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06/12/2013 AgreementFLORIDA DEPARTMENT OF ENVIRONMENTAL PROTECTION BOB MARTINEZ CENTER 2600 BLAIRSTONE ROAD MS 3505 TALLAHASSEE, FLORIDA 32399 -2400 FED EX DELIVERY - SIGNATURE REQUIRED JUN 2 7 2013 Mr. Kevin Wilson Monroe County 1100 Simonton Street, Room 2 -216 Key West, Florida 33040 Re: LP44072 — Monroe County Cudjoe Regional Wastewater System Dear Mr. Wilson: RICK SCOTT GOVERNOR HERSCHEL 1'. VINYARD JR. SECRETARY We are pleased to provide financial assistance for Monroe County's wastewater improvement project. One fully executed grant agreement is enclosed. To draw money under the agreement, please call Tommy Williams at 850/245 -8358 for assistance in completing a disbursement request. For your convenience, electronic copies of the attachments are located on our web page: http: / /www.dep.state.fl.us /water /wff /index.htm under Legislative Appropriations, Grant Attachments. We congratulate you and your staff on your efforts and are pleased that we can work with you on this project. Sincerely, _ W ' a On behalf of Chris Klena, Deputy Director, DWRM Christine M. Klena, Deputy Director Division of Water Resource Management CK/tb Enclosure cc: Robert Shillinger, Esq. — Monroe County ri IvIv. dep. state.. 11. trs �J STATE FINANCIAL ASSISTANCE AGREEMENT MONROE COUNTY DEP AGREEMENT NO. LP44M STATE OF FLORIDA GRANT ASSISTANCE PURSUANT TO LINE rrEMS 1592A AND 1686A OF THE 2012 -2013 GENERAL APPROPRIATIONS ACT THIS AGREEMENT is entered into between the STATE OF FLORIDA DEPARTMENT OF ENVIItONMENTAL PROTECTION, whose address is 2600 Blair Stone Road, MS 3505, T allahassee , Florida 32399 -2400 (hereinafter referred to as the "Department ") and Monroe County, Florida, whose address is 1100 Simonton Street; Key West, FL 33040 (hereinafter referred to as "Grantee" or "Recipient"), a local government under the laws of the State of Florida, to provide funds for the project generally described in the proviso language included with line item 1592A of the 201213 General Appropriations Act. Pursuant to chapter 98,519, Laws of Florida, the Florida Keys Aqueduct Authority is the wastewater management entity for the Grantee. The Florida Keys Aqueduct Authority may fulfill any requirement for the Grantee to provide information, including supporting documentation, to fulfill the terms of this Agreement; including for purposes of funding reimbursement. The Grantee is accountable for information provided by the Florida Keys Aqueduct Authority. In consideration of the mutual benefits to be derived heref rom, the Department and the Grantee do hereby agree as follows: 1. The Grantee does hereby agree to perform in accordance with the terms and conditions set forth in this Agreement, Attachment A (Project Work Plan), and all attachments and exhibits named herein which are attached hereto and incorporated by reference. For purposes of this Agreement, the terms "Contract" and "Agreement" and the terms " Grantee" and " Recipient" are used interchangeably. 2. This Agreement shall begin upon execution by both parties and remain in effect until April 30, 2016, inclusive. If work identified in the approved Project Work Plan is completed prior to the date shown in the first sentence of this paragraph, the modification will be reduced to writing in an amendment to this Agreement. This Agreement may be amended to provide for additional services if additional funding is made available by the Legislature within the effective period of this Agreement identified above. 3. A. As consideration for the services rendered by the Grantee under the terms of this Agreement, the Department shall pay the Grantee on a cost reimbursement basis in an amount not to exceed $30 million ($30,000,000.00) toward the total project cost estimate of $142.35 million. The actual grant amount will be based on the proceeds resulting from the issuance of bonds authorized pursuant to section Revised 5/13 DEP Agreameat No. LP44072, Page 1 of 11 215.619, Florida Statutes, and specifically provided for in line item 1592A of the 2012 -2013 General Appropriations Act. In all events, the Grantee shall complete the work described in Attachment A no later than December 31, 2015, pursuant to subsection 403.066(10), Florida Statutes. The Grantee shall establish and collect sufficient local rates, fees and other charges, and undertake such other financial arrangements as are necessary to timely complete the entire project. If the Grantee fails to substantially complete the work described in Attachment A, as it may be amended from time to time by mutual agreement, the Grantee shall repay all grant funds disbursed or such portion of the funds as the Department requires. The Department may use any and all remedies available to compel repayment. B. The Grantee shall request reimbursement for eligible project costs upon submittal and acceptance of the deliverable(s) identified in Attachment A, utilizing a properly completed Disbursement Request Package (provided as Attachment B). In addition to the Disbursement Request Package, the Grantee must provide from its accounting system, a listing of expenditures charged against this Agreement. The listing shall include, at a minimum, a description of the goods or services purchased, date of the transaction, voucher number, amount paid, and vendor name. All bills for amounts due under this Agreement shall be submitted in detail sufficient for a proper pre -audit and post -audit thereof. A final Disbursement Request Package must be submitted to the Department no later than February 15, 2016, to assure the availability of funds for payment. The Disbursement Request Package must include. (1) A completed Disbursement Request Form signed by the Grantee's Grant Manager. Such requests must be accompanied by sufficiently itemized summaries of the materials, labor, or services to identify the nature of the work performed, the amount expended for such work; and the person providing the service or performing the work and proof of payment of the invoices; (2) A certification signed by the Grantee's Grant Manager as to the current cost of the Project that the materials, labor, or services represented by the invoice have been satisfactorily purchased or performed and applied to the project; that all funds expended to date have been applied toward completing the Project; (3) If construction is included in Attachment A, a certification by the Engineer responsible for overseeing construction is necessary. The certification must state that equipment, materials, labor and services represented by the construction invoices have been satisfactorily invoiced, purchased, received, approved and applied to the Project in accordance with construction contract documents; state that payment is Revised 5/13 DEP Agn mwt No. LP44072, Page 2 of 11 in accordance with construction contract provisions; state that construction, up to the point of the request, is in compliance with the contract documents; and identify all additions or deletions to the Project which have altered the Project's performance standards, scope, or purpose since the issue of the Department construction permit; and, (4) Such other certificates or documents by engineers, attorneys, accountants, contractors, or suppliers as may reasonably be required by the Department C. The State Chief Financial Officer requires detailed supporting documentation of all costs under a cost reimbursement agreement In accordance with the Attachment C, Contract Payment Requirements, the Grantee shall comply with the minimum requirements set forth therein. The Disbursement Request Package shall be accompanied by supporting documentation and other requirements as follows: (1) Contractual (Subcontractors) - Reimbursement requests for payments to subcontractors must be substantiated by copies of invoices with backup documentation identical to that required from the Grantee. Subcontracts which involve payments for direct salaries shall clearly identify the personnel involved, salary rate per hour, and hours /time spent on the project. All multipliers used (i.e. fringe benefits, overhead, and /or general and administrative rates) shall be supported by audit. If the Department determines that multipliers charged by any subcontractor exceeded the rates supported by audit, the Grantee shall be required to reimburse such funds to the Department within thirty (30) days of written notification. Interest on the excessive charges shall be calculated based on the prevailing rate used by the State Board of Administration. The Grantee has been authorized to award contracts for the purpose of completing the project described in Attachment A. If additional fixed price (vendor) subcontracts are determined necessary, the following provisions shall apply: a. The Grantee may award, on a competitive basis, fixed price subcontracts to consultants /contractors in performing the work described in Attachment A. Invoices submitted to the Department for fixed price subcontracted activities shall be supported with a copy of the subcontractor's invoice and a copy of the tabulation form for the competitive procurement process (Invitation to Bid or Request for Proposals) resulting in the fixed price subcontract. b. The Grantee may request approval from the Department to award a fixed price subcontract resulting from procurement methods other than those identified in the paragraph above. In this instance, the Grantee shall request the advance written approval from the Department's Grant Manager of the fixed price Revised 5/13 DEP Agmement No. LP44072, Page 3 of 11 negotiated by the Grantee. The letter of request shall be supported by a detailed budget and Scope of Services to be performed by the subcontractor. Upon receipt of the Department Grant Manager's approval of the fixed price amount, the Grantee may proceed in finalizing the fixed price subcontract C. All subcontracts are subject to the provisions of paragraph 11 and any other appropriate provisions of this Agreement which affect subcontracting activities. (2) Travel - The Grandee will not be reimbursed for travel expenses under the terms and conditions of this Agreement D. In addition to the invoicing requirements contained in paragraphs 3.B. and C. above, the Department will periodically request proof of a transaction (invoice, payroll register, etc.) to evaluate the appropriateness of costs to the Agreement pursuant to State guidelines (including cost allocation guidelines), as appropriate. This information when requested must be provided within thirty (30) calendar days of such request The Grantee may also be required to submit a cost allocation plan to the Department in support of its multipliers (overhead, indirect, general administrative costs, and fringe benefits). E. State guidelines for allowable costs can be found in the Department of Financial Services' Reference Guide for State Expenditures at hqp://www.fldfs.com/aadir/`reference% . 4. The State of Florida's performance and obligation to pay under this Agreement is contingent upon an annual appropriation by the Legislature. The parties hereto understand that this Agreement is not a commitment of future appropriations. 5. Progress Reports (Attachment D) shall be submitted monthly describing the work performed, problems encountered, problem resolution,, schedule updates and proposed work for the next reporting period. Reports shall be submitted to the Department's Grant Manager no later than twenty (20) days following the completion of the reporting period. The Final Project Report shall be submitted no later than the completion date of the Agreement The Department's Grant Manager shall have ten (10) calendar days to review the required reports and deliverables submitted by the Grantee. 6. No payment will be made for unsatisfactory deliverables. In the event that a deliverable is deemed unsatisfactory by the Department, the Grantee shall re- perform the services needed for submittal of a satisfactory deliverable, at no additional cost to the Department, within 30 days of being notified of the unsatisfactory deliverable. If a satisfactory deliverable is not submitted within the specified timeframe, the Department may, in its sole discretion, either: 1) terminate the Contract for failure to perform, or 2) DEP Grant Manager may, by letter specifying the failure of performance under the Grant request that a proposed Corrective Action Plan (CAP) be submitted by the Revised 5113 DEP Agreement No. LP44072, Page 4 of 1 l Grantee to the Department. All CAPs must be able to be implemented and performed in no more than sixty (60) days. A. A CAP shall be submitted within ten (10) calendar days of the date of the letter request from the Department. The CAP shall be sent to the Department Grant Manager for review and approval. Within ten (10) calendar days of receipt of a CAP, the Department shall notify the Grantee in writing whether the CAP proposed has been accepted. If the CAP is not accepted, the Grantee shall have ten (10) calendar days from receipt of the Department letter rejecting the proposal to submit a revised proposed CAP. Failure to obtain Department approval of a CAP as specified above shall result in the Department's termination of the grant for cause as authorized in the Grant B. Upon Departments notice of acceptance of a proposed CAP, the Grantee shall have 30 calendar days to commence implementation of the accepted plan. Acceptance of the proposed CAP by Department does not relieve the Grantee of any of its obligations under the grant In the event the CAP fails to correct or eliminate performance deficiencies by Grantee, the Department shall retain the right to require additional or further remedial steps, or to terminate the grant for failure to perform. No actions approved by the Department or steps taken by the Grantee shall estop the Department from subsequently asserting any deficiencies in performance. The Grantee shall continue to implement the CAP until all deficiencies are corrected. Reports on the progress of the CAP will be made to the Department as requested by the Department Grant Manager. C. Failure to respond to a Department request for a CAP or failure to correct a deficiency in the performance of the Grantee as specified by the Department may result in termination of the Agreement The remedies set forth above are not exclusive and the Department reserves the right to exercise other remedies in addition to or in lieu of those set forth above, as permitted by the Agreement, especially in any event where a delay in carrying out the CAP is due, at least in park, to the contractual relationship with the Florida Keys Aqueduct Authority and the Grantee. 7. Each party hereto agrees that it shall be solely responsible for the negligent or wrongful acts of its employees and agents. However, nothing contained herein shall constitute a waiver by either party of its sovereign immunity or the provisions of Section 76828, Florida statutes. 8. The Department may terminate this Agreement at any time in the event of the material failure of the Grantee to fulfill any of its obligations under this Agreement Prior to termination,, the Department shall provide thirty (30) calendar days written notice of its intent to terminate and shall provide the Grantee an opportunity to consult with the Department regarding the reason(s) for termina Revised 5/13 DEP Agromcnt No. LP44072, Page 5 of 11 9. This Agreement may be unilaterally canceled by the Department for refusal by the Grantee to allow public access to all documents, papers, letters, or other material made or received by the Grantee in conjunction with this Agreement, unless the records are exempt from Section 24(a) of Article I of the State Constitution and Section 119.07(1), Florida Statutes. 10. The Grantee shall maintain books, records and documents directly pertinent to performance under this Agreement in accordance with generally accepted accounting principles consistently applied. The Department, the State, or their authorized representatives shall have access to such records for audit purposes during the term of this Agreement and for five (5) years following Agreement completion. In the event any work is subcontracted, the Grantee shall similarly require each subcontractor to maintain and allow access to such records for audit purposes. 11. A. In addition to the requirements of the preceding paragraph, the Grantee shall comply with the applicable provisions contained in Attachment E, Special Audit Requirements, attached hereto and incorporated herein by reference. Exhibit 1 to Attachment E summarizes the funding sources supporting the Agreement for purposes of assisting the Grantee in complying with the requirements of Attachment E. A revised copy of Exhibit 1 must be provided to the Grantee for each amendment which authorizes a funding increase or decrease. If the Grantee fails to receive a revised copy of Exhibit 1, the Grantee shall notify the Department's Grants Manager identified in paragraph 17 of this Agreement. B. The Grantee is hereby advised that the Federal and /or Florida Single Audit Act Requirements may further apply to lower tier transactions that may be a result of this Agreement. The Grantee shall consider the type of financial assistance (federal and /or state) identified in Attachment E, Exhibit 1 when making its determination. For federal financial assistance, the Grantee shall utilize the guidance provided under OMB Circular A -133, Subpart B, Section — 210 for determining whether the relationship represents that of a subrecipient or vendor. For state financial assistance, the Grantee shall utilize the form entitled "Checklist for Nonstate Organizations Recipient /Subrecipient vs. Vendor Determination" (form number DFS- A2 -NS) that can be found under the "Links /Forms" section appearing at the following website: h, =§: / /apvs.fldfs.com / fsaa The Grantee should confer with its chief financial officer, audit director or contact the Department for assistance with questions pertaining to the applicability of these requirements. C. In addition, the Grantee agrees to complete and submit the Certification of Applicability to Single Audit Act Reporting, Attachment F, attached hereto and made a part hereof, within four (4) months following the end of the Grantee's fiscal year. Attachment F should be submitted to the Department's Grants Development and Review Manager at 3900 Commonwealth Boulevard, Mail Revised 5113 DEP Agreement No. LP44072, Page 6 of 11 Station 93, Tallahassee, Florida 3239M M. The Grants Development and Review Manager is available to answer any questions at (850) 245.2361. 12. The Grantee may subcontract, assign, or transfer any work under this Agreement without the written consent of the Department's Grant Manager. The Grantee submit a copy of the executed subcontract to the Department within ten (10) days execution. The Grantee agrees to be responsible for the fulfillment of all work included In any snbaontsact and agrees to be responsible for the payment of all monies due under any subcontract It is undestood and agreed by the Grantee that the Department stall not be liable to arty subcontractor for any expenses or liabilities inclosed under the subcontract and that the Grantee shall be solely liable to the subconbnwtor for all expenses and liabilities incurred under the subcontract. 13. The Deparmnent supports diversity in its procurement program and requests that all suI contracting opportunities afforded by this Agreement embrace diversity endrusiastically. The award of subcontracts should reflect the full diversity of the citizens of the State of Florida. A list of minority owned firms that could be offered snbcorrtracting opportunities may be obtained by contacting the Florida Department of Management Services, Offioe of Supplier Diversity at (" 487.0915. 14. In accordance with Section 216347, Florida Statutes, the Grantee is hereby prohibited from wring funds provided by this Agreement for the purpose of lobbying the Legislature, the judicial branch or a state agency. 15. The Grantee shall comply with all applicable federal, state and local rules and regulattons in providing services to the Department under this Agreement The Grantee acknowledges that this requirement includes, but is riot limited to, compliance with all applicable federal, state and local health and safety rules and regulatioans. The Grantee farther agrees to include this provision in all subcontract issued as a result of this Agreement 16. Any notices between the parties shall be considered delivered when posted by Certified Mai], return reosipt rsgwested, or overnight courier service, or delivered in person to the Grant Managers at the addresses below. 17. The Departure es Grant Manager for this Agreement is identified below. Tim Banks State Revolving Fund Program Florida Department of Hnvironmental Protection 2600 Blair Store Road, MS 3505 Tallahassee, Plorlda 923999.2400 Phone: (8t50) 2LS4360 Fax. (850) 2458411 Email: Revised 5/13 DEP Apoemad No. LP4WM Page 7 of I I Any changes to the contact information shown above must be reduced to writing in the form of a Change Order to this Agreement. 18. The Grantee's Grant Manager for this Agreement is identified below. Kevin Wilson Monroe County 1100 Simonton Street, Room 2 -216 Key West, FL 33040 Phone: 305.453.8797 Fax: 305.453 -8798 Email: wilson- kevin ®monroecounty -fl.gov Copies of all correspondence furnished to: Robert Shillinger, Esq. Monroe County Attorney 111112th Street, Suite 408 Key West, FL 33040 Phone: 305.292 -3470 Fax: 305.292 -3516 Email: shillinger- bob®monroecounW -fl.gov Any changes to the contact information shown above must be reduced to writing in the form of a Change Order to this Agreement. 19. To the extent required by law, the Grantee will be self- insured against, or will secure and maintain during the life of this Agreement, Workers' Compensation Insurance for all of his employees connected with the work of this project and, in case any work is subcontracted, the Grantee shall require the subcontractor similarly to provide Workers' Compensation Insurance for all of the latter's employees unless such employees are covered by the protection afforded by the Grantee. Such self- insurance program or insurance coverage shall comply fully with the Florida Workers' Compensation law. In case any class of employees engaged in hazardous work under this Agreement is not protected under Workers' Compensation statutes, the Grantee shall provide, and cause each subcontractor to provide, adequate insurance satisfactory to the Department, for the protection of those employees not otherwise protected. 20. The Grantee, as an independent contractor and not an agent representative, or employee of the Department, agrees to carry adequate liability and other appropriate forms of insurance. The Department shall have no liability except as specifically provided in this Agreement. 21. The Grantee covenants that it presently has no interest and shall not acquire any interest that would conflict in any manner or degree with the performance of services required. 22. The Department may at any time, by written order designated to be a change order, make any change in the Grant Manager information or task timelines within the current authorized Agreement period. All change orders are subject to the mutual agreement of Revised 5/13 DEP Agreement No. LP44072, Page 8 of 11 both parties as evidenced in writing. Any change, which causes an increase or decrease in the Grantee's cost or time, shall require formal amendment to this Agreement. 23. A. No person, on the grounds of race, creed, color, national origin, age, sex, or disability, shall be excluded from participation in; be denied the proceeds or benefits of; or be otherwise subjected to discrimination in performance of this Agreement. B. An entity or affiliate who has been placed on the discriminatory vendor list 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 public entity, may not award 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. The Florida Department of Management Services is responsible for maintaining the discrimina vendor list and intends to post the list on its website. Questions regarding the discriminatory vendor list may be directed to the Florida Department of Management Services, Office of Supplier Diversity, at (850) 4874915. 24. A. The accounting systems for all Grantees must ensure that these funds are not commingled with funds from other agencies. Funds from each agency must be accounted for separately. Grantees are prohibited from commingling funds on either a program-by-program or a project-by- project basis. Funds specifically budgeted and /or received for one project may not be used to support another project. Where a Grantee's, or subrecipient's, accounting system cannot comply with this requirement, the Grantee, or subrecipient, shall establish a system to provide adequate fund accountability for each project it has been awarded. B. If the Department finds that these funds have been commingled, the Department shall have the right to demand a refund, either in whole or in part, of the funds provided to the Grandee under this Agreement for non - compliance with the material terms of this Agreement. The Grantee, upon such written notification from the Department shall refund, and shall forthwith pay to the Department, the amount of money demanded by the Department. Interest on any refund shall be calculated based on the prevailing rate used by the State Board of Administration Interest shall be calculated from the date(s) the original payment(s) are received from the Department by the Grantee to the date repayment is made by the Grantee to the Department C. In the event that the Grantee recovers costs, incurred under this Agreement and reimbursed by the Department, from another source(s), the Grantee shall reimburse the Department for all recovered funds originally provided under this Agreement. Interest on any refund shall be calculated based on the prevailing rate used by the State Board of Administration. Interest shall be calculated from Revised 5/13 DEP Agreement No. LP44072, Page 9 of 11 the date(s) the payment(s) are recovered by the Grantee to the date repayment is made to the Department by the Grantee. 25. Funds awarded under this Agreement shall not be used for the purpose of land acquisition. 26. This Agreement has been delivered in the State of Florida and shall be construed in accordance with the laws of Florida. Wherever possible, each provision of this Agreement shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this Agreement shall be prohibited or invalid under applicable law, such provision shall be ineffective to the extent of such prohibition or invalidity, without invalidating the remainder of such provision or the remaining provisions of this Agreement. Any action hereon or in connection herewith shall be brought in Leon County, Florida. 27. This Agreement represents the entire agreement of the parties. Any alterations, variations, changes, modifications or waivers of provisions of this Agreement shall only be valid when they have been reduced to writing, duly signed by each of the parties hereto, and attached to the original of this Agreement, unless otherwise provided herein. IN WITNESS WIEREOF, the parties have caused this Agreement to be duly executed, the day and year last written below. MONROE COUNTY, FLORIDA B Y: Roman Gastesi, Co6ty Administrator On behalf of George Neugent, Mayor Date: /Z -70V& 00/3 STATE OF FLORIDA DEPARTMENT OF ENVIRONMENTAL PROTECTION By: 99t 2 � On behalf of Chris Klena. Deoutv Director, DWRM Date: JUN 18 2013 Tim Banks, DEP Grant Manager FEID No.: 59- 6000749 ., -14 .: Approved as to form and legality: Attorney Revised 5/13 DEP Agreement No. LP44072, Page 10 of 11 The Grantee shall provide a resolution, statement or other document authorizing the person signing the Agreement to sign on behalf of the Grantee. List of attachments /exhibits included as part of this Agreement. Specify Letter/ Description (include number of pages) Type Number Attachment A Project Work Plan (3 Pages) Attachment B Disbursement Request Package (3 Pages) Attachment C Contract Payment Requirements (1 Page) Attachment D Progress Report Form (2 Pages) Attachment E Special Audit Requirements (5 Pages) Attachment F Certification of Applicability to Single Audit Act Reporting (3 Pages) Revised 5/13 DEP Agreement No. LP44072, Page 11 of 11 ATTACHMENT A PROJECT WORK PLAN Project Title: Cudjoe Regional Wastewater System Project Location: The project is located completely within Monroe County covering seven islands of the lower Florida Keys. The service area covers approximately MM 16 to MM 34. Project Background: The Cudjoe regional wastewater treatment system will serve approximately 7,400 developed parcels in the lower Florida Keys. It is the last major component of the County's Wastewater Master Plan to meet the requirements of s. 403.086(10), F.S. The project will reduce nutrient loading into Florida Bay and the Atlantic Ocean and help restore healthy water quality to nearshore waters in the Florida Keys National Marine Sanctuary. Project Description: The project consists of construction of a regional sewage collection, transmission, and treatment system covering seven islands of the lower Florida Keys. The service area covers approximately MM 16 to MM 34 and includes approximately 7,400 land parcels and 8,800 Equivalent Dwelling Units (EDUs). It includes the Cudjoe Key Advanced Wastewater Reclamation Facility (AWRF) to be located on existing County property on Cudjoe Key. The collection system uses a mix of gravity and low pressure technology. The Inner and Outer Island collection/transmission systems will be constructed in parallel with the treatment plant over an estimated 3 year period starting in early 2013. A preliminary construction and expenditure reimbursement forecast is attached to this form. Under the Interlocal Agreement, The Florida Keys Aqueduct Authority (FKAA) is responsible for managing construction of the system and for operation of the system when complete. Monthly reimbursement requests may be submitted documenting the percent complete for each major unit description included in the table of individual tasks and costs below. Expected total reimbursements for each project phase are also shown. Percentage complete for payment purposes must be accompanied by the engineer's certification as required in paragraph 3.B. of the Agreement. Performance Measures: • Design item reimbursements (on the Design -Build contract for the Outer Islands Collection & Transmission system) will be requested based on delivery of the 60% complete and 100% complete design documents and shall meet Department requirements for financial assistance under the State Revolving Fund loan program. • Construction reimbursements will be based on certification by on -site engineer that materials and construction work are in accordance with the specifications in approved construction contract documents. • Engineering inspection will be conducted throughout the life of the project and will be documented by routine site condition reports, construction progress reports and certification of final completion. Florida Keys Aqueduct Authority or contract staff will be on -site full time to confirm construction progress is accurately reflected in pay applications; Monroe County inspectors will be on projects sites to observe progress and assure that County Rights of Way are restored to appropriate standards. Revised 2/12 DEP Agreement LP44072, Attachment A, Page I of 3 Task Cost Expected DEP Grant Funding WWTP A RF Bonds & Insurance — Not eligible for funding $303,692 Mobilization $404,922 Site Work Phase I $723,075 Site Work Phase II $817,695 Solids Processing Building $2 Influent Screen /Flow Equalization Basin $2,322,105 BNR Basins $3,583,355 Secondary Clarifiers $1,696,128 Chlorine Contact Basin $851,576 Operations Building $2,134,570 Methanol Tank $480,329 Cloth Disk Filter $599,636 Generator /Fuel Tank $463,801 RAS Pump Station $254,626 WAS Pump Station $230,145 Shallow Injection Wells $267,745 Plant Drain Pump Station $243,780 Sampler Station $52,939 Glassed Lined Fire Storage Tank $359 Electric for all areas $2,789,005 Instrumentation & Controls $774 SUBTOTAL WWTP (AWRF) $21,871,998 $7,138,624 In ner n Collection n i i System Upper Sugarloaf —collection $4,010,633 Cudjoe — collection $13,768,476 Summerland — collection $10,586,161 Inner Island Transmission main $5,789,441 Expansion areas - inner $264,850 SUBTOTAL INNER ISLANDS $34,419,561 $8,314,792 Revised 2/12 DEP Agreement LP44072, Attachment A, Page 2 of 3 u r I & Tr n smi55ign Syst Mobilization of contractors $1,500,000 Bonds & Insurance — Not eligible for funding $1,930,000 Lower Sugarloaf - collection design & permit $250,000 Lower Sugarloaf - collection construction $8,485,479 Lower Sugarloaf -transmission design & permit $360,000 Lower Sugarloaf - transmission construction $1,943,494 lower Sugarloaf expansion - design & permit $11,265 lower Sugarloaf expansion - construction $112,000 Ramrod - collection design & permit $225,000 Ramrod - collection construction $6,688,151 Ramrod - transmission design & permit $300,000 Ramrod -transmission construction $2,854,507 Ramrod Expansion - design & permit $23,500 Ramrod Expansion - construction $111,500 Niles Channel Directional drill - design /permit $30,000 Niles Channel Directional drill - construction $3,450,000 Little Torch - collection design & permit $255,000 Little Torch - collection construction $7,292,356 Little Torch - Transmission design & permit $160,000 Little Torch - Transmission construction $1,138,766 Big Pine North collection - design & permit $670,000 Big Pine North collection - construction $20,582,821 Big Pine North transmission - design & permit $250,000 Big Pine North transmission - construction $1,543,661 Big Pine South collection - design & permit $465,000 Big Pine South collection - construction $14,398,662 Big Pine South Transmission - design &permit $275,000 Big Pine South Transmission - construction $2,490,102 Big Pine South expansion - construction $1,261,175 SUBTOTAL OUTER ISLANDS $79,057,439 $14,546,584 Construction Engineering and Inspection (CEI) $7,000,000 Grand Tntal $142,348,998 $30,000,000 Revised 2/12 DEP Agreement LP44072, Attachment A, Page 3 of 3 ATTACHMENT B Disbursement Request Package Legislative Projects (LP) Grants 1. Grantee/ Recipient Monroe County 2. Project Number LP44072 Date of Request 3. Disbursement Request Number Required Match % 4. Type of Request: Partial ❑ Final ❑ 5. Federal Employer Identification Number 6. Task/ Deliverable No. 7. Mail ❑ EFT ❑ Send Remittance to: Disbursement Details (cumulative amounts rounded to the nearest dollar) NOTE: Can only claim expenses in approved budget. 1. Salaries 2. Fringe Benefits 3. Travel 4. Contractual Services (Professional Services) 5 Contractual Services (Construction) 6. Equipment 7. Supplies/ Other Expenses 8. Land 9. Indirect Charges 10. Total 11. Disbursements previously requested 12. Amount Requested for Disbursement (line 10 minus 11) Amount this I Total Reauest Cumulative ** SUBMIT ONE ORIGINAL COPY OF THIS FORM AND SUPPORTING DOCUMENTATION FOR EACH DELIVERABLE TO: "" Florida Department of Environmental Protection State Revolving Fund Management, MS 3505 2600 Blair Stone Road Tallahassee, Florida 32399 -2400 or email your request to: SRF DEP Agreement No. LP44072, Attachment B, Page 1 of 3 Grant Manager's Certification of Disbursement Request I , (name of Grantee's Grant Manager designated in the Agreement) on behalf of , do hereby certify that: (name of Grantee/ Recipient) 1. The disbursement amount requested on Page 1 of this form is for allowable costs for the project described in Attachment A of the Agreement; 2. All costs included in the amount requested have been satisfactorily purchased, performed, received, and applied toward completing the project; such costs are documented by invoices or other appropriate documentation as required in paragraph 31); 3. The Grantee has paid such costs under the terms and provisions of contracts relating directly to the project; and the Grantee is not in default of any terms or provisions of the contracts; 4. If funds were advanced, all funds received to date have been applied toward completing the project; and 5. All permits and approvals required for the construction which is underway have been obtained. ( Signature of Grant Manager) (Date) DEP Agreement No. LP44072, Attachment B, Page 2 of 3 Engineer's Certification of Disbursement Request ONLY SUBMIT IF CONSTRUCTION IS PART OF THE PROJECT , being the Professional Engineer retained by (name of Professional Engineer) , am responsible for overseeing construction of the (name of Grantee/ Recipient) project described in the Agreement and do hereby certify that: 1. Equipment, materials, labor, and services represented by the construction invoices have been satisfactorily purchased or received and applied to the project in accordance with construction contract documents filed with and previously approved by the Department of Environmental Protection; 2. Payment is in accordance with construction contract provisions; 3. Adequate construction supervision is being provided to assure compliance with construction requirements and Florida Administrative Code Chapter 62 -600 or Chapter 62 -604, as appropriate; 4. Construction up to the point of this disbursement is in compliance with the approved plans and permits; 5. All changes, additions, or deletions to the construction contract(s) have been documented by change order and all change orders have been submitted to the Department; and 6. All additions or deletions to the Project which have altered the Project's performance standards, scope, or purpose (since issue of the pertinent Department permit) have been identified in writing by amendment to this Agreement. Signature of Professional Engineer Firm or Affiliation (Date) (P.E. Number) DEP Agreement No. LP44072, Attachment B, Page 3 of 3 ATTACHMENT C Contract Payment Requirements Florida Department of Financial Services, Reference Guide for State Expenditures Cost Reimbursement Contracts Invoices for cost reimbursement contracts must be supported by an itemized listing of expenditures by category (salary, travel, expenses, etc.). Supporting documentation must be provided for each amount for which reimbursement is being claimed indicating that the item has been paid. Check numbers may be provided in lieu of copies of actual checks. Each piece of documentation should clearly reflect the dates of service. Only expenditures for categories in the approved contract budget should be reimbursed. Listed below are examples of the types of documentation representing the minimum requirements: (1) Salaries: A payroll register or similar documentation should be submitted. The payroll register should show gross salary charges, fringe benefits, other deductions and net pay. If an individual for whom reimbursement is being claimed is paid by the hour, a document reflecting the hours worked times the rate of pay will be acceptable. (2) Fringe Benefits: Fringe Benefits should be supported by invoices showing the amount paid on behalf of the employee (e.g., insurance premiums paid). If the contract specifically states that fringe benefits will be based on a specified percentage rather than the actual cost of fringe benefits, then the calculation for the fringe benefits amount must be shown. Exception: Governmental entities are not required to provide check numbers or copies of checks for fringe benefits. (3) Travel: Reimbursement for travel must be in accordance with Section 112.061, Florida Statutes, which includes submission of the claim on the approved State travel voucher or electronic means. (4) Other direct costs: Reimbursement will be made based on paid invoices /receipts. If nonexpendable property is purchased using State funds, the contract should include a provision for the transfer of the property to the State when services are terminated. Documentation must be provided to show compliance with Department of Management Services Rule 60A- 1.017, Florida Administrative Code, regarding the requirements for contracts which include services and that provide for the contractor to purchase tangible personal property as defined in Section 273.02, Florida Statutes, for subsequent transfer to the State. (5) In -house charges: Charges which may be of an internal nature (e.g., postage, copies, etc.) may be reimbursed on a usage log which shows the units times the rate being charged. The rates must be reasonable. (6) Indirect costs: If the contract specifies that indirect costs will be paid based on a specified rate, then the calculation should be shown. Contracts between state agencies, and or contracts between universities may submit alternative documentation to substantiate the reimbursement request that may be in the form of FLAIR reports or other detailed reports. The Florida Department of Financial Services, online Reference Guide for State Expenditures can be found at this web address: httn: / /www.Rdfs.com/aadir /reference guide.htm DEP 55 -219 (05/2008) DEP Agreement No. LP44072, Attachment C, Page 1 of 1 ATTACHMENT D PROGRESS REPORT FORM DEP Agreement No.: LP44072 Grantee Name: Monroe Coun Grantee Address: Grantee's Grant Manager: 1 Telephone No.: Reporting Period: Project Number and Title: Provide a summary of project accomplishments to date. (Include a comparison of actual accomplishments to the objectives established for the period. If goals were not met, provide reasons why.) Provide an update on the estimated time for completion of the project and an explanation for any anticipated delays. Provide any additional pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs. DEP Agreement No. LP44072, Attachment D, Page 1 of 2 (continued from page 1) Identify below, and attach copies of, any relevant work products being submitted for the project for this reporting period (e.g., report data sets, links to on -line photographs, etc.) Provide a project budget update, comparing the project budget to actual costs to date. Expenditures Prior to this Expenditures Budget Total Project Reporting this Reporting Project Funding Category Budget Period Period Balance This report is submitted in accordance with the reporting requirements of DEP Agreement No. LP44072 and accurately reflects the activities and costs associated with the subject project. Signature of Grantee's Grant Manager Date DEP Agreement No. LP44072, Attachment D, Page 2 of 2 ATTACHMENT E SPECIAL AUDIT REQUIREMENTS The administration of resources awarded by the Department of Environmental Protection (which may be referred to as the "Department ", "DEP ", 7DEP" or "Grantor ", or other name in the contract /agreement) to the recipient (which may be referred to as the "Contractor ", Grantee" or other name in the contract /agreement) may be subject to audits and/or monitoring by the Department of Environmental Protection, 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 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 cooperate with any monitoring procedures /processes deemed appropriate by the Department of Environmental Protection. In the event the Department of Environmental Protection determines that a limited scope audit of the recipient is appropriate, the recipient agrees to comply with 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 Chief Financial Officer or Auditor General. AUDITS PART I: FEDERALLY FUNDED This part is applicable if the recipient 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 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 I to this Attachment indicates Federal funds awarded through the Department of Environmental Protection 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 of Environmental Protection. 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 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. 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 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. The recipient may access information regarding the Catalog of Federal Domestic Assistance (CFDA) via the internet at httn:/ /12.46.245.173 /efda /cfda.html. DEP 55 -215 (03/09) DEP Agreement No. LP44072, Attachment E, Page 1 of 5 PART II: STATE FUNDED This part is applicable if the recipient is a nonstate entity as defined by Section 215.97(2)(m), Florida Statutes. 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 Attachment indicates state financial assistance awarded through the Department of Environmental Protection 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 of Environmental Protection, 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(7), 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. In the event that the recipient expends less than $500,000 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 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. For information regarding the Florida Catalog of State Financial Assistance (CSFA), a recipient should access the Florida Single Audit Act website located at hqps://Vps.ndfs.com/fsa for assistance. In addition to the above websites, the following websites may be accessed for information: Legislature's Website at http / /www lep state fl us /Welcome /index.cfm State of Florida's website at http: / /www.mvflorida.com/, Department of Financial Services' Website at http: / /www.fldfs.com/ and the Auditor General's Website at htty: / /www.state.fl.us /audaen PART III: OTHER AUDIT REQUIREMENTS (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 Copies of reporting packages for audits conducted in accordance with OMB Circular A -133, as revised, and required by PART I of this Attachment 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: DEP 55 -215 (03/09) DEP Agreement No. LP44072, Attachment E, Page 2 of 5 A. The Department of Environmental Protection at the following address: Audit Director Florida Department of Environmental Protection Office of the Inspector General, MS 40 3900 Commonwealth Boulevard Tallahassee, Florida 32399 -3000 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 Submissions of the Single Audit reporting package for fiscal periods ending on or after January 1, 2008, must be submitted using the Federal Clearinghouse's Internet Data Entry System which can be found at httv:Hharvester.census.pov /fac/ C. Other Federal agencies and pass- through entities in accordance with Sections .320 (e) and (f), OMB Circular A -133, as revised. 2. Pursuant to Section .320(0, OMB Circular A -133, as revised, the recipient shall submit a copy of the reporting package described in Section .320(c), OMB Circular A -133, as revised, and any management letters issued by the auditor, to the Department of Environmental Protection at the following address: Audit Director Florida Department of Environmental Protection Office of the Inspector General, MS 40 3900 Commonwealth Boulevard Tallahassee, Florida 32399 -3000 Copies of financial reporting packages required by PART II of this Attachment shall be submitted by or on behalf of the recipient directly to each of the following: A. The Department of Environmental Protection at the following address: Audit Director Florida Department of Environmental Protection Office of the Inspector General, MS 40 3900 Commonwealth Boulevard Tallahassee, Florida 32399 -3000 B. The Auditor General's Office at the following address: State of Florida Auditor General Room 401, Claude Pepper Building 111 West Madison Street Tallahassee, Florida 32399 -1450 REMAINDER OF PAGE INTENTIONALLY LEFT BLANK DEP 55 -215 (03/09) DEP Agreement No. LP44072, Attachment E, Page 3 of 5 4. Copies of reports or management letters required by PART III of this Attachment shall be submitted by or on behalf of the recipient directly to the Department of Environmental Protection at the following address: Audit Director Florida Department of Environmental Protection Office of the Inspector General, MS 40 3900 Commonwealth Boulevard Tallahassee, Florida 32399 -3000 Any reports, management letters, or other information required to be submitted to the Department of Environmental Protection pursuant to this Agreement shall be submitted timely in accordance with OMB Circular A -133, Florida Statutes, or Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for - profit organizations), Rules of the Auditor General, as applicable. 6. Recipients, when submitting financial reporting packages to the Department of Environmental Protection 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, 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 5 years from the date the audit report is issued, and shall allow the Department of Environmental Protection, or its designee, Chief Financial Officer, or Auditor General access to such records upon request. The recipient shall ensure that audit working papers are made available to the Department of Environmental Protection, or its designee, Chief Financial Officer, or Auditor General upon request for a period of 3 years from the date the audit report is issued, unless extended in writing by the Department of Environmental Protection. 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Signature Date Print Name and Position Title DEP Agreement No. LP44072, Attachment F, Page 1 of 3 INSTRUCTIONS FOR COMPLETING THE ATTACHMENT Grantee Fiscal Year Period: FROM: Month/Year TO: Month/Year NOTE: THIS SHOULD BE THE GRANTEE'S FISCAL YEAR FROM (MONTH/YEAR) TO (MONTH/YEAR). Total State Financial Assistance Expended during Grantee's most recently completed Fiscal Year: NOTE: THIS AMOUNT SHOULD BE THE TOTAL STATE FINANCIAL ASSISTANCE EXPENDED FROM ALL STATE AGENCIES, NOT JUST DEP. Total Federal Financial Assistance Expended during Grantee's most recently completed Fiscal Year: NOTE: THIS AMOUNT SHOULD BE THE TOTAL FEDERAL FINANCIAL ASSISTANCE EXPENDED FROM ALL FEDERAL AGENCIES, NOT JUST THROUGH DEP. The Certification should be signed by your Chief Financial Officer. Please print the name and include the title and date of the signature. DEP Agreement No. LP44072, Attachment F, Page 2 of 3 CERTIFICATION OF APPLICABILITY TO SINGLE AUDIT ACT REPORTING FREQUENTLY ASKED QUESTIONS 1. Question: Do I complete and return this form when I return my signed Agreement/Amendment? Answer: No, this form is to be completed and signed by your Chief Financial Officer and returned 4 months after the end of your fiscal year. 2. Question: Can I fax the form to you? Answer: Yes, you can fax the Certification form, the fax number is 850/245 -2411. 3. Question: How can I submit the form if our audit is not completed by the due date of this letter? Answer: You should be able to complete the form from the information in your accounting system. This is just to let our Office of the Inspector General know which entities they should be getting an audit from. If you are under the threshold you do not have to submit a copy of your audit, only the Certification form. 4. Question: Do you only want what we received from DEP? Answer: No, the Single Audit is the TOTAL AMOUNT of funds that you expended towards all state or federal grants that you receive. You should list those that are specific to DEP on the form. 5. Question: Do I have to submit the completed form and a copy of my audit? Answer: No, you do not have to submit your audit unless you are over the threshold of $500,000. If you would prefer to submit your audit (CAFR) instead of the form, that is fine. 6. Question: Our CAFR will not be ready before your due date and we don't have the information necessary to complete the certification. Can we get an extension? Answer: Yes, just send us an Email letting us know when you will have your CAFR completed and we will place the Email with your letter in our file so that you don't get a 2 nd notice. 7. Question: Can I submit my Certification Form or CAFR electronically? Answer: Yes, you can submit them by Email to Debbie. skelton(&dep.state.fl.us DEP Agreement No. LP44072, Attachment F, Page 3 of 3