall notify the Agency in writing citing the reasons why items and amounts are not eligible for federal participation. Where correctable non-compliance with provisions of law or FHWA requirements exists, Federal funds may be withheld until compliance is obtained. Where non-compliance is not correctable, FHWA or the Department may deny participation in parcel or project costs in part or in total. For any amounts determined to be ineligible for federal reimbursement for which the Department has advanced payment, the Agency shall promptly reimburse the Department for all such amounts within 90 days of written notice. 4.00 Project Estimate and Disbursement Schedule. Prior to the execution of this Agreement, a project schedule of funding shall be prepared by the Agency and approved by the Department. The Agency shall maintain said schedule of funding, carry out the project, and shall incur obligations against and make disbursements of project funds only conformity with the latest approved schedule of funding for the project. The schedule of funding may be revised by mutual Ivritten agreement between the Department and the Agency. if revised, a copy of the revision should be forwarded to the )epartment's Comptroller and to the Department's Federal -aid Program Office. No increase or decrease shall be affective unless it complies with fund participation requirements of this Agreement and is approved by the Department's :omptroller. .00 Records: .01 Establishment and Maintenance of Accounting Records: Records of costs incurred under the terms of this greement shall be maintained and made available upon request to the Department at all times during the period of this greement and for 5 years after the final payment is made. Copies of these documents and records shall be furnished to e Department upon request. Records of costs incurred include the Agency's general accounting records and the project cords, together with supporting documents and reeds of the Agency and all subcontractors performiwo oject and all other records of the Agency and subcontractors considered necessary by the Dngrk on the epartment for a proper audit costs. If any litigation, claim or audit is started before the expiration of the 5-year period, the records shall be retained Ul all litigation, claims or audit findings involving the records have been resolved. 2 Costs Incurred for Project: The Agency shall charge to the project account all eligible costs of the its agreed to be borne by the Agency or its contractors and subcontractors. Costs in excess of the project except arnmed ding or attributable to actions which have not received the required approval of the Department shall not be �sidered ibie costs. I Documentation of Project Costs: All costs charged to the project, including any approved services contributed by Agency or others, shall be supported by properly executed payrolls, time records, invoices, contracts or vouchers 'encing in proper detail the nature and propriety of the charges. Audit Reports: Recipients of federal and state funds are to have audits done annually using the following criteria: STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT s2sPORT PRODUCTION SUPPORT 02/09 Pays 4 The administration of resources awarded by the Department to the Agency may be subject to audits and/or monitoring by the Department, as described in this section. Monitoring: In addition to reviews of audits conducted in accordance with OMB Circular A-133 and Section 215.97, Florida Statutes, as revised (see "Audits" below), monitoring procedures may include, but not be limited to, on -site visits by Department staff, limited scope audits as defined by OMB Circular A-133, as revised, and/or other procedures. By entering into this Agreement, the recipient agrees to comply and coo P Y Aerate fully with any monitoring procedures/processes deemed appropriate by the Department. In the event the Department determines that a limited scope audit of the recipient is appropriate, the recipient agrees to comply with any additional instructions Department staff to the Agency regarding such audit. The Agency further a ees to comply Provided by the inspections, reviews, investigations or audits deemed necessary by the FDOT' Office of Ins Y and cooperate with any the Chief Financial Officer (CFO) or Auditor General. Factor General (DIG), and Audits Part I - Federally Funded: Recipients of federal funds (Le., state, local government or non-profit organizations as defined In OMB Circular A-133, as revised) are to have audits done annually using the following criteria: 1. In the event that the recipient expends $500,000 or more in federal awards in its fiscal year, the recipient must have a single or program -specific audit conducted in accordance with the provisions of OMB Circular A-133, as revised. Exhibit "1" of this Agreement indicates federal resources awarded through the Department by this Agreement. In determining the federal awards expended In its fiscal year, the recipient shall consider all sources of federal awards, including federal resources received from the Department. The determination of amounts of federal awards expended should be in accordance with the guidelines established by OMB Circular A-133, as revised. An audit of the recipient conducted by the Auditor General in accordance with the provisions OMB Circular A-133, as revised, will meet the requirements of this part. 2. In connection with the audit requirements addressed in Part I, paragraph 1 the recipient shall fulfill the requirements relative to auditee responsibilities as provided in Subpart C of OMB Circular A-133, as revised. 3. If the recipient expends less than $500,000 in federal awards In its fiscal year, an audit conducted In accordance with the provisions of OMB Circular A-133, as revised, is not required. However, if the recipient elects to have an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, the cost of the audit must be Paid from non-federal resources (i.e., the cost of such an audit must be paid from recipient resources obtained from other than federal entities). Federal awards are to be identified using the Catalog of Federal Domestic Assistance (CFDA) title and number, award number and year, and name of the awarding federal agency. art II - State Funded: Recipients of state funds (Le-, a non -state entity as defined by Section 215.97(2) (1), Florida tatutes) are to have audits done annually using the following criteria: In the event that the recipient expends a total amount of state financial assistance $500,000 in any fiscal year of such recipient, the recipient must have a state single o dual to or if excess of such fiscal year in accordance with Section 215.97, Florida Statutes, applicable rules of the Executive aOffice of the Governor and the CFO, and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General. Exhibit "1" to this Agreement indicates state financial assistance awarded through the Department by this Agreement. In determining the state financial assistance expended in its fiscal year, the recipient shall consider all sources of state financial assistance, including state financial assistance received from the Department, other state agencies, and other non -state entities. State financial assistance does not include federal direct or pass -through awards and resources received by a non -state entity for federal program matching requirements. In connection with the audit requirements addressed in Part II, paragraph 1, the recipient shall ensure that the audit complies with the requirements of Section 215.97(7), Florida Statutes. This includes submission of a financial reporting package as defined by Section 215.97(2) (d), Florida Statutes, and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-01oLOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 02109 Pag* S 3. if the recipient expends less than $500,000 in state financial assistance in its fiscal year, an audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, is not required. However, if the recipient elects to have audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, the cost of the audit must be paid from the non -state entity's resources (i.e., the cost of such an audit must be paid from the recipient's resources obtained from other than State entities). 4. State awards are to be identified using the Catalog of State Financial Assistance (CSFA) title and number, award number and year, and name of the state agency awarding it. Part ill - Other Audit Requirements: The recipient shall follow up and take corrective action on audit findings. Preparation of a Summary Schedule of Prior Year Audit Findings, including corrective action and current status of the audit findings is required. Current year audit findings require corrective action and status of findings. Records related to unresolved audit findings, appeals or litigation shall be retained until the action is completed or the dispute is resolved. Access to project records and audit work papers shall be given to the Department, the Department of Financial Services, and the Auditor General. This section does not limit the authority of the Department to conduct or arrange for the conduct of additional audits or evaluations of state financial assistance or limit the authority of any other state official. Part IV - Report submission: Copies of financial reporting packages for audits conducted in accordance with OMB Circular A-133, as revised, and required by Part I of this Agreement shall be submitted, when required by Section 133, as revised, by or on behalf of the recipient directly to each of the following: .320 (d), OMB Circular A - a) The Department at each of the following address(es): Florida Department of Transportation 1000 N.W. 111th Avenue, Room 6202-8 Miami, FL 33172 Attn: Michelle L. Meaux b) The Federal Audit Clearinghouse designated in OMB Circular A-133, as revised (the number of copies required by Sections .320 (dx1) and (2), OMB Circular A-133, as revised), at the following address: Federal Audit Clearinghouse Bureau of the Census 1201 East 10"' Street Jeffersonville, IN 47132 c) Other federal agencies and pass -through entities in accordance with Sections .320 (e) and (f), OMB Circular A-133, as revised. In the event that a copy of the financial reporting package required by Part I of this Agreement and conducted in accordance with OMB Circular A-133, as revised, is not required to be submitted to the Department for reasons pursuant to Section .320 (ex2), OMB Circular A-133, as revised, the recipient shall submit the required written notification pursuant to Section .320 (e)(2) and a copy of the recipient's audited Schedule of Expenditures of Federal Awards dkecti to each of the following. Florida Department of Transportation 1000 N.W. 111th Avenue, Room 6202-B Miami, FL 33172 Attn: Michelle L. Meaux STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 02/09 Page 8 In addition, pursuant to Section .320 (f), OMB Circular A-133, as revised, the recipient shall submit a copy of the financial reporting package described in Section .320 (c), OMB Circular A-133, as revised, and any Management Letters issued by the auditor, to the Department at each of the following addresses: Florida Department of Transportation 1000 N.W. 111th Avenue, Room 6202-B Miami, FL 33172 Attn: Michelle L. Meaux 3. Copies of the financial reporting package required by Part it of this Agreement shall be submitted by or on behalf of the recipient directj to each of the following: a) The Department at each of the following address(es): Florida Department of Transportation 1000 N.W. 111th Avenue, Room 6202-B Miami, FL 33172 Attn: Michelle L. Meaux b) The Auditor General's Office at the following address: Auditor General's Office Room 401, Pepper Building 111 West Madison Street Tallahassee, Florida 32399-1450 4. Copies of reports or the Management Letter required by Part III of this Agreement shall be submitted by or on behalf of the recipient directly to: a) The Department at each of the following address(es): Florida Department of Transportation 1000 N.W. 111th Avenue, Room 6202-B Miami, FL 33172 Attn: Michelle L. Meaux Any reports, Management Letters, or other information required to be submitted to the Department pursuant to this Agreement shall be submitted in a timely manner in accordance with OMB Circular A-133, as revised, Florida Statutes, and Chapters 10.550 (local governmental entities) or 10 650 (nonprofit and for -profit organizations), Rules of the Auditor General, as applicable. Recipients, when submitting financial reporting packages to the Department for audits done in accordance with OMB Circular A-133, as revised, or Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for - profit organizations), Rules of the Auditor General, should indicate the date that the financial reporting package was delivered to the recipient in correspondence accompanying the financial reporting package. t V - Record Retention: The recipient shall retain sufficient records demonstrating its compliance with the terms of Agreement for a period of at least 5 years from the date the audit report is issued and shall allow the Department or its gee, the state CFO or Auditor General access to such records upon request, The recipient shall ensure that the pendent audit documentation is made available to the Department, or its designee, the state CFO or Auditor General STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT OZ09 P"7 upon request for a period of at least 5 years from the date the audit report is issued, unless extended in writing by the Department. 5.05 Inspection: The Agency shall permit, and shall require its contractors to permit, the Department's authorized representatives and authorized agents of FHWA to inspect all work, workmanship, materials, payrolls, and records and to audit the books, records, and accounts pertaining to the financing and development of the project. The Department reserves the right to unilaterally cancel this Agreement for refusal by the Agency or any contractor, sub- contractor or materials vendor to allow public access to all documents, papers, letters or other material subject to the provisions of Chapter 119, Florida Statutes, and made or received in conjunction with this Agreement (Section 287.058(1) (c), Florida Statutes). 5.06 Uniform Relocation Assistance and Real Property Statistical Report: For an of -way, the Agency must submit to the Department an annual re Y Project requiring additional right - assistance activities on the project. Activities shall be re P� of its real property acquisition and relocation September activities The report must be Ported on a federal fiscal year basis, from October 1 through submitted to the Department no later an October 15 of each hyyear. prescribed in 49 C.F.R. Part 24, Appendix B, and be 6.00 Requisitions and Payments: Requests for reimbursement for fees or other compensation incurred shall be submitted in detail sufficient fora thereof (S for services expenses Statutes). Proper pre -audit and Post -audit thereof (Section 287.058(1)(a), Florida All recipients of funds from this Agreement, including those contracted by the Agency, must submit bills for any travel expenses, when authorized by the terms of this Agreement, in accordance with Section 112.081, Florida Statutes, and Chapter 3-"Travel" of the Department's Disbursement Operations Manual, Florida Statutes). Topic 350-030-400 (Section 287.058(1)(b), If, after project completion, any claim is made by the Department resulting from an audit or for work or services performed pursuant to this Agreement, the Department may offset such amount from payments due for work or services done under any agreement which it has with the Agency owing such amount if, upon demand, payment of the amount Is not made within 60 days to the Department. Offsetting any amount pursuant to this paragraph shall not be considered a breach of contract by the Department. 1.00 Department Obligations: Subject to other provisions hereo( the Department will honor requests for reimbursement o the Agency in amounts and at times deemed by the Department to be proper to ensure the ind payment of the eligible costs. However, notwithstanding any other provision of this Agreement thge Department out of the may elect by notice in writing not to make a payment if: .01 Misrepresentation: The Agency shall have made misrepresentation of a material nature in its application, or any upplement thereto or amendment thereof or in or with respect to any document of data furnished therewith or pursuant creto; 02 Litigation: There is then pending litigation with respect to the performance by the Agency of any of its duties or digations which may jeopardize or adversely affect the project, the Agreement or payments to the project; )3 Approval by Department: The Agency shall have taken any action pertaining to the project which, under this reement, requires the approval of the Department or has made related expenditure or incurred related obligations hout having been advised by the Department that same are approved; 4 Conflict of Interests: There has been any violation of the conflict of interest provisions contained here in paragraph 06 or 12.07. f Default: The Agency has been determined by the Department to be in default under any of the provisions of the cement. Federal Participation: The Department may suspend or terminate a ✓A, or the Department acting in lieu of FHWA, may designate as ineligible for federal -aid. a� tiorr the project which the STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40 LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 02/09 Page 8 7.07 Disallowed Costs: In determining the amount of the payment, the Department will exclude all projects costs incurred by the Agency prior to the effective date of this Agreement or the date of authorization, costs incurred after the expiration of the Agreement, costs which are not provided for in the latest approved schedule of funding in Exhibit "B" for the project, costs agreed to be bome by the Agency or its contractors and subcontractors for not meeting the project commencement and final invoice time lines, and costs attributable to goods or services received under a contract or other arrangements which have not been approved in writing by the Department. 7.08 Final Invoices: The Agency must submit the final invoice on the project to the Department within 120 days after the completion of the project. Invoices submitted after the 120-day time period may not be paid. 8.00 Termination or Suspension of Project: 8.01 Termination or Suspension Generally: The Department may, by written notice to the Agency, suspend any or all of its obligations under this Agreement until such time as the event or condition resulting in such suspension has ceased or been corrected or the Department may terminate this Agreement in whole or in part at any time the Interest of the Department requires such termination. (a) If the Department determines that the performance of the Agency is not satisfactory, the Department shall notify the Agency of the deficiency in writing with a requirement that the deficiency be corrected within thirty (30) days of such notice. Such notice shall provide reasonable specificity to the Agency of the deficiency that requires correction. If the deficiency is not corrected within such time period, the Department may either (1) immediately terminate the Agreement as set forth in paragraph 8.(b) below, or (2) take whatever action is deemed appropriate by the Department to correct the deficiency. In the event the Department chooses to take action and not terminate the Agreement, the Agency shall, upon demand, promptly reimburse the Department for any and an costs and expenses incurred by the Department In correcting the deficiency. (b) If the Department terminates the Agreement, the Department shall notify the Agency of such termination in writing, with instructions to the effective date of termination or specify the stage of work at which the Agreement is to be terminated. (c) If the Agreement is terminated before the project Is completed, the Agency shall be paid only for the percentage of the 3roject satisfactorily performed for which costs can be substantiated. Such payment, however, shall not exceed the equivalent percentage of the contract price. All work in progress will become the property of the Department and will be umed over promptly by the Agency. 1.02 Action Subsequent to Notice -of -Termination or Suspension: upon receipt of any final termination or suspension otice under this paragraph, the Agency shall proceed promptly to carry out the actions required therein which may iclude any or all of the following: (a) necessary action to terminate or suspend, as the case may be, project activities and sntracts and such other action as may be required or desirable to keep to a minimum the costs upon the basis of which ie financing Is to be computed; (b) furnish a statement of the project activities and retracts and other undertakings the )st of which are otherwise includable as project costs. The termination or suspension shall be carried out in conformity th the latest schedule, plan, and cost as approved by the Department or upon the basis of terms and conditions posed by the Department upon the failure of the Agency to furnish the schedule, plan, and estimate within a reasonable ie. The closing out of federal financial participation in the project shall not constitute a waiver of any claim which the ,partment may otherwise have arising out of this Agreement. 10 Contracts of Agency: 1 Third Party Agreements: Except as otherwise authorized in writing by the Department, the Agency shall not ,cute any contract or obligate itself in any manner requiring the disbursement of Department funds, including resultant construction retracts or amendments thereto, with any third party with respect to the project without the written ,roval of the Department. Failure to obtain such approval shall be sufficient cause for nonpayment I Department specifically reserves unto itself the right to review the qualifications of any consultant or contractor and by the to rove or disapprove the employment of the same. ' Compliance with Consultants' Competitive Negotiation Act. it is understood and agreed by the parties hereto participation by the Department in a project with the Agency, where said project involves a consultant retract for nearing, architecture or surveying services, is contingent on the Agency's complying in fun with provisions of Section STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 02/02 Paps 9 287.055, Florida Statutes, Consultants' Competitive Negotiation Act. At the discretion of the Department, the Agency will involve the Department in the consultant selection process for all projects. In all cases, the Agency's attorney shall certify to the Department that selection has been accomplished in compliance with the Consultants' Competitive Negotiation Act. 10.00 Disadvantaged Business Enterprise (DBE) Policy and Obligation: It is the policy of the Department that DBEs, as defined in 49 C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole or in part with Department funds under this Agreement. The DBE requirements of applicable federal and state laws and regulations apply to this Agreement. The Agency and its contractors agree to ensure that DBE's have the opportunity to participate in the performance of this Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with applicable federal and state laws and regulations to ensure that the DBE's have the opportunity to compete for and Perform contracts. The Agency and its contractors and subcontractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts, entered pursuant to this Agreement. Furthermore, the Agency agrees that: (a) Each financial assistance agreement signed with a US -DOT operating administration (or a primary recipient) must include the following assurance: "The recipient shall not discriminate on the basis of race, color, national origin, or sex in the award and Performance of any DOT -assisted contract or in the administration of its DBE program or the requirements of 49 C.F.R. Part 26. The recipient shall take all necessary and reasonable steps under 49 C.F.R. Part 26 to ensure nondiscrimination in the award and administration of DOT -assisted contracts. The recipient's DBE Program, as required by 49 C.F.R. Part 26 and as approved by Department, is Incorporated by reference in this Agreement. Implementation of this program is a legal obligation and failure to carry out its terms shall be treated as a violation of this Agreement. Upon nobficatlon to the recipient of its failure to carry out its approved program, the Department may impose sanctions as provided for under 49 C.F.R. Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.)." (b) Each contract signed with a contractor (and each subcontract the prime contractor signs with a subcontractor) must nclude the following assurance: "The contractor, subrecipient or subcontractor shall not discriminate on the basis of race, colortioa, origin, Part 26 in the award and administrationor sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 C.F.R. , n naDOT assisted contracts. Failure by the contractor to requirements is a material breach of this contract, which may result in the termination of this contract yr such outse other remedy as the recipient deems appropriate.' 1.00 Compliance with Conditions and Laws: The Agency shall comply and require its contractors and subcontractors comply with all terms and conditions of this Agreement and all federal, state, and local laws and regulations this project. Execution of this Agreement constitutes a certification that the A with, applicable quire its contractors and subcontractors to comply�y is in compliance with, and will with, all requirements imposed by applicable federal, state, and local vs and regulations, including the "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -over Tier Covered Transactions," in 49 C.F.R. Part 29, when applicable. .00 Restrictions, Prohibitions, Controls, and Labor Provisions: 01 Equal Employment Opportunity. In connection with the carrying out of any pro uiminate y ply pp ject, the Agency shall not against to employee ee or applicant for employment because of race age, religion, color, sex, national origin, ability or marital status. The Agency will take affirmative action to ensure that applicants )loyees are treated during employment without regard to their race, color,are employed and that ibility or marital status. Such action shall include, but not be limited to, ti►�lowi g: employment, color, gender, national origin, ansfer; recruitment or recruitment advertising; layoff or termination; rates of pay or oerforoupgrading, demotion ction for training, including apprenticeship. The Agency shall insert the for compensation; to son; and cular contractual relationship in all its contracts in connection with the development of per modified only to show the racts for the standard commercial supplies or raw materials, and shall require all such contractorsttno project similar STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTIONSU5-00 PPORRTT 02109 Page 10 provision in all subcontracts, except subcontracts for standard commercial supplies or raw materials. When the project involves installation, construction, demolition, removal, site improvement or similar work, the Agency shall post, in conspicuous places available to employees and applicants for employment for project work, notices to be provided by the Department setting forth the provisions of the nondiscrimination clause. 12.02 Title VI - Civil Rights Act of 1964: The Agency will comply with all the requirements imposed by Title VI of the Civil Rights Act of 1964, the regulations of the U.S. Department of Transportation issued thereunder, and the assurance by the Agency pursuant thereto. The Agency shall include provisions in all contracts with third parties that ensure compliance with Title VI of the Civil Rights Act of 1964, 49 C.F.R. Part 21, and related statutes and regulations. 12.03 Americans with Disabilities Act of 1990 (ADA): The Agency will comply with all the requirements as imposed by the ADA, the regulations of the Federal government issued thereunder, and assurance by the Agency pursuant thereto. 12.04 Public Entity Crime: A person or affiliate who has been placed on the convicted vendor list following a conviction for a public entity crime may not submit a bid on a contract to provide an submit a bid on a contract with a public entity for the construction or repair goods a Puublic building public entity, may not not submit bids on leases of real property to a public entity; may not be awarded or perform work as a contractor, supplier, subcontractor or consultant under a contract with any public entity; and may not transact business with any public excess of the threshold amount provided in Section 287.017, Florida Statutes, for CATEGORY TWO for a pert entity in months from the date of being placed on the convicted vendor list. Period of 38 12.05 Discrimination: In accordance with Section 287.134, Florida Statutes, an entity or affiliate who has been placed on the Discriminatory Vendor List, kept by the Florida Department of Management Services, may not submit a bid on a contract to provide goods or services to a public entity; may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work; may not submit bids on leases of real property to a may not be awarded or perform work as a contractor, supplier, subcontractor or consultant under contract with any, public entity; and may not transact business with any public entity. 12.00 Suspension, Revocation, Denial of Qualification or Determination of Contractor Non -Res mtity or affiliate who has had its Certificate of Qualification sus been n determined An )y the Department to be a non -responsible contractor may not submit a bid or perform or have further been determined if a public building or public work on a contract with the Agency. Dorm work for the construction or repair 2.07 Prohibited Interests: Neither the Agency nor any of its contractors or their subcontractors shall enter into any ontract, subcontract or arrangement in connection with the project or any property Included or planned to be included in ie project in which any member, officer or employee of the Agency or the locality during tenure or for 2 years thereafter es any interest, direct or indirect. If any such present or former member, officer or employee Involuntarily acquires or had :quired prior to the beginning of tenure any such Interest, and if such interest Is Immediately disclosed to the Agency, the lency, with prior approval of the Department, may waive the prohibition contained in this par ich present member, officer or employee shall not participate in any action by the A p a�aph provided that any �ntract, subcontract or arrangement 9encY the locality relating to such e Agency shall insert in all contracts entered into in connection with the Project or an included in any project, and shall require its contractors to insert in each of their subcontracts, included f���,n or planned to g provision: "No member, officer or employee of the Agency or of the locality during his tenure or for 2 years thereafter shall have any interest, direct or indirect, in this contract or the proceeds thereof." I provisions of this paragraph shall not be applicable to any agreement between the Agency and its fiscal de any agreement for utility services the rates for which are fixed or controlled b a depositories Y governmental agency. i8 Interest of Member of, or Delegates to, Congress: No member or del es shall be admitted to any share or part of this Agreement egate to the Congress of the United or any benefit arising therefrom. D Miscellaneous Provisions: STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT 525 PRODUCTION SUPPORT 02109 Pays 11 13.01 Environmental Regulations: The Agency will be solely responsible for compliance with all the applicable environmental regulations, for any liability arising from non-compliance with these regulations, and will reimburse the Department for any loss incurred in connection therewith. The Agency will be responsible for securing any applicable permits. 13.02 Department Not Obligated to Third Parties: The Department shall not be obligated or liable hereunder to any individual or entity not a party to this Agreement. 13.03 When Rights and Remedies Not Waived: In no event shall the making by the Department of any payment to the Agency constitute or be construed as a waiver by the Department of any breach of covenant or any default which may then exist on the part of the Agency and the making of such payment by the Department, while any such breach or default shall exist, shall in no way impair or prejudice any right or remedy available to the Department with respect to such breach or default. 13.04 How Agreement Is Affected by Provisions Being Held Invalid: If any provision of this Agreement is held invalid, the remainder of this Agreement shall not be affected. In such an instance, the remainder would then continue to conform to the terms and requirements of applicable law. 13.05 Bonus or Commission: By execution of the Agreement, the Agency represents that it has not paid and, also agrees not to pay, any bonus or commission for the purpose of obtaining an approval of its application for the financing hereunder. 13.06 State Law: Nothing In the Agreement shall require the Agency to observe or enforce compliance with any provision or perform any act or do any other thing In contravention of any applicable state law. If any of the provisions of the Agreement violate any applicable state law, the Agency will at once notify the Department in writing in order that appropriate changes and modifications may be made by the Department and the Agency to the end that the Agency may proceed as soon as possible with the project. 13.07 Plans and Specifications: In the event that this Agreement involves constructing and equipping of facilities on the State Highway System, the Agency shall submit to the Department for approval all appropriate plans and specifications covering the project. The Department will review all plans and specifications and will issue to the Agency a written approval with any approved portions of the project and comments or recommendations covering any remainder of the roject deemed appropriate. After resolution of these comments and recommendations to the Department's satisfaction, he Department will issue to the Agency a written approval with said remainder of the project approval shall be sufficient cause of nonpayment by the Department. The Agency physically include F i Fwritten HWA- 273 in all its contracts and subcontracts. 3.08 Right -of -Way Certification: Upon completion of right-of-way activities on the project appliance with all applicable federal and state requirements. Certill is required prior to advertnisement for oor mt� r )Ilcitation of bids for construction of the project, including those projects for which no right-of-way is required. 1.09 Agency Certification: The Agency will certify in writing, prior to ordance with applicable plans ands project closeout that the project was completed in cor and the specifications, is in place on the Agency's facility, adequate title Is in the Agency's project is accepted by the Agency as suitable for the intended purpose. ,10 Agreement Format: All words used herein in the singular form shall extend to and include the plural. All words W in the plural form shall extend to and include the singular. All words used in any gender shall extend to and include genders. 11 Execution of Agreement: This Agreement may be simultaneously executed in a minimum of two counterparts, h of which so executed shall be deemed to be an original, and such counterparts together shall constitute one in the ie instrument. 2 Restrictions on Lobbying: oral: The Agency agrees that no federally -appropriated funds have been paid, or will be paid by or on behalf of the icy, to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member Dngress, an officer or employee of Congress or an employee of a Member of Congress a connection with the STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 02109 P"o 12 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. If any funds other than federally -appropriated funds have been paid by the Agency to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress or an employee of a Member of Congress in connection with this Agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. The Agency shall require that the language of this paragraph 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. State: No funds received pursuant to this contract may be expended for lobbying the Legislature, the judicial branch or a state agency. 13.13 Maintenance: The Agency agrees to maintain any project not on the State Highway System ttd consuis rucender th-of--way, the Agency ❑will ❑ will not Agreement. If the Agency constructs any improvement on Department right maintain the improvements made for their useful life. 13.14 Vendors Rights: Vendors (in this document identified as the Agency) providing goods and services to the Department should be aware of the following time frames. Upon receipt, the Department has 5 working days to inspect and approve the goods and services unless the bid specifications, purchase order or contract specifies otherwise. The Department has 20 days to deliver a request for payment (voucher) to the Department of Financial Services. The 20 days are measured from the latter of the date the invoice is received or the goods or services are received, inspected, and approved. If a payment is not available within 40 days after receipt of the invoice and the receiptIns and services, a separate interest penalty Inspection, and approval of goods penal in accordance with Section 215.422(3xb) Florida Statutes, will be due and payable in addition to the invoice amount to the Agency. Interest penalties of less than one $1 will not be enforced unless the Agency requests payment. Invoices which have to be returned to the Agency because of Agency preparat provided to the Department e �n errors will result in a delay in the payment. The invoice payment requirements do not start until a properly completed invoici s 4 Vendor Ombudsman has been established within the Department of Financial Services The duties of this individual nclude acting as an advocate for Agencies who may be experiencing problems in obtaining tin )epartment. The Vendor Ombudsman may be contacted at 850-413-5518 or by calling the State Comptroiler's Hodinee 177-693-5238. 3.15 Reimbursement of Federal Funds: he Agency shall comply with all applicable federal guidelines, procedures, and regulations. if at any time a review inducted by FHWA reveals that the applicable federal guidelines, procedures, and regulations were not followed by the gency and FHWA requires reimbursement of the funds, the Agency will be responsible for repayment to the Department all funds awarded under the terms of this Agreement. Federal Economic Stimulus awards do not exempt the Agency sn adherence to federal guidelines, procedures, and regulations. Attorney STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT 525-00.40 PRODUCTION SUPPORT OZ09 Pays 13 IN WITNESS EREOF, the parties have caused these presents to be executed the day and year first above written. AGENCY oe County. By. �C.. Title¢ ATT , NNY L. LHACGE Attest: ILL Tide'.,— 7 BY DEPLITALERK MONROE COUNTY ATTORNEY APPR V "D AS TO FORM: As to form: CHRIS INE M. LIMBERT-BARROW ASSISTMTiaCOUNTY ATTORNEY Date District Attorney STATE OF FLORIDA D�PARTAAENTRANSPORTATION By: Name: Title: Attest: Title: As to form: See attached Encumbrance Form for date of funding approval by Comptroller. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT PROJECT MANAGEMEN525-0100 TOFFIICE 08/06 Page EXHIBIT "A" PROJECT DESCRIPTION AND RESPONSIBILITIES FPN: 426355-1-58-01 This exhibit forms an integral part of the Agreement between the State of Florida, Department of Transportation and Dated PROJECT LOCATION: The project is X is not on the National Highway System. The project is X is not on the State Highway System. PROJECT DESCRIPTION: The project consists of design, permitting and construction of repairs to the Geiger Creek Bridge (#904110) on Boca Chica Key in Monroe County, including repairing areas of concrete spaliing on the bridge deck and underside and cleaning and repairing the joint seals; additional work will include repairing and/or replacing deteriorating concrete and rebar on various elements of the structure such as the concrete beams, columns, pile caps and pile jackets. The scope also Includes construction engineering and inspection services. SPECIAL CONSIDERATIONS BY AGENCY. The audit report(s) required in the Agreement shall include a Schedule of Project Assistance that will reflect the )ePartment's contract number, the Financial Project Number (FPN), the Federal Authorization Number (FAN), where pplicable, the amount of state funding action (receipt and disbursement of funds), any federal or local funding action, and le funding action from any other source with respect to the project. he Agency is required to provide a copy of the design plans for the Department's review and ap to wmitting with the Department, and notify the Department prior to commencement of any right-of-way activities. dinate ie Agency shall commence the project's activities subsequent to the execution of this Agreement and shall perform in cordance with the following schedule: a) Study to be completed by b) Design to be completed by c) Right -of -Way requirements identified and Provided to the Department by d) Right -of -Way to be certified by e) Construction contract to be let by f) Construction to be completed by is schedule cannot be met, the Agency will notify the Department in writing with a revised schedule or the project is ect to the withdrawal of federal funding. CIAL CONSIDERATIONS BY DEPARTMENT: STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION LOCAL AGENCY PROGRAM AGREEMENT EXHIBIT "B" SCHEDULE OF FUNDING AGENCY NAME & BILLING ADDRESS Monroe County c/o Engineering Department 1100 Simonton Street Key West, Florida 33040 Name: Geiger Creek Bridge Repair Project, bridge #90411 Termini: TYPE OF WORK By Fiscal Year Planning 2006-2007 2007-2008 2008-2009 Total Planning Cost Project Development & Environment (PDSE) 2006-2007 2007-2008 2008-2009 Total PD&E Cost Design 2006-2007 2007-2008 2008-2009 Total Design Cost Right -of -Way 2006-2007 2007-2008 2008-2009 Construction 2006-2007 2007-2008 2008-2009 2009-2010 Construction Engineering and Inspection (CEI) 2006-2007 2007-2008 2008-2009 2009-2010 Total CEI Cost I otal construction and CEI Costs TOTAL COST OF THE PROJECT FPN: 426355-1 ARRA 325-B PROJECT DESCRIPTION Length: 125 R. 52"io4o PRODUCTION SUPPORT 08/06 Page (t) I (2) I (3) TOTAL AGENCY STATE & ECT FUNDS FI Iunc — . , $691.650 $66,161 $625,489 7 5 $76.850 The Department's fiscal year begins on July 1. For this project, funds are not projected to be available until after the 1st of July of each fiscal year. The Department will notify the Agency, in writing, when funds are available. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40 LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 03109 Page EXHIBIT "S" 2009 AMERICAN RECOVERY AND REINVESTMENT ACT (ARRA) JOB REPORTING FPN: 426355-1 This exhibit forms an integral part of the Agreement between the State of Florida, Department of Transportation (Department) and IMonroe Countv Dated 08-31-09 SPECIAL CONSIDERATIONS BY AGENCY: Compliance with the 2009 American Recovery and Reinvestment Act (ARRA) This project is subject to the criteria and conditions of the 2009 American Recovery and Reinvestment Act (ARRA). The Agency will satisfy the Federal reporting requirements for the project(s), such as the monthly employment report, for both the Contractor and Subcontractor. The Agency will provide the required information on form(s) provided by the Department in the timeframe indicated in the instructions. The Agency will ensure that the reporting requirements are included in all ARRA contracts and subcontracts. The Agency will withhold the Contractor's progress payments, project acceptance, and final payment for failure to comply with the requirements of the 2009 ARRA. Authority of the U.S. Comptroller General Section 902 of the 2009 ARRA provides the U.S. Comptroller General and his representatives the authority: 1. To examine any records of the Contractor or any of its Subcontractors, or any State or Local Agency administering such contract, that directly pertain to, and involve transactions relating to, the contract or subcontract; and 2. To interview any officer or employee of the Contractor or any of its Subcontractors, or of any State or Local Agency administering the contract, regarding such transactions. Accordingly, the U.S. Comptroller General and his representatives shall have the authority and rights as provided under Section 902 of the 2009 ARRA with respect to this contract, which is funded with funds made available under the 2009 ARRA. Section 902 further states that nothing in this Section shall be interpreted to limit or restrict, in any way, any existing authority of the U.S. Comptroller General. Authority of the U.S. Inspector General Section 1515(a) of the 2009 ARRA provides authority for any representatives of the Inspector General to examine any records or interview any employee or officers working on this contract. The Contractor is advised hat representatives of the U.S. Inspector General have the authority to examine any record and interview any ,mployee or officer of the Contractor, its Subcontractors or other firms working on this contract. Section 515(b) further provides that nothing in this Section shall be interpreted to limit or restrict, in any way, any ,xisting authority of the Inspector General. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40 LOCAL AGENCY PROGRAM AGREEMENT PRODUCTION SUPPORT 05/09 Page EXHIBIT "X" PROJECT ESTIMATE AND DISBURSEMENT SCHEDULE FPN: 426355-1 This exhibit forms an integral part of the Agreement between the State of Florida, Department of Transportation (Department) and Monroe County Dated 08-31-09 SPECIAL CONSIDERATIONS BY AGENCY: The following paragraph replaces Section 4.00 Project Estimate and Disbursement Schedule of the Local Agency Program Agreement executed between the Department and Monroe County Dated 08-31-09 Prior to the execution of this Agreement, a project schedule of funding shall be prepared by the Agency and approved by the Department. The Agency shall maintain said schedule of funding, cant' out the project, and shall incur obligations against and make disbursements of project funds only in conformity with the latest approved schedule of funding for the project. The schedule of funding may be revised by execution of a LAP Supplemental Agreement between the Department and the Agency. The Agency acknowledges and agrees that funding for this project or any American Recovery and Reinvestment Act (ARRA) project shall/may be reduced upon determination of the award amount and execution of a LAP Supplemental Agreement. If a LAP Supplemental Agreement is executed, a copy of the LAP Supplemental should be forwarded to the Department's Federal -Aid Management Office. BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: 1/20/10 Division: Public Works Bulk Item: Yes X No _ Department: Solid Waste Management_ Staff Contact: Rosa Washington/292-4432 AGENDA ITEM WORDING: Approval for staff to purchase air time on Radio Ritmo, the only bilingual station in the Florida Keys, in an effort to reach and educate our Spanish speaking residents in regards to our Solid Waste and Recycling Goals and Programs and further boost participation in the County's Recycling Program. ITEM BACKGROUND: According to the University of Florida, Bureau of Economic and Business Research, there are approximately 20,000 residents in Monroe County whose first language is Spanish; this is not including the Spanish speaking workers that come to Monroe County to work or visit. The station can be heard from the Key Largo to the southernmost point in Key West. The cost to Monroe County would be $300 per month and requires a three (3) month commitment. PREVIOUS RELEVANT BOCC ACTION: None CONTRACT/AGREEMENT CHANGES: None STAFF RECOMMENDATIONS: Approval TOTAL COST: $900 BUDGETED: Yes X No COST TO COUNTY: $900 SOURCE OF FUNDS: Fund 414 SW Assessment REVENUE PRODUCING: Yes _ No X AMOUNT PER YEAR; 0 APPROVED BY: County Atty _ OMB/Purchasing Risk Management N/A DOCUMENTATION: Included X Not Required DISPOSITION: AGENDA ITEM # Revised 11/06 Dec 30 2009 3:10PM HP LRSERJET FAX 305 745 4165 e►— WPIK 102.5 FM & e..,, jr www,myradiorit no. cam PROPOSAL MONR.OE COUNTY FLORIDA 02.5 Radio Ritmo is the only bi-lingual radio station in all of the Florida Keys. This is the ultimate way to reach our local Spanish speaking and bi-lingual community, along with our daily visitors from across the country as they travel throughout the keys. You can receive extensive coverage on our station for a minimal investment. Here is what we are offering, 25 (60 seconds) spats to run Monday - Sunday 5 - 10 live bi-lingual mentions/announcements per week l - live phone commercial per week (avg. 5 mins.) with a radio personality. Total price fo C P�etac s'V"Vest package is $300.00 per month k,- om itrnent) eeL opez '(305) 849- l 919 0 W O W 3 J w v' J 1 ✓ " > N d E E a; F. C "v .,. �._.. -, I,. •' G E E U L" N C O N c L m m L y > C W N Q N C ��: I�/I C N 3- a 7 'o t' d I �' L a m m Vi N EwN d Gl m >cro O m Vf `.-.a.+= rnNElnc`0t=0-00 m 3c'p N ac ro + _ .i ap nN o E E> bm Q 7 •- YLrnrooroo���s�� C u` W c v ie �v E °-000 ` m 0 u .0 m V L m ` u Yc�°�m'-°can p ro v ro u om v°� `vE:" _ a �'r►__ roEE ro��� o t n m ° oQ�aw?uoo�a>¢°E�c3ov In m w o. �Lca °E ¢mtD ¢ m o ry r - 0 Q z5 u O W N y- v a m � m c rn>oa o aaL c v aa. o O c c v c E �.: '.._. w Lc cL cm cdvlG7NoavlLN u ro ro c 7 uO.aO o`Id . �' - �' �.. 2�P{•f ;k{p t t lrlF��... i y Y' },y ,/ -- 14�S�r.ii�.�i',i -,�(( I�,��//� tip t p' ✓ J 'N Y O ° m O O H ''^ m p C o O v a vi 7 v m= 0 O Y E N a s a 01 J .ems 0W-0 OLcC�°m - d m �VNLa3 v°vE�v3 Y -�o`> -a=m boa Emz _ ---�� p E° v 3 Y v 3 a o m° w y m c` m v ;-_ LL _o x U o LL o 0 ' mZ c u j vco¢ v' O W j Y Y a3wcv >_ o° ° °mtg i c i v E a o vgEQ" q" f "O Eob --•.� a m w ,y !; o.w a o > .:, rv-° Il mac - _' ,,. u c -� 1 a A 0 a` �-u3 �o- L c� Im e a.>� 2 TT OVY >>:° ro'm o"c-Z; d �Q �oac' Eck '°1'u roV -,. ma¢ mo Ric a�'o° .oc m" N;;mcs .N.00 °'"V v,� �L>,3a I.,LL¢`3xa` �¢` =¢z T 0�� c¢> p o a m m b 3 M a' y >oU3 ua=,N V caw e '°w Nx7 d1E« "p°Eaymn wYu N "a° `o rn u7 Uvd mccY>- Uc `D u o Eay a° nia m S a m >rooc v > - �o<a3 yJc Y~ ro o r o v ELA3oY>a> p o E o vm • cUd "� b b E a s iy a m v b= 3 m¢ {n a v `p m3 �Z N °_ o _ .°c cL a v ` w N rn L ,., u, E u C•° its.. o F- wo;' y9tJ °LL'u w-o¢ ms Y a>i u E ayu o � c ._SF- ?.r Y= j u D 'O N "• N Y > d ectl N N O z LL N� a 3� y 8 i ,� O u¢ cv � 7 Yi Ec E o x O c:N 0 7 °NEE, 3 cvEN c._t��r v ZE ,g_ o TYu� O v b •� J o. ,v, io u '0 '� `o N N N w> b .. N o" -o 'n A a y c b O Y -o o E a v E E m 3 a E v > d .� L u Y v 3 3 o t o 3 s u FL-m - m w ov-uo , m.- r. _ Y��6.a,>>E vv c Fs-v 5l'mu �.v���= wvm�EEa Yxx""ox��ar�uu°�"',3 ,yZ 3gip¢o BOARD OF COUNTY COMMISSIONERS AGENDA ITEM SUMMARY Meeting Date: January 20, 2010 Division: Public Works Bulk Item: Yes x No _ Department: Facilities Maintenance Staff Contact Person/Phone #:John W. Kina / 292-4531 AGENDA ITEM WORDING: Approval to exercise the second option to renew the contract with U. S. Water Services Corporation for the operation and maintenance of the sewage treatment plant at the Plantation Key Government Complex. ITEM BACKGROUND: The current contract with U. S. Water Services Corporation will expire on January 27, 2010. The original contract dated January 16, 2008, was for one year, with two one-year options to renew. Staff recommends exercising the second renewal option t for an additional one-year period in accordance with Paragraph 5 of the contract. PREVIOUS RELEVANT BOCC ACTION: On January 16, 2008, the BOCC approved award and execution of a contract with U. S. Water Services Corporation. On February 18, 2009, the BOCC amended and renewed the contract for the first renewal option. CONTRACT/AGREEMENT CHANGES: Contract term will be from January 28, 2010 to January 27, 2011 and monthly operation and maintenance charges shall increase by .1% CPI-U from $755.31 per month to $756.07 per month. Repairs during normal working hours beyond the $500.00 limit shall increase from $62.46 per hour to $62.52 per hour. Emergency service calls for overtime hours shall increase from $93.69 per hour to $93.78. STAFF RECOMMENDATIONS: Approval TOTAL COST: $ 9,072.84/ p/maint INDIRECT COST: Repairs: Regular hours $62.52; OT $93.78 COST TO COUNTY: $ same REVENUE PRODUCING: Yes No X APPROVED BY: County Atty I OMB/Purchasing BUDGETED: Yes X No _ SOURCE OF FUNDS: Ad Valorem DOCUMENTATION: Included X Not Required DISPOSITION: Revised 1 /09 AMOUNT PER MONTH Year Risk Management AGENDA ITEM # M E M O R A N D U M DATE: December 28, 2009 TO: Dent Pierce, Division Director Public Works FROM: John W. King, Sr. Director Lower Keys Operations RE: Agenda Item — January 20. 20 10 BOCC Meeting Approval to Exercise Second Renewal Option with U.S. Water Services Corporation — Operation and Maintenance of the Wastewater Treatment Plant — Plantation Key On January 27, 2010, the current contract with U. S. Water Services Corporation will expire. The original contract dated January 16, 2008, was for one year, with two one-year options to renew. Staff recommends exercising the second renewal option for an additional one-year period in accordance with Paragraph 5 of the contract. Rates will increase by .1 % CPI-U for the final year. I hereby request approval to exercise the second option to renew the contract with U. S. Water Services Corporation for the operation and maintenance of the sewage treatment plant at the Plantation Key Government Complex. JWK/jbw Enclosures MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: U.S.Water Services Corp Contract # Effective Date: 01/28/10 Expiration Date: 01/27/11 Contract Purpose/Description: Operation and Maintenance of the Wastewater Treatment Plant at the PK Government Center — second renewal option Contract Manager: Jo B. Walters 4549 Faclities Maint/Stop #4 (Name) (Ext.) (Department/Stop #) for BOCC meeting on 01/20/10 Agenda Deadline: 01/05/10 CONTRACT COSTS Total Dollar Value of Contract: $ 9,072.84 + Current Year Portion: $ 6,048.56 + repairs repairs Budgeted? Yes® No ❑ Account Codes: 001-20501-530-340- Grant: $ N/A - - - County Match: $ N/A - - - - ADDITIONAL COSTS Estimated Ongoing Costs: $ /yr For: (Not included in dollar value above) (eg. maintenance. etc. CONTRACT REVIEW Changes Date Out Date In Needed i' Reviewer Division Director Yes[:] NoE, Risk Manag ,Zen G <� Yes❑ No[T,. O.M.B./Purchasing -5���` Yes[:] No , r County Attorney �i Yes❑ No❑-15 4 44 ornments— // OMB Form Revised 2/27/01 MCP #2 2-d RENEWAL AGREEMENT OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT — PLANTATION KEY GOVERNMENT CENTER THIS 2ID RENEWAL AGREEMENT is made and entered into this day of 2009, between MONROE COUNTY (hereinafter "County" or "Owner"), a political subdivision of the State of Florida, whose address is 1100 Simonton Street, Key West, Florida 33040, and ca S. WATER SERVICES CORPORATION, a Florida corporation, whose address is 4939 Cross Bayou Boulevard, New Port Richey, Florida 34652 (hereinafter "Contractor"). WHEREAS, the parties hereto did on January 16, 2008 enter into an agreement for operation and maintenance of sewage treatment plant for the PLANTATION KEY GOVERNMENT CENTER, Monroe County (hereinafter "Original Agreement"); and WHEREAS, on February 18, 2009, the parties hereto did enter into an amendment and I" renewal agreement; and WHEREAS, the parties have found the Original Agreement to be mutually beneficial and; WHEREAS, the parties find that it would be mutually beneficial to enter into this 2"d Renewal Agreement; now therefore NOW THEREFORE, IN CONSIDERATION of the mutual promises and covenants set forth below, the parties agree as follows: 1. In accordance with the original agreement, Paragraph 3, CONTRACT AMOUNT, the Contract amount is being adjusted .1% in accordance with the percentage change in the U S. Department of Commerce Consumer Price Index (CPI-U) for all Urban Consumers as reported by the U.S. Bureau of Labor Statistics and shall be based upon the CPI-U computation at December 31 of the previous year as follows: Monthly operation and maintenance service amount from $755.31 to $756.07, for an annual amount of $9,072.79; labor for repairs (as described in the original agreement) during normal working hours from $62.46 to $62.52 and emergency service calls from $93.69 to $93.78. 2. In accordance with the original agreement, Paragraph 5, TERM OF AGREEMENT, the County exercises option to renew the Original Agreement for the second of the two (2) terms. This term will commence on January 28, 2010 and terminate January 27, 2011. IN WITNESS WHEREOF, the parties hereto have set their hands and seals the day and year first above written. (SEAL) ATTEST: DANNY L. KOLHAGE, CLERK LIZ Deputy Clerk Witnesses for CONT CTOR: 0. 0 Signature Oq Date Signature I `)- I �)016, `'I Date BOARD OF COUNTY COMMISSIONERS OF MONROE COUNTY, FLORIDA Mayor/Chairperson U. S. WATER SERVICES CO ORATION Print Name Gary D e r e m e r eui ,�, +r"UL %- _ �,/.�iS=�Fyf ;0VED�,6.T(XF0RN AMENDMENT and 1a RENEWAL AGREEMENT OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT — PLANTATION KEY GOVERNMENT CENTER THIS AHMMENT AND 1s'r RENEWAL AGREEMENT is made and entered into this day of 2008, between MONROE COUNTY (hereinafter "County" or "Owner"), a political subdivis" of the State of Florida, whose address is 1100 Simonton Street, Key West, Florida 33040, and U. . WATER SERVICES CORPORATION, a Florida corporation, whose address is 4939 Cross Bayou Boulevard, New Port Richey, Florida 34652 (hereinafter "Contractor')) . WHEREAS, the parties hereto did on January 16, 2008 enter into an agreement for operation and maintenance of sewage treatment plant for the PLANTATION KEY GOVERNMENT CENTER, Monroe County (hereinafter "Original Agreement"); and WHEREAS, both parties desire to amend Paragraph 1 to clarify language in the Agreement; and WHEREAS, both parties desire to amend Paragraph 2 as follows: (a) to clarity language in "Item viii.q", and (b) to add a new subsection "F"; and WHEREAS, the parties have found the Original Agreement to be mutually beneficial and; WHEREAS, the parties find that it would be mutually beneficial to enter into this Amendment and Is'Renewal Agreement; now therefore NOW THEREFORE, IN CONSIDERATION of the mutual promises and covenants set forth below, the parties agree as follows: Paragraph 1 of the Original Agreement is amended to read as follows: "The Agreement consists of this document, the bid documents and the attached exhibits only." 2. Paragraph 2, SCOPE OF WORK, is amended as follows A. Clarify language in "Item viii.q." to read: q. Provide all digester sludge removal services: Maximum of four removals annually, when required. Any additional removals in excess of 1,200 gallons require the County's prior written approval; the contractor shall notify the Facilities Maintenance Department when such additional removals are anticipated. The cost breakdown for any removals .beyond the four cited above shall consist of the disposal cost to the contractor plus 25% handling charge. The Contractor shall be solely responsible for all sludge removal services and any required testing. The Contractor shall submit to the Facilities Maintenance department a copy of the landfill inbound charge/dump ticket(s) after every sludge removal service; and B. To add an additional subsection "F" as follows: F. In the event of a major component failure or system breakdown, the COUNTY, when deemed as an emergency situation, shall have the option to request from the CONTRACTOR only, a proposal/quote for replacement equipment in an amount that could exceed Five Thousand Dollars ($5,000). Any proposal over $5,000 up to and including $10,000 must be approved and signed by the Division Director and/or the County Administrator. Any proposal over $10,000 up to and including $25,000 must be approved and signed by the Division Director and the County Administrator. -i- 3. In accordance with the original agreement, Paragraph 3, CONTRACT AMOUNT, the Contract amount is being adjusted 4.1 % in accordance with the percentage change in the U S. Department of Commerce Consumer Price Index (CPI-U) for all Urban Consumers as reported by the U.S. Bureau of Labor Statistics and shall be based upon the CPI-U computation at December 31 of the previous year as follows: Monthly operation and maintenance service amount from $725.56 to $755.31, for an annual amount of $9,063.72; labor for repairs (as described in the original agreement) during normal working hours from $60.00 to $62A6 and emergency service calls from $90.00 to $93.69. 4. In accordance with the original agreement, Paragraph 5, TERM OF AGREEMENT, the. County exercises option to renew the Original Agreement for the first of the two (2) terms. W�s.term will commence on January 28, 2009 and terminate January 27, 2010. ;i`.. 71 ; ,WHEREOF, the parties hereto have set their hands and seals the day and year Wi MCO CTOR: Signature Jan 12, 2009 Date Jan 12, 2009 Date BOARD OF COUNTY COMMISSIONERS CLERK OF MONROE COUNTY, FLORIDA 4 B Mayor/Chairperson U. S. TER SERVICES CORPORATION o By Print Name Dave Schultz, Sr. Vice President r COUNTY ATTOJIBEY ;FS ED AS ERCADO ` STANT CO TY ATTORNEY -2- OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT - PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA AGREEMENT FOR OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT — PLANTATION KEY GOVERNMENT CENTER This Agreement is made and entered into this IV day jitic�atsu�bisionof , 2008, between MONROE COUNTY, FLORIDA ("COUNTY"), a the State of Florida, whose address is 1100 Simonton Street, Key West, Florida 33040, and U. S. WATER SERVICES CORPORATION ("CONTRACTOR"), a Florida corporation, whose address is 4939 Cross Bayou Boulevard, New Port Richey, Florida 34652. WHEREAS, COUNTY desires to provide operation and maintenance of sewage treatment plant for the PLANTATION KEY GOVERNMENT CENTER, Monroe County, and WHEREAS, CONTRACTOR desires and is able to provide operation and maintenance of sewage treatment plant for the PLANTATION KEY GOVERNMENT CENTER, Monroe County; and WHEREAS, it serves a legitimate public purpose for CONTRACTOR to provide operation and maintenance of sewage treatment plant for the PLANTATION KEY GOVERNMENT CENTER Monroe County, now therefore, IN CONSIDERATION of the mutual promises and covenants contained herein, it is agreed as follows: 1. THE AGREEMENT The Agreement consists of this document and its exhibits only. 2. SCOPE OF THE WORK: A. The Contractor's services shall include all DEP requirements stipulated in the Operating Permit (attached as Exhibit A) in order to operate the facility efficiently and reliably, and to maintain the facility according to the Permit. The Contractor shall invoice the County for the operation and maintenance services on a monthly basis, in arrears, at the fee schedule rate. i. Comply with all conditions specified within the current Permit for this facility. ii. Comply with all conditions specified within the current Permit for this facility. iii. Comply with all DEP rules, Florida Statutes, and county and local regulations pertaining to the operation and maintenance of Agreement 1 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT - PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA wastewater facilities, systems of treatment and control, and related appurtenances. iv. Notify the County Facilities Maintenance Department, by written notice, of changes in DEP rules, Florida Statues, county and local regulations, as they apply to plant permitting or operations. V. Become familiar with all Permit requirements, DEP rules, Florida Statutes, and county and local regulations which affect the above referenced wastewater facility. In addition, the contractor shall advise and make recommendation to the County on matter concerning the operation of the facility, and shall provide written notification to the County of any and all deficiencies encountered that may result in a non-compliance operating violation. This notification shall include the observation of the deficiencies, recommended corrections, and cost estimates. Said notification shall be delivered to the Facilities Maintenance Director for review and approval. In the event that the County shall receive a notice on non-compliance or of potential violation, written notice shall be given the contractor. vi. Provide, and maintain on site, records as required by the Permit conditions. The Contractor shall submit supplemental copies of record documents and monthly operation reports (MOR) to the Facilities Maintenance Director. vii. Inspect and maintain ,the . facility's equipment, practices, and operation regulated or required by the Permit conditions. viii. Perform all other routine operation and maintenance tasks for the facility as part of the monthly service and included in the monthly fee such as, but not limited to, the following: a. Operate the wastewater facility according to the manufacturer's specifications and pursuant to the Federal, State, County, and local regulatory rules with particular attention to Florida Laws, Chapter 403 and the Florida Administrative Codes, 62-600, 62-604, 62-610, 62-611, 62-640, F.A.C., and other applicable sections; b. Inspect and lubricate all equipment which requires lubrication in accordance with the manufacturer's specification and recommendations c. Supply, monitor, and record chlorine feed and effluent residuals regularly. Chlorine costs shall be included in the monthly operation and maintenance fee. Agreement 2 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT — PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA d. Replace motor/blower belts when required (labor and parts furnished by the Contractor); e. Clean blower filters on a regular basis; f. Repair minor electrical and plumbing problems at the contractors cost of $500.00 and below; g. Perform minor repairs of pump station equipment and controls at the contractors cost of $500.00 and below; h. Maintain proper adjustment of all apparatus controls; i. Maintain all painted surfaces; j. Record the daily flow in gallons per day; k. Record the Ph of effluent; 1. Daily maintain air to all required components of the treatment plant. The contractor shall individually check and clean all air diffusers and skimmers as required, then adjust aeration as required to maintain plant balance; m. Check sludge return; n. Transfer $lodge as required to various plant components and concentrate into the digester as necessary to maintain plant operating efficiency; o. Mechanically check standby equipment weekly; p. Clean and hose down plant regularly to maintain good housekeeping of the facility, and remove all unsightly debris and materials from facility area on a regular basis; q. Provide all digester sludge removal services: Maximum of four removals annually, when required. Any additional removals require the County's prior written approval; the contractor shall notify the Facilities Maintenance Department when such additional removals are anticipated. The cost breakdown for any removals beyond the four cited above shall consist of the disposal cost to the contractor plus _% handling charge. The Contractor shall be solely responsible for all sludge removal services and any required testing. The Contractor shall submit to the Facilities Maintenance department a copy of the landfill inbound charge ticket(s) after every sludge removal service; and ix. Provide for emergency standby pumping services for the facility (inclusive of all necessary equipment, materials, and labor) in the event that an unusual occurrence makes it Agreement 3 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT — PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA necessary to immediately pump out a plant to prevent untreated wastewater from improperly escaping into the environment. The Contractor shall perform this function to the best of the Contractor's ability considering the circumstances surrounding the unusual occurrence, and such occurrences shall qualify this as an emergency service. X. Provide sampling, testing, results, and monitoring of any substances or parameters at any locations reasonably necessary to assure compliance with the Permit conditions or DEP rules. xi. Protect the County from any condition which may result in non-compliance with DEP rules, Florida Statutes, or county or local regulations to the best extent possible. Inform the County immediately and in writing at once upon recognition of a potential problem. xii. Maintain a copy of the current Operating Permit on site. xiii. Maintain monitoring and record keeping as required by the Permit conditions, DEP rules, county and local regulations. B. REPAIRS The Contractor shall make all repairs as necessary to assure that the facility is operating efficiently, reliably, and in accordance with all requirements of the DEP and the DEP Operating Permit. When the Contractor deems a repair to be necessary, and over $500.00, the Contractor shall prepare a detailed cost estimate based on the fee schedule rates stipulated in the contract for labor, actual cost of parts needed to make the repairs, plus the handling charge as indicated in the contract. The Contractor shall initiate the approved repairs within 48 hours of said approval. Upon completion of the repairs, the Contractor shall document the work performed as is required by the DEP Operating Permit and other on -site service logs. In any month in which the total for Repairs (as defined above) does not exceed $500.00, the Contractor will not invoice said amount to County and will be responsible for said amount. In any month in which Repair(s) (as defined above) exceed $500.00, the Contractor will invoice and the County will pay the full amount stated on the invoice. C. EMERGENCY SERVICE The County shall contact the Contractor immediately when an emergency call is needed. The Contractor shall also notify the County immediately in the event of a facility emergency. The Contractor and the County shall make entries into a log, which shall include; the date and time the problem Agreement 4 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT — PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA was discovered, a description of the problem, the date and time the contractor was notified, the date and time the contractor arrived at the facility, the date and time the Contractor departed, and a summary of the steps taken to rectify the problem. The Contractor shall respond to all emergency calls which occur during normal working hours and holidays and weekends within three hours of notification by the County (see Section 2.05 Exceptions). The Contractor and the County shall simultaneously log the time the County contracted the contractor for an emergency service documentation of the above time requirements. The Contractor shall invoice the County for after -hour, weekend and holiday emergencies based on the applicable hourly rate indicated in the contract, the actual costs of any parts used to rectify the problem, plus the applicable percentage as stipulated in the contract. D. ADDITIONAL SERVICES When requested by the County, the Contractor shall advise and recommend, in writing to the County, any needed improvements, and shall invoice the County at the fee schedule rates for labor as specified in the contract..- E. EXCEPTIONS All of the above described tasks or requirements shall be considered routine duties of the contractor except: i. Repairs which are over the $500.00 limit, as defined in Section 2.B. REPAIRS, shall be based on the fee schedule rates for labor for "Emergency Service Calls (Monday — Friday after normal working hours)" outlined in the contract. ii. The Contractor shall not be held responsible for the inability to perform due to factors beyond the Contractor's control. 3. CONTRACT AMOUNT The County shall pay to the Contractor for the faithful performance of the Contract, in lawful money of the United States, as follows: 1) Monthly Operation and Maintenance Services (as outlined in the contract specifications) 2) Repairs - beyond the $500.00 limit (routine, prior approval required). Normal working hours of 8:00 a.m. to 5:00 p.m. Monday through Friday, excluding holidays 3) Emergency service call. Overtime rate for hours other than normal hours as stated above, including weekends and holidays. $ 725.56 per month $8,706.72 per year $ 60.00 per hour $ 90.00 per hour Agreement 5 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT— PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA 4) Handling fee for parts required for operation, maintenance, Repairs and emergency services. Cost + 25 % 5) Sludge removal (beyond four per year required as Regular maintenance) Cost + 25 % Note: There are no additional costs for travel, mileage, meals, or lodging. The Contractor's request for payment must itemize each of the costs stated above. 4. PAYMENTS TO CONTRACTOR A. COUNTY'S performance and obligation to pay under this agreement, is contingent upon annual appropriation by the Board of County Commissioners. B. COUNTY shall pay in accordance with the Florida Local Government Prompt Payment Act; payment will be made after delivery and inspection by COUNTY and upon submission of invoice by CONTRACTOR. C. CONTRACTOR shall submit to COUNTY invoices with supporting documentation acceptable to the Clerk, on a monthly schedule in arrears. Acceptability to the Clerk is based on generally accepted accounting principles and such laws, rules and regulations as may govern the Clerk's disbursal of funds. D. In any month in which the total for Repairs (as defined above) does not exceed $500.00, the Contractor will not invoice said amount to County and will be responsible for said amount. In any month in which Repairs (as defined above) exceed $500.00, the Contractor will invoice and the County will pay the full amount stated on the invoice." 5. TERM OF AGREEMENT This Agreement shall commence on January 28, 2008, and ends upon January 27, 2009, unless terminated earlier under paragraph 18 of this Agreement. The COUNTY shall have the option to renew this Agreement for up to an additional two (2) one year periods at terms and conditions mutually agreeable to the parties, exercisable upon written notice given at least 30 days prior to the end of the initial term. Unless the context clearly indicates otherwise, references to the "term" of this Agreement shall mean the initial term of one (1) year. The Contract amount shall be adjusted annually in accordance with the percentage change in the U.S. Department of Commerce Consumer Price Index (CPI-U) for all Urban Consumers as reported by the U.S. Bureau of Labor Statistics and shall be based upon the CPI-U computation at December 31 of the previous year.. agreement 6 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT— PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA 5. ACCEPTANCE OF CONDITIONS BY CONTRACTOR CONTRACTOR has, and shall maintain throughout the term of this Agreement, appropriate licenses. Proof of such licenses and approvals shall be submitted to the COUNTY upon request. 6. FINANCIAL RECORDS OF CONTRACTOR CONTRACTOR shall maintain all books, records, and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. Each parry to this Agreement or their authorized representatives shall have reasonable and timely access to such records of each other parry to this Agreement for public records purposes during the term of the Agreement and for four years following the termination of this Agreement. If an auditor employed by the COUNTY or Clerk determines that monies paid to CONTRACTOR pursuant to this Agreement were spent for purposes not authorized by this Agreement, the CONTRACTOR shall repay the monies together with interest calculated pursuant to Sec. 55.03, FS, running from the date the monies were paid to CONTRACTOR. 7. PUBLIC ACCESS The COUNTY and CONTRACTOR shall allow and permit reasonable access to, and inspection of, all documents, papers, letters or other materials in its possession or under its control subject to the provisions of Chapter 119, Florida Statutes, and made or received by the COUNTY and CONTRACTOR in conjunction with this Agreement; and the COUNTY shall have the right to unilaterally cancel this Agreement upon violation of this provision by CONTRACTOR. S. HOLD HARMLESS AND INSURANCE CONTRACTOR covenants and agrees to indemnify and hold harmless Monroe County Board of County Commissioners from any and all claims for bodily injury (including death), personal injury, and property damage (including property owned by Monroe County) and any other losses, damages, and expenses (including attorney's fees) which arise out of, in connection with, or by reason of services provided by CONTRACTOR occasioned by the negligence, errors, or other wrongful act of omission of CONTRACTOR, its employees, or agents. The extent of liability is in no way limited to, reduced, or lessened by the insurance requirements contained elsewhere within this agreement. Failure of CONTRACTOR to comply with the requirements of this section shall be cause for immediate termination of this agreement. Prior to execution of this agreement, CONTRACTOR shall furnish the COUNTY Certificates of Insurance indicating the minimum coverage limitations in the following amounts: Agreement 7 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT — PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA WORKER'S COMPENSATION AND EMPLOYER'S LIABILTIY INSURANCE: Where applicable, worker's compensation coverage to apply for all employees at a minimum statutory limit as required by Florida Law, and Employee's Liability coverage in the amount of $100,000.00 bodily injury by accident, $500, 000.00 bodily injury by disease, policy limits, and $100,000.00 bodily injury by disease, each employee. COMPREHENSIVE AUTOMOBILE VEHICLE LIABILITY INSURANCE: Motor vehicle liability insurance, including applicable no-fault coverage, with limits of liability of not less than $100,000.00 per occurrence, combined single limit for Bodily injury Liability and Property Damage Liability. If single limits are provided, the minimum acceptable limits are $100,000.00 per person, S300.000.00 per occurrence, and $50,000.00 property damage. Coverage shall include all owned vehicles, all non -owned vehicles, and all hired vehicles. COMMERCIAL GENERAL LIABILITY: Commercial general liability coverage with limits of liability of not less than S300.000.00 per occurrence combined single limit for Bodily Injury Liability and Property Damage Liability. CERTIFICATES OF INSURANCE. Original Certificates of Insurance shall be provided to the COUNTY at the time of execution of this Agreement and certified copies provided if requested. Each policy certificate shall be endorsed with a provision that not less than thirty (30) calendar days' written notice shall be provided to the COUNTY before any policy or coverage is canceled or restricted. The underwriter of such insurance shall be qualified to do business in the State of Florida. If requested by the County Administrator, the insurance coverage shall be primary insurance with respect to the COUNTY, its officials, employees, agents and volunteers. MONROE COUNTY SHALL BE NAMED AS AN ADDITIONAL INSURED ON THE GENERAL LL4BILITYAND VEHICLE LL4BILITY POLICIES. .9. . NON -WAIVER OF IMMUNITY Notwithstanding the provisions of Sec. 768.28, Florida Statutes, the participation of COUNTY and CONTRACTOR in this Agreement and the acquisition of any commercial liability insurance coverage, self-insurance coverage, or local government liability insurance pool coverage shall not be deemed a waiver of immunity to the extent of liability coverage, nor shall any Agreement entered into by the COUNTY be required to contain any provision for waiver. 10. INDEPENDENT CONTRACTOR At all times and for all purposes under this agreement CONTRACTOR is an independent and not an employee of the Board of COUNTY Commissioners of Monroe COUNTY. No statement contained in this agreement shall be construed so as to find CONTRACTOR or any of his employees, subs, servants, or agents to be employees of the Board of COUNTY Commissioners of Monroe COUNTY. 11. NONDISCREUIINATION COUNTY and CONTRACTOR agree that there will be no discrimination against any person, and it is expressly understood that upon a determination by a court of competent Agreement 8 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT — PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA jurisdiction that discrimination has occurred, this Agreement automatically terminates without any further action on the part of any party, effective the date of the court order. COUNTY or CONTRACTOR agree to comply with all Federal and Florida statutes, and all local ordinances, as applicable, relating to nondiscrimination. These include but are not limited to: 1) Title VI of the Civil Rights Act of 1964 (PL 88-352) which prohibits discrimination on the basis of race, color or national origin; 2) Title IX of the Education Amendment of 1972, as amended (20 USC ss. 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; 3) Section 504 of the Rehabilitation Act of 1973, as amended (20 USC s. 794), which prohibits discrimination on the basis of handicaps; 4) The Age Discrimination Act of 1975, as amended (42 USC ss. 6101-6107) which prohibits discrimination on the basis of age; 5) The Drug Abuse Office and Treatment Act of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; 6) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (PL 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7) The Public Health Service Act of 1912, ss. 523 and 527 (42 USC ss. 690dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; 8) Title VIII of the Civil Rights Act of 1968 (42 USC s. et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; 9) The Americans with Disabilities Act of 1990 (42 USC s. 1201 Note), as maybe amended from time to time, relating to nondiscrimination on the basis of disability; 10) Any other nondiscrimination provisions in any Federal or state statutes which may apply to COUNTY and CONTRACTOR to, or the subject matter of, this Agreement. 12. ASSIGNMENT/SUBCONTRACT CONTRACTOR shall not assign or subcontract its obligations under this agreement to others, except in writing and with the prior written approval of the Board of County Commissioners of Monroe County and CONTRACTOR, which approval shall be subject to such conditions and provisions as the Board may deem necessary. This paragraph shall be incorporated by reference into any assignment or subcontract and any assignee or sub shall comply with all of the provisions of this agreement. Unless expressly provided for therein, such approval shall in no manner or event be deemed to impose any additional obligation upon the board. 13. COMPLIANCE WITH LAW AND LICENSE REQUIREMENTS In providing all services/goods pursuant to this agreement, CONTRACTOR shall abide by all laws of the Federal and State government, ordinances, rules and regulations pertaining to, or regulating the provisions of, such services, including those now in effect and hereinafter adopted. Compliance with all laws includes, but is not limited to, the immigration laws of the Federal and State government. Any violation of said statutes, ordinances, rules and regulations shall constitute a material breach of this agreement and shall entitle the Board to terminate this Agreement. CONTRACTOR shall possess proper licenses to perform work in accordance with these specifications throughout the term of this Agreement. Agreement 9 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT - PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA 14. DISCLOSURE AND CONFLICT OF INTEREST CONTRACTOR represents that it, its directors, principles and employees, presently have no interest and shall acquire no interest, either direct or indirect, which would conflict in any manner with the performance of services required by this contract, as provided in Sect. l 12.311, et. seq., Florida Statutes. COUNTY agrees that officers and employees of the COUNTY recognize and will be required to comply with the standards of conduct for public officers and employees as delineated in Section 112.313, Florida Statutes, regarding, but not limited to, solicitation or acceptance of gifts; doing business with one's agency; unauthorized compensation; misuse of public position, conflicting employment or contractual relationship; and disclosure or use of certain information. Upon execution of this contract, and thereafter as changes may require, the CONTRACTOR shall notify the COUNTY of any financial interest it may have in any and all programs in Monroe County which the CONTRACTOR sponsors, endorses, recommends, supervises, or requires for counseling, assistance, evaluation, or treatment. This provision shall apply whether or not such program is required by statute, as a condition of probation, or is provided on a voluntary basis. COUNTY and CONTRACTOR warrant that, in respect to itself, it has neither employed nor retained any company or person, other than a bona fide employee working solely for it, to solicit or secure this Agreement and that it has not paid or agreed to pay any person, company, corporation, individual, or fine, other than a bona fide employee working solely for it, any fee, commission, percentage, gift, or other consideration contingent upon or resulting from the award or making of this Agreement. For the breach or violation of the provision, the CONTRACTOR agrees that the COUNTY shall have the right to terminate this Agreement without liability and, at its discretion, to offset from monies owed, or otherwise recover, the full amount of such fee, commission, percentage, gift, or consideration. 15. NO PLEDGE OF CREDIT CONTRACTOR shall not pledge the COUNTY'S credit or make it a guarantor of payment or surety for any contract, debt, obligation, judgment, lien, or any form of indebtedness. CONTRACTOR further warrants and represents that it has no obligation or indebtedness that would impair its ability to fulfill the terms of this contract. 16. NOTICE REQUIREMENT Any notice required or permitted under this agreement shall be in writing and hand delivered or mailed, postage prepaid, to the other party by certified mail, returned receipt requested, to the following: FOR COUNTY: Monroe County Facilities Maintenance Department 3583 South Roosevelt Boulevard Key West, FL. 33040 FOR CONTRACTOR: +�• S. Lk)dlA- Seru,eps CvijO�¢c%�Or. A r C ss I ! Agreement 10 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT - PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA 17. TAXES COUNTY is exempt from payment of Florida State Sales and Use taxes. CONTRACTOR shall not be exempted by virtue of the COUNTY' S exemption from paying sales tax to its suppliers for materials used to fulfill its obligations under this contract, nor is CONTRACTOR authorized to use the COUNTY'S Tax Exemption Number in securing such materials. CONTRACTOR shall be responsible for any and all taxes, or payments of withholding, related to services rendered under this agreement. 18. TERMINATION A. The COUNTY may terminate this Agreement with or without cause prior to the commencement of work. B. The COUNTY or CONTRACTOR may terminate this Agreement for cause with seven (7) days notice to CONTRACTOR. Cause shall constitute a breach of the obligations of either party to perform the obligations enumerated under this Agreement. C. Either of the parties hereto may cancel this agreement without cause by giving the other party sixty (60) days written notice of its intention to do so with neither party having any further obligation under the term s of the contract upon termination. 19. GOVERNING LAW, VENUE, INTERPRETATION, COSTS, AND FEES This Agreement shall be governed by and construed in accordance with the laws of the State of Florida applicable to Agreements made and to be performed entirely in the State. In the event that any cause of action or administrative proceeding is instituted for the enforcement or interpretation of this Agreement, the COUNTY and CONTRACTOR agree that venue will lie in the appropriate court or before the appropriate administrative body in Monroe County, Florida. 20. MEDIATION The COUNTY and CONTRACTOR agree that, in the event of conflicting interpretations of the terms or a term of this Agreement by or between any of them the issue shall be submitted to mediation prior to the institution of any other administrative or legal proceeding. Mediation proceedings initiated and conducted pursuant to this Agreement shall be in accordance with the Florida Rules of Civil Procedure and usual and customary procedures required by the circuit court of Monroe County. 21. SEVERABILITY If any term, covenant, condition or provision of this Agreement (or the application thereof to any circumstance or person) shall be declared invalid or unenforceable to any extent by a court of competent jurisdiction, the remaining terms, covenants, conditions and provisions of this Agreement, shall not be affected thereby; and each remaining term, covenant, condition and provision of this Agreement shall be valid and shall be enforceable to the fullest extent permitted by law unless the enforcement of the remaining terms, covenants, conditions and provisions of this Agreement would prevent the Agreement 11 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT — PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA accomplishment of the original intent of this Agreement. The COUNTY and CONTRACTOR agree to reform the Agreement to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. 22. ATTORNEY'S FEES AND COSTS COUNTY and CONTRACTOR agree that in the event any cause of action or administrative proceeding is initiated or defended by any party relative to the enforcement or interpretation of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees and attorney's fees, in appellate proceedings. Each party agrees to pay its own court costs, investigative, and out-of-pocket expenses whether it is the prevailing party or not, through all levels of the court system. 23. ADJUDICATION OF DISPUTES OR DISAGREEMENTS COUNTY and CONTRACTOR agree that all disputes and disagreements shall be attempted to be resolved by meet and confer sessions between representatives of each of COUNTY and CONTRACTOR. If no resolution can be agreed upon within 30 days after the first meet and confer session, the issue or issues shall be discussed at a public meeting of the Board of County Commissioners. If the issue or issues are still not resolved to the satisfaction of COUNTY and CONTRACTOR, then any party shall have the right to seek such relief or remedy as may be provided by this Agreement or by Florida law. 24. COOPERATION In the event any administrative or legal proceeding is instituted against either party relating to the formation, execution, performance, or breach of this Agreement, COUNTY and CONTRACTOR agree to participate, to the extent required by the other party, in all proceedings, hearings, processes, meetings, and other activities related to the substance of this Agreement or provision of the services under this Agreement. COUNTY and CONTRACTOR specifically agree that no party to this Agreement shall be required to enter into any arbitration proceedings related to this Agreement. 25. BINDING EFFECT The terms, covenants, conditions, and provisions of this Agreement shall bind and inure to the benefit of COUNTY and CONTRACTOR and their respective legal representatives, successors, and assigns. 26. AUTHORITY Each party represents and warrants to the other that the execution, delivery and performance of this Agreement have been duly authorized by all necessary COUNTY and corporate action, as required by law. Agreement 12 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT — PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA 27. CLAIMS FOR FEDERAL OR STATE AID CONTRACTOR and COUNTY agree that each shall be, and is, empowered to apply for, seek, and obtain federal and state funds to further the purpose of this Agreement; provided that all applications, requests, grant proposals, and funding solicitations shall be approved by each party prior to submission. 28. PRIVILEGES AND IMMUNITIES All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or -employees of any public agents or employees of the COUNTY, when performing their respective functions under this Agreement within the territorial limits of the COUNTY shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the COUNTY. 29. LEGAL OBLIGATIONS AND RESPONSIBILITIES This Agreement is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the delegation of the constitutional or statutory duties of the COUNTY, except to the extent permitted by the Florida constitution, state statute, and case law. 30. NON -RELIANCE BY NON-PARTIES No person or entity shall be entitled to rely upon the terms, or any of them, of this Agreement to enforce or attempt to enforce any third -party claim or entitlement to or benefit of any service or program contemplated hereunder, and the COUNTY and the CONTRACTOR agree that neither the COUNTY nor the CONTRACTOR or any agent, officer, or employee of either shall have the authority to inform, counsel, or otherwise indicate that any particular individual or group of individuals, entity or entities, have entitlements or benefits under this Agreement separate and apart, inferior to, or superior to the community in general or for the purposes contemplated in this Agreement. 31. ATTESTATIONS CONTRACTOR agrees to execute such documents as the COUNTY may reasonably require, to include a Public Entity Crime Statement, an Ethics Statement, and a Drug -Free Workplace Statement. 32. NO PERSONAL LIABILITY No covenant or agreement contained herein shall be deemed to be a covenant or agreement of any member, officer, agent or employee of Monroe County in his or her Agreement 13 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT - PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA individual capacity, and no member, officer, agent or employee of Monroe County shall be liable personally on this Agreement or be subject to any personal liability or accountability by reason of the execution of this Agreement. 33. EXECUTION IN COUNTERPARTS This Agreement may be executed in any number of counterparts, each of which shall be regarded as an original, all of which taken together shall constitute one and the same instrument and any of COUNTY and CONTRACTOR hereto may execute this Agreement by singing any such counterpart. 34. SECTION HEADINGS Section headings have been inserted in this Agreement as a matter of convenience of reference only, and it is agreed that such section headings are not a part of this Agreement and will not be used in the interpretation of any provision of this Agreement. 35. PUBLIC ENTITY CRIME INFORMATION STATEMENT "A person or affiliate who has been placed on the convicted vendor list following a conviction for a public entity crime may not submit a bid on a contract to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to a public entity, may not be awarded or perform work as a Construction Manager, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list." 36. PRIVILEGES AND IMMUNITIES All of the privileges and immunities from liability, exemptions from laws, ordinances, and rules and pensions and relief, disability, workers' compensation, and other benefits which apply to the activity of officers, agents, or employees of any public agents or employees of the County, when performing their respective functions under this Agreement within the territorial limits of the County shall apply to the same degree and extent to the performance of such functions and duties of such officers, agents, volunteers, or employees outside the territorial limits of the County 37. LEGAL OBLIGATIONS AND RESPONSIBILITIES AND NON - DELEGATION OF CONSTITUTIONAL OR STATUTORY DUTIES This Agreement is not intended to, nor shall it be construed as, relieving any participating entity from any obligation or responsibility imposed upon the entity by law except to the extent of actual and timely performance thereof by any participating entity, in which case the performance may be offered in satisfaction of the obligation or responsibility. Further, this Agreement is not intended to, nor shall it be construed as, authorizing the Agreement 14 October 2007 OPERATION AND MAINTENANCE SEWAGE TREATMENT PLANT- PLANTATION KEY GOVERNMENT CENTER, MONROE COUNTY, FLORIDA delegation of the constitutional or statutory duties of the County, except to the extent permitted by the Florida constitution, state statute, and case law. 38. MUTUAL REVIEW This agreement has been carefully reviewed by Contractor and the County therefore, this agreement is not to be construed against either party on the basis of authorship 39. INCORPORATION OF BID DOCUMENTS The terms and conditions of the bid documents are incorporated by reference in this contract agreement. 40. ANNUAL APPROPRIATION The County's performance and obligation to pay under this agreement is contingent upon an annual appropriation by the Board of County Commissioners. In the event that the County funds on which this Agreement is dependent are withdrawn, this Agreement is terminated and the County has no further obligation under the terms of this Agreement to the Contractor beyond that already incurred by the termination date. IN WITNESS WHEREOF, COUNTY and CONTRACTOR hereto have executed 11h-.gt'eement on the day and date first written above in four (4) counterparts, each of Ash'�Wl, without proof or accounting for the other counterparts, be deemed an ;; Ogi eo*ract. �E) BOARD OF NTY COMMISSIONERS Attest' 1EANNY L. KOLHAGE, CLERK OF MONR LINTY, FLOIDA By: Deputy Clerk Mayor Charles " onny" McCoy Date: , AN 1 6 208 Witnesses for CONTRACTOR: Signature Date C�} Y- C Sign ure 41-2e-// 07 Date Agreement Date: JAN 1 8 2008 Signa=oYpersonhorized to legally N d Corporation Date: 1-026- d 7 o Print Name r—�� co Address: `fs S Goss 1" 1 &hj is R.Y-1-P�� 3 Telephone Number 7,1 'f D F' W MONROE_COUNTY ATTORNEY ch APPR6VED AS TO)FOVtM: 15 Pi=DRO J. MEACADO ASSISTANT COU Y ATTORN Date Qctober 2007 ::_a =�i Jeb Bush Governor EXHIBIT A Department of Environmental Protection South District P.O. Box 2549 Fort Myers. Florida 33902-2549 C1 RTTFTI:?D MAIL NO.: 7003 10100004 1.1974714 RETIJRN RECEIPT RE011ESTED In the Matter of an Application for Permit by: John King, Director of Facility Maintenance Monroe County Board of County Commissioners 3583 South Roosevelt Blvd. Key West. Fl. 33040 Colleen M. Castille Secretary :Monroe County - DW Plantation Key Government Center WWTP Permit No.: FLA014699 PA File No.: FLA014699-002-DW3P NOTICE OF PERMIT ISSUANCE Enclosed is Permit Number FLA014699 to operate a domestic wastewater treatment facility and two injection wells. issued under Section 403.087, Florida Statutes. The Department's proposed agency action shall become final unless a timely petition for an administrative hearing is filed under Sections .120.569 and 120.57. Florida Statutes, within fourteen days of receipt of notice. The procedures for petitioning for a hearing are set forth below. A person whose substantial interests are affected by the Department's proposed permitting decision may petition for an administrative proceeding (hearing) under Sections 11-0.569 and 120.57, Florida Statutes. The petition must contain the information set forth below and must be tiled (received by the clerk) in the Office of General Counsel of the Department at 3900 Commonwealth Boulevard, Mai I Station 35, Tallahassee, Florida 32399-3000. Under Rule 63-110.106(4). Florida Administrative Ccule, a person may request enlargement of the time for filing a petition for an administrative hearing. The request must be tiled (received by the clerk) in the Office of CrLneral Counsel before the end of the time period for filing a petition for an administrative hearing. Petitions by the applicant or any of the persons listed below must be tiled within fourteen days of receipt of this Written notice. Petitions filed by any persons other than those entitled to written notice under Section 120.6001. Florida Statutes, must be filed within fourteen days of publication of the notice or within fourteen days of receipt of the written notice, whichever occurs first. Under Section 120.60(3). Florida Statutes, however, any person who has asked the Department for notice of agency action may file a petition within fourteen days of receipt of such notice, regardless of the date of publication. The petitioner shall mail a copy of the petition to the applicant at the address indicated above at the time of filing. The failure of any person to file a petition or request for enlargement of time within fourteen days of receipt of notice shall constitute a waiver (if that person's right to request an administrative determination (hearing) under Sections 120.569 and 1.20.57, Florida Statutes. Any subsequent intervention i I jlvlll)� �3Y Page 1 of 3 "r;1or� Pretemon, 1es5 Process" Printed on recycled paper. 9 ^-. Plantation Key Government..;nlcr WWTP 13A File No.: FLA014699-002-DW3P (in a proceeding initiated by another party) will be only at the discretion of the presiding officer upon the tiling cif a motion in compliance with Rule 3&-106.205, Florid,.: Administrative Code. A petition that disputes the material facts on which the Department's action is based must contain the following information: (a) The name, address, and telephone number of each petitioner; the name, address, and telephone number of the petitioner's representative, if any: the Department pen -nit identification number and the county in which the subject matter or activity is located; (b) A statement of how and when each petitioner receives notice of the Department action; tc) A statement of how each petitioner's substantial interests are affected by the Department action. (d) A statement of all disputed issues of material fact. If theree are none, the petition must so indicate; (e) A statement of facts that the petitioner contends warrant reversal or modification of the Department action; (1) A concise statement of the ultimate facts alleged, as well as the rules and statutes which entitle the petitioner to relief; and (g) A statement of the relief sought *�y the petitioner, stating precisely the action that the petitioner wants the Department to take. Because the administrative hearing process is designed to formulate final agency action, the filing of a petition means that the Department's final action may be different from the position taken by it in this notice. Persons whose substantial interests will be affected by any such final decision of the Department have the right to petition to become a party to the proceeding, in accordance with the requirements set forth above. In addition to requesting an administrative hearing, any petitioner may elect to pursue mediation. The election may be accomplished by filing with the Department a mediation agreement with all parties to the proceeding (i.e., the applicant, the Department, and any person who has tiled a timely and sufficient petition for a hearing). The agreement must contain all the information required by Rule 28-106.404. Florida Administrative Code. The agreement must be received by the clerk in the Office of General Counsel of the Department at 3900 Commonwealth Boulevard, Mail Station 35, Tallahassee, Florida 32399-3000, within ten days after the deadline for filing a petition, as set forth above. Choosing mediation will nut adversely affect the right to a hearing if mediation does not result in a settlemenl. As provided in Section 120.573, Florida Statutes, the timely agreement of all parties to mediate will toll the time limitations imposed by Sections 120.569 and 120.57, Florida Statutes, for holding an administrative hearing and issuing a final order. finless otherwise agreed by the parties, the mediation must be concluded within sixty days of the execution of the agreement. If mediation results in settlement of the administrative dispute, the Department must enter a final order incorporating the agreement of the parties. Persons seeking to protect their substantial interests that would he affected by such a modified final decision must file their petitions within fourteen days of receipt of this notice, or they shall be deemed to have waived their right to a proceeding under Sections 12.0.569 and 120.57, Florida Statutes. If mediation terminates without settlement of the dispute, the Department shall notify all parties in writing that the administrative hearing processes under Sections I20.569 and 120.57. Florida Statutes, remain available for disposition of the dispute, and the notice will specify the deadlines that then will apply for challenging the agency action and electing remedies under those two statutes. This permit is final and effective on the date filed with the clerk of the Department unless a petition (or request for enlargement of time) is filed in accordance with the above. Upon the timely tiling of a petition (or request for enlargement of time) this permit will not be effective until further order of the Department. Any party to this permit has the right to seek judicial review under Section 120.68, Florida Statutes, by the filing of a notice of appeal under Rules 9.110 and 9.190, Florida Rules of Appellate Procedure with the clerk of the Department in the Office of General Counsel, 3900 Commonwealth Boulevard, Mail Station 35, Tallahumcc, Florida, 32399-3000; and by filing a copy of the notice of appeal accompanied by the applicable Page 2 of 3 I'lantation Kcy Government .enter WWTP PA File No.: FI,AO14699-002-DW3P tiling fees with the appropriate district court of appeal. The notice of appeal must he tiled within 30 days from the date when this permit is filed with the clerk of the Department. Executed in Fort Myers, FL, Florida. STATE OF FLORIDA DEPARTMENT OF EN V IRONMI?N FAL PROTECTION Jon Mliglehart Acting' Director of District Management CERTIFICATE OF SERVICE The undersigned hereby certifies that this NOTICE OF PERMIT ISSUANCE and all copies were mailed before the close of business on June,, 2004 to the listed persons. FILING AND ACKNOWLEDGMENT FILED, on this date, under Section 120.52, Florida Statutes, with the designated deputy clerk, receipt of which is hereby acknowledged. 61erk Datc JMI/SRM/jli Copies furnished to: Sean Kirwan, P.E. — Glen Boe & Associates, Inc. Gus Rios — FDEP Marathon Page 3 of 3 BOARD OF COUNTY COM.NL IISSIONERS AGENDA ITEM SUMMARY Meeting Date: 01/20/2010 Division: County Administration Bulk Item: Yes X No Department: Social Services Staff Contact Person: Sheryl Graham x4510 AGENDA ITEM `VORDING: Approval of the Weatherization Assistance Program, American Recovery and Reinvestment Act Sub -grant Agreement (ARRA WAP), Contract# IOWX-7X-11-54-01-319 between 'vlonroe County Board of County Commissioners Community Services/Social Services) and the State of Florida, Department of Community Affairs for the provision of funds to reduce the monthly energy burden on low-income households by improving the energy efficiency of the home. ITEM BACKGROUND: Please refer to attached application submitted on 12/2/09 by Monroe County Social Services to the Department of Community Affairs and the Selection Letter from Department of Community Affairs dated 12/14/09. PREVIOUS RELEVANT BOCC ACTION: N/A CONTRACT/AGREEMENT CHANGES: N/A STAFF RECOMMENDATIONS: Approval TOTAL COST: $ 47,363.00 COST TO COUNTY: $0 BUDGETED: Yes X No SOURCE OF FUNDS: Grant funds REVENUE PRODUCING: Yes N/A No _ ALNIOUNT PER: MONTH: YEAR, APPROVED BY: County Atty. / UMB/Purchasing gRisk Manaement DOCUMENTATION: Iiicltided Not Required To Follow _ DISPOSITION: .AGENDA ITEM # _(2� -3 Rey is d S, 06 MONROE COUNTY BOARD OF COUNTY COMMISSIONERS CONTRACT SUMMARY Contract with: WAP (DCA) Contract: # 1 OWX- 7X-11-54-01-319 Effective Date: 1-01-2010 Expiration Date: 4-30-10 Contract Purpose/Description: Approval of the Weatherization Assistance Program (WAP) federally funded Sub -grant Agreement Number l OWX-7X-11-54-01-319 between Monroe County Board of County Commissioners and the State of Florida, Department of Community Affairs for the provision of funds to reduce the monthly energy burden on low-income households by improving the energy efficiency of the home. Contract Manager: Sheryl Graha 4510 Social Services/Stop 1 (Name) (Ext.) (Department/Stop #) I For BOCC meeting on 01 /20/2010 Agenda Deadline: 01105110 CONTRACT COSTS Total Dollar Value of Contract: approx. $47,363.00 Budgeted? Yes X No Account Codes: County Match: -0- Additional Match: 0 Total Match $0 Estimated Ongoing Costs: $ /yr ( Not included in dollar value above) Date In Division Director j r /le. Risk Management O.M.B./Purchasing County Attorney `ate j C' Comments: 0NIB Form Revised 2/27/01 NICP #2 Current Year Portion: $_ ADDITIONAL COSTS For: (e.g. Maintenance, utilities, janitorial, salaries, etc) CONTRACT REVIEW Changes Need.` I Yes No Yes No --- Yes No L Yes 115N Date Out _/// STATE OF FLORIDA DEPARTMENT OF COMMUNITY AFFAIRS Contract number: IOWX-7Y-11-54-01-319 INITIAL FEDERALLY -FUNDED WEATHERIZATION ASSISTANCE PROGRAM VNIERICAN RECOVERY AND REINVESTMENT ACT SU'BGRANT AGREEMENT THIS AGREEMENT is entered into by the State of Florida, Department of Community Affairs, with headquarters in Tallahassee, Florida ( hereinafter referred to as the "Department"), and 1�lonroe County Board of County Commissioners (hereinafter referred to as the "Recipient"). THIS AGREEMENT IS ENTERED INTO BASED ON THE FOLLOWING REPRESENTATIONS: A. The Recipient represents that it is fully qualified and eligible to receive these grant hinds to provide the services identified herein; and B. The Department has received these grant funds from the State of Florida, and has the authority to subgrant these fiends to the Recipient upon the terms and conditions below; and C. The Department has statutory authority to disburse the fiends under this Agreement. THEREFORE, the Department and the Recipient agree to the following: (1) SCOPE OF WORK The Recipient shall perform the work in accordance with the Budget and Scope of Work, Attachment A of this Agreement. (2) INCORPORATION OF LAWS, RULES, REGULATIONS AND POLICIES The Recipient and the Department shall be governed by applicable State and Federal laws, rules and regulations, including those identified in Attachment B. (3) PERIOD OF AGREEMENT This Agreement shall begin January 21, 2010 and shall end April 30, 2010, unless terminated earlier in accordance with the provisions of Paragraph (12) of this Agreement. (4) `v1ODIFICATION OF CONTRACT Either party may request rnodification of the provisions of this Agreement. Changes which are agreed upon shall be valid only when in «-riting, signed by each of the parties, and attached to the original of this Agreement. (5) RECORDKEPING (a) As applicable, Recipient's performance under this Agreement shall be subject to the federal ..t oiiii non Rule: Liil of -ill .°\diiiiilistratiN'e Ret,lllremems for State and Local Governments" (53 Federal Register 0 4) or ONIB Circular No. A-1 l (). {Grants alld Agreements with lnstltlitloils of I llgher Educatloii. I lospitals. mid t.)tlier Nonprofit Organizations." and eitlzer ONIB C II-CLIlar No. A-87. "Cost Principles for State and Local Go\ ernmelits," 0.1v1B Circular `o. A-21, "Cost Principles for Educational Ii­istitutioiis," oi- 0\ 1 B Circular \o. A- 1 22. 'Cost Principles for \orlpro�tit Orgallizatlolis." If tlils .k,ureement Is made with a l:oimnercial (tier-prot'it) organization on a cost -reimbursement basis, the Recipient shall be subject to Federal Acquisition Regulations 31.1 and 931... ( b) The Recipient shall retain sufficient records to show its compliance with the terms of this A,reement, and the compliance of all subcontractors or consultants paid from fiends under this Agreement, for a ,period of five years from the date the audit report is issued, and shall allow the Department or its designee, the State Chief Financial Officer or the State Auditor General access to the records upon request. The Recipient shall ensure that audit working papers are available to them upon request for a period of five years from the date the audit report I s issued, unless extended in writing by the Department. The five year period may be extended for the following exceptions: l . If anv litigation, claim or audit is started before the rive year period expires, and extends ')eyond the five year period, the records shall be retained until all litigation, claims or audit findings involving the records have been resolved. ?. Records for the disposition of non -expendable personal property valued at $5,000 or more at the time it is acquired shall be retained for five years after final disposition. 3. Records relating to real property acquired shall be retained for five years after the closing on the transfer of title. (c) The Recipient shall maintain all records for the Recipient and for all subcontractors or consultants to be paid from fiends provided under this Agreement, including documentation of all program costs, in a form sufficient to determine compliance with the requirements and objectives of the Budget and Scope of Work - .-attachment A - and all other applicable laws and regulations. (d) The Recipient, its employees or agents, including all subcontractors or consultants to be paid from fiends provided under this Agreement, shall allow access to its records at reasonable times to the Department, its employees, and agents. "Reasonable" shall ordinarily mean during normal business hours of 8:00 a.m. to 5:00 p.m., local time, on Monday through Friday. "Agents" shall include, but not be limited to, auditors retained by the Department. (6) AUDIT REOUIREMENTS (a) The Recipient agrees to maintain financial procedures and support documents, in accordance with generally accepted accounting principles, to account for the receipt and expenditure of funds tinder this Agreement. (b) These records shall be available at reasonable times for inspection, review, or �iUdit by state personnel and other personnel authorized by the Department. "Reasonable" shall ordinarily mean normal business hours of 8:00 a.m. to 5:00 p.m., local time, Nilonday through Friday. (c) The Recipient shall provide the Department with the records, reports or financial statements upon request for the purposes of auditing and monitoring the hinds awarded under this Agreement. In (d) If the Recipient is a State or local goN,ernment or a non-profit organization as defined in OMB Circular A-133. as re, ised. and in the e\-ent that the Recipient expends SS00,000 or more in Federal .awards in its t I,caI car, ti;e Rec Ipierit I11LINt hay e a single or pro(Yrani-specific audit condticted in accordance \x,itli the proti isioiis O 0%1B Circular A-13 3, as rex ised. EXHIBIT 1 to this Agreement shorn s the Federal resources a«arded dirotitzli the Department by this A reement. In determining the Federal atktirds expended in its fiscal year. the Rk:cipiellt ,,,,all Coiisider all SoUrc:es of Federal a1,,ards. including EXIeral resotrces recel�-ed froill the Department. The determination of amounts of Federal awards expended should be in accordance with the guidelines established by ONIB Circular A-133, as revised. An audit of the Recipient conducted by the auditor General in accordance with the provisions of O IB Circular A-133. as revised, will meet the requirements of this paragraph. In connection with the audit requirements addressed in this Paragraph 6 (d) above, the Recipient shall fulfill the requirements for auditee responsibilities as provided in Subpart C of 0.1B Circular A-133. as revised. If the Recipient expends less than S500,000 in Federal awards in its fiscal year, an audit conducted in accordance with the provisions ofONIB Circular A-133, as revised, is not required. In the event that the Recipient expends less than $500.000 in Federal awards in its fiscal year and chooses to have an audit conducted in accordance with the provisions of O.MB Circular A-133, as revised, the cost of the audit must be paid from non - Federal funds. (e) Send copies of reporting packages for audits conducted in accordance with O.'V1B Circular A-133, as revised, and required by subparagraph (d) above, when required by Section .320 (d), OMB Circular A-133. as revised, by or on behalf of the Recipient to: The Department of Community Affairs at each of the following addresses: Department of Community Affairs Office of Audit Services 2555 Shumard Oak Boulevard Tallahassee, Florida 32399-2100 [also send an electronic copy to aurilla.parrish@dca.state.fl.us] and Department of Community Affairs Weatherization ARRA Program 2555 Shumard Oak Boulevard Tallahassee, Florida 32399-2100 Send the Single Audit reporting package and Form SF -SAC to the Federal Audit Clearinghouse by submission online at http:, /harvester. census.gov/ faci'coIlect/ddeindex html And to any other Federal agencies and pass -through entities in accordance with Sections .320 (e) and (f), O'1iIB Circular A-133, as revised. (t) Pursuant to Section .320 (f), Oti1B Circular A-133, as revised, the Recipient shall send a copy of the reporting package described in Section .320 (c), ON4B Circular A-133, as revised, and any management letter issued by the auditor, to the Department at the following addresses: Department of Community Affairs Office of .-Vudit Services 2555 Shumard Oak Boulevard Tallahassee, Florida 32399-2100 Ialso send an Electronic copy to aurilla.parrish:a (lea.state.tl.usl and Department Of Coi11111Lill lt�' Affairs `Veatllerization :kRRA Proizrani 5 5 SllUnlard Oak Boulek and Tallahassee. Florida 32399-2100 g) By the date due, send any reports, management letter, or other information required to be -submitted to the Department pursuant to this Agreement in accordance with O-'IvIB Circular A-133, Florida Statutes, and Chapters 10.550 ( local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the _-auditor General, as applicable. (h) Recipients should state the date that the reporting package was delivered to the Recipient when submitting financial reporting packages to the Department for audits done in accordance with ONIB Circular A-133 or Chapters 10.550 ( local governmental entities) or 10.650 ( nonprofit and for -profit organizations), Rules of the .-auditor General, (1) If the audit shows that all or any portion of the funds disbursed were not spent in accordance with the conditions of this Agreement, the Recipient shall be held liable for reimbursement to the Department of all funds not spent in accordance with these applicable regulations and Agreement provisions within thirty days after the Department has notified the Recipient of such non-compliance. ( j) The Recipient shall have all audits completed by an independent certified public accountant ( IPA), either a certified public accountant or a public accountant licensed tinder Chapter 473, Fla. Stat. The IPA shall state that the audit complied with the applicable provisions noted above. The audit must be received by the Department no later than nine months from the end of the Recipient's fiscal year. (7) REPORTS (a) The Recipient shall provide the Department with monthly and semi-annual plus a close-out report. These reports shall include the current status and progress by the Recipient and all subrecipients and subcontractors in completing the work described in the Scope of Work and the expenditure of funds tinder this Agreement, in addition to any other information requested by the Department. (b) Monthly reports are due to the Department no later than 15 days after the end of each production period (first day through last day of each month) of the agreement period and shall be sent each month until submission of the administrative close-out report. (c) Semi-annual reports are due to the Department no later than 15 days after the end of each semi- annual period. The ending dates for each semi-annual period are September 1 and March 31. (d) The close-out report is due 30 days after termination of this Agreement or 30 days after completion of the activities contained in this Agreement, whichever first occurs. (e) If all required reports and copies are not sent to the Department or are not completed in a manner acceptable to the Department, the Department may withhold further payments until they are completed or may take other action as stated in Paragraph (11) REMEDIES. "Acceptable to the Department" means that the work product was completed in accordance with the Budget and Scope of Work. (0 The Recipient shall provide additional program updates or information that inay be required by the Department. ( `,) The Recipient shall provide additional reports and lilformation identified in Attachnient D. \10NITORING the Recipient shall inonitor its perforniance tinder this Agreement, as «ell as that of its stibcoiltractors .end or constiltants .vho are paid rroln binds proN ided under this :\greelllent, to ensure that tiine schedules are 'Mil, :11c't, the 5chedtlle of Dcll� eI'ablts and Scope tit tiVork are lain ? accoillplisllc:ll «"itllill the -s��ecitle�l tiille pei'iodS, �;i1d Other performance goals are being achieved. A review shall be done for each function or activity in .-kttachment A to this Agreement, and reported in the quarterly report. In addition to reviews of audits conducted in accordance with paragraph (6) above, monitoring ;procedures may include, but not be limited to, on -site visits by Department staff, Department -contracted monitoring entities or other agents, limited scope audits, and.,or other procedures. The Recipient agrees to comply and cooperate with any monitoring procedures; processes deemed appropriate by the Department. In the event that the Department determines that a limited scope audit of the Recipient is appropriate, the Recipient agrees to comply «- ith any additional instructions provided by the Department to the Recipient regarding such audit. The Recipient further agrees to comply and cooperate with any inspections, reviews, investigations or audits deemed necessary by the Florida Chief Financial Officer or Auditor General. In addition, the Department will monitor the performance and financial management by the Recipient throughout the contract term to ensure timely completion of all tasks. (9) LIABILITY (a) Unless Recipient is a State agency or subdivision, as defined in Section 768.28, Fla. Stat., the Recipient is solely responsible to parties it deals with in carrying out the terms of this Agreement, and shall hold the Department harmless against all claims of whatever nature by third parties arising from the work performance under this Agreement. For purposes of this Agreement, Recipient agrees that it is not an employee or agent of the Department, but is an independent contractor. (b) Any Recipient which is a state agency or subdivision, as defined in Section 768.28, Fla. Stat., agrees to be frilly responsible for its negligent or tortious acts or omissions which result in claims or suits against the Department, and agrees to be liable for any damages proximately caused by the acts or omissions to the extent set forth in Section 768.28, Fla. Stat. Nothing herein is intended to serve as a waiver of sovereign immunity by any Recipient to which sovereign immunity applies. Nothing herein shall be construed as consent by a state agency or subdivision of the State of Florida to be sued by third parties in any matter arising out of any contract. (10) DEFAULT If any of the following events occur ("Events of Default"), all obligations on the part of the Department to make further payment of fiends shall, if the Department elects, terminate and the Department has the option to exercise any of its remedies set forth in Paragraph (11). However, the Department may make payments or partial payments after any Events of Default without waiving the right to exercise such remedies, and without becoming liable to make any further payment: (a) If any warranty or representation made by the Recipient in this Agreement or any previous Agreement with the Department is or becomes false or misleading in any respect, or it the Recipient fails to keep or perform any of the obligations, terms or covenants in this ,,kgreement or any previous agreement with the Department and has not cured them in timely fashion, or is tillable or tinN,` Illing to meet Its obligations tinder this .-\vreenient: (11) If material adverse changes occtlr In the tillanclal condition of the; Reclplt'nt at any time dtiring the 1:21'lll of tills A,_Ireenlellt, and the Ree:ipiellt tails to Ctll'e this adN-e'.rse chill(Te: `x 1th1I1 th*rty d 1vs frolll the date \�-I` te:n l'Lutice Is sent 11`" the DepartIllent. (0 If 1-iny reports regUired i)-v this .kgreement have not heen SU1llllltted to the Department or ha- e heen ',L111 pitted «Ith incorrect. incomplete or lnslltticlent infomiatlon; 5 (d) It the Recipient has tailed to perform and complete in timely fashion any of its obligations under this agreement. ( l 1) REMEDIES If an Event of Default occurs, then the Department may, upon thirty calendar days written notice to the Recipient and upon the Recipient's failure to cure within those thirty days, exercise any one or more of the following :.-medles, either concurrently or consecutively: (a) Terminate this agreement, provided that the Recipient is given at least thirty days prior N ritten notice of such termination. The notice shall be effective when placed in the United States, first class mail, postage prepaid, by registered or certified mail -return receipt requested, to the address set forth in paragraph (,13) herein; (b) Begin an appropriate legal or equitable action to enforce performance of this agreement; ( c) Withhold or suspend payment of all or any part of a request for payment; (d) Require that the Recipient refiind to the Department any monies used for ineligible purposes tinder the laws, rules and regulations governing the use of these funds. (e) Exercise any corrective or remedial actions, to include but not be limited to: l . request additional information from the Recipient to determine the reasons for or the extent of non-compliance or lack of performance, not corrected, in question, or 2. issue a written warning to advise that more serious measures may be taken if the situation is 3. advise the Recipient to suspend, discontinue, or refrain from incurring costs for any activities 4. require the Recipient to reimburse the Department for the amount of costs incurred for any items determined to be ineligible; (f) Exercise any other rights or remedies which may be otherwise available tinder law. (g) Pursuing any of the above remedies will not keep the Department from pursuing any other remedies in this agreement or provided at law or in equity. if the Department waives any right or remedy in this Agreement or fails to insist on strict performance by the Recipient, it will not affect, extend or waive any other right or remedy of the Department, or affect the later exercise of the same right or remedy by the Department for any other default by the Recipient. (12) TER.MINATION (a) The Department may terminate this agreement for cause with thirty days written notice. Cause can include misuse of funds, fraud, lack of compliance with applicable rules, laws and regulations, failure to perform in a timely manner, and refusal by the Recipient to permit public access to any document, paper, letter, or ether material subject to disclosure tinder Chapter 111). Fla. Stat., as amended. (b) The Department may terminate this Agreement for convenience or N hen It determines, In its sole discretion. that continuing the Agreement lNotild not produce beneficial results In line \kith the tUrther expenditure of diners, by prod ldiil` the Recipient \xvIth thirty calendar days (prior «rlttcn notice. (c) rlle parties inav akree to terminate this Agyreenlent for their nitlttial cunt enlence thrOLIgh a writttn ,iIlleildnlent of this Agreement. Tile amendment shall state the effective date of the termination and the procedures for proper closeorit of the :V`reenient. (d) In the event that this Agreement is terminated, the Recipient will not incur new obligations for the terminated portion of the Agreement after the Recipient has received the notification of termination. The Recipient I.vill cancel as many outstanding obligations as possible. Costs incurred after receipt of the termination notice will je disallowed. The Recipient shall not be relieved of liability to the Department because of any breach of A01reement by the Recipient. The Department may, to the extent authorized by law, withhold payments to the Recipient for the purpose of set-off lentil the exact amount of damages due the Department from the Recipient is determined. ( 13) NOTICE AND CONTACT (a) All notices provided tinder or pursuant to this Agreement shall be in writing, either by hand delivery, or first class, certified mail, return receipt requested, to the representative identified below at the address set forth below and said notification attached to the original of this Agreement. (b) The name and address of the Division contract manager for this Agreement is: Norm Gempel 2555 Shumard Oak Boulevard Telephone: (850) 488-7541 Fax: (850) 488-2488 Email: norm. gempel @dca.state.fl.us (c) The name and address of the Representative of the Recipient responsible for the administration of this Agreement is: (Name) �f11C.r` S ��c�i (Address) 6tn1,m jZn3 5t� J- �v�-t ... �. _ 2-5-7 Telephone: � -fro 1 Fax: INT zq J Email: rL 5vie-ril E m%lomc C^��t 3� (d) In the event that different representatives or addresses are designated by either party after execution of this Agreement, notice of the name, title and address of the new representative will be provided as stated in (13)(a) above. (14) SUBCONTRACTS If the Recipient subcontracts any of the work required Linder this Agreement, a copy of the unsigned Subcontract inust be forwarded to the Department for review and Approval before it is executed by the Recipient. The Recipient agrees to Include in the subcontract that (1) the S1111Contractor is bound bV the terms of this AgreeIllent, (11) the subcontractor IS bOUnd by all applicable state and federal lavv-s and regulatll)I1S, and (lit) the tillbCoihtraCtur ,�i all hold the Department and Recipient 11,11'Illless � .A alilst 111 claims of «hates er filature arisin` OUt of thie �llbcoiltractor's performance of NNork Under this .\_reement. to the extent allowed and required bV law. The Reciplem shall docuniellt In the quarterly I'C1101-t the SUIN011tractor's pro`ress in performin? its «Ork uild�r th' Is �geeIllent. For each subcontract, the Recipient shall provide a written statement to the Department as to Nkhether that subcontractor is a minority vendor, as defined in Section 288.703, Fla. Stat. (1 5) TERMS AND CONDITIONS This Agreement contains all the terms and conditions agreed upon by the parties. 16) ATTACHMENTS �; a} All attachments to this Agreement are incorporated as if set out fully. (b) In the event of any inconsistencies or conflict between the language of this Agreement and the attachments, the language of the attachments shall control, but only to the extent of the conflict or inconsistency. (c) This Agreement has the following attachments (check all that are applicable): ® Exhibit 1 - Funding Sources ® Attachment A — Scope of Work and Budget ® Attachment B — Program Statutes and Regulations ® .-attachment C — Recordkeeping ® Attachment D — Reports ® Attachment E — Justification of Advance ® Attachment F — Warranties and Representations ® Attachment G — Certification Regarding Debarment ® Attachment H — Statement of Assurances ® Attachment I — County Allocation ® Attachment J — Special Conditions ® Attachment K — Recipient Information Form (17) FUN DING/CON SIDERATION (a) This is a cost -reimbursement Agreement. The Recipient shall be reimbursed for costs incurred in the satisfactory performance of work hereunder in an amount not to exceed $ 47,363.00, subject to the availability of fiends. (b) Any advance payment under this Agreement is subject to Section 216.1810 6), Fla. Stat., and is contingent upon the Recipient's acceptance of the rights of the Department tinder Paragraph (12)(b) of this Agreement. The amount which may be advanced may not exceed the expected cash needs of the Recipient within the first three (3) months of the contract term. Any advance payment is also subject to federal ONIB Circulars A-87, A- l 10, A-122 and the Cash Management Improvement Act of 1990. If an advance payment is requested below, the budget data on which the request is based and a justification statement shall be included in this Agreement as Attachment E. Attachment E will specify the amount of advance payment needed and provide an explanation of the necessity for and proposed use of these; funds. An advance payment Is Iequested In the an7otint of (check and co1111)lt'te �) .\ t ter the I[11 tl�Il advance. f ;Illti', i��l� nlellt shall b� i11ad�,' vIl �t I'L II11f�UI'S�i11e11t b�:�IS as needcd. l iiC' Recipient aujrees to expend hinds in accordance «ith the Budget and Scone of Work, :lttaclznient :k of this It the necessary binds are not available to hind this Agreement as a result of action by the United States Congress, the federal Office of 10anagement and Budgeting, the State Chief Financial Officer, or under subparagraph (19)(h) of this Agreement, all obligations on the part of the Department to make any further payment of funds shall terminate, and the Recipient shall submit its closeout report within thirty days of receiv ing notice 'from the Department. 1 8) REPAYMENTS All refunds or repayments to be made to the Department under this Agreement are to be made payable to the order of "Department of Community Affairs" and mailed directly to the Department at the following address: Department of Community Affairs Cashier Finance and Accounting 55 Shumard Oak Boulevard Tallahassee FL 32399-2100 In accordance with Section 215.34(2), Fla. Stat., if a check or other draft is returned to the Department for collection, Recipient shall pay to the Department a service fee of Fifteen Dollars ($15.00) or Five Percent (5° o) of the face amount of the returned check or draft, whichever is greater. (19) :MANDATED CONDITIONS (a) The validity of this Agreement is subject to the truth and accuracy of all the information, representations, and materials submitted or provided by the Recipient in this Agreement, in any later submission or response to a Department request, or in any submission or response to fiilfill the requirements of this Agreement. All of said information, representations, and materials are incorporated by reference. The inaccuracy of the submissions or any material changes shall, at the option of the Department and with thirty days written notice to the Recipient, cause the termination of this Agreement and the release of the Department from all its obligations to the Recipient. (b) This Agreement shall be construed under the laws of the State of Florida, and venue for any actions arising out of this Agreement shall be in the Circuit Court of Leon County. If any provision of this Agreement is in conflict with any applicable statute or rule, or is unenforceable, then the provision shall be null and void to the extent of the conflict, and shall be severable, but shall not invalidate any other provision of this Agreement. (c) Any power of approval or disapproval granted to the Department under the terms of this Agreement shall survive the term of this Agreement. (d) This Agreement may be executed in any number of counterparts, any one of Nvhich may be taken as an original. (e) The Recipient algrees to comply with the Americans with Disabilities Act ( Public Law 101-336, 42 U.S.C. Suction 1 101 et .see .) and the Florida Cis it Rights and Fair blousing Acts (`ectiolls 760.01 - 60.3 . Florida Statutes), \016 prohibit discrimination by lIublie and private entities oil the basis of disability in k2lllplu%111ent, public aCcl)111111o11atltills, tr:lnspurtation, state and local governmem services. aild teleCO111111Lill 1C�tlolls. (t) A Gerson or organization t,� 110 has been placed oil the convicted \ elldor list tc,Ilo% itl� a coll� lctloll t0r ,1 JR11011C Clltlt" C1,111le 01' Oil the dlscriill lnatury vendor list may Ilot subl111t a bid un a contract to pro\ isle any _Toods or e1i1CeS to ,1 11Llbl1C C11titV. 111aV nut Stlbllllt a llld oil a coiltr�Ct N% 1t11 a ElllbllC etltit`' for the const111c:tion or :-epair of a public building or public work, may not submit bids on leases of real property to a public entity, may not '-le awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with a public entity, and may not transact business with any public entity in excess of $25.000.00 for a period of 36 months from the date of being placed on the convicted vendor list or on the discriminatory vendor list. ( ;) any Recipient which is not a local go, eminent or state agency, and which receives hinds under this Agreement from the federal government, certifies, to the best of its knowledge and belief, that it and its .)rincipals: 1. are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by a federal department or agency; have not, within a 5-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 tinder 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; 3. are not presently indicted or otherwise criminally or civilly charged by a governmental entity ( federal, state or local) with commission of any offenses enumerated in paragraph 19(g)2. of this certification; and 4. have not within a 5-year period preceding this Agreement had one or more public transactions ( federal, state or local) terminated for cause or default. If the Recipient is unable to certify to any of the statements in this certification, then the Recipient shall attach an explanation to this Agreement. In addition, the Recipient shall send to the Department (by email or by facsimile transmission) the completed "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion" (attachment G) for each intended subcontractor which Recipient plans to fund under this Agreement. Such form must be received by the Department before the Recipient enters into a contract with any subcontractor. (h) The State of Florida's performance and obligation to pay tinder this Agreement is contingent upon an annual appropriation by the Legislature, and subject to any modification in accordance with Chapter 216, Fla. Stat. or the Florida Constitution. (1) All bills for fees or other compensation for services or expenses shall be submitted in detail sufficient for a proper preaudit and postaudit thereof. 00 Any bills for travel expenses shall be submitted in accordance with Section 112.061, Fla. Stat. ( k) The Department of Community Affairs reserves the right to unilaterally cancel this agreement if the Recipient rehises to allow public access to all documents, papers, letters, or other material subject to the provisions of Chapter 119, Fla. Stat., hich the Recipient created or received under this :agreement. (1) If the Recipient is allowed to temporarily ingest anv advances of funds under this agreement, anv interest income shall either'oe returned to the Department or be applied a`grainst the Departments obl''Yatioll t0 pay ' i;t,' l.'l?t1tC�.�t :i111L`llllt. (Ill) Thic State of Florida Nt ill not intentionally award publicly--riinded contracts to any contractor v, ho '.:Iil��t lil,?1�' `I1lploys 11I1:itithorl7 d al1ell `.tol'kel's. co nstitliting a violation of the employment pI-ot Islolls col'►t"illied I11 L.S.C. St'Ctli)n 1 332-4a(c;) StctI ion '74A(e) of the Ininll`rati011 alld Nationality Act Pie Department shall consider the employment by any contractor of unauthorized aliens a violation of Section 2 4A(e) of the INA. Such violation by the Recipient of the employment provisions contained in Section 274A(e) of the INA shall be -rounds for unilateral cancellation of this agreement by the Department. n) The Recipient is subject to Florida's Government in the Sunshine Law ( Section 286.011. Fla. Stat.) with respect to the meetings of the Recipient's governing board or the meetings of any subcommittee making recommendations to the governing board. All of these meetings shall be publicly noticed, open to the public, and the minutes of all the meetings shall be public records, available to the public in accordance with Chapter 119. Fla. S tat. (o) All unmanufactured and manufactured articles, materials, and supplies which are acquired for ptiblic use under this Agreement must have been produced in the United States as required tinder 41 U.S. C. 1 Oa, unless it would not be in the public interest or unreasonable in cost. (20) LOBBYING PROHIBITION (a) No funds or other resources received from the Department under this Agreement may be used directly or indirectly to influence legislation or any other official action by the Florida Legislature or any state agency. and belief: (b) The Recipient certifies, by its signature to this Agreement, that to the best of his or her knowledge 1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the Recipient, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any 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 hinds other than Federal appropriated fiends 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 Recipient shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying." 3. The Recipient shall require that this certification be included in the award documents for all subawards ( including subcontracts, subgrants, and contracts tinder grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose. This certification is a material representation of fact upon which reliance was placed when this transaction �N as made or entered into. SUbmisslon of this certification is a prerequisite for making or entering Into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person %kho fails to tilt the required certification shall Ile suhject to a cis it penalty of nut less than S 10.000 and not more than S 100,000 for each stic:h 1 1111 li 1'e . ("I ) COPYRIGI IT, P.,XTENT A\D TRADEMARK ANY .AND :kLL PATENT RIGHTS ACCRUING UNDER OR IN CONNECTION «ITH THE PERFORMANCE OF "THIS AGREEMENT .kRE HEREBY RESERVED TO THE STATE OF FLORID:%. ANY AND ALL COPYRIGHTS ACCRUING UNDER OR IN CONNECTION WITH THE PERFORMANCE OF THIS AGREEMENT ARE HEREBY TRANSFERRED BY THE RECIPIENT TO THE STATE OF FLORIDA. (a) If the Recipient has a pre-existing patent or copyright. the Recipient shall retain all rights and entitlements to that pre-existing patent or copyright unless the Agreement provides otherwise. (b) If any discovery or invention is developed in the course of or as a result of work or services performed tinder this Agreement, or in any way connected with it, the Recipient shall refer the discovery or invention to the Department for a determination whether the State of Florida will seek patent protection in its name. Any patent rights accruing under or in connection with the performance of this Agreement are reserved to the State of Florida. If any books, manuals, films. or other copyrightable material are produced, the Recipient shall notify the Department. Any copyrights accruing tinder or in connection with the performance tinder this Agreement are transferred by the Recipient to the State of Florida. (c) Within thirty days of execution of this Agreement, the Recipient shall disclose all intellectual properties relating to the performance of this Agreement which he or she knows or should know could give rise to a patent or copyright. The Recipient shall retain all rights and entitlements to any pre-existing intellectual property which is so disclosed. Failure to disclose will indicate that no such property exists. The Department shall then, under Paragraph (b), have the right to all patents and copyrights which accrue during performance of the Agreement. (22) LEGAL AUTHORIZATION. The Recipient certifies that it has the legal authority to receive the hinds under this Agreement and that its governing body has authorized the execution and acceptance of this Agreement. The Recipient also certifies that the undersigned person has the authority to legally execute and bind Recipient to the terms of this Agreement. (23) ASSURANCES. The Recipient shall comply with any Statement of Assurances incorporated as Attachment H. �,,t, 12, STATE OF FLORIDA DEPARTMENT OF CO�INIUNITY AFFAIRS FEDERALLY FUNDED SU BGRANT AGREEMENT SIGNATURE PAGE Contract Ntimber: 10«'Y-7Y-11-54-01-319 IN WITNESS WHEREOF, the parties have exectited this :agreement by their dtily authorized officers on the day. month and year set forth below. RECIPIENT Monroe County Board of County Commissioners DEPARTMENT OF CONINIUNITY AFFAIRS By: Date: (.-authorized Signature) ( Print Name) Title: M (,.-authorized Signature) 'Type Name: .Janice Browning Title: Director, Division of Housing and Community Development .Date: I':.' --e I EXHIBIT — 1 THE FOLLOWING FEDERAL RESOURCES ARE AWARDED TO THE RECIPIENT UNDER THIS _AGREEMENT: Separately list tire, folloi�'lnlg hilbri latlon? for eacll f cleral prograinl froln it]iich the resources aii-arded to the ,?eciplen7t orilainate: .American Recovery and Reinvestment :Act Weatherization :Assistance Program Federal agency Dept. of Energy Catalog of Federal Domestic Assistance title: Weatherization Catalog of Federal Domestic Assistance #: 81.402 Award amount: 47,363.00 THE FOLLOWING COMPLIANCE REQUIREMENTS APPLY TO THE FEDERAL RESOURCES AWARDED UNDER THIS AGREEMENT: Separately list each applicable compliance requirement (cligible activities, service, or commodities; Eligible recipients; etc.) and .specify to which. federal program each requirement applies: Compliance Requirement 1. Purposes resources must be used for: Program Weatherization ARRA The Recipient will use these funds to perform energy saving repairs and Program installation of energy saving measures on low-income homes in its designated service area. These funds will be expended in accordance with the Scope of Work, Attachment A-2; Program Statues and Regulations, Attachment B-1; Record Keeping, Attachment C; Reports, :attachment D; Statement of Assurances, Attachment G; County Allocations, Attachment l; Special Conditions (When Applicable), .attachment J of this agreement and applicable ONIB Circulars. 2. Eligibility requirements for recipients of the resources: The recipient will comply with eligibility requirements as set forth in the Department of Energy (DOE) 10 CFR Part 440 Final Rule and applicable Ol B Circulars. OTE: Instc ad the .S'j7C:C'1fTC' t'C)I11piianc-c 1'C'clllll'C'I11t'nitS CIS Slll)lt'il C1hove, tilt' State crt',Il'C inc atrencC Inal' c:'leC't 'r) lffc' 1c111�rllcl�T�' that rc'c1111rc.S the Rc.'C'lj)1�'Jlt to) c'[�Illr"1. t'1t11 fJ7TC' 1'c'cllllJ'C'll?E.'l1tS c)j cJf��)lic'cl%)lt' J)1'C�! l,�'i(�il.ti cir .S��C'C'if C' r'1l1I�.:'.S, i't_ 61, llCltl(lJl.S, �'tC'. F(71' �'t'cllll�)It', tl)J' F�'�leJ'[ll �1"(l l'c1111 I, the lclll llC1��C' /llCll' .ti'tcltE' tiltlt tflE' p�'C'i jJlt'fTt /1111.tit hllt'.S. 1'11h'.S, 01' 1'L"-r1 lcltic)1T.1' thclt IN-Ttcllll 100 17011' IhC' 11111.1t 1V 11.1 t'CI r�l' lC)tt' r l��lhl�/i'�' �fc'tt`/'llllll[1t1��I1S t1!'t' to �!'C' /llc de- �jlt' .�Icltt' c/11'[/1'[%111,; cl"[:'I1C'?', It 'JrclC'tIC'c /l, 111C/1' 11'C111t i�) cltt[!t'%1 C1 C'r�1J1' C)J iIIC' �" 'c'c'l rlt' I`L111% !'iltic', ti!1/clt/'O17 J'C'1cri'c'CI ro. P,sc.' 14 NOTE: For tC feral pl'l)J1'ClMs 111C1rrcled in Exhibit 1, Section .400(d) of O.1IB Circular .4-133, cis 1'E'1'1sed requires, 10 f br state prgj cts included in Exhibit 1, Section ' 1 5. 9'(5) (a), Florida .Statute, 1'c'("j11ires the in f D/-mation in crl bib t I to lie provided to the Recipient. ATTACHMENT A SCOPE OF WORK AND BUDGET SCOPE OF WORK In carrying out this Agreement, the Recipient will provide the necessary personnel, materials, services and facilities, except as otherwise provided herein, to carry out the program. The Recipient will have a designated individual, referred to by the Department as the WAP Coordinator, to be responsible for the following activities: A. Solicit, identify and qualify low-income residents within the Recipient's identified service area who have the need and desire for energy conservation assistance. The Recipient will make the services provided for under this contract available to all eligible clients in the counties to be served. B. Each unit must be evaluated by using the Priority List Assessment and Testing (PLAT) inspection package, recording visual observations and measurements and performing required diagnostic tests, i.e., blower door, monoxor, gas analyzer, pressure pan and any other tests required as directed by the state weatherization office. This information will be maintained in the client file. \-hen addressing a central heating and cooling unit which already exists in a home, the National Energy Audit ( NEAT) or Manufactured Home Energy Audit (MHEA) must be used to determine replacement and appropriate sizing. Refrigerators may only be replaced if (a) indicated by metering (minimum 10% of refrigerators must be metered), (b) recommended by a NEAT or MHEA, or (c) according to Priority List guidelines. The Department also requires that the following measures be installed on every unit receiving energy conversation measures: low flow showerhead, faucet aerators, water heater blanket, water line insulation and air filters for heating and cooling units in accordance with the Procedures and Guidelines requirements. C. Provide the Department with documentation and reports as required by this Agreement as well as other information related to this project as may be specified by the Department. D. Recipients are allowed to charge legitimate program support costs (i.e. salaries, mileage, space, utilities, telephone and, similar costs associated with personnel activities involved with ramping up for an increased weatherization program) to the program operations category instead of the administrative category for a period not to exceed 120 days from the commencement date of this Agreement. The program operations category is referred to on the Financial Status Report as Fee For Service. This initial ARRA WAP recipient agreement is prepared on an allocated amount of pass -through funding from the first release of Department of Energy funds. ATTACHNIENT ,A BUDGET Fee For Service Summary and Detail Reporting Instructions From the Financial Status Form Current'vlonth Totals To Date 1. a) )vlatenal N/A (This line item will not be utilized) b) Labor N.-,A (This line item will not be utilized) �. Fee for Service (Capacity Building Program Expenses) I . t Total of lines 1 a & 1 b -r 2 From column A) ( Cannot exceed 56,500 per home) N/A (This line item will not be utilized) 4. 1lealth & Safety - N/A ("Phis line item will not be utilized) i [5. Comprehensive Annual Audit (1/ 12 per month ) '6. Training & Technical Assistance 16. (b) Equipment 7. Liability Insurance S. Subtotal ( Line 2 plus the total of lines 5 through 7) 9. Administration ( Line 8 x 5.25%) (Can be less than 5.25% but may not exceed 5.25%) 10. Total (Lines 8 + 9) (Note: 10 B can not exceed Total Agreement Amount 1.a) i MATERIAL: N/A (This line item will not be utilized) b) LABOR: N/A ( This line item will not be utilized) 2. FEE FOR SERVICE: Approved Program Expenses: planning, hiring, training, purchasing equipment, seeking applications, determining eligibility, and prioritizing clients. 3. TOTAL LINES I a, 1 b, and ?: This is the amount used for calculating the Fee for Service. N/A ( This line item will not be utilized) 4. HEALTH AND SAFETY (ENERGY -RELATED HAZARD MEASURES ONLY): N/A (This line item will not be utilized) i 5. COMPREHENSIVE ANNUAL AUDIT: This is for the pro rata share of the agency audit charged to each program. The Recipient may bill on a IJ 2th of the cost of the audit per month or on a quarterly basis written notification q Y required to be provided to consultant for quarterly option.) ! 6. TRAINING AND TECI-INICAL ASSISTANCE / EQUIPMENT: These reported costs will not be reimbursed without prior written approval for acti purchase from the Department. f 6 (b) Equipment —,Any items approved for purchase by the state office. �. LIABILITY INSURANCE: Liability, Bonding and Pollution Occurrence Insurance `. SUBTOTAL OF LINE.2. plus LINES 5-7: '). ADMINISTR:�TION ( LINE X x 5.25` o): (Can be less than 5.25` o but may iiot exceed 5.251',')) I t�. 1 U l .BLS (Cl. IZIZEN [ �IUN l I[ l U I .�L CU D.� I'E CULL �1NS): acid these collinins mitt enter the totals on this I tie. ATTACHMENT B PROGRAINI STATUTES A D REGULATIONS Both the Recipient and the Department shall be governed by applicable laws and rules, including but not limited to: A. Pub. L. 94-3 85. Part A. Title IV ("Energy Conservation and Production Act of 1976"); the Omnibus Budget Reconciliation Act of 1981, Title XXVI of Pub. L. 97-35 (Low-income Home Energy Assistance Act of 1981); Title 11. Part ?, of the National Energy Conservation Policy Act of 1978 ( Pub. L. 96-619); Title V. Subtitle E, of the Energy SecurityAct of 1981 ( Pub. L. 96- 294); and Chapter 163, Fla. Stat. ; Florida Chief Financial Officer %Iemorandum No. XXX , American Recovery and Reinvestment Act (ARRA) Requirements (2008-2009); American Recovery and Reinvestment Act of 2009 ( Public Law 111-5); Federal Central Contractor Registration (http:, ; www.ccr.gov,,); 2 CFR Part 176, Requirements for Implementing Sections 1512, 1605 and 1606 of the American Recovery and Reinvestment Act of 2009 for Financial Assistance Awards; Schedule of Expenditures of Federal Awards(http:;'/%-ww.mytloridaacfo.com!aadir;'statewide_fnancial rel2orting/financin htm) B. All federal statutes relating to nondiscrimination including but not limited to: 1. Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352) which prohibits discrimination on the basis of race, color or national origin; 2. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; 3. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits discrimination on the basis of handicaps; 4. The Age Discrimination Act of 1975, as amended (42 U.S.C. 6101- 6107), which prohibits discrimination on the basis of age; 5. The Drug Abuse Office and Treatment Act of 1972 (Pub. L. 92- 255), as amended, relating to nondiscrimination on the basis of drug abuse; 6. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (Pub. L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; 7. Subsections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; 8. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. 3601 et seq.), as amended, relating to non- discrimination in the sale, rental or financing of housing; and 9. The regUirenlents of Lany other nondiscrimination statlite(s) kvhlch may apply to the weatherization AssistaIce Protram. 10. The Americans %� ith Disabilities Act of 1990. Public Law 101-336 (42. L.S.C. Sections [ 210l through 12213). C. Exectim e Order 1 l _46. entitled "Ek-ILIZ11 Eniplo"'.melt Opporttilllty", as amended by Exec .love Order [ [3-5. L111d �is su11111C ellted in Departnent of Labor Rzcriilations (41 C.F.R. Part 00). r D. .\11 applicable standards. orders, or re`.Uulations issued pursuant to the Clean .fir .act as ameiided (42 [ .S.C. 185., ��t seq.) MILLI t1le federal Water Politition Control .act as amended (33 U.S.C. 1251 et sect.). ATTACKMENT B (Continued) PROGRAM STATUTES AND REGULATIONS E. The Recipient will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. 4081 et seq.) which prohibits the use of lead -based paint in construction or rehabilitation of residence structures. F. The Recipient will assist in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U. S.C. 470), EO 11593 ( identification and protection of historic properties), and the .Xrchaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-I et seq.) G. In compliance with 10 C.F.R. Subpart E, Part 103 6.5 10 (Appendix B), the Recipient certifies that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared eligible, or voluntarily excluded from participating in this Agreement by any Federal Department or agency. 11. The Recipient shall screen applicants for program eligibility tinder 1986 Immigration and Nationality Act, as Currently amended. I. Recipients which procure $10,000 or more of insulation products annually are required to put into effect an affirmative procurement program to insure the purchase of insulation products composed of the highest percentage of recoverable materials practicable, taking into consideration competition, availability, technical performance and cost in accordance with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act of 1976, and guidelines promulgated by the Environmental Protection Agency. J. All applicable federal rules, regulations and guidelines including 10 C.F.R. 600, and all applicable ONIB Circulars, as revised, as they relate to the application, acceptance, and use of federal funds under this Agreement. K. Other applicable federal and State laws, rules, regulations and guidelines. L. There shall be no religious worship, instruction, or proselytization as any part of, or in connection with, the performance of this Agreement. M. The Recipient certifies that neither its organization nor any member of the staff is debarred or suspended or is otherwise excluded from or ineligible for participation in federal assistance programs under Executive Order 12549, "Debarment and Suspension." The contractor may not make any subcontract to a debarred or suspended party. A current listing of such parties is maintained by the Department for review. N. Before beginning work on any dwelling, the Recipient shall have: 1. Documentation of client income eligibility in accordance with the most recent federally established Poverty Income Guidelines. Client income verification must be conducted within 180 days prior to the date the work begins. 2. Documentation of authorization from the owner of the dwelling or his authorized agent. 3. Documentation of proof of ownership. 4. �!,l"t'c'I11t't1t �Llth t11t ul�Il�r t)t r�nt�I lirol?eIrtV issllrlll(YC()Illl)ll�ltice x�-itll 10 C.1~.R. Dart 440.» ATTACHMENT B (Continued) PROGRAM STATUTES AND REGULATIONS O. INTEREST INCO�IE: Except as provided for advance payments, the Recipient may temporarily invest grant funds, but any interest income shall either be returned to the Department or be applied against the Department's o iD ligation to pay the contract amount. Any interest income earned by the temporary investment of these grant funds that are not applied against the Department's obligation to pay shall be returned to the Department at the time of submission of the final Close-out report. P. PROGRA.M IN COME: Recipient may apply net program income, after costs incident to the generation of gross program income are deducted, excluding interest income, to meet matching requirements, or may reprogram it for eligible program activities in accordance with Rule Chapter 9B-24, Florida Administrative Code. The amount of program income and its disposition must be reported to the Department at the time of submission of the final close- out report. Expenditure of program income balances at contract end must be approved by the Department. Q. APPEALS SYSTEIM: Recipient must have a written appeals system adopted by the Board of Directors, posted in the client intake area of the Recipient's agency, and a copy provided in writing to those applying for services. In the event of a complaint/appeal, the complaint/appeal shall first be heard by the: 1 nn Title of Position) ) Should the first designated party be unable to resolve the difficulty, the second complaint/appeal will be heard by: so Lujok of Position Should the second level complaint/appeal be unable to resolve the difficulty, the final hearing will be held by: (Committee or Full Board). All complaints received by the Department will be referred to the Recipient. R. All WAP subgrantees will following the procedures and guidelines provided in the Florida WA-kP Manual. Programmatic and guideline changes during an agreement period will be provided to all subgrantees through a State Weatherization Program Notice and are to be considered as updates and become effective upon the date indicated on a Program Notice. The State Program Notice will be sent to the Recipient by mail and email to the addresses stated in Paragraph Thirteen of this Agreement. S. All WAP subgrantees shall comply with the ARRr12009-2-012) WAP State Plan, Annual File Narrative, as set forth below:. Funds for :administrative Purposes DOE allo%vs Lip to 10 percent of the total binds allocated to be used for administrative purposes bet« ten the gralltee ;lied stib``rantee. L ntised grantee admin'strative funds shall be reallocated for «eatherization purposes. Liability Insurance .\11 Recipients :and stlbcontractors are reclLilred to have sufficlent liability liistlrance co\ crage (Ur pei'tUrlllil,g '.� e etherization-tililded actIN ides. hi acl(itloil, Recipleilts 11111st have P01111tioll occtirreilce histlrance t POI). 1.t hether I1-ltided, .added tO. or a separate general liability instin-mce policy. Costs may 'Lie charged as a separate 11rje Itc'111 oil t,Ie F lnarlcial status Report. Recipients intist ellsllre that each privL,ite contractor is adequately Illslired (t0 illcltide PO 1) or coy Bred by the Reciplem policy. ATTACHMENT B (Continued) PROGR,-kNI STATUTES AND REGULATIONS Documentation to substantiate all insurance coverage will be reviewed during monitoring visits. Failure to have adequate insurance coverage may result in all reimbursement requests being withheld until compliance is met. "Training and Technical Assistance Plan (T&TA) T&TA activities are intended to maintain or increase the efficiency, quality, and effectiveness of the Weatherizztion .-assistance Program at all levels. Such activities should be designed to maximize energy savings, minimize production costs, improve program management and crew; contractor "quality of work," or reduce the potential for waste, fraud, abuse. and mismanagement. Accompanying the Recovery Act WAP Recipient agreement will be a �-]uestionnaire that all Recipients must submit when returning their Agreement. This questionnaire will assist the state staff in assessing what state network and Recipient -specific training needs. In addition, an ongoing part of the state's assessment of T&TA needs will be the review of monthly production and expenditure reports. Although historically the state has not required any specific certification or experience for local service provider employees who perform inspection/ diagnostic testing procedures or conducted formalized training for contractors Authorized to carry out weatherization activities, the initial Recovery Act WAP agreement will include inspector training requirements for all subgrantee staff who will participate in the dwelling inspection process. Determining Eligibility Levels and Defining Income The Recovery Act increases the income eligibility threshold for DOE Weatherization from 150 percent to 200 percent of the poverty income guidelines; therefore, these changes will be reflected in the Recovery Act WAP 2009 subgrant agreements. Recipients must maintain records documenting weatherization assistance recipients' eligibility. Recipients will be required to reimburse DOE funds if it is determined that the family unit occupying the residence was not eligible for weatherization assistance at the time such services were provided. The Economic Stimulus Act of 2008 provided rebate checks to qualifying individuals and families. With respect to those payments, the IRS emphasizes that stimulus payments will not count toward or negatively impact any other income - based government benefits such as Social Security benefits, Food Stamps, and other programs. Therefore, for the purpose of WAP, the Economic Stimulus Payment will NOT count as income when determining eligibility. Determining Priority Service Recipients will continue prioritizing services to clients based upon the DOE -recognized classifications of "elderly, persons with disabilities, families with children under 12 years old, household with a high energy burden and high residential energy user" in their "priority of services" point system. To assist with determining which clients meet the last two classifications, a i'vlemorandum of Understanding (MOU) between the WAP and the LIfIEAP Recipients serving the same geographical area is required. All WAP Recipients will coordinate with their local L111EAP provider to develop a referral process and targeted number of clients to serve. A minimum of 10% of the clients receiving weatherization services through WAP during PY 2009 will be LIIIEAP referrals. Vehicle Purchase Recipients are able to spread the large cost of purchasing vehicles and,`or certain equipment, with an acquisition cost of S5,000 or more over the entire life of the vehicle and the number of homes served during that period. However. a proportionate share of the amortized cost of purchasing vehicles illtist be included as a Dart of the cost for \� eatherizing each home. DOE allows for determining the average cost per Unit by including only that fraction of the cost of a 11ew- %ehicle which is actually "Used" Turin` the current year. Recipients should consider And weigh the orations oil leasill" % erslls lease -purchasing. DOE does not need to approve a � ehlcle lease. But, i f a lease -purchase Option is proposed and evc it If the purchase price is as small as one dollar, DOE WOUld ilted to Appro%e the purchase 1_d'the %�l:icle. hi order for A Recil�ic rat to use a ptirchase or lease-ptirchase option, specific information n1USt be collected aild ,�i1blllitted to the state office for review prior to sllbllussion to DOE for approval. The state officehas dex eloped a ellicle purchasing guidance packet at1d tornis that must be completed for this activity. Contact the state office to receive this pack -et. .kTTACH,IENT B (Continued) PROGRAM STATUTES AND REGULATIONS Prevailing Wages All laborers and mechanics employed by contractors and subcontractors on projects funded by the Recovery Act shall be paid wages at rates not less than those prevailing on projects of a character similar in the locality as determined by the Secretary of Labor and in accordance with 40 L.S.C. § §3131 - 3148. with respect to the labor standards specified in this section, the Secretary of Labor shall have the authority and filnctions set forth in Reor_anization Plan numbered 14 of 1950 (64 Stat. 1267, 5 U.S.C. App.) and 40 U.S.C. 3145. See U.S. Department of Labor, Wage and Hour Division website at http:/,,'wNvw.dol.gov/esa,,whd,/contracts,,,dbra.htm. Wage determinations can be found at http:/iww-w.wdol.gov. The State office or its representative will review compliance %with prevailing wages guidelines during onsite monitoring visits and will require a semi-annual survey report form be completed by all Recipients. This information will be submitted through the web -based eGrants system. Administrative Costs With the increase in filnding to the Recipient network through the Recovery Act, all Recipients will receive funding that will be above the $350,000 threshold, leaving certain agencies no longer eligible for the extra administrative binding provided in the regular WAP. To lessen the burden this may cause, all Recipients will be allowed to include their costs for insurance (liability and POI), audits, and health and safety activities in the overall cost used to calculate the amount of administrative funding allowed. Administrative , If the state determines that additional or replacement service providers are necessary, the following guidelines outlined in the 10 CFR 440.14, State Plans, and the 10 CFR 440.15, Recipients, apply: a) The State shall ensure that: (1) Each Recipient is a CAA or other public or nonprofit entity; ?) Each Recipient is selected on the basis of public comment received during a public hearing conducted pursuant to 10 CFR 440.14(a) and other appropriate findings regarding: (i) The Recipient's experience and performance in Weatherization or housing renovation activities; (ii) The Recipient's experience in assisting low-income persons in the area to be served; and (iii) The Recipient's capacity to undertake a timely and effective Weatherization Program. (3) In selecting a Recipient, preference is given to any CAA or other public or nonprofit entity which has, or is currently administering, an effective program tinder this part or tinder Title 11 of the Economic Opportunity Act of 1964, with program effectiveness evaluated by consideration of factors including, but not necessarily limited to, the following: (i) The extent to which the past or current program achieved or is achieving Weatherization goals in a timely fashion; (ii) The quality of work performed by the Recipient; Oil) The number, qualifications, and experience of the staff members of the Recipient; and ( iv) The ability of the Recipient to secure � olunteers, training participants, public serN ice cmplovment Ncorkers, and other Federal or State training programs. o) The State shall ensure that the funds recel�ed tinder this part «-111 bz allocated to the entities selected III ccl)rt1a111 C till pararapll (a) of'this sCl;tlotl. slte:ll that Hinds It 11I I)e aIIOc:ate;d to ai'�'�lS lift t11� �?asls l)F il,e r:Iative need of lo«" Income persons for a 'A-e'atherization protect. (c) It DOE finds that a Recipient selected to Undertake \Veatherization activities ul:der this part has fulled to cu111111V substantially «ith the pro, isions of the Reco� ery .act or this part and should be replaced. such fielding shall be treated as a Finding under 10 CFR 440.300) for purposes of S3ection 44o. 30. ATTAC H.M Eli T B (Continued) PROGR. .LM STATUTES AND REGULATIONS d) Any new or additional Recipient shall be selected at a hearing in accordance with 10 CFR 440.14(a) and --.ipon the basis of the criteria in paragraph ( a) of this section. (e) a State may terminate financial assistance under a subgrant agreement for a grant period only in accordance with established State procedures that provide appropriate notice of the State's reasons to the Recipient. 1'"�rt '3 ATTACHMENT C RECORDKEEPING A. Information on each client shall include, but not be limited to: l) Client Intake Form (signed by the client and dated), �) Client Selection (Priority) Criteria Form, 3) Copy of the Compliant/Appeal Procedures Form, -4) Copy of Social Security Cards (with only the last four digits showing), 5) Documentation of Income for all members of the household, 6) Documentation of Ownership or Landlord Agreement (Nvhen applicable), 7) A copy of the completed Priority List Assessment and Testing ( PLAT) forms, 8) A copy of the first page of the National Energy .Audit ( NEAT) or the Manufactured Home Energy audit 00HEA) if used for replacing HVAC units or refrigerators, B. When the Recipient WAP Coordinator has determined the weatherization activities to be performed on a home, the measures to be addressed will be listed on a Client/Agency Pre -Work Order Agreement Form. The work to be performed will then be discussed with the client, and both the client and the coordinator will sign and date the form. Once this form is signed, work may commence and a copy of this form must be placed in the client file. C. Utilization of dwellings for training activities may be allowed, however state office should be notified in advance. t:1YL:_� ATTACHMENT D REPORTS A. 'vIonthly reports are due to the Department by the 15th of each month. The Recipient shall enter N-ia the eGrants reporting system, a Financial Status Report (FSR). In addition, the recipient will fax to the Department a signed copy of the FSR along with a Capacity Budget Cost Itemization (CBCI) form. The CBCI will support the charges reported in the Fee For Service category on the FSR. B. Davis Bacon or Prevailing Wage compliance reports - frequency to be determined by the Department. C. A Progress Report ( frequency to be determined by the Department) to include, at a minimum, the following information: • Jobs created using state contractors • Jobs retained with state contractors • Jobs created at the local agency level • Jobs retained at the local agency level • Jobs created using local agency contractors • Jobs retained with local agency contractors • Hours trained at the local agency • Equipment purchases exceeding $5,000 D. Other ARRA,`DOE Reports as needed. Note: DOE or the state office will provide guidance regarding the calculation of jobs created and the methodology for calculating energy savings. E. The Close-out Report is due to the Department by May 30, 2010. F. Failure to submit all required reports as outlined in Section A through E above by the required due date, may result in the withholding of any pending or future payments until the reports are received. Reports and notices must be submitted to: Department of Community Affairs Division of Housing and Community Development Weatherization Assistance Program 2555 Shumard Oak Blvd. Tallahassee, Florida 32399-2100 Fax: (850) 488-2488 G. The audit is due nine (9) months after the end of the fiscal year of the Recipient or by the date the audit report is issued by the state Auditor General, whichever is later. 1-1. I-Iand delivered reports must be date stamped in by Department staff. Each report form shall be signed by the Recipient's designated agent. I. Utilization of the eGrants reporting system is mandatory for all WAP subgrantees. .-k*rTACH.NIENT E JUSTIFICATION OF ADVANCE PAYMENT RECIPIENT: Monroe County Board of County Commissioners Indicate by checking one of the boxes below if you are requesting an advance. If an advance payment is requested, budget data on which the request is based must be submitted. Any advance payment under this .-agreement is subject to s. 216.181(16). Florida Statutes. The amount which may be advanced shall not exceed the expected cash needs of the Recipient within the initial three months of the :kgreement. ❑ NO ADVANCE REQUESTED ❑ .ADVANCE REQUESTED � No advance payment is requested. Payment will be solely on a reimbursement basis. No additional information is required. Advance payment of S is requested. Balance of payments will be made on a reimbursement basis. These funds are needed to pay staff, award benefits to clients, duplicate forms and purchase start-up j supplies and equipment. we would not be able to I operate the program without this advance. REQUEST FOR ADVANCE ❑ Recipient has circumstances that require an advance in the amount estimated and justified below. Complete both the Eohnated Expenses Chart and the Explanation of E_Cceptional Circuinstances .Section below ESTIMATED EXPENSES Budget Category Anticipated Expenditures for First Three Months of Contract 1. Capacity Building Activities (To be reported in the Fee For Service Line item on the Financial Status Report) (a) Staffing salaries 26,000 (b) Fringe 9,000 (c) Training costs (registration, travel mileage, lodging, per diem) 6,500 (d) Mileage (relating home inspection, client certification processes), 800 I(e) Program overhead costs (activities relating to the client 'certification and inspection processes as would regularly be covered by Fee For Service reimbursement 0 12. Comprehensive Annual Audit (1 ` 12 per month) 0 3. Equipment 700 ,4. Liability Instirance (IIICILILIes Pollution Occurrence Instirance) 2,0()0 ' 5. Subtotal (Lines 1 (a), (b), (c). (d). (e ). 2. 3 4 of Coluilln B) 45,000 6. \dmini-sti-ation (LIne ; .X x 5._'5.','0) 2,Jo3 . Total (Coltinin B) 47,3163 FXPL:kN.ATION OF FXCFPTI0N\1_ CIRC'L%IST,.\NCFS: .-iLTTAC H,NI EN T F WARRANTIES AND REPRESENTATIONS Financial 'Management Recipient's financial management system must include the following: ( 1) Accurate, current and complete disclosure of the financial results of this project or program. (?) Records that identify the source and use of fiinds for all activities. These records shall contain information pertaining to grant awards, authorizations, obligations, tinobligated balances, assets, outlays, income and interest. (3) Effective control over and accountability for all funds, property and other assets. Recipient shall safeguard all assets and assure that they are used solely for authorized purposes. (4) Comparison of expenditures with budget amounts for each Request For Payment. Whenever appropriate, financial information should be related to performance and unit cost data. (5) Written procedures to determine whether costs are allowed and reasonable under the provisions of the applicable OMB cost principles and the terms and conditions of this Agreement. (6) Cost accounting records that are supported by backup documentation. Competition All procurement transactions shall be done in a manner to provide open and free competition. The Recipient shall be alert to conflicts of interest as well as noncompetitive practices among contractors that may restrict or eliminate competition or otherwise restrain trade. In order to ensure excellent contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, invitations for bids and. or requests for proposals shall be excluded from competing for such procurements. AIN-ards shall be trade to the bidder or offeror «-hose bid or offer is responsive to the solicitation and is most ad-antageotis to the Recipient. considering the price. cltiality and other factors. Solicitations shall clearly set forth all regwrements that the bidder or offeror must fulfill in order for the bid or otter to be eN (,iltiated by the Recipient. Any aild all bids or offers may he reelected «lien it is in the Recipient's interest to Rio so. ATTACHMENT F WARRANTIES AND REPRESENTATIONS Codes of Conduct The Recipient shall maintain written standards of conduct governing the performance of its employees engaged in the award and administration of contracts. No employee, officer, or agent shall participate in the selection, award, or Administration of a contract supported by public grant funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated, has a financial or other interest in the firm selected for an award. The officers, employees, and agents of the Recipient shall neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. The standards of conduct shall provide for disciplinary actions to be applied for violations of the standards by officers, employees, or agents of the Recipient. Business Hours The Recipient shall have its offices open for business, with the entrance door open to the public, and at least one employee on site, from 9:00 a.m. through 4:00 p.m., five days a week. Licensing and Permitting All subcontractors or employees hired by the Recipient shall have all current licenses and permits required for all of the particular work for which they are hired by the Recipient. 1'Alie ATTACHMENT G Certification Regarding Debarment, Suspension, Ineligibility And Voluntary Exclusion Subcontractor Covered Transactions 1) The prospective subcontractor of the Recipient, (name of subcontractor), certifies, by submission of this document, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. (?) Where the Contractor's subcontractor is unable to certify to the above statement, the prospective contractor shall attach an explanation to this form. ( Sub -Contractor's Name) Date: (Authorized Signature) ( Print Name and Title) ( Street Address) (City, State, Zip) ( Recipient's Name) (type here (DCA Contract Number) ATTACHMENT H STATEMENT OF ASSURANCES Fhe Recipient hereby certifies the following assurances: A. Its governing body has duly adopted or passed as an official act, a resolution, motion or similar action Authorizing the filing of the contract, including all understandings and assurances contained therein, and directing and authorizing the Recipient's chief executive to act in connection with the agreement and to provide such Additional information as may be required. B. Contractors' and subcontractors' licenses must comply with state and local laws, ordinances and regulations, and shall be appropriate and adequate to cover each of the tasks being performed pursuant to this Agreement and any subcontracts under this Agreement. The Recipient shall maintain copies of all contractor and subcontractor licenses ( current for the program year when the work is performed), as well as a copy of each contractor's liability insurance policy. C. Units of local government, Indian tribes and non-profit organizations shall secure and maintain such insurance as may be necessary for protection from claims under worker's Compensation Acts and from claims for bodily injury, death, or property damage which may arise from the performance of services under this Agreement. D. Priority in selection of clients will be given to (1) the elderly, (2) persons with disabilities, (3) households with children and (4) households with recurring high energy bills or (5) high energy burden. E. The Recipient shall give priority to units served in order of preference as follows: 1. single family owner occupied units, 2. single family renter occupied units in buildings up to five units, 3. multi -family units (5 units or more per building), with 10% owner participation, 4. multi -family units (5 units or more per building), without owner participation in cases where the landlord can document an inability to pay the required 10%. F. To the maximum extent practicable, the use of services provided tinder this Agreement shall be coordinated with other Federal, State, local, or privately funded programs in order to improve energy efficiency and to conserve energy. G. The Recipient will permit attendance by the department's representatives at any meetings of the Recipients Board of Directors, executive committee or legislative body. H. The Recipient will permit on -site program evaluation by the Department of Energy, the Department's field representative and by technical assistance groups assigned by the Department. The Recipient will also allow inspection, verification, and audit of financial transactions and records by staff or agents of the department, the Comptroller's Office, legislative or federal auditors, and Department of Energy personnel. 1. in order to ensure that no undue or excessive enhancement takes place on renter occupied units, the Recipient shall require that the landlords of buildings with five or more units, or any combination of buildings «ith an �iggre`ate total of five Units or more, that receive services tinder this contract Nvill pay ten percent ( 10" 0) of the total cast of the �N-ork performed. T11e landlord's participation Inav be �vai�-ed or reduced it they can document In 1N rltlna ;hat they cannot afford to participate. A written .agreement betiveen the Recipient and the landlord detailin, the l;ln(llord's coI»mitment and legal responsibilities ill lie etecuted after lire -inspection and lNork cletennlnation lids heen completed and 1.)rlor to vvork beginning on the unit and a coliy of this aureenient maintained In the Clieilt(s) tile. ATTACHMENT I COLNTY ALLOCaTIONS The financial allocation specified for each county by program is designated to be spent in that county. For recipients of hinds designated for more than one county, in the event that circumstances will not allow the full expenditure of any program hinds allocated to a particular county, a request to expend any part of those funds in another county Must be submitted in writing to the Department. This request must justify the lack of need of program services in that county. Funds may not be expended in another county without prior written approval of the Department. COUNTY Monroe ALLOCATION S47,363.00 ATTACHNIENT J SPECIAL CONDITIONS For this initial American Recoveryand Reinvestment Act (ARRA) Weatherization Assistance Program (WAP) .agreement, the Recipient is allowed to charge legitimate program support costs (i.e. hiring salaries, training costs, conducting energy audits to prepare work orders, along with seeking applicants, determining eligibility and the prioritizing of clients for services) under the Fee For Service category on the Financial Status Report (FSR). %Vhen the signed ARRA WAP Agreement is returned to the Recipient, state program notices will be issued to cl.-irify the reporting documentation required to support the costs submitted to the Department on the monthly FSR. This supporting documentation will include: position descriptions, salary amount charged, description of any program overhead and operational costs, training costs and equipment purchases. Subgrantee must be able to provide upon request, supporting documentation for all line items charged in this agreement. The allowable activities in this ARRA WAP Agreement will enable the subgrantee to meet certain mandatory benchmarks. Once these benchmarks have been met and confirmed by the Department, the subgrantee will be able to start weatherizing dwellings with funding provided in the second ARRA WAP Agreement. These benchmarks Lire: Subgrantee documentation to support adequate staffing increases has been made to meet higher production quotas. Subgrantee dwelling inspectors (both existing and new hires) have completed the mandatory training and met field proficiency testing standards on diagnostic tools. Subgrantee has provided a waiting list of qualified clients (complete application, prioritized and ready for dwelling inspection to be conducted) that will cover the first three months of production goals (as provided by subgrantee in second Agreement). Once the benchmarks have been met, the subgrantee will be notified by the Department when to close-out this initial agreement. To assure that the subgrantee can immediately begin providing weatherization services, the second ARRA WAP Agreement will be provided to the subgrantee during this initial ARRA WAP Agreement period. Note: When the subgrantee has a fully executed second ARRA WAP Agreement, all program support costs (i.e. hiring/salaries, training costs, conducting energy audits to prepare work orders, along with seeking applicants, determining eligibility and the prioritizing of clients for services) will then be covered by the Fee For Service funds generated from weatherization production. The subgrantee will then proceed with closing out the first ARRA WAP agreement. 1 • ATTACHMENT K RECIPIENT INFORMATION FORM Please complete all information applicable to your organization. 1. Recipient's full legal name: ?. The warrant will be mailed to the Recipient's address unless otherwise indicated: City Telephone: 3. Street Address (if different from above): 4. Chief Elected Official: ( Name) E-mail address: 5. Executive Director: (Name) E-mail address: b. WAP Coordinator: ( Name) 'Telephone: E-mail address: 7. Finance Director: E-1 all a(ldress: Zip Code: FAX Number: (Title) FAX Number: (Title) FAX Number: ( Title — agency designation) FAX Number: (Title) F; k X N wilber: i):we 33 ''f l i Y r--1`_�Si J I f-ii•iL,t ��ljE a?/ r�4 -- - J t S 7A7E OF FLORIDA DEPARTMENT OF COMMUNITY AFFAIRS CHARLIE CRIST 3av'ornor Dedicated to making Florida a better piece to call home" December 14, 2009 Ms. Sheryl Graham, Social Services Director Monroe County Social Services 1100 Simonton Street, 2-25 7 Key West, Florida 33040 Dear Ms_ • '+ rOMAS G. PELHAM Seamm fr • �ee. A&n iWvrzt in Fb i& I am pleased to inform you that die Departincnt of Community Affairs (DCA) has selected the Monroe County Social Services (MCSS) to provide American Recovery and Reinvestment Act (ARRA) Weatherization Assistance Program (WAP) services to the low-income residcats of Monroe County. Tlsis is an exciting yet challenging time for the WAP as the receipt of ARRA fimdiag has provided Florida with an opporwWty W weatherize more dwelling than ever in a three year period As a new provider agency, this poses an even greater chadlenge. To assure that the MCSS is able to begin weath ' ' dwellings as soon as possible, your Department assigned consultants, Mr. Robert Lakin and Mr. M.iciiateI Rowe, Nvill be working closely with you to provide all assistance needed. Congratulations on becoming the Weatherization Assistance Program provider for the low- inCOMe citizen of Monroe County. if you have any questions, please contact Mr. Robert Lakin at (850) 922-1845 or Mr. Rowe at (950) 922-1633 or by email at . Robert.lakir��a�dca.state.fl.us or lichael.rowe u,dca.state.f.us. If neither is available, please contact Mr. Norm Gempet, Mamag er at (850) 922-1846 or by email at no.gern�&,dca. state. tI. us. hP/n.g Sincerely yours, qlah, (:;01ja Thomas G. Pew Secretary 2555 SHUINAAO OAK 80ULEVARD • rALLAHASSEE, FL 3 239a•2100 850-488-8466 (a) • 350-921-0731 (f) • Websita: y,1Vw. 1,:a,state • 4X V MU,' M PLAN WNG ' �w 3w i D i FIO JQA GO MW U PUTIE,! TRUST 350-Q?Z-Z297(.2)1:+4�2 OUNTYSFLORIOAONROE KEY WEST 33040 305) 294-4641 BOARD OF COUNTY COMMISSIONERS Mayor Sylvia 3. Murphy, District 5 Mayor Pro Tem Heather Carruthers, District 3 Kim Wigington, District i George Neugent, District 2 Mario Di Gennaro, District 4 Monroe County Board of County Commissioners Social Services Department Application for: Weatherization Assistance Program, Monroe County Submitted: December 2, 2009 i) Letter of Intent 2) Corporate Documentation (Not Applicable) 3) Applicant Administered Programs 4) Audit 5) Brief Narrative with Supporting Documentation Letter of Intent 1) _--attached to this section is the Letter of Intent to Apply for the Weatherization .kssistance Program funding that is available for Monroe County. This letter is signed by the Director of Social Services, the Deputy County Administrator. and the County _administrator. Also attached is the Monroe County Board of County Commissioners' Resolution 26 i -?00 i directing staff to seek out and apply for appropriate grants and �i an, execute related documents. This Resolution allows the County -administrator or his designee to sign ;rant applications and alleviates the need to bring the applications to the Board prior to submission and again prior to acceptance of award. CUNTY F ONROE KEY WESTLORJDA 33C40 ,2 C 51 294-4641 HjsrMic Gato Bu,;Aing ' T) Sir.;c�r,ton Street. ?-?5� Vcst. FL 33040 -November 19. 2009 %f r. Norm Gempel, Nf anager Department of Community affairs Weatherization Assistance Programs 2333 Shumard Oak Boulevard Tallahassee, Florida 32399-2100 BOARD OF COUNTY COMMISSIONERS `�iavcr Syiv,a J. ,+.;rchy, D.str►ct 5 `!aycr Pro Tem Heather Carr.�C`"ers, -strct 3 K rr Yi g,rct�n, C strct 1 Geor,e Neugert, C strct 2 `taro Di Gerrarc, Cistrrct 4 Subject: Letter of Intent to apply — Weatherization assistance Program, Monroe County Dear Mr. Gempel, This letter has been prepared by Monroe County Social Services (NICSS), a department under the governance of the i%,Ionroe County Board of County Commissioners, to announce our intention to apply to be the local administrator for the Monroe County Weatherization assistance Program (WAP). Currently, MCSS is the administrative entity responsible for LIHEaP throughout Monroe County. We have successfully operated this program for over a decade. We also receive an annual allocation of EHEAP funding. We operate numerous social service programs and grants that assist the low-income, elderly, disabled, unemployed and underemployed citizens of the county with their activities of daily living. Services include personal care, homemaking, respite, door-to-door transportation, prescription assistance;, and much more. We operate four meal sites countywide where elderly residents are served a hot meal each day. For those of our citizens who are too frail to leave their homes, w-e provide hundreds of home -delivered meals each week. Recently, MCSS was selected by the State of Florida, Office on Homelessness, to administer a homeless prevention grant countyw ids;. This allows us to provide short- tcrm financial assistance; to renters in order to prevent their c� iction for non-payment of rent. \\,ICSS tm i`ions that the "__ \P %k ill compliment the cache of str-v ices that are currcntly being Citlik•cred to c ur inc)- t nct:dti citizens. Oucstions re -, rJin� the; vplication be *n submitted b- `ICSS c;in Lit Jir(2ctt�d to I Gr�ihai S�}ci�i( S�:r� ict�s Dirt�ct��r :�t ����-29?--��l�l. �tiy�.� (+���1 tor�ti,�r�! t�� ��<< rkin �.� itl� the [)(_l1.irrrr,t2nt toil.\, Ard (-ur ccirmc)n Of g rin ,in -his funding, in�i tile Litlz�2[ls i._tr lIt_}r�r�_,�, COL1110,. Sit 1ck�r�: 1 \ . •.'�i '• i i' i''1 i;i1 (.���' �2 i r'_ Ixi,_it � �_. << �� _��'� � _ _. � ��,� _ _., i• �.���_�,�-t�� �_ ��_ii�t ; .�.:t'1;i���ii�+�• r � �ti?l�. �� �!. �: � ,�i ;�1� Adutieistratiea ?~ �+ RESOLUTION NO. _ -2007 ti A RESOLUTION OF THE BOARD OF COUNT1r COMMISSIONERS OR .Nf0 M0E C01:NTY. FLORTOA. D RECT1NG STAFF TO ORGANTZE EFFORTS TO SEEK OUT ANR APPLY FOR APPROPRIATE GRANTS TO OFFSET COS'M WATV NI G THE EXIST NG REQUTREME: TS THAT EACH GRANT APPILICATIO14 SE INDIVIDUA=y APPROVED BY r RoAJD PJUOR TO SLIMSSION .J"vD AGAIN FIUoR TO ACCEPTANCE OF TUC AWARD wHRN THE AWARD oaRs NOT REQUIRE A, MATCR BY MONROE CONY: AND MAINTAINING ALL EXISTING REQUIREMgN" P+OR GRANT APPLICATIONS AND ACCEPTANCE OF GRAINT AWARDS TRAT DO REQUMX A MATCH BY MI GNItoz COUNTY. WH RRM& Monroe County has been impmad by roceet legislature xW the sub�quent need to C=dy cut budgas: vJ " V- U -�, it is our dt�ir�e to oo�inue to pr+ Mde outstanding pubiie =VVICS res�or�iv�e to the needs of our c itizrr& community. crud environment despite for impact of these budget +cuts, and WIIZIR ;A& currently. the Bowd must approve aU Applicat for ffprior to submission %tich can cease a dewy of up to tic %veCk& at tunes delaying the ,gsaet application until the nest submission cycle, as wed as adding unnecessarily,, to the Bond aScnd& and 1�V�AS, it is i - n a sty to decry opts of grants aw=W to the Comity that do oot require any matching fun& again adding unnaessstiiy, to the Bowd agenda; arW NVBEMA& Our 1WSka d fows at pursuing a wider variety of rim oppo !unities requires impra%vd caoocdittstion batween Divisions and %id result in a sisiff cantle incr�tsed number of grm applications: now, thadom Rt IT RESOL'VRR THAT THE BOARD OF COUNTY COMMISSIONERS OF : ONROE COLINTti ; FLORIDA, "ut0 ee Iacta Division staff to coordinatecoordinategramgramo�mty research irgrid appiica#iott suftission with the Projmt ?.sans= to the Count}► Administmtor 2 1� &es the requiry ent !fist grant sppliemions be approval by the Board befom submission, and authorizes the County Administrator to manage grant application submission vpm,%il asfd execution ofrelmed documents 3 Authorizes the County Administrator to accept sward of grants that have no much Clrlteria. and ;o e\acute refaced doc uncaps b the Ord of County COMM' �Qnen of Monrm County% PASSED �1�TD �D�J�� y n's3 � :t a momi of spud Board held on the 18 th day of Ju t Y. ,.007 Florida, Mayor Di Mayor Pro Teo Sir ConMhsion*r XeoVrt ComanimdDner McCoy of Commissioner Murphy balm Cleat fA0NR0i U� �'RO EY oowIN# Date rrt � BOARD OF COIIN7Y CO1MMISSiONEAB OF MOMOZ COMM, ORWA IN ;Na�rar�C6air■�u Y " i lik�141 fr��f��4an o� � a1 •' �a r .r.�« a ewv�� now 40 , . . Cis Corporate Documentation D - of _-applicable to Monroe Count-y� Social Sergi ices or Monroe CountN Board of County Commissioners. Applicant Administered Programs 3) Monroe County Social Services (NICSS) has been actively engaged in assisting low-income. disabled. elderly, homeless, unemployed and under -employed residents for decades. We currently oversee and operate 13 major programs that are designed to assist Nlonroe County residents in general and these target groups specifically. A sample of performance andior monitoring reports is attached in Section 4 of this application. 1) Alzheimer's Disease Initiative (ADI) - )vICSS serves as the Lead Agency for the delivery of ADI services in Monroe County. The purpose of ADI is to assist functionally impaired elderly persons suffering with Alzheimer's Disease in living dignified and reasonably independent lives in their own homes or in the homes of relatives or caregivers through the development, expansion, reorganization and coordination of multiple community based services such as in -home respite. 'VICSS has been coordinating and delivering in -home respite for elder citizens countywide for more than 25 years. Funding Source: Department of Elder Affairs through Alliance for Aging, Inc. Program Period: July 1, 2009 to June 30, 2010 Amount: $56,746.00 Contact Person & Information: Max Rothman, CEO, Alliance for Aging, Inc. i 60 NW 107 Avenue, Suite 214, Miami, FL 33172 (305) 670-6500 2) American Recovery and Reinvestment Act of 2009 (ARRA) Elderly Nutrition Services - The primary purpose of this program is to provide nutrition services for older citizens in order to help them maintain their health, independence, and quality of life. The ARRA funds will provide enough meals to ensure that the eligible citizens of Monroe County receive at least one nutritious meal each day of the week, including weekends and holidays. This funding restores nutrition services that were previously reduced at the State and Federal level and actually increases the number of elder residents in this County who can receive a daily meal. Funding Source: Department of Elder Affairs through Alliance for Aging, Inc. Program Period: May 1, 2009 to September 30, 2010 Amount: $62,004.00 Contact Person & Information: Max Rothman, CEO, Alliance for Aging, Inc. 760 N- 'W 10 7 A enue, Suite 214, Miami, FL 33172 (305) 670-6500 3) Bayshore Manor Assisted Living Facility (BSNI) — BS1►1 is a multi -purpose _assisted Living Facility, operated by Monroe County and licensed by Florida's Agency for Health Care Administration. BS,',vl is unique in that it is the last county -owned and operated assisted living facility in the State of Florida. Primarily designed as a residential facility for elderly residents of Monroe County, BSN1 offers daily activities, 24 hour staffing by Florida Certified Nursing Assistants, nutritious hot meals, and transportation. BSI also operates an adult daytime respite program for families whose elderly family members require non -medical supervision during the day. This program is available on a daily basis and includes a hot lunch and supervised activities. BS1�1 also provides a short- term residential service for families requiring more prolonged relief from continuous care giving. Funding Source: Monroe County General Fund (ad valorem/tax dollars) Program Period: October 1, 2009 to September 30, 2010 Amount: $700,000.00 Contact Person & Information: Sheryl Graham, Social Services Director, 'LVICSS 1100 Simonton Street, Suite 2-257, Key West, FL 33040 (305) 292-4510 4) Community Care for Disabled Adults (CCDA) —The CCDA program provides a link to community resources which helps disabled adults remain as productive and comfortable as possible, while enabling them to live independently in their own homes for as long as possible. The CCDA program provides clients with in -home services and empowers them to maintain their independence. This program is designed to serve totally and permanently disabled adults who are not eligible for assistance from other programs. CCDA fills a gap in the service delivery continuum for disabled adults. Funding Source: Department of Children and Families Program Period: July 1, 2009 to June 30, 2010 Amount: $81,733.00 Contact Person & Information: Trixie Phelan, Contract Manager, DCF 1111 121h Street, Key west, FL 33040 (305) 292-6810 3) Community Care for the Elderly (CCE) — MCSS serves as the Lead Agencv for the delivery of CCE services in tilonroe County. The purpose of CCE is to assist functionally impaired elderly persons in living dignified and reasonably independent lives in their own homes or in the homes of relatives or caregivers through the development, expansion, reorganization and coordination of multiple community based services such as homemaking, in -home respite, personal care. and case management. _NICSS has been providing case management as well as coordinating and delivering core services for elder citizens countywide for more than .5 years. Funding Source: Department of Elder .-affairs through Alliance for Aging, Inc. Program Period: July 1, 2.009 to June 1) 2010 .kmount: $511,160.00 Contact Person &. Information: N1 1ax Rothman, CEO, Alliance for Aging, Inc. 760 NW 107 Avenue, Suite 214, Miami, FL 33172 (305) 670-6500 6) Community Support Services WSS) — this program is funded by the taxpayers of Monroe County via ad valorem funds. These services include assistance with the purchase of prescription medication, purchasing clothing, food or personal care items for those in need, provision of emergency utility or shelter funds, and pauper burials for indigent residents who have no means to be buried or cremated. MOSS is able to deliver these significant services to the low-income and/or disabled residents of the county. Funding Source: Monroe County General Fund (ad valorem/tax dollars) Program Period: October 12009 to September 30, 2010 Amount: $965,000.00 Contact .Person & Information: Sheryl Graham, Social Services Director, MCSS 1100 Simonton Street, Suite 2-257, Key West, FL 33040 (305) 292-4510 7) Emergency Home Energy Assistance for the Elderly Program (EHEAEP) This program has been operated successfully by MCSS for over 3 years. MCSS contracts with the Alliance for Aging, Inc., in Miami in order to provide energy funding to low- income elders who are most in need in our community. NICSS's allocation for EHEAEP funding is low in comparison to our LIHEAP funding. Because our elder population is most in need of this funding, we serve the majority of our elders under EHEAEP and LIHE�\P Nvhen possible. Funding Source:: Department of Elder .affairs through Alliance for Zkizing, Inc. Procfram Period: January 1, 2009 to March 31. 2010 Amount: S38,365.00 Contact PerS-on Information: Max Rothman. CEO. Alliancc for Aging. Inc. ^�0 NW 107 �\�-enue. Suite 214, Miami. FL 33172 (305) 670-6500 8) Home Care for the Elderly (HCE) - MCSS serves as the Lead Agency for the delivery of HCE services in Monroe County. The purpose of HCE is to assist functionally impaired, low-income, elderly persons suffering the effects of aging in living dignified and reasonably- independent lives in their own homes or in the homes of relatives or caregivers through the development, expansion, reorganization and coordination of multiple community based services. NICSS has been coordinating and delivering case management for elder citizens countywide for more than 25 years. Funding Source: Department of Elder Affairs through Alliance for Aging, Inc. Program Period: July 1. 2009 to June 30, ?010 _mount: $10,721.00 Contact Person &. Information: Nlax Rothman, CEO, Alliance for Aging, Inc. 60 NW 107 Avenue, Suite 214, Miami, FL 33112 (305) 670-6500 9) Homeless Prevention and Rapid Re -Housing Program (HPRP) — this program is new to MCSS. In 2009, MCSS entered into an agreement with the State of Florida, Department of Children and Families, to provide homeless prevention funds to renters throughout Monroe County. These are American Recovery and Reinvestment Act of 2009 (ARRA) funds and are intended to provide homeless prevention assistance to households who would otherwise become homeless, if not for this funding. These funds are targeted and prioritized to serve low-income households that are most in need of the allowable temporary housing assistance, and who are most likely to achieve housing stability following the conclusion of the funding. Funding Source: Department of Children and Families Program Period: October 1, 2009 to June 30, 2011 Amount: $257,007 Contact Person & Information: Trixie Phelan, Contract Manager, DCF 1111 121h Street, Key West, FL 33040 (305) 292-6810 10) Low -Income Home Energy Assistance Program (LIHEAP) — this program has been operated successfully by NICSS for over 15 years. MCSS contracts with the Department of Community Affairs (DCA) to provide energy funding to low-income individuals who are most in need in our community. Because our resident's needs always exceed our allocated funds, we target priority groups for service. Our priorities for LIHE�XP are the elderly, disabled, and those households with children under the age of 5. FUndintz Source: Department of Community affairs Proo-ram Period: January 1. 2009 to March 31. 2010 Amount: S370,287.00 Contact Person & Information: Jim Zimmerman. Community -\ssistance Consultant. DCA. 2555 Shumard 0.ak Bled, Tallahassee. FL 3 2399 (850) 2194-366 7 11) Monroe County Transit (NICT) — is a program w ithin the Social Services Department. NICT vehicle fleet is 100% accessible to the Physically disabled and provides door-to-door transportation for the elderly and disabled throughout the entire length and breadth of the Keys. NICT coordinates closely with the local Community Transportation Coordinator and Medicaid Transportation Coordinator — the Guidance Clinic of the Middle Keys. All local transit providers are members of the Local Coordinating Board, including the City of Key west that provides bus routes in Key West and Stock Island and the Lower Keys Shuttle that operates a fixed route from Marathon to Key West. Monroe County is a financial partner with the Cities of Key West and Marathon in the operation of the Lower Keys Shuttle. Funding Source: Monroe County General Fund (ad valorem/tax dollars) Program Period: October 1, 2009 to September 30, 2010 Amount: $731,000.00 Contact Person & Information: Sheryl Graham, Social Services Director, iNICSS 1100 Simonton Street, Suite 2-257, Key West, FL 33040 (305) 292-4510 12) Nutrition Services Incentive Program (NSIP) —This is a supplemental grant which compliments the Older Americans Act (OAA) funding. This is a reimbursement grant which encourages the purchase of United States produced agricultural and other food commodities for use in nutrition projects operating under approved OAA contracts. Funding Source: Department of Elder Affairs through Alliance for Aging, Inc. Program Period: October 1, 2009 to September 30, 2009 Amount: $33,332.00 Contact Person & Information: Max Rothman, CEO, Alliance for Aging, Inc. 760 NW 107 Avenue, Suite 214, .NIiami, FL 33172 (305) 670-6500 13) Older Americans Act (OAA) — This program allows MCSS to provide a wide array of services to low-income, the frail and/or elderly citizens of Monroe . Services County. ces included under this program include homemaking, personal care, the provision of congregate meals in four different meal sites, nutrition education, home -delivered meals, in -home respite and facility -based respite. Funding Source: Department of Elder �Xffairs through Alliance for zkging, Inc. Program Period: January 1, 2009 to December 31, 2009 :kmount: $527,367.00 Contact Person & Information: Max Rothman, CEO. _\Iliance for aging, Inc. ffl) - `' 107 .\,v enue. Suitt 214. _%liami. FL 3,3172 (305) 6 7 0-6.500 audit -4) Included in this section are copies of the Monroe County financial reports for the past two N-ears (200 i and 2008). in their entirety. The audit for ?009 is underway now and will not be completed until approximately- March of 2010. Also included is a Sampling of performance and, or monitoring reports as required in Section 3 of this lippl ication. .� _'00 i Monroe County. FL Comprehensive annual Financial Report (CAFR) 1008 -Monroe County, FL Comprehensi� e annual Financial Report (CaFR) .009 Fiscal Vonitoring conducted by alliance for .-aging on aDI, CCE.. HCE. and Oaa programs 2008 and 2009 administrative, Fiscal and Programmatic Operations Monitoring conducted by Department of Community affairs for LIHEaP N trs. Sheryl Graham Social Services Director Monroe County Social Services Gato Building 1100 Simonton St. Suite Key `Vest, Florida 33040 Re: Result of 2009 Fiscal Monitoring Dear Mrs. Graham: The fiscal monitoring that was conducted on August 12-14 g , 1009 for the contract period 2008-2009 revealed that Monroe County Social Services is in compliance with the fiscal terms of your contract with the Alliance for Aging, Inc. Please feel free to contact Nfr. Carlos Lahitte Fiscal tilana er at 3 05-671- 636 g 2 it you have any questions regarding your fiscal g monitorin visit. S incerely, Iloracio Sobc:ron 1"errer `'. P. Planning & Finance i-'c. Max B. Rothman, JD. LLAf Alliance for Aging, Inc. -idministrative/Fiscal •Monitoring Report Executive Summary 1. PROJECT .iA. E AND ADDRESS: Monroe County- Social Services Gato Building. 100 Simonton St. Suite 196 Key West. FI. 040 2. FL'..NDI TG PERIOD, SOURCE and CONTRACT NUMBER: 008-2009 CCE, HCE and ADI 009 01A 3, PURPOSE OF VISIT: X Annual _Follow — up _Special 4. DATE(S) OF VISIT: August 12-14, 2009 5. NAME & TITLE OF THOSE INVOLVED IN THE VISIT: Sheryl Graham. Director of Social Services Kim Wilkes. Grant Coordinator. Laura Deloach-Hartle Grant Coordinator 6. SITES VISITED OTHER THAN PROJECT OFFICE: ,A 1 i 7. KNAIARY OF FINDINGS: Summary Narrative: Monroe County is in compliance with the DOEA and AAA requirements. Items Not ed: Same as above Items Resolved: N/A Items Requiring Follow-up: .z. (-ORRECTI`yE .kC:'TION REQUIRED: No correcti`-e actions needed, 9. SPECIAL CONCERTS OF THE EXECL"TIVE/PROJECT DIRECTORS) AND AAA: to, EXIT LN TERVIEW: 8/14/2009 DATE: - L--L Fiscal Monitor Name ,Xcknowledgement: 1 ' r agent Corporate Officer Date t9 Date 13—ATE C F FLU, Rf DA DEPARTMENT OF COMMUNITY AFFAIRS "Dedicated to making Florida a better place to call home" : ,'-JARL,E CORIST .zcver^or July .7, 2009 ts. Cheryl Graham, Director Monroe County Social Services 1100 Simonton Street Key West, Florida 33040 Re: Low Income Home Energy Assistance Program monitoring Dear Nis. Graham: -H,-.MAS G. PELHAM ecreary "00 During the period of July 13-15, 2009, James Zimmerman from the Department of Community Affairs visited your agency to monitor the Low Income Home Energy Assistance Program. I appreciate the cooperation you and your staff extended to Mr. Zimmerman during his visit. "The accompanying monitoring report reflects review of three areas: Ndministrative, Fiscal and Program Operations. Please note that our report is based only on a sample of activities and is not intended to relieve the recipient of its obligation to manage the grant in accordance with applicable rules and sound management practices. 'Ihe monitoring report includes concerns and technical assistance regarding your current operation. A "concern" relates to potential problem areas �N hich, if not corrected, may �;ventually result in noncompliance. questioned costs or other management issues. Each area of concern is tblloiN-ed by a course of recommended action that may be considered in working rock and resolution of the issue. i5 3r4U"AAR0 30Uf P A R r) + rALLAHA33EE. Ft- 323 39-2 1,3.3 �RTA � '0NI!yiTE S TRt1ST- * i+�►;S�N�; .kNo c,V1AMUNITY ;EVFi.CQUEyT �_ : _: • Nis. Sheri Graham, Director � u11%• 21. 009 Dame 2 _-fitter your review. please share this report with your staff members. A `N ritten response s due to the Department within >> days from the date of this letter. No response is required for -Lhe technical assistance statements. If you have any questions or concerns about the monitoring report or any other grant -related issue, please contact lair. Zimmerman at ( 8ao) 414-91-49, or ,,,-mail him at j im. Zimmerman, a dca. state. tl . us. Sincerely, ���� • J ✓ V ter.• Paula L em.mo Community Program 714a.nager Community Assistance Section PC,'hc/j.z Enclosure: 'Monitoring Report cc: Roman Gastesi, County Administrator DEP_3RT-N1ENT OF CONENILTNITY A-FF_XIRS _40tiZTORI1i G REPORT July 17, �009 TEE: tonrce County Board of Cc-1-mr<; Ccrn.missioners CO_iT.11ZACTS: pow ;ncome Home Energy _ Lssistance Program a.ereerner_ts o. �J 3E� -7B- i 1 - -0 1-0' 9 and No. c 9E��- -1 I _0 I -� 19 DATES OF 340NITORENG: July 13- 15, _ 09 _ IYJT CONFE: ENCE .ATTENDED BY: ?-epresenting the Grantee: Kim Wilkes, Senior Grants Coordinator vIarlene Steckley, Case Manager Supervisor Cora Albritton, Case Manager Helen Garcia, Administrative Assistant ..,epresenting the Department: James Zimmerman, Community Assistance Consultant RESULTS OF THE iMO YITORING VISIT '�vionroe County has developed a we'll -run Low income Home Energy Assistance program. It is managed by knowledgeable and attentive staff. Operating procedures generally meet program requirements, are standardized and are consistently applied :cross the wide geographic area that is the Florida K,�;ys. The Grantee uses an excellent ;heeldist in , ach file to help caseworker insure *hat the applicant"s the is complete. Case notes concisely .explain any unusual circumstances associated 1x1 th .m application. x -fie --nd of -lach file is the "'vlomroe County Comm tv Zery ces _efcrral L st" _V11,11ich -ccuments other assismnce to which -die client rhas :: een guided. T. - W \IIV� wSTIrtkT1O:`4 ?e :ast :-.vionitoring r -part (.AprAWN t ;t•�5 s.;���� �s �'�t�nic:il .�.� ��t3���; w ' ��t :'fie -�in?� e':; =�t litti, -.:� �.ior a r�_t:men z:i+3rF�ss+i�i ;fl nab "71J•:��. F.4use---ar'e'meats d:d not co_nsvtute t'1' sta.n. ti !1 �tcnlndred of tv j '.,i,n a e ljf riIztNe 11V _Is =.xr ed -o Aevelop ti�r:a'Ior .3 ;r�:ements -fat N ere ����i sess- �5'i��:3 ''��'� P ^'_'!� '`3L gi':3t??'�n, 'a�'�:1 �tatita +llti' � •" .7 •1 f-t � fl � �� ) 4~ ` i ty 1. �` • �. ..7 ^. � �~ .i _ ,i ...1 =�..-�• 1 e � �.. r� _ _ '11 := � �� +r'► ��.� �j � C'�'�,t ♦i f� j The vendor agreements have not been updated. It is main recommended that ;tyionroe County revise its utility vendor agreements to more �h©ralghly reflect its -�lationship with the o utility- service providers. The test of the _�pr�i� �00 � - c.hnical assistance recommendation is reprinted betow. 6 6 The Grantees L tilrty Vendor A reement inco:roorates .the social service a, oacls . Jecominended by the Department However, .social service goals alone do not -onsritute a ,comprehensive arrangement. The vendor agreement is a business regiment that establishes responsibilities for hotli parties. `f'onsiderations that would make rile vendor agreement more husinesslike +nchjde: -:jERV,,w begin, e:ad, permanent, renewable C -LYCEL.LA TI0N: process, criteria, notice i _ 3 UTHORIZED REPRESENTATIVES: .names, contact information. jpe �.�. f authority GEYE.AL BUSINESS PURPOSE: maintain ufi ity service on hei'ia# a. f' certain clients through assistance payments by Monroe County SOCL L SERVICE ISSUES 1I0NROE CAD 1 YTY RESP0jYS1B1LIT.IES: Alake payment commitment to vendor Who has authority to make commitment to whom r 3y what means To pay Biome enemy and crisis f`de one) Pay vendor "en '. HOW Address unforeseen delays and coiseq uences with client .E,VDOR RESPONSIBILITIES lccept commitment V of germinate service Verify bill Iccept payment olio to noti & if there acre additional issues Thw vendor agreement is formal business arrangementbetween the vendor !znd a Major c vistotner, .Vonroe County. The topics su; ; ested above would constr.trite rite t.J."It ,-Po o.*, .,=uh ects t iat could le rxddressed-,vfien ,yIevelophig in of .:'he .��,�1dor, the �o�cj.tt3' pan l ,rie .r.� to;�rter. Y,)u are -lis-0 roc-9-uraaed rrs�, rs ?; y '3�s'�es �; �� :xjt.! `r� ��r*:i��.�orners ;r�uy ' ;.' .�G"1' .:.�i t�y,`�'�_',?t .'?�� � "�+.a' 1't?�'�' �%��'SQ i:'L�1C�'.1': tS• J�'r r _'.:: ;:"'%�:`��� '1���i1 �t� `�,..Il ;'�- t7��:: _�' ;r M F11QC AL OPERATIONS -nirc e Coi_mty operates a corn-crenensive :n �nacernent sN-stem. Kcal - _- ar_aizem ent of the L THE - P grant and the ex r endirures +i erelander meets .-,ffl -ecuirements. "mere is a ciLar documentation of expenditures M both tre Finanec �e"program office records and prograoffice client il;,s. ?sere are no fli gs or ccncerrs -egarding rm • ciai mana.�ement of he grant. . PROGRAM OPERATIONS i-oncern #1 Tn the last monitoring report, Concern 'No. 2 noted that the Grantee did not haN,e :a --avritten Policies and Procedures Manual for the operation of the Low :Income Home Energy Assistance Program. The Grantee agreed to develop such a manual but as the date of'this aonitoring the manual has not been completed. Adraftmanual, :sated January 14, 2009, has been prepared, but it has not yet been completed or adopted. Recommended .action: 'The monitor reviewed the draft Policies and Procedures manual and during the exit conference .made several suggestions to assist in the Lornpletion of the document. 7- e rantee should complete what rat -this point is a very good effort and adopt it as its formal ��peradng procedure and training guidance. CA n eern 92 In some rifles (e.g., Latasha West, Vincent"Marqueira) it was observed that a second home enemy payment was made to a client approximately eleven months after ithe ._previous home energy payment. The Grantee's application form asks the applicant I he or she has received "any energy assistance within the last 13 :months." "i he LIMEAP agreement has always Nmited home energy payments to once a 'v,%a�r. 11istoricaliy, here had been a question as to what constitutes a year. `I'h.is gatsation S aasw�ered by she Department and Grantees ,gay a been dirwefied that a Qar -::_)nsists of ev+elve months, i•e;ardless of how this period Haight AIt .4nto any.,iscai, �aa#ML r � - �c�►ntract y�E�ar� :(; : Brief Narrative and Supporting Documentation 5) Experience and performance in weatherization or housing renovation activities: In 42007. 'Monroe County Social Services partnered with the Housing r _-kuthority of the City of Key West to complete extensive hurricane related repairs to Bayshore Manor, the State of Florida's only County owned and operated multi -unit assisted living facility. This project was funded with a Community Development ment Block Grant (Disaster Recovery Funds) in the amount of S320,000. Extensive repairs were done to Bayshore NTanor and included the removal and replacement of the entire tile Moor, abatement/removal of asbestos, replacement of roof, gutter repairs, replacement of toilets, ceiling fan replacements, removal and replacement of 40 doors, exterior and interior painting, and concrete repair. The repairs took a number of months. Since this facility was (and still is) occupied full time by 16 elderly, frail residents, their dislocation or relocation was not a possibility. Staff arranged for the resident's comfort and security during the entire construction project. Disruption to the residents routines and lives was kept minimal. Although Monroe County was awarded $320,000 for the cost of the project, we came in well under budget and the actual amount of the expenditure was $207,860. Bayshore Manor is now perfectly restored and is a comfortable and safe environment for some of the frailest elders in Monroe County. As part of our In -Home Services operation, we frequently have occasion to assist clients with home renovations and weatherization projects. Most recently, we paved a large area in front of the home of a severely disabled woman who did not have the ability to leave her home because of large ruts in the pavement outside of her front door. We coordinated this effort with our Monroe County Public Works department and staff were able to quickly repair and pave the area. Staff also arranged for the client to receive a donated wheelchair and now the client is able to leave her home in a safe manner. This project was done at no cost to the client or any of our grants. See attached `thank you' letter dated December 2, 2009. In 2005, one of our elderly In -Home Services client's home was damaged in a flood. The entire floor was damaged beyond repair. Floor replacement was required to ensure the home's safety and stability. The client purchased new flooring with the expectation that he could install it himself. Due to failing health, he was unable to follow through with his installation plan and had no one else who could install it for him. Byg 2007, the floor was still not installed. Monroe County Social Services stepped in and arran ed for a contractor to install the flooring at no cost to the client. See attached `thank vou' letter dated July 19. MOP" r Through our HCE grant, w e were able to arrange for a new roof to be installed on the home of a se�,cirek disabled, cldcrl�7 couple. Through the same grant. �k k: also able to replace the �veatherhead on the home of a bed -ridden elderk- family. This %� eatherization repair Nvas so significant that it was considerc:dra hazard and deemed an �2rnercy ncv. The `k eathenccad %ti as in such disrepair that an (electrical short \,,,_is imrninent. BeCause building codes had chankyc:d, the exist* %A t2athtrhead could not be rcpa'red. rather replacement involving the installation of a freestanding electrical pole was required. Through our community partnership with Habitat for Humanity, we have arranged recently for water heaters to be replaced in two different homes. These replacements were done at no cost to the County or the clients. Outdated or damaged electrical outlets. new window screens, front and back doors, and roof repairs have also been made on several homes through our partnership with Habitat for Humanity. These are just a few of the individual examples of assistance we have provided to some of our elderly, disabled, and low-income residents. Monroe County has been commended in the past by the Alliance for Aging for demonstrating an extraordinary ability to link no -cost or community -based services to our residents. Because of our unique geography, many of the services and providers that are available elsewhere are not available in Monroe County. Because of our inaccessibility to services on the mainland, Monroe County Case Managers have become adept at forming community relationships P and making community -based linkages for the benefit of our residents. Experience in assisting low-income persons in the geographical area to be served: The majority of the residents served by all of the Monroe County Social Services programs are indeed low-income. The few residents we serve who are not low- income are significantly disabled or frail and elderly, and warrant services that are not income based. As referenced in section 3 of this application, CSS, EHEAEP, HCE, HPRP, LIHEAP, and OAA all target low-income individuals. Together, the current years allocation for these targeted low-income programs is $2,168,947.00. These programs have all been successfully operated by Monroe County Social Services for a significant number of years. Due to the geographical formation of Monroe County's island chain, the delivery of services involves an extensive amount of travel time via a single highway. The highway g Y is connected by over 40 bridges and more than 120 narrow miles. Vehicle accidents requiring road closure, evacuations, and the like often impact the delivery of services. The isolation of some areas presents a challenge not only to the provision of services, but the ability to control unit costs without affecting the quality of service. The extraordinary high cost of living in Monroe County has its impact on the cost of services provided as well as in the quality of living that the consumers we strive to serve experience. NIonroe P County Social Services is extremelystrategicallyfortunate to have three offices located in all areas of the Florida Keys. Our southernmost office is located in Key y west (Lower Keti s). Our central office is located in farathon (Middle Key-s). Our northernmost office is located in Plantation Key (tapper Keys). GeographicalI��. we are; able to del* tr services to all areas cqually throw: hout the Florida Kees. Capacity to undertake a timely and effective `veatherizationg program: NICSS staff mt�mbers have already initiated meetings and discussions with community partners to ensurea swift and effective implementation of the w.kP. should NICSS be s_eIccted to idrninister the program. `Itt.'tln^s 11aN e alma& been liclld wvith Habitat for HumAnit% . the Southernmost Homeless Assistance League, Monroe County Extension Services, and the Housing Authoritv of the City of Kev `vest. Meetings are being scheduled with local contractors, developers, construction firms, Green Living and Energy Education, the Interagency Council, and local utility providers. MCSS began compiling lists of potentially eligible WAP clients in April 2,009 and was forwarding them to the former WAP provider in Monroe County. MCSS did retain these lists and intends to contact those clients first and initiate WAP applications with them to determine their current need for service. MCSS staff are available and willing to receive any training and guidance available from the Department to initiate and operate a successful w eatherization program. zks evidenced by the success of MCSS in operating the grants and programs referenced in section 3 of this application, we anticipate that the WAP will also be a success. As written in the most recent LIHEAP monitoring report, Paula Lemmo writes, "JLlonroe County has developed a well -run Low Income Home Energy Assistance program. It is managed by knowledgeable and attentive staff. Operating procedures generally meet program requirements, are standardized and are consistently applied across the wide geographic area that is the Florida Keys. The Grantee uses an excellent checklist in each file to help the caseworker insure that the applicant's file is complete. Case notes concisely explain any unusual circumstances associated with an application. MCSS anticipates that the WAP will be a complimentary program that will be coupled with LIHEAP and the other services we offer. Extent to which past or current programs achieved or are achieving goals in a timely fashion: As evidenced in section 3 of this application by the extensive number of current programs MCSS administers, and has administered for years, our goals are met, achieved, and exceeded. The audits attached in section 4 of this application also represent the achievements and successes of MCSS operational and administrative strength. Quality of work performed by entity: MCSS has a long history of successfully administering and operating a large number of programs and grants. MCSS is not under any corrective action by any agency or funding source. Number, qualifications, and experience of the staff members of the entity: %ICSS currently- has eight existing staff who are highly trained and experienced in administering a number of state, federal and local grants. Additional staff may be brought on board or VXisting staff mo-ved from another department to assist «ith the implementation and operation of NVAP. if the need arises and vrant funding is ax ailable. Director: Sheryl Graham, Master's Degree in 1�Ianagement. ?0 vears txperience in public service including the fields of Nx orkforce development. �k elfare P ro�rams. hi Sher 'ducation. social services and �o�ernment operations. Certified "'orkforcc; DeveloP munt Professional. Certified Global Carc:cr Development Facilitator. �r. Grants Coordinator: Kim Wilkes, Bachelor's Degree in Social Work. 13 vears �2xperience in public service including the fields of medical social �vork, and government ,operations. Certified Public NIanaaer Case -NIanazer Supervisors: Marlene Stecklev. Bachelor's Degree in Business Administration. 20 vears in public service including the fields of workforce development, %veifare programs, education, social services, and government operations. Edith Zewadski-Bricker, Master's Degree in Human Services administration, 23 years experience in public service including the fields of environmental protection, finance. juvenile justice issues, social services, and government operations. Case Itanagers: Lora Albritton, Bachelor's Degree in Social work, 30 vears public service including the fields of children and family issues, contract compliance, management, and government operations. Calvin Coughlin, PhD in Psychology and Counseling, 20 years of public service including the fields of substance abuse, juvenile issues and HIV related issues. Florida Licensed Plumbing Contractor, Licensed Mental Health Counselor Henry Arroyo, Bachelor's Degree in Business, 40 years experience in public service including the fields of law enforcement, fire services, social services and government operations. .inn Labriola, Master's Degree in Art, 10 years public service including the fields of geriatric issues, education, and government operations. ..kbility of the entity to secure volunteers, training participants, public service P employment workers, and other Federal or State training MCSS has the programs: full support of the Monroe County Board of County Commissioners as well as County Administration. Meetings have already taken place, or are being scheduled, to ensure community partnerships and support of WAR The Social Services Director has an extensive background in workforce development and was the Director of a number of federal and state training programs for more than 13 years, 3 of which were in Monroe County. 'MCSS has an excellent working relationship with the South Florida Workforce Investment Board, Youth Co-op, and the One Stop Career Centers. Since one of our primary goals will be to create and retain jobs, NICSS values its relationship and past uxperience with and in workforce development. As mentioned throughout this application, MCSS enjoys a verb ositi�e relationship tivith t�ntities and providers � _� P P pro iders throughout Monroe County. tiICSS is �NIell-rt:spected by the Board Of ount% Commissioners. the citizt2ns and communio, partners. %Ve `k ill rely on the guidance of the Departmt:nt to create an txctptional vvCJthcrization pro,, -Tram in 1cnr(t2 C_o unto . %tit lumk fc_)r%ti ird to n2ceik ing Departmental trainin; ..ind instruction to t-nSurt: l-fli,lnct2 ;n :_ill :rrt.� �s. 11CS5 is reLidv .ind A illisl J � � ' ;�..t tartcd �-n [his ()..�crt�n` �,r�>>��t v ��l LS_ unto . Irld hrin� thc: e t much net_12d st2r� ices to the destirN ins Citizens of Nip,nr( July 19, ? 007 Ms. Sheryl Graham, tiiA Compliance Manager Social Services Department 1100 Simonton Street Key west, Fl 33040 Dear Ms. Graham: I would like to take this opportunity to thank you for the excellent service you provided any wife and I during a most difficult time. There are some companies/organizations that do not respect and honor the needs of the elderly and take total advantage of them. I am just so happy that we have public servants such as you to help those of us during our time of need Once again thank you for your time and attention given to our situation. Sincerely, i I Normw Key west, F1 3 3 040 I*.. AOP