1st Amendment 11/20/2019 );:e;:"";;..... Kevin Madok, CPA
o .. :...• Clerk of the Circuit Court& Comptroller—Monroe County, Florida
~R�GcoVN•
DATE: December 19, 2019
TO: Rhonda Haag, Director
Sustainability&Projects
Lindsey Ballard,Aide
to the County Administrator
FROM: Pamela G. Hancoll% .C.
SUBJECT: November 20th BOCC Meeting
Attached is an electronic copy of the following item for your handling:
Q6 $0 1st Amendment to Grant Agreement MN008 for water quality monitoring
services in support of the Florida Keys Reasonable Assurance Document with the Florida
Department of Environmental Protection, to correct minor discrepancies in the Grant
Agreement.).
Should you have any questions please feel free to contact me at(305) 292-3550.
cc: County Attorney
Finance
File
KEY WEST MARATHON PLANTATION KEY PK/ROTH BUILDING
500 Whitehead Street 3117 Overseas Highway 88820 Overseas Highway 50 High Point Road
Key West,Florida 33040 Marathon,Florida 33050 Plantation Key,Florida 33070 Plantation Key,Florida 33070
305-294-4641 305-289-6027 305-852-7145 305-852-7145
AMENDMENT NO. 1
TO AGREEMENT NO.MN008
BETWEEN
FLORIDA DEPARTMENT OF ENVIRONMENTAL,PROTECTION
AND
MONROE COUNTY BOARD OF COUNTY COMMISSIONERS
This Amendment to Agreement No.MN008(Agreement)is made by and between the Department of
Environmental Protection(Department),an agency of the State of Florida,and Monroe County Board of County
Commissioners, 1100 Simonton Street,Key West,Florida 33040 (Grantee),on the date last signed below.
WHEREAS,the Department entered into the Agreement with the Grantee for water quality monitoring services
effective October 23,2018;
WHEREAS,the parties wish to amend the Agreement as set forth herein.
NOW THEREFORE,the parties agree as follows:
1) The match amount indicated in Attachment 2,paragraph 5 is changed to reflect a match amount of$180,359.
2) Attachment 2,Paragraph 7,is hereby deleted in its entirety and replaced with the following:
RESERVED.
3) Attachment 3,Grant Work Plan,is hereby deleted in its entirety and replaced with Attachment 3-A,Revised Grant
Work Plan,as attached to this Amendment and hereby incorporated into the Agreement.All references in the
Agreement to Attachment 3 shall hereinafter refer to Attachment 3-A,Revised Grant Work Plan.
4) Attachment 5,Special Audit Requirements,Exhibit 1,is hereby deleted and replaced with Exhibit 1-A,as attached
this Amendment and hereby incorporated into the Agreement.All references in the Agreement to Attachment 5,
Special Audit Requirements,Exhibit 1,shall hereinafter refer to Exhibit 1-A.
5) Attachment 8,Federal Regulations and Terms(Federal),is hereby deleted in its entirety and replaced with Attachment
8-A,Revised Federal Regulations and Terms(Federal),as attached to this Amendment and hereby incorporated into
the Agreement.All references in the Agreement to Attachment 8 shall hereinafter refer to Attachment 8-A,Revised
Federal Regulations and Terms(Federal). ,
6) All other terms and conditions of the Agreement remain in effect. If and to the extent that any inconsistency may
appear between the Agreement and this Amendment,the provisions of this Amendment shall control.
The parties agree to the terms and conditions of this Amendment and have duly authorized their respective representatives
to sign it on the dates indicated below.
Monroe County :oard of County Commissioners Florida Department of Zvi
Environmental Protect'on 9
By: . ..1iiAl y
f ��c�"c : • Mayor Bather arruthers c�- ca
� � e � 'f .2'� of Date: /l ( S ( / .mot -_``c-
. } ;i'M4 IN MADOK, CLERK r`
m r1 0 p al 0 COU r' _,n,� _ .
V,Vrtle
,,, ,,,, `�,Jt e/.1 eputy Clerk"'° nt No.:MN008
1 of 2PFbRO _
A:s1
LI Y ATTO N
NT EY -Rev.10/8/18 C/ 2,7C &/(c
LIST OF ATTACHMENTS/EXHIBITS INCLUDED AS PART OF THIS AMENDMENT:
Specify Type Letter/Number Description
Attachment 3-A Revised Grant Work Plan(10 pages)
Attachment 5, Special Audit Requirements Exhibit 1-A(1 page)
Attachment 8-A Revised Federal Regulations and Terms(Federal)(7 pages)
-REMAINDER OF PAGE INTENTIONALLY LEFT BLANK-
Agreement No.:MN008 Amendment No.: 1
2 of 2
Rev. 10/8/18
DEPARTMENT OF ENVIRONMENTAL PROTECTION
GRANT WORK PLAN
DEP AGREEMENT#: MN008
ATTACHMENT 3-A
PROJECT TITLE: FL Keys Near Shore Monitoring
PROJECT LOCATION: The Project will be located in Monroe County, Florida. Monitoring
activities will primarily occur within the near shore waters(within 500m of the keys coastline).
PROJECT BACKGROUND: The Florida Keys Reasonable Assurance Documentation (FKRAD) was
approved by the Florida Department of Environmental Protection (FDEP or Department) for Nutrients in
2008 and provided to the Environmental Protection Agency (EPA) in February 2009. The FKRAD was
-developed by the Department in cooperation with local governments, state agencies, and federal agencies
within the Florida Keys to set forth and accelerate the actions that have been taken or were planned to be
taken to reduce nutrient loadings to near shore waters throughout the Florida Keys so that water quality
standards are met and beneficial uses are restored. The Florida Keys Reasonable Assurance Plan was
divided into several documents and can be found at http://www.dep.state.fl.us/Water/watersheds/rap.htm
The near shore waters comprise 23 estuarine WBIDs (WaterBody IDentification units) classified as Class
III waters (Recreation, Propagation and Maintenance of a Healthy, Well-Balanced Population of Fish and
Wildlife) subject to the applicable water quality standards and assessment methodology set forth in Chapters
62-302 (Surface Water Quality Standards) and 62-303 (Identification of Impaired Surface Waters, IWR) of
the Florida Administrative Code (F.A.C.). A map of the 23 WBIDs is included in Figure 1 below providing
the planning units(Upper Keys,Middle Keys,and Lower Keys)and cities.
PROJECT DESCRIPTION: Comprehensive monitoring will be performed to collect sufficient nutrient
data to evaluate the FKRAD for the 23 FKRAD WBIDs, in order, to determine FKRAD nutrient
compliance and support the Department's Impaired Waters assessments. The monitoring will consist of
collecting an estimated 252 samples at 60-65 stations with 4 samples collected at each station in a
calendar year for two consecutive years, and at least one sample collected between May 1 and September 30
and at least one sample collected during,the other months of the calendar year. Note, most of the
sample locations will require a boat for accessibility and two staff per sampling team.
TASKS and DELIVERABLES: Attachment 3-A,DEP Agreement#:
MN008 1 of 10
Rev.2/13/2018
Florida Keys RAD WBIDs
Figure 1. FKRAD RAD WBID, .
/-
eoasc
,fir. 6006E
Upper Keys
Middle Keys .
6000
Marathon
Key Colony Beach 111►��'""`��"'
dpartp
Lower Keys iD18
6011C
6611A 6011e
6013D 6012E 6012A1e612C
e0138 6013C Wte 6010 _ Planning Units
Key West 60120
6013AB Cities&Villages
sow FKRAD WBIDs
6014A 60146
siminnisi
Mi
I ?'r i 21
Attachment 3-A,DEP Agreement#:MN008
2 of 10
Rev.2/13/2018
Task#1 : DEP Water Quality Monitoring Training
Task Description: The Grantee or its subcontractors, including all personnel who will perform any
aspect of the field sampling associated with this grant,will attend and participate in DEP sanctioned
water quality sampling training. This training will be provided or supported by DEP and will include
presentations and demonstrations consistent with DEP sampling Standard Operating Procedures(SOPs).
The Grantee and/or its subcontractors are expected to adhere to these SOPs when performing tasks under
this grant agreement.
Deliverable #1 : Proof of attendance and participation at a DEP sanctioned water quality sampling
training event. This should be an event sign-sheet or similar document confirmed by DEP personnel or
contractor approved to provide the training.
Performance Standard: The Department's Grant Manager will ensure the training is made
available to the Grantee and its subcontractors and that the'training complies with this Agreement
and the quality assurance requirements.
Payment Request Schedule: Grantee may submit a payment request for cost reimbursement
upon completion of the task and Department approval of all associated task deliverables.
Task Budget: Allowable budget categories and costs for this task include contract services
($9,035 DEP and 50%match of$9,035 from Monroe Co. for total of$18,070)
Task Start and End Dates: Deliverable 1:No later than 30 days before first sampling event
Deliverable Due Date: All task related work must be completed by, and all deliverables must be
received by,the task end date.
Attachment 3-A,DEP Agreement#:
MN008 3 of 10
Rev.2/13/2018
Task#2 : Quality Assurance Project Plan
Task Description: The Grantee will prepare,submit,and receive approval on a Quality Assurance
Project Plan (QAPP) prior to commencement of any monitoring associated with the project. The
QAPP must specify the sampling procedures, locations, instruments, and parameters to be sampled. It
must also include all laboratory methods and procedures to be used in analyzing the samples, all
associated reporting elements, and all other information as stated in Attachment E. The Grantee will use
the format provided by the Department's Grant Manager, if applicable. The Grantee shall perform
technical review audits according to Attachment E(5b).
Deliverable #2a : Draft QAPP submitted electronically in Word format to the Department's Grant
Manager. Upon request,the Grantee will provide a paper copy of the Draft QAPP to the Department's
Grant Manager.
Performance Standard: The Department's Grant Manager will ensure review of the draft QAPP
for compliance with this Agreement and the quality assurance requirements, to ensure
sufficient monitoring is planned to measure project effectiveness, and provide comments to the
Grantee as needed prior to Final QAPP submittal.
Deliverable #2b : Final Department-approved QAPP submitted electronically in Word format
to the Department's Grant Manager. Upon request, the Grantee will provide a paper copy of the
Final QAPP to the Department's Grant Manager.
Performance Standard: The Department's Grant manager will review the Final QAPP to ensure that
draft comments have been incorporated and the Final QAPP is in compliance with this Agreement and
the quality assurance requirements. Upon review and written approval by the Department's Grant
Manager of the•Final QAPP,the Grantee may proceed with payment request submittal.
Deliverable #2c : The Grantee shall provide a summary of their technical review audits following
Attachment E(5b). These audits shall be performed initially,within 30 days after the first sampling
event, and quarterly until Task 2 is completed.
Performance Standard: The Department's Grant manager will review the technical review audits to
ensure monitoring is performed according to the QAPP.
Payment Request Schedule: Grantee may submit a payment request for cost reimbursement
upon completion of the task and Department approval of all associated task deliverables.
Task Budget: Allowable budget categories and costs for this task include contract services
($8,340 DEP and 50%match of$8,340 from Monroe Co. for total of$16,680)
Task Start and End Dates: Deliverable 2a: Before November 1,2018,Deliverable 2b:No later than 30
days before first sampling event,Deliverable 2c: Within 30 days after first sampling event and then
quarterly(within.30-days after sampling events each quarter)until Task 3 is completed.
Deliverable Due Date: All task related work must be completed by, and all deliverables must be
received by,the task end date.
Attachment 3-A,DEP Agreement#:MN008
4 of 10
Rev.2/13/2018
Task#3: Monitoring
Task Description: The Grantee will conduct monitoring in accordance with the Department-
approved QAPP for this project (see Task #2. Comprehensive monitoring will be performed to
evaluate FKRAD nutrient compliance and support the Department's Impaired Waters assessments.
Samples will be collected for total Kjehldahl nitrogen, nitrate+nitrite, total phosphorus, and
chlorophyll-a; and field measurements taken for dissolved oxygen (percent saturation), pH, specific
conductance, and water temperature. The monitoring will consist of collecting an estimated 252
samples at 63 stations with 4 samples collected at each station in a calendar year for two
consecutive years, and at least one sample collected between May 1 and September 30 and at
least one sample collected during the other months of the calendar year. Sampling procedures and
methods should comply with DEP SOPs and laboratory method detection limits should be
comparable to those in Table 1 below. Training on DEP SOPs will be provided prior to any sampling
and must be attended by every person who will be collecting samples as part of this agreement.
Deliverable 3a: A summary of the samples collected and delivered to the lab for analysis. Summary of
completed monitoring activities(dates completed, sampling conducted and any not conducted and why,
monitoring results along with interpretation of those results(as expected or not as expectedsubmitted
electronically, along with the draft or final(when submitting final request laboratory report and sampling
logs(must also have field and weather datato the Department's Grant Manager. Upon request, the
Grantee will provide a paper copy or copies to the Department's Grant Manager. These deliverables
must be submitted 30 days prior to each payment request and may be submitted no more frequently than
quarterly(on the 15th day of the month).
Performance Standard: The Department's Grant Manager will review the monitoring results for
completion and compliance with QAPP requirements. Upon review and written acceptance by the
Department's Grant Manager of all deliverables under this task, the Grantee may proceed with uploading data
to WIN and payment request submittal.
Deliverable 3b: Laboratory and field sampling results data loaded to the DEP Watershed Information
Network database. Data collected each quarter will be loaded to WIN by the end of the subsequent
quarter (example: data collected in the first quarter will be loaded to WIN by the end of the second
quarter).
Performance Standard: The Department's Grant Manager will review the monitoring results for
completion and compliance with QAPP requirements. Upon review and written acceptance by the
Department's Grant Manager of all deliverables under this task, the Grantee may proceed with uploading data
to WIN and payment request submittal.
Additional Financial Consequences: Costs for any monitoring that is not completed as outlined in the
Department-approved QAPP may be discounted if included in the payment request.
Payment Request Schedule: Grantee may submit a payment request for cost reimbursement
no more frequently than once per quarter. The outlined Deliverable(s must have been
submitted and accepted in writing by the Department's Grant Manager prior to payment request submittal.
Task Budget: Allowable budget categories and costs for this task include contract services
($139,894 DEP and 50%match of$139,894 from Monroe Co. for total of$279,788)
Task Start and End Dates: Start no later than March 1,2019 to catch the first quarter of 2019, end by
December 30,2021.
Deliverable Due Date: Deliverable 3: due by January 31,2021,but can be submitted more frequently.
Attachment 3-A,DEP Agreement#:MN008
Rev.2/13/2018 5 of 10
Table 1. List of Water Quality Parameters for Near Shore Monitoring
Method
Detection
Parameter Sample Type Description Analy to Method Limit
Nitrite+Nitrate in aqueous
NO, Water Grab matrices as mg/L as N EPA 353.2 Rev.2.0 0.004 mg/L
Total Phosphorus in aqueous
TP Water Grab matrices as mg/L as P EPA 365.1 Rev.2.0 0.002 mgfL
Total Kjeldahl Nitrogen in
TICS Water Grab aqueous matrices as mgfL as N EPA 351.2 Rev. 2.0 0.08 mg/L
Phytoplankton chlorophyll-a
(corrected for phaeophytin)and
Chlorophyll a Water Grab phaeophytin by spectrophotometry SM 10200 H(mod.)) <1.0 ug/L
Dissolved oxygen(DO)
Dissolved Field concentration in water measured
Oxygen Measurement by field meter Discrete Measurement Not applicable
Discrete Measurement
Percent DO Field Percent DO saturation in water
Saturation Measurement measured by field meter Not applicable
Discrete Measurement
Field pH level in water measured by
pH Measurement field meter Not applicable
Discrete Measurement
Specific Field Specific conductance of water
Conductance Measurement measured by field meter Not applicable
Discrete Measurement
Water Field Water temperature measured by
Temperature Measurement field meter Not applicable
Attachment 3-A,DEP Agreement#:MN008
6 of 10
Rev.2/13/2018
•
Task#4: Final Report
Task Description: The Grantee will prepare a Final Report summarizing the results of the
project,including all tasks in the Grant Work Plan. The Final Report must include at a minimum:
• Project location and background,project description and timeline, grant award amount
and anticipated benefits.
• Financial summary of actual costs versus the budget, along with any changes required to
the budget. Include any match or locally pledged contributions provided, along with
other related project work performed outside of this Agreement to identify the overall
project cost.
• Discussion of project schedule versus actual completion, including changes required to
• the schedule, unexpected site conditions and adjustments, significant unexpected delays
and corrections, and/or other significant deviations from the original project plan.
• Summary of data entry activities completed as well as those not completed and why
• GIS files, maps,appropriate figures(site location, site plan[s]. etc.), appropriate tables
summarizing data/information relevant to Grant Work Plan tasks, and appropriate
attachments relevant to the project.
• Summary of monitoring activities completed and any not completed and why,monitoring
results, and an interpretation of data based on planned versus realized results.
Deliverable #4a : An electronic copy of the draft Final Report in Word format submitted to the
Department's Grant Manager for review prior to submission of the Final Report. Upon request, the
Grantee will provide a paper copy of the draft Final Report.
Attachment 3-A,DEP Agreement#:MN008
7 of 10
Rev.2/13/2018
Performance Standard: The Department's Grant Manager will review the submitted draft Final Report
to verify that it meets the specifications in the Grant Work Plan and this task description, and provide
any comments to the Grantee for incorporation into the Final Report.
Deliverable#4b : An electronic copy of the Final Report,with all suggested changes incorporated, in
Word or PDF format submitted to the Department's Grant Manager for review and approval. Upon
request,the Grantee will provide a paper copy of the Final Report.
Performance Standard: Upon review and written approval by the Department's Grant Manager of
the Final Report,the Grantee may proceed with payment request submittal for this task.
Payment Request Schedule: Grantee may submit a payment request for cost reimbursement
upon completion of the task and Department approval of all associated task deliverables.
Task Budget: Allowable budget categories and costs for this task include contract services
($23,090 DEP and 50%match of$23,090 from Monroe Co. for total of$46,180)
Task Start and End Dates: Task must be completed by May 1,2021
Deliverable Due Date: Deliverable 4a:due March 1,2021;Deliverable 4b: due May 1,2021
PROJECT TIMELINE: The tasks must be completed by the corresponding task end date and all
deliverables must be received by the designated due date.
Task/ Deliverable
Deliverable Task Start Task End Due Date/
No. Task or Deliverable Title Date Date Frequency
1 DEP Water Quality Monitoring Training Before Oct.31 2018 Oct.31,2018 One time
30 days before first One time
Before Nov.1,2018
2 Quality Assurance Project Plan sampling event
2,t Draft QAPP Before Nov. 1,20L8 One time
Attachment 3-A,DEP Agreement#:MN008
8 of 10
Rev.2/13/2018
2b Final QAPP 30-days before fi-st sampling event One time
2c Technical review audits following NN[thin 30 days after
Attachment E(5b) first sampling event Quarterly
3 Monitoring 1/31/2021
3 a Monitoring progress reports within 30 days after each sampling event Quarterly
3 by the end of subsequ nt quarter after
Data uploads to WIN sampling Quarterly
4 Final Report 05/01/2021 One time
4a Draft Final Report 03/01/2021 One time
4b Final Report 05/01/2021 One time
BUDGET DETAIL BY TASK:
Task Budget Grant Budget latch Total
No. Budget Category Funding Funding Funding
1 Contractual Services $9,035 $9.035 $18,070
Total for Task $9,035 $9,035 $18,070
Contractual Services $8.340 $8,340 $16,680
2 Total for Task $8,340 $8,340 $16,680
3 Contractual Services $139,894 $139,894 $279,788
Total for Task $139,894 $139,894 $279,788
4 Contractual Services $23,090 $23,090 $46,180
Total for Task $23,090 $23,090 $46,180
Total: $180,359 $180,359 S360,718 •
Percentage Match: 50% 50%
Attachment 3-A,DEP Agreement#:MN008
9 of 10
Rev.2/13/2018
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
Attachment 3-A,DEP Agreement#:MN008
10of10
Rev.2/13/2018
Exhibit 1-A
FUNDS AWARDED TO THE RECIPIENT PURSUANT TO THIS AGREEMENT CONSIST OF THE FOLLOWING:
Federal Resources Awarded to the Recipient Pursuant to this Agreement Consist of the Following:
Federal State
Program CFDA Appropriation
Number Federal Agency Number CFDA Title Funding Amount Category
66.454 EPA 66.454 Water Quality Management Planning,GAA 1633,•
$128,281 140076
2017-2018
State Resources Awarded to the Recipient Pursuant to this Agreement Consist of the Following Matching Resources for Federal Programs:
Federal State
Program Appropriation
Number Federal Agency CFDA CFDA Title Funding Amount Category
•
State Resources Awarded to the Recipient Pursuant to this Agreement Consist of the Following Resources Subject to Section 215.97,F.S.:
State CSFA Title State
Program State CSFA or Appropriation
Number Funding Source Fiscal Year Number Funding Source Description Funding Amount Category
37.039 GAA 1624 General 2017 37.039 Statewide Surface Water Restoration $51,978 088964
Revenue and Wastewater
Total Award $180,359
For each program identified above,the recipient shall comply with the program requirements described in the Catalog of Federal Domestic Assistance(CFDA)
[www.cfda.gov] and/or the Florida Catalog of State Financial Assistance(CSFA)[https//apps.tldfs.com/fsaa'searchCataloe.aspx]. The services/purposes for
which the funds are to be used are included in the Contract scope of services/work. Any match required by the recipient is clearly indicated in the Contract.
Attachment 5,Exhibit 1-A
1 of I
Rev.5/3097
ATTACHMENT 8-A
Contract Provisions for EPA-Funded Agreements
The Department, as a Non-Federal Entity as defined by 2 CFR §200.69, shall comply with the following
provisions, where applicable. For purposes of this Grant Agreement between the Department and the
Grantee,the term"Recipient"shall mean"Grantee."
Further,the Department,as a pass-through entity,also requires the Grantee to pass on these requirements to
all lower tier subrecipients,and to comply with the provisions of the award,including applicable provisions
of the OMB Uniform Guidance (2 CFR Part 200), and all associated terms and conditions. Therefore,
Grantees must include these requirements in all related subcontracts and/or sub-awards. Grantees can include
these requirements by incorporating this Attachment in the related subcontract and/or sub-awards,however
for all such subcontracts and sub-awards,the Grantee shall assume the role of the Non-Federal Entity and the
subrecipients shall assume the role of the Recipient.
2 CFR PART 200 APPENDIX 2 REQUIREMENTS
1. Administrative,Contractual,and Legal Remedies
The following provision is required if the Agreement is for more than$150,000. In addition to any of the
remedies described elsewhere in the Agreement, if the Recipient materially fails to comply with the terms
and conditions of this Contract,including any Federal or State statutes,rules or regulations,applicable to this
Contract,the Non-Federal Entity may take one or more of the following actions.
i. Temporarily withhold payments pending correction of the deficiency by the
Recipient.
ii. Disallow(that is,deny both use of funds and any applicable matching credit for)
all or part of the cost of the activity
or action not in compliance.
iii. Wholly or partly suspend or terminate this Contract.
iv. Take other remedies that may be legally available.
The remedies identified above,do not preclude the Recipient from being subject to debarment and suspension
under Presidential Executive Orders 12549 and 12689. The Non-Federal entity shall have the right to demand
a refund,either in whole or part,of the funds provided to the Recipient for noncompliance with the terms of
this Agreement.
2. Termination for Cause and Convenience
Termination for Cause and Convenience are addressed elsewhere in the Agreement.
3. Equal Opportunity Clause
The following provision applies if the agreement meets the definition of"federally assisted construction
contract"as defined by 41 CFR Part 60-1.3:
During the performance of this Agreement,the Recipient agrees as follows:
i. The Recipient will not discriminate against any employee or applicant for employment because
of race, color, religion, sex, sexual orientation, gender identity, or national origin.
The Recipient will take affirmative action to ensure that applicants are employed, and
that employees are treated during employment without regard to their race,color,religion,sex,
sexual orientation, gender identity, or national origin. Such action shall include, but not be
limited to the following:
a. 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 Recipient agrees to post in conspicuous places,
available to employees and applicants for employment,notices to be provided setting forth
the provisions of this nondiscrimination clause.
ii. The Recipient will, in all solicitations or advertisements for employees placed by or on behalf
of the Recipient, state that all qualified applicants will receive consideration for employment
without regard to race, color, religion, sex, sexual orientation, gender identity, or national
origin.
iii. The Recipient will not discharge or in any other manner discriminate against
any employee or applicant for employment because such employee or applicant has inquired
Attachment 8-A
1 of 7
Rev.6/14/2019
about, discussed, or disclosed the compensation of the employee or applicant or
another employee or applicant. This provision shall not apply to instances in which
an employee who has access to the compensation information of
other employees or applicants as a part of such employee's essential job functions discloses
the compensation of such other employees or applicants to individuals who do not otherwise
have access to such information,unless such disclosure is in response to a formal complaint or
charge, in furtherance of an investigation, proceeding, hearing, or action, including an
investigation conducted by the employer, or is consistent with the Recipient's legal duty to
furnish information.
iv. The Recipient will send to each labor union or representative of workers with which he has a
collective bargaining agreement or other Agreement or understanding, a notice to be provided
advising the said labor union or workers'representatives of the Recipient's commitments under
this section, and shall post copies of the notice in conspicuous places available
to employees and applicants for employment.
v. The Recipient will comply with all provisions of Executive Order 11246 of September 24,
1965,and of the rules,regulations,and relevant orders of the Secretary of Labor.
vi. The Recipient will furnish all information and reports required by Executive Order 11246 of
September 24,1965,and by rules,regulations,and orders of the Secretary of Labor,or pursuant
thereto,and will permit access to his books,records,and accounts by the administering agency
and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules,
regulations,and orders.
vii. In the event of the Recipient's noncompliance with the nondiscrimination clauses of this
Agreement or with any of the said rules, regulations, or orders, this Agreement may be
canceled, terminated, or suspended in whole or in part and the Recipient may be declared
ineligible for further Government contracts or federally assisted construction contracts in
accordance with procedures authorized in Executive Order 11246 of September 24, 1965,and
such other sanctions may be imposed and remedies invoked as provided in Executive Order
11246 of September 24, 1965,or by rule, regulation,or order of the Secretary of Labor,or as
otherwise provided by law.
viii.The Recipient will include the portion of the sentence immediately preceding paragraph(1)and
the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless
exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section
204 of Executive Order 11246 of September 24, 1965,so that such provisions will be binding
upon each subcontractor or vendor. The Recipient will take such action with respect to
any subcontractor purchase order as the administering agency may direct as a means of
enforcing such provisions,including sanctions for noncompliance.
4. Davis Bacon Act
If the Agreement is a prime construction contract in excess of$2,000 awarded by the Recipient, and if
required by the Federal Legislation,the Recipient must comply with the Davis-Bacon Act(40 U.S.C.3141-
3144, and 3146-3148) as supplemented by Department of Labor regulations (29 CFR Part 5, "Labor
Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction").In
accordance with the statute,contractors must pay wages to laborers and mechanics at a rate not less than the
prevailing wages specified in a wage determination made by the Secretary of Labor.In addition,contractors
must pay wages not less than once a week. The Recipient must comply with the Copeland"Anti-Kickback"
Act(40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, "Contractors
and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from
the United States").The Act provides that each Recipient or subrecipient must be prohibited from inducing,
by any means,any person employed in the construction,completion,or repair of public work,to give up any
part of the compensation to which he or she is otherwise entitled.
5. Contract Work Hours and Safety Standards Act
Where applicable,if the Agreement is in excess of$100,000 and involves the employment of mechanics or
laborers,the Recipient must comply with 40 U.S.C.3702 and 3704,as supplemented by Department of Labor
regulations(29 CFR Part 5).Under 40 U.S.C. 3702 of the Act,each Recipient must be required to compute
the wages of every mechanic and laborer on the basis of a standard work week of 40 hours.Work in excess
of the standard work week is permissible provided that the worker is compensated at a rate of not less
than
Attachment 8-A
Rev.6/14/2019 2 of 7
one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week.The
requirements of 40 U.S.C.3704 are applicable to construction work and provide that no laborer or mechanic
must be required to work in surroundings or under working conditions which are unsanitary, hazardous or
dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily
available on the open market,or contracts for transportation or transmission of intelligence.
6. Rights to Inventions Made Under Agreement
If the Federal award meets the definition of"funding agreement" under 37 CFR §401.2 (a) and the Non
Federal Entity or subrecipient wishes to enter into a contract with a small business firm or nonprofit
organization regarding the substitution of parties, assignment or performance of experimental,
developmental, or research work under that "funding agreement," the Non-Federal Entity or subrecipient
must comply with the requirements of 37 CFR Part 401, "Rights to Inventions Made by Nonprofit
Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative
Agreements,"and any implementing regulations issued by the awarding agency.
7. Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act(33 U.S.C.
1251-1387)
If the Agreement is in excess of$150,000,the Recipient shall comply with all applicable standards,orders
or regulations issued pursuant to the Clean Air Act(42 U.S.C.7401-7671q)and the Federal Water Pollution
Control Act as amended (33 U.S.C. 1251-1387). Violations must be reported to the Federal Awarding
Agency and the Regional Office of the Environmental Protection Agency(EPA).
8. Debarment and Suspension(Executive Orders 12549 and 12689)
The Recipient certifies that it is not listed on the governmentwide exclusions in the System for Award
Management(SAM),in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders
12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), "Debarment and
Suspension."
9. Byrd Anti-Lobbying Amendment(31 U.S.C. 1352)
The Recipient certifies that it will not and has not used Federal appropriated funds to pay any person or
organization for influencing or attempting to influence an officer or employee of any agency, a member of
Congress, officer or employee of Congress, or an employee of a member of Congress in connection with
obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. If applicable, the
Recipient shall disclose any lobbying with non-Federal funds that takes place in connection with obtaining
any Federal award, using form SF-LLL, available at:
https://app1y07.grants.gov/apply/forms/sample/SFLLL 1 2 P-V 1.2.pdf.
10. Procurement of Recovered Materials
The Recipient must comply with Section 6002 of the Solid Waste Disposal Act,as amended by the Resource
Conservation and Recovery Act as described in 2 CFR part 200.322.
ADMINISTRATIVE
11. General Federal Regulations
Recipients shall comply with the regulations listed in 2 CFR 200,48 CFR 31,and 40 U.S.C. 1101 et sequence.
12. Rights to Patents and Inventions Made Under a Contract or Agreement
Rights to inventions made under this assistance agreement are subject to federal patent and licensing
regulations,which are codified at Title 37 CFR Part 401 and Title 35 U.S.C.200 through 212.
13. Compliance with the Trafficking Victims Protection Act of 2000(2 CFR Part 175)
Recipients,their employees,subrecipients under this award,and subrecipients'employees may not:
i. Engage in severe forms of trafficking in persons during the period of time that the award is in
effect;
ii.Procure a commercial sex act during the period of time that the award is in effect;or
iii.Use forced labor in the performance of the award or subawards under the award.
14.Section 102(a)of the Flood Disaster Protection Act of 1973 (P.L.93-234)
Recipients must comply with flood insurance purchase requirements of Section 102(a)of the Flood Disaster
Protection Act of 1973(P.L.93-234),if applicable. This act 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 or more.
15.Water Resources Reform and Development Act(WRRDA)P.L. 113-121
Attachment 8-A
3 of 7
Rev.6/14/2019
Recipients must comply with the Water Resources Reform and Development Act(WRRDA)P.L. 113-121,
if applicable. This act provides for improvements to the rivers and harbors of the United States,to provide
for the conservation and development of water and related resources.
16.Whistleblower Protection
Recipients shall comply with U.S.C. §4712, Enhancement of Recipient and Subrecipient Employee
Whistleblower Protection. This requirement applies to all awards issued after July 1, 2013 and effective
December 14,2016 has been permanently extended(Public Law(P.L.) 114-261).
(a) This award, related subawards, and related contracts over the simplified acquisition threshold
and all employees working on this award, related subawards, and related contracts over the
simplified acquisition threshold are subject to the whistleblower rights and remedies in the pilot
program on award recipient employee whistleblower protections established at 41 U.S.C.4712 by
section 828 of the National Defense Authorization Act for Fiscal Year 2013 (P.L. 112-239).
(b) Recipients, their subrecipients, and their contractors awarded contracts over the simplified
acquisition threshold related to this award, shall inform their employees in writing, in the
predominant language of the workforce,of the employee whistleblower rights and protections under
41 U.S.C.4712.
(c) The Recipient shall insert this clause, including this paragraph (c), in all subawards and in
contracts over the simplified acquisition threshold related to this award;best efforts should be made
to include this clause,including this paragraph(c)in any subawards and contracts awarded prior to
the effective date of this provision.
17.Notification of Termination(2 CFR§200.340)
In accordance with 2 CFR § 200.340, in the event that the Agreement is terminated prior to the end of the
period of performance due to the Recipient's or subcontractor's material failure to comply with Federal
statutes,regulations or the terms and conditions of this Agreement or the Federal award,the termination shall
be reported to the Office of-Management and Budget(OMB)-designated integrity and performance system,
accessible through System for Award Management(SAM)currently the Federal Awardee Performance and
Integrity Information System(FAPIIS). The Non-Federal Entity will notify the Recipient of the termination
and the Federal requirement to report the termination in FAPIIS. See 2 CFR§200.340 for the requirements
of the notice and the Recipient's rights upon termination and following termination.
18.Additional Lobbying Requirements
(a) The Recipient certifies that no funds provided under this Agreement have been used or will be used
to engage in the lobbying of the Federal Government or in litigation against the United States unless
authorized under existing law.
(b) The Lobbying Disclosure Act of 1995, as amended (2 U.S.C. §1601 et seq.), prohibits any
organization described in Section 501(c)(4)of the Internal Revenue Code, from receiving federal
funds through an award, grant (and/or subgrant) or loan unless such organization warrants that it
does not, and will not engage in lobbying activities prohibited by the Act as a special condition of
such an award, grant (and/or subgrant), or loan. This restriction does not apply to loans made
pursuant to approved revolving loan programs or to contracts awarded using proper procurement
procedures.
(c) Pursuant to 2 CFR§200.450 and 2 CFR§200.454(e),the Recipient is hereby prohibited from using
funds provided by this Agreement for membership dues to any entity or organization engaged in
lobbying activities.
COMPLIANCE WITH ASSURANCES
19.Assurances
Recipients shall comply with any and all applicable assurances made by the Department or the Recipient to
the Federal Government during the Grant application process.
20.Contracting with Small and Minority Businesses, Women's Business Enterprises, and Labor
Surplus Area Firms
Recipients shall take all affirmative steps necessary to assure that minority businesses, women's business
enterprises, and labor surplus area firms are used when possible, including those steps listed in 2 CFR
200.321(b).
FEDERAL REPORTING REQUIREMENTS
Grant Recipients awarded a new Federal grant greater than or equal to$30,000 awarded on or after October
1,2015,are subject to the FFATA the Federal Funding Accountability and Transparency Act("FFATA")of
Attachment 8-A
4 of 7
Rev.6/14/2019
2006. The FFATA legislation requires that information on federal awards (federal financial assistance and
expenditures) be made available to the public via a single, searchable website, which is
www.USASpending.gov.The Grantee agrees to provide the information necessary,within one(1)month of
execution,for the Department to comply with this requirement.
ENVIRONMENTAL PROTECTION AGENCY-SPECIFIC
21.EPA General Terms and Conditions (for purposes of compliance within the EPA General Terms
and Conditions only, "Recipient"refers to the Department and "Subrecipient"refers to the Grantee).
Recipients and subrecipients shall comply with EPA General Terms and Conditions applicable to the specific
Federal Award funding source,incorporated by reference and available at https://www.epa.gov/grants/grant-
terms-and-conditions.
22.Record Keeping and Audit. The United States Environmental Protection Agency and the
Comptroller General of the United States (U.S. Government Accountability Office), or their authorized
representatives, shall have access to all books, records, and documents related to the performance of this
Agreement for audit purposes during the term of this Agreement and for five years following Agreement
completion. In the event any work is subgranted or subcontracted,the Grantee shall similarly require each
subgrantee and subcontractor to maintain and allow access to such records for audit purposes.
23.EPA's Prohibition on Paying Management Fees. Management fees or similar charges in excess of
the direct costs and approved indirect rates are not allowable. The term"management fees or similar charges"
refers to expenses added to the direct costs in order to accumulate and reserve funds for ongoing business
expenses, unforeseen liabilities, or for other similar costs which are not allowable under this Agreement.
Management fees or similar charges may not be used to improve or expand the Project funded under this
Agreement, except to the extent authorized as a direct cost of carrying out the work identified in the Grant
Work Plan.
24.EPA Cybersecurity Conditions
Recipients shall comply with the EPA Grant Cyber Security Conditions located at
https://www.epa.gov/grants/state-grant-cybersecurity-condition, last amended July 6,2015.
25.Environmental Justice Guidance under the National Environmental Policy Act(42 U.S.C.4321)
Recipients shall comply with the Environmental Justice Guidance under the National Environmental Policy
Act (42 U.S.C. 4321). This act relates to the fair treatment and meaningful involvement of all people
regardless of race, color, national origin or income with respect to the development, implementation, and
enforcement of environmental laws,regulations and policies.
26. EPA Regulations
Recipients shall comply with the following regulations: 40 CFR 4,40 CFR 12,40 CFR 12,40 CFR 29,40
CFR 33.302,40 CFR 33.501(b)and(c),40 CFR 34,40 CFR 35,2 CFR 1500,and 2 CFR 1532.
27.Drug-Free Workplace
Recipients must make an ongoing,good faith effort to maintain a drug-free workplace pursuant to the specific
requirements set forth in Title 2 CFR Part 1536 Subpart B. Additionally, in accordance with these
regulations, the Recipients must identify all known workplaces under its federal awards, and keep this
information on file during the performance of the award.
28.EPA's Program for Utilization of Small,Minority,and Women's Business Enterprises.
Acceptance of the funds awarded under this Agreement requires general compliance with the EPA's
Disadvantaged Business Enterprise (DBE) Program pursuant to 40 CFR, Part 33. Recipients shall not
discriminate on the basis of race, color, national origin or sex in the performance of this Agreement.
Recipients shall carry out applicable requirements of 40 CFR Part 33 in the award and administration of
contracts and/or subcontracts awarded under EPA financial assistance agreements.Failure by the Recipient
to carry out these requirements is a material breach of this Agreement which may result in the termination of
this Agreement or other legally available remedies.
Based on the amount awarded to the Department under the original Federal funding source for this
Agreement,Recipients are subject to the reporting requirements of the EPA's DBE Program.Recipients must
complete and submit a "MBE/WBE Utilization Under .Federal-Giants, Cooperative Agreements and
Interagency Agreements" report (EPA Form 5700-52A) with the applicable required Payment Request
Form(s).
Attachment 8-A
5 of 7
Rev.6/14/2019
The current EPA Form 5700-52A is included as an Exhibit to this Attachment, but it is also available from
the EPA Office of Small Business Program's Home Page at http://www.epa.gov/osbp/dbe reporting.htm.
The Department has negotiated its current"Fair Share"objective and goals with the EPA,which are listed in
Attachment 7, Grant Award Terms. However, if the Grantee does not want to rely on the applicable
Department's MBE/WBE goals, the Grantee may contact the Department to coordinate the proposal of
alternate MBE/WBE goals based on availability of qualified minority and women-owned businesses to do
work in the relevant market for construction,services,supplies and equipment.
29. American Iron and Steel(Compliance with P.L. 113-76)
Recipients shall comply with the Consolidated Appropriations Act of 2014 (Public Law 113-76), if
applicable. This act includes an American Iron and Steel(AIS)requirement,if applicable.Clean Water State
Revolving Fund (CWSRF) and Drinking Water State Revolving Fund (DWSRF) assistance recipients are
required to use iron and steel products that are produced in the United States for projects for the construction,
alteration, maintenance, or repair of a public water system or treatment works and if the project is funded
through an assistance agreement executed beginning January 17,2014(enactment of the Act).
The appropriation language sets forth certain circumstances under which EPA may waive AIS requirements.
Furthermore,the act exempts projects where engineering specifications and plans were approved by a state
agency prior to January 17,2014. §319(h)funded projects are excluded from this provision.
30.Geospatial Data Standards
Recipients must meet the EPA Geospatial Data Standards. All geospatial data created must be consistent
with Federal Geographic Data Committee endorsed standards. Information on these standards can be found
at www.fgdc.gov.
31.Signage Required Term and Condition
a. Signage Requirements
The Recipient is required to place a sign at construction sites supported under this award displaying the EPA
logo in a manner that informs the public that the project is funded in part or wholly by the EPA. The sign
must be placed in a visible location that can be directly linked to the work taking place and must be maintained
in good condition throughout the construction period.
Recipients are required to comply with the sign specifications provided by the EPA Office of Public Affairs
(OPA) available at: https://www.epa.gov/grants/epa-logo-seal-specifications-signage-produced-epa-
assistance-agreement-recipients. If the EPA logo is displayed along with the logos of other participating
entities,the EPA logo must not be displayed in a manner that implies that EPA itself is conducting the project.
Instead,the EPA logo must be accompanied with a statement indicating that the recipient received financial
assistance from EPA for the project.As provided in the sign specifications from OPA,the EPA logo is the
preferred identifier for assistance agreement projects and use of the EPA seal requires prior approval from
the EPA.To obtain the appropriate EPA logo or seal graphic file,the recipient should send a request directly
to OPA and include the EPA Project Officer in the communication. Instructions for contacting OPA is
available on the Using the EPA Seal and Logo page.
Consistent with section 6002 of RCRA, 42 U.S.C. 6962, and 2 CFR 200.322, recipients are encouraged to
use recycled or recovered materials when procuring signs. Signage costs are considered an allowable cost
under this assistance agreement provided that the costs associated with Signage are reasonable.Additionally,
to increase public awareness of projects serving communities where English is not the predominant language,
recipients are encouraged to translate the language on signs (excluding the EPA logo or seal) into the
appropriate non-English language(s). The costs of such translation are allowable, provided the costs are
reasonable.
b. Public or Media Events
The Recipient agrees to notify the EPA Project Officer listed in this award document of public or media
events publicizing the accomplishment of significant events related to construction projects as a result of this
agreement, and provide the opportunity for attendance and participation by federal representatives with at
least ten(10)working days' notice.
CLEAN WATER ACT SECTION 319 NON-POINT SOURCE ASSISTANCE AGREEMENTS-
SPECIFIC
32.Non-Point Source Assistance Agreement Terms and Conditions
Recipients shall comply with the Clean Water Act Section 319 Non-Point Source Assistance Agreements
Public Awareness Terms and Conditions Effective October 1,2014(PDF).
Attachment 8-A
6 of 7
Rev.6/14/2019
33.Operation and Maintenance
For Projects funded by EPA §319(h) funds, Recipients will assure the continued proper operation and
maintenance of all nonpoint source management practices that have been implemented for Projects funded
under this Agreement. Such practices shall be operated and maintained for the expected lifespan of the
specific practice and in accordance with commonly accepted standards.Likewise,the Recipient will assure
that similar provisions are included in any sub-agreements that are awarded.
34.Nutrient Management Plans for Animal Feeding Operations
Recipients shall comply with the Nutrient Management Plans for Animal Feeding Operations as required
under this Grant and must have and implement a nutrient management plan that: 1)provides and maintains
buffers or equivalent practices; 2) diverts clean water; 3) prevents direct contact of confined animals with
waters of the United States; 4) addresses animal mortality; 5) addresses chemical disposal; 6) addresses
proper operation and maintenance; 7) addresses record keeping and testing; 8) maintains proper storage
capacity;and,9)addresses rate and timing of land application of manure and wastewater.
DIESEL EMISSIONS REDUCTION ACT-SPECIFIC
35. Recipients shall comply with the FY2017 Clean Diesel Program Programmatic Terms and
Conditions, incorporated by reference and available at: https://www.epa.gov/sites/production/files/2017-
06/documents/dera fy 17 state program terms and conditions.pdf
FLORIDA RURAL WATER ASSOCIATION TECHNICAL ASSISTANCE AND TRAINING
GRANT AGREEMENT-SPECIFIC
36.Green Infrastructure Policy
Recipients shall comply with the EPA's Green Infrastructure Policy(established by the Anierican Recovery
and Reinvestment Act) for the Clean Water State Revolving Fund Program, if applicable. This policy
provides guidance and a best practices guide for funding green infrastructure in the CWSRF program.
37.Clean Water State Revolving Fund
Recipients shall comply with the Clean Water State Revolving Fund Regulations(Title VI of the Clean Water
Act, 40 CFR Part 35), if applicable. These regulations provide all applicable requirements of the EPA
regulations and rules and procedures prescribed under the Clean Water State Revolving Funds Regulations.
38.Drinking Water State Revolving Fund Regulations
Recipients shall comply with the Drinking Water State Revolving Fund Regulations(40 CFR Part 35 Subpart
L),if applicable. These regulations provide details on the requirements and functions of the Drinking Water
State Revolving Fund,authorized under the Safe Drinking Water Act.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
Attachment 8-A
7 of 7
Rev.6/14/2019
OMB CONTROL NO. 2030-0020
\�EPA APPROVED: 04/06/2018
APPROVAL EXPIRES: 04/30/2021
U.S. ENVIRONMENTAL PROTECTION AGENCY
MBE/WBE UTILIZATION UNDER FEDERAL GRANTS
AND COOPERATIVE AGREEMENTS
FOR COOPERATIVE AGREEMENTS OR OTHER FEDERAL FINANCIAL ASSISTANCE WHERE THE COMBINED TOTAL OF FUNDS BUDGETED FOR PROCURING SUPPLIES,
EQUIPMENT,CONSTRUCTION OR SERVICES EXCEED$150,000.
PART 1:PLEASE REVIEW INSTRUCTIONS BEFORE COMPLETING
1A.FEDERAL FISCAL YEAR(Oct 1-Sep 30) 1B.REPORT TYPE
20 annual ['Last Report(Project completed)
1C:REVISION OF A PRIOR YEAR REPORT?ONo Oyes,Year
IF YES,BRIEFLY DESCRIBE THE REVISIONS YOU ARE MAKING:
2A.EPA FINANCIAL ASSISTANCE OFFICE ADDRESS(ATTN:DBE COORDINATOR) 3A.RECIPIENT NAME AND ADDRESS
2B.EPA DBE COORDINATOR 38.RECIPIENT REPORTING CONTACT
Name: Name:
Email: Address:
Phone: Phone:
Fax: Email:
4A.FINANCIAL ASSISTANCE AGREEMENT ID NUMBER 48. FEDERAL FINANCIAL ASSISTANCE PROGRAM TITLE OR CFDA NUMBER:
(SRF State Recipients,refer to Instructions for Completion of blocks 4A,5A and 5C)
5A.TOTAL ASSISTANCE AGREEMENT AMOUNT 5B.If NO procurements and NO accomplishments were made this reporting
EPA Share: $ period(by the recipients,sub-recipients,loan recipients,and prime contractors),
CHECK and SKIP to Block No.7. (Procurements are all expenditures through
Recipient Share:$ contract,order,purchase,lease or barter of supplies,equipment,construction,
or services needed to complete Federal assistance programs. Accomplishments,
❑N/A(SRF Recipient) in this context,are procurements made with MBEs and/or WBEs.) El _
5C. Total Procurements This Reporting Period(Only include amount not reported in any prior reporting period)
Total Procurement Amount$
(Include total dollar values awarded by recipient,sub-recipients and SRF loan recipients,including MBE/WBE expenditures.)
5D. Were sub-awards issued under this assistance agreement? Yes'O No O
Were contracts issued under this assistance agreement? Yes O No O
5E. MBE/WBE Accomplishments This Reporting Period
Actual MBE/WBE Procurement Accomplished(Include total dollar values awarded by recipient,sub-recipients,SRF loan recipients and Prime Contractors.)
Construction Equipment Services Supplies Total
$MBE: 0.00
$WBE: 0.00
6.COMMENTS:(If no MBE/WBE procurements,please summarize how certified MBEs/WBEs were notified of the opportunities to compete for the procurement dollars
entered in Block 5C and why certified MBEs/WBEs were not awarded any procurements during this reporting period.)
7.NAME OF RECIPIENT'S AUTHORIZED REPRESENTATIVE TITLE
8.SIGNATURE OF RECIPIENT'S AUTHORIZED REPRESENTATIVE DATE
EPA FORM 5700-52A available electronically at http://www.epa.gov/osbp/pdfs/5700 52a.pdf
OMB CONTROL NO.2030-0020
•
APPROVED: 04/06/2018
APPROVAL EXPIRES: 04/30/2021
PART II.
MBE/VVBE PROCUREMENTS MADE DURING REPORTING PERIOD
EPA Financial Assistance Agreement Number:
1.Procurement Made By 2.Business Enterprise 3.$Value of 14.Date of 5.Type of Product 6.Name/Address/Phone Number of MBE/WBE Contractor or Vendor
Recipient Sub-Recipient and/or Prime Minority Women Procurement Procurement or Service
SRF Loan Recipient MM/DD/YY (Enter Code)
•
Type of Product or Service Codes: 1=Construction 2=Supplies 3=Services 4=Equipment --
Note: Recipients are required to submit MBE/WBE reports to EPA beginning with the Federal fiscal year the recipients receive the award,continuing until the project is completed.
Instructions: If at the time of award, the combined total of funds
budgeted for procurements in any category is less
A. General Instructions: than or equal to $150,000 and is maintained below
the threshold, no DBE report is required to be
submitted.
MBE/WBE utilization is based on 40 CFR Part 33.
The reporting requirement reflects the class
deviation issued on November 8, 2013, clarified on Recipients are required to report 30 days after the
January 9, 2014 and modified on December 2, end of each federal year, per the terms and
2014. EPA Form 5700-52A must be completed conditions of the financial assistance agreement.
annually by recipients of financial assistance
agreements where the combined total of funds Last reports are due October 30th or 90 days after
budgeted for procuring supplies, equipment, the end of the project period, whichever comes
construction or services exceeds $150,000.This first.
reporting requirement applies to all new and
existing awards and voids all previous reporting
MBE/WBE program requirements, including
requirements. reporting, are material terms and conditions of the
financial assistance agreement.
In determining whether the $150,000 threshold
is exceeded for a particular assistance B. Definitions:
agreement, the analysis must focus on funds
budgeted for procurement under the supplies,
equipment, construction, services or "other" Procurement is the acquisition through contract,
categories, and include funds budgeted for order, purchase, lease or barter of supplies,
procurement under sub-awards or loans equipment, construction or services needed to
accomplish Federal assistance programs.
Reporting will also be required in cases where the
details of the budgets of sub-awards/loans are not A contract is a written agreement between an EPA
clear at the time of the grant awards and the recipient and another party (also considered
combined total of the procurement and sub- "prime contracts") and any lower tier agreement
awards and/or loans exceeds the $150,000 (also considered "subcontracts") for equipment,
threshold. services, supplies, or construction necessary to
complete the project. This definition excludes
written agreements with another public agency.
When reporting is required, all procurement . This definition includes personal and professional
actions are reportable, not just the portion which services, agreements with consultants, and
exceeds $150,000.
purchase orders.
If at the time of award the budgeted funds exceed A minority business enterprise (MBE) is a business
$150,000 but actual expenditures fall below, a concern that is (1) at least 51 percent owned by
report is still required. one or more minority individuals, or, in the case of
a publicly owned business, at least 51 percent of
the stock is owned by one or more minority
individuals; and (2) whose daily business efforts for utilizing MBEs and WBEs must be
operations are managed and directed by one or documented. Such documentation is subject to
more of the minority owners. In order to qualify EPA review upon request:
and participate as an MBE prime or subcontractor
for EPA recipients under EPA's DBE Program, an 1. Ensure DBEs are made aware of contracting
entity must be properly certified as required by 40 opportunities to the fullest extent practicable
CFR Part 33, Subpart B. through outreach and recruitment activities.
For Indian Tribal, State and Local and
U.S. citizenship is required. Recipients shall Government recipients, this will include placing
presume that minority individuals include Black DBEs on solicitation lists and soliciting them
Americans, Hispanic Americans, Native Americans, whenever they are potential sources.
Asian Pacific Americans, or other groups whose
members are found to be disadvantaged by the 2. Make information on forthcoming
Small Business Act or by the Secretary of opportunities available to DBEs and arrange
Commerce under section 5 of Executive order time frames for contracts and establish delivery
11625. The reporting contact at EPA can provide schedules, where the requirements permit, in a
additional information. way that encourages and facilitates
participation by DBEs in the competitive
A woman business enterprise (WBE) is a business process.This includes, whenever possible,
concern that is, (1) at least 51 percent owned by posting solicitations for bids or proposals for a
one or more women, or, in the case of a publicly minimum of 30 calendar days before the bid or
owned business, at least 51 percent of the stock is proposal closing date.
owned by one or more women and (2) whose daily
business operations are managed and directed by 3. Consider in the contracting process whether
one or more of the women owners. In order to firms competing for large contracts could
qualify and participate as a WBE prime or subcontract with DBEs. For Indian Tribal, State
subcontractor for EPA recipients under EPA's DBE and local Government recipients, this will
Program, an entity must be properly certified as include dividing total requirements when
required by 40 CFR Part 33, Subpart B. economically feasible into smaller tasks or
quantities to permit maximum participation by
DBEs in the competitive process.
Business firms which are 51 percent owned by
minorities or women, but are in fact not managed 4. Encourage contracting with a consortium of
and operated by minorities or females do not DBEs when a contract is too large for one of
qualify for meeting MBE/WBE procurement goals. these firms to handle individually.
U.S. Citizenship is required.
5. Use the services and assistance of the SBA and
Good Faith Efforts the Minority Business Development Agency of
the Department of Commerce.
A recipient is required to make the following good 6. If the prime contractor awards subcontracts,
faith efforts whenever procuring construction, require the prime contractor to take the steps
equipment, services, and supplies under an EPA in paragraphs (a) through (e) of this section.
financial assistance agreement. These good faith
C. Instructions for Part I: 5A. Provide the total amount of the Assistance
Agreement which includes Federal funds plus
1A. Specify Federal fiscal year this report covers. recipient matching funds and funds from other
The Federal fiscal year runs from October 1st sources.
through September 30th (e.g. November 29, 2014
falls within Federal fiscal year 2015) *For SRF recipients only: SRF recipients will not
enter an amount in 5a. SRF recipients should check
1B. Specify report type. Check the annual
the "N/A" box.
reporting box. Also indicate if the project is
completed. 5B. Self-explanatory.
1C. Indicate if this is a revision to a previous year 5C. Provide the total dollar amount of ALL
and provide a brief description of the revision you procurements awarded this reporting period by the
are making. recipient, sub-recipients, and SRF loan recipients,
including MBE/WBE expenditures, not just the
2A-B. Please refer to your financial assistance portion which exceeds $150,000. For example:
agreement for the mailing address of the EPA Actual dollars for procurement from the procuring
financial assistance office for your agreement. office; actual contracts let from the contracts
office; actual goods, services, supplies, etc., from
other sources including the central purchasing/
The "EPA DBE Reporting Contact" is the DBE procurement centers).
Coordinator for the EPA Region from which your
financial assistance agreement was originated. For
a list of DBE Coordinators please refer to the EPA *NOTE: To prevent double counting on line 5C, if
OSBP website at http://epa.gov/osbp/dbe_cord. any amount on 5E is for a subcontract and the
prime contract has already been included on Line
5C in a prior reporting period, then report the
3A-B. Identify the agency, state authority, amount going to MBE or WBE subcontractor on
university or other organization which is the line 5E, but exclude the amount from Line 5C. To
recipient of the Federal financial assistance and the include the amount on 5C again would result in
person to contact concerning this report. double counting because the prime contract, which
includes the subcontract, would have already been
4A. Provide the Assistance Agreement number reported.
assigned by EPA. A separate report must be
submitted for each Assistance Agreement. *For SRF recipients only: In 5c please enter the
total annual procurement amount under all of your
*For SRF recipients: In box 4a list numbers for ALL SRF Assistance Agreements.The figure reported in
OPEN Assistance Agreements being reported on this section is.not directly tied to an individual
this form. Assistance Agreement identification number. (SRF
state recipients report state procurements in this
section)
4B. Refer back to Assistance Agreement
document for this information.
5D. State whether or not sub-awards and/or 2. Check either the MBE or WBE column. If a
subcontracts have been issued under the financial firm is both an MBE and WBE, the recipient may
assistance agreements by indicating "yes" or"no". choose to count the entire procurement towards
EITHER its MBE or WBE accomplishments. The
5E. Where requested, also provide the total recipient may also divide the total amount of the
dollar amount of all MBE/WBE procurement procurement (using any ratio it so chooses) and
awarded during this reporting period by the count those divided amounts toward its MBE and
recipient, sub-recipients, SRF loan recipients, and WBE accomplishments. If the recipient chooses to
prime contractors in the categories of construction, divide the procurement amount and count portions
equipment, services and supplies.These amounts toward its MBE and WBE accomplishments, please
include Federal funds plus recipient matching funds state the appropriate amounts under the M BE and
and funds from other sources. WBE columns on the form. The combined MBE
and WBE amounts for that MBE/WBE contractor
must not exceed the "Value of the Procurement"
6. If there were no MBE/WBE accomplishments reported in column#3
this reporting period, please briefly how certified
MBEs/WBEs were notified of the opportunities to
compete for the procurement dollars entered in 3. Dollar value of procurement.
Block 5C and why certified MBEs/WBEs were not
awarded any procurements during this reporting 4. Date of procurement, shown as month, day,
period. year. Date of procurement is defined as the date
the contract or procurement was awarded, not the
7. Name and title of official administrator or date the contractor received payment under the
designated reporting official. awarded contract or procurement, unless payment
occurred on the date of award. (Where direct
purchasing is the procurement method,the date
8. Signature, month, day, and year report of procurement is the date the purchase was
submitted. made)
D. Instructions for Part II: 5. Using codes at the bottom of the form,
identify type of product or service acquired through
For each MBE/WBE procurement made under this this procurement (e.g., enter 1 if construction, 2 if
financial assistance agreements during the supplies, etc.).
reporting period, provide the following
information: 6. Name, address, and telephone number of
MBE/WBE firm.
1. Check whether this procurement was made
by the recipient, sub-recipient/SRF loan recipient,
or the prime contractor.
!„
**This data is requested to comply with provisions mandated by: statute or regulations (40 CFR Parts 30, 31, and
33 and/or 2 CFR Parts 200 and 1500); OMB Circulars; or added by EPA to ensure sound and effective assistance
management. Accurate, complete data are required to obtain funding, while no pledge of confidentiality is
provided.
The public reporting and recording burden for this collection of information is estimated to average I hour per
response annually. Burden means the total time, effort, or financial resources expended by persons to
generate, maintain, retain, or disclosure or provide information to or for a Federal agency. This includes the
time needed to review instructions; develop, acquire, install, and utilize technology and systems for the
purposes of collecting, validating, and verifying information, processing and maintaining information, and
disclosing and providing information; adjust the existing ways to comply with any previously applicable
instructions and requirements; train personnel to be able to respond to a collection of information; search data
sources; complete and review the collection of information; and transmit or otherwise disclose the
information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number.
Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and
any suggested methods for minimizing respondent burden, including through the use of automated collection
techniques to the Director, OPPE Regulatory Information Division, U.S. Environmental Protection Agency(2136),
1200 Pennsylvania Avenue, NW, Washington, D.C. 20460. Include the OMB Control number in any
correspondence. Do not send the completed form to this address.