10/14/1999
C L FIlI<'S O{J I (T IAl/lL
DEP AGREEMENT NO. SP527
STATE OF FLORIDA ASSISTANCE 5 0 ::g .."
PURSUANT TO LINE ITEM 1360A OF THE 1998 - 99 APPROPRIATI~~ ::;;
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THIS AGREEMENT is entered into between the STATE OF FLORIDA~
~ENV1ft6NMeNTAl. PROTECTION;'whose address is 3900 Commonw~tttQ3oDfava1'Ol,
Tallahassee, Florida 32399 (hereinafter referred to as the "Department") ancr1hEiST~E ~
FLORIDA DEPARTMENT OF HEALTH, whose address is Post Office Box 6't9:f,1<~8:,
Florida 33041 (herein referred to as the "Contractor") and the Monroe County Board of
County Commissioners whose address is 500 Whitehead Street, Key West, FL 33040, the
governing body for Monroe County, Florida (herein referred to as the "County").
The first objective of this Agreement is to eliminate illegal and inadequate on-site
sewage treatment and disposal systems on privately owned property classified either as
single family or multi-family residential property. The second objective of this Agreement is
to provide funding for a portion of the costs that relate to providing centralized wastewater
transmission, treatment, and disposal for the Little Venice area and that are not eligible for
federal funding under EPA Grant C1200602-04. In consideration of the mutual benefits to be
derived herefrom, the Department, the County, and the Contractor do hereby agree as
follows:
1. The Contractor and the County do hereby agree to perform services in accordance
with the terms and conditions set forth in this Agreement, Attachment A (Scope of
Services), and all attachments and exhibits named herein which are attached hereto
and incorporated by reference. For purposes of this Agreement, the following terms
shall have the designated meanings:
A. "Subcontract" and "subagreement" mean, interchangeably, written agreements
between third parties and either the Contractor or the County for purpose of
achieving the objectives of this Agreement.
B. "OSTDS" means on-site treatment and disposal system.
C. "OWNRS" means on-site wastewater nutrient removal system which is an on-
site treatment and disposal system providing a high level of treatment required
by Florida Statute.
2. This Agreement shall begin upon execution by all three parties and end no later than
July 12, 2003, inclusive. In accordance with Section 287.058(2), Florida Statutes,
neither the Contractor nor the County shall be eligible for reimbursement for services
rendered prior to the execution date of this Agreement. This Agreement may be
amended to provide for additional services if additional funding is made available by
the Legislature.
DEP Agreement No. SP527, Page 1 of 10
3. As consideration for completion of the services under the terms of this Agreement, the
Department shall disburse an amount not to exceed $1,000,000. The allocation of the
contract funds to the services to be provided is detailed in Attachment A. No
disbursement under this Agreement shall be made to the County until the initial report
due under Attachment A, Item 6.A has been found acceptable to the Department.
Disbursements to the County and to the Contractor shall be according to the following:
A. Disbursements for services under Attachment A, Item 5.A shall be made to the
County. Disbursements shall be made on a cost reimbursement basis in
accordance with the Comptroller's Contract Payment Requirements, attached
hereto and made a part hereof as Attachment B. Invoices shall be submitted
no more frequently than monthly and shall be supported by the reports and
other documentation described in Attachment A. All invoices or bills for
amounts due under this Agreement shall be submitted in detail sufficient for a
proper pre-audit and post-audit thereof.
B. In accordance with Section 216.181(15)(b), Florida Statutes, the Department,
upon written request from the Contractor and written approval from the
Comptroller, may provide a full advance to the Contractor. All funds provided to
the Contractor shall be for the services described under Attachment A, Item
5.B. The Department shall authorize payment of the advance within 20
calendar days after receipt of the following: 1) receipt of advanced payment
approval from the Comptroller, 2) receipt of the full release of the budget
supporting the appropriation funding this Agreement, and 3) execution of this
Agreement. Until such time as advance payment is made by the Department,
the Contractor is not required to perform any work under this Agreement.
Once advanced, the Contractor shall be responsible for submitting information
summarizing expenditures in each quarterly status report as required under
Attachment A, paragraph 6.C. Any unused funds remaining at the end of this
Agreement shall be returned to the Department for appropriate action.
4. The Contractor requires total compensation from the County not to exceed the
amounts identified below for contract management expenses incurred by Contractor's
employees in fulfilling Contractor's responsibilities relating to the elimination of illegal
and inadequate OSTDS. No funds made available under this Agreement shall be
used for contract management expenses that may be incurred by the Contractor or
the County. The Department shall have no responsibility to ensure that such
expenses are recovered.
A. $85,000 for the implementation and administration of financial assistance using
the funds provided under this Agreement pursuant to Attachment A, paragraph
5.B.
DEP Agreement No. SP527, Page 2 of 10
B. Ten percent of any separate and supplemental funds provided by the County
under Attachment A, paragraph 3 for implementation and administration of
sliding scale financial assistance.
5. The County shall establish a source of temporary funding to disburse funds to third
party private property owners that eliminate illegal and inadequate OSTDS as a result
of this Agreement if the Contractor and the County elect to expedite payment to such
property owners.
6. Consistent with all permits, the Contractor agrees to require continued proper
operation and maintenance for all OWNRS furnished and installed using funds
provided by this Agreement.
7. The State of Florida's performance and obligation to pay under this Agreement is
contingent upon an annual appropriation by the Legislature.
8. Pursuant to Section 215.422, Florida Statutes, the Department's Project Manager
shall have five (5) working days, unless otherwise specified herein (including
Attachment A), to inspect and approve the services for payment; the Department must
submit a request for payment to the Florida Department of Banking and Finance within
twenty (20) days; and the Department of Banking and Finance is given ten (10) days
to issue a warrant. Days are calculated from the latter date the invoice is received or
services received, inspected, and approved. Invoice payment requirements do not
start until a proper and correct invoice has been received. Invoices which have to be
returned to a Contractor for correction(s) will result in a delay in the payment. A
Vendor Ombudsman has been established within the Florida Department of Banking
and Finance who may be contacted if a contractor is experiencing problems in
obtaining timely payment(s) from a State of Florida agency. The Vendor Ombudsman
may be contacted at 850/410-9724 or 1-800-848-3792.
9. In accordance with Section 215.422, Florida Statutes, the Department shall pay the
Contractor and the County, as appropriate, interest at a rate as established by Section
55.03(1), Florida Statutes on the unpaid balance, if a warrant in payment of an invoice
is not issued within forty (40) days after receipt of a correct invoice and receipt,
inspection, and approval of the goods and services. Interest payments of less than $1
will not be enforced unless a Contractor requests payment. The interest rate
established pursuant to Section 55.03(1), by Comptroller's Memorandum No. 11
(1998-99) dated December 2, 1998, has been set at 10% per annum or .02740% per
day. The revised interest rate for each calendar year beyond 1999 for which the term
of this Agreement is in effect can be obtained by calling the Department of Banking
and Finance, Vendor Ombudsman at the telephone number provided above or the
Department's Contracts Section at 850/922-5942.
10. 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
DEP Agreement No. SP527, Page 3 of 10
constitute a waiver by any party of its sovereign immunity or the provisions of Section
768.28, Florida Statutes.
11. Any dispute between the Contractor and the Department involving the adequacy of
deliverables described in Item 6 of Attachment A shall be resolved at the lowest
organizational level possible. However, final decisions over disputed issues may be
made by agency Secretaries or their designees.
12. A default under this Agreement shall occur in the event of the Contractor's or the
County's failure to perform and complete in a timely fashion any of the services
required under Attachment A or in the event of failure to comply with any of the terms
of this Agreement. In addition, the Contractor or the County, as appropriate, agrees to
notify the Department of any default no later than thirty (30) calendar days after
occurrence. In the event of a default, the Department may, at its option, issue written
notice of default to both the Contractor and the County. Failure to timely cure the
default may cause the Department to exercise anyone or more of the following
remedies, either concurrently or consecutively, and the pursuit of anyone of the
following remedies shall not preclude the Department from pursuing any other
remedies contained herein and otherwise provided by law or in equity:
A. Terminate this Agreement, provided that the Contractor and the County are
given at least thirty (30) calendar days prior written notice of such termination.
The Department shall provide an opportunity for consultation regarding the
reason(s) for termination.
B. Commence an appropriate legal or equitable action to enforce performance of
this Agreement.
C. Withhold or suspend disbursement of all or any part of a request for
disbursement.
D. Exercise any corrective or remedial actions, to include but not be limited to,
requesting additional information to determine the reasons for or the extent of
non-compliance or lack of performance; issuing a written warning that more
serious measures may be taken if the situation is not corrected; advising the
Contractor and the County to suspend, discontinue or refrain from incurring
costs for any activities in question; or requiring reimbursement to the
Department for the amount of cost incurred for any items determined to be
ineligible.
E. Recover funds if the County or the Contractor is found in non-compliance with
laws, rules, and regulations governing the use of the funds under this
Agreement. Notwithstanding the foregoing, the Contractor and the County shall
not be relieved of liability to the Department by virtue of any breach of
Agreement. The Department may, to the extent authorized by law, withhold
payments to the Contractor and the County for purpose of set-off until such
DEP Agreement No. SP527, Page 4 of 10
time as the exact amount of damages due the Department from the Contractor
or the County, as appropriate, is determined.
F. Exercise any other rights or remedies which may be otherwise available under
law.
13. This Agreement may be unilaterally canceled by the Department for refusal to allow
public access to all documents, papers, letters, or other material subject to the
provisions of Chapter 119, Florida Statutes, and made or received by the Contractor
or the County in conjunction with this Agreement.
14. The Contractor and the County 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 three (3) years following Agreement
completion. In the event any work is subcontracted, the Contractor and the County
shall similarly require each of its subcontractors to maintain and allow access to such
records for audit purposes. However, books, records and documents relating to
subagreements or workorders under Item 16.B below shall be maintained by the
Contractor for audit purposes.
15. The Contractor and the County shall comply with the applicable provisions contained
in Attachment C. A revised copy of Attachment C, Exhibit-1, must be provided to the
Contractor and the County with each amendment which authorizes a funding increase
or decrease. The revised Exhibit-1 shall summarize the funding sources supporting
the Contract for purposes of assisting the Contractor and the County in complying with
the requirements of Attachment C. If the Contractor or the County fail to receive a
revised copy of Attachment C, Exhibit-1, the Contractor or the County, as appropriate,
shall notify the Department's Contracts Administrator at 850/922-5942 to request a
copy of the updated information.
16. Neither the Contractor nor the County shall subcontract, assign, or transfer any work
under this Agreement without the prior written consent of the Department's Project
Manager. It is understood and agreed by the Contractor and the County that the
Department shall not be liable to any party for any expenses or liabilities incurred
under any subcontract, work order, etc. and that the Contractor or the County, as
appropriate, shall be solely liable for all expenses and liabilities incurred under any
subcontract, work order, etc.
A. The Department grants consent to the County to enter into a subcontract with the
Florida Keys Aqueduct Authority for the performance of the administrative
activities described in Attachment A, Item 5.A. An executed copy of the
subagreement with the Florida Keys Aqueduct Authority shall be provided by the
County to the Department. The County agrees to be responsible for the
fulfillment of all work elements included in the subagreement consented to by the
DEP Agreement No. SP527, Page 5 of 10
Department and agrees to be responsible for the payment of all moneys due
under the subagreement.
B. The Department shall grant consent to the Contractor to enter into
subagreements with, or to issue work orders to, third parties for eliminating illegal
and inadequate OSTDS and furnishinglinstalling OWNRS on privately owned
single or multi-family residential property provided that the Contractor establishes
satisfactory procurement procedures addressed in Attachment A and elsewhere
in this Agreement.
17. In accordance with Section 216.347, Florida Statutes, the Contractor and the County
are hereby prohibited from using funds provided by this Agreement for the purpose of
lobbying the Legislature, the judicial branch or a state agency.
18. A person or affiliate who has been placed on the convicted vendor list following a
conviction for a public entity crime may not perform work as a contractor, supplier,
subcontractor, or consultant under a contract with any public entity, and may not
transact business with any public entity in excess of the threshold amount provided in
Section 287.017, F.S., for Category Two, for a period of 36 months from the date of
being placed on the convicted vendor list.
19. The Contractor and the County shall comply with all applicable federal, state and local
rules and regulations in providing services to the Department under this Agreement.
This requirement includes compliance with all applicable federal, state and local health
and safety rules and regulations. The Contractor shall be responsible for including
this provision in all subagreements, work orders, etc. with private organizations and
individuals issued as a result of this Agreement. The County shall be responsible for
including this provision in the only subagreement that it is authorized to issue, under
paragraph 16.A, as a result of this Agreement.
20. The Project Managers for this Agreement are identified below.
A. The Department's Project Manager is identified as follows
Richard W. Smith, Professional Engineer Administrator
Bureau of Water Facilities Funding
2600 Blair Stone Road, MS # 3505
Tallahassee, Florida 32399-2400
Telephone: (850) 488-8163
FAX: (850) 921-2769
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DEP Agreement No. SP527, Page 6 of 10
B. The Contractor's Project Manager is identified as follows:
Stephanie Walters
Monroe County Health Department Administrator
Post Office Box 6193
Key West, Florida 33041
Telephone: (305) 293-7544
FAX: (305) 292-6872
C. The County's Project Manager is identified as follows:
George Garrett, Director of Marine Resources
2798 Overseas Highway, Suite 410
Marathon, Florida 33050
Telephone: (305) 289-2507
FAX: (305) 289-2536
21. To the extent required by law, the Contractor and the County will be self-insured
against, or will secure and maintain during the life of this Agreement, Workers'
Compensation Insurance for all of its employees connected with the work of this
project and, in case any work is subcontracted, the Contractor and the County, as
appropriate, shall require all subcontractors similarly to provide Workers'
Compensation Insurance for all of the latter's employees unless such employees are
covered by the protection afforded by the Contractor or the County. 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 Contractor or the County, as appropriate, shall provide, and cause each
subcontractor to provide, adequate insurance satisfactory to the Department, for the
protection of his employees not otherwise protected.
22. The Contractor and the County, as independent contractors and not as agents,
representatives, or employees of the Department, agree to carry adequate liability and
other appropriate forms of insurance. The Department shall have no liability except as
specifically provided in this Agreement.
23. The Contractor and the County covenant that they presently have no interest and shall
not acquire any interest which would conflict in any manner or degree with the
performance of services required.
24. Upon satisfactory completion of this Agreement, the Department waives right of
ownership of the equipment and materials for the OWNRS furnished and installed on
property owned by third parties provided that the Contractor documents compliance
with the requirement under Item 6 above. However, a Property Reporting Form,
DEP Agreement No. SP527, Page 7 of 10
provided as Attachment D, for any equipment purchased for the performance of
services, under Attachment A, Item 5.A, associated with the operation of the Little
Venice wastewater management system shall be completed and forwarded along with
the appropriate invoice to the Department's Project Manager. The following terms
shall apply for any equipment purchased using funds provided by this Agreement and
a subagreement between the County and the Florida Keys Aqueduct Authority:
A. The Florida Keys Aqueduct Authority shall have use of the equipment for the
authorized purposes of the contractual arrangement as long as the work
required under Attachment A, Item 5.A is being performed or has been
performed.
B. The County shall ensure that the Florida Keys Aqueduct Authority is
responsible for the implementation of adequate maintenance procedures to
keep the equipment in good operating condition.
C. The County shall ensure that the Florida Keys Aqueduct Authority is
responsible for any loss, damage, or theft of, and any loss, damage or injury
caused by the use of, non-expendable personal property or equipment
purchased with state funds and held in its possession.
25. The Department may at any time, by written order designated to be a change order,
make any change in the work within the general scope of this Agreement (e.g.,
specifications, time, method or manner of performance, requirements, etc.). All
change orders are subject to the agreement of the Department, the Contractor, and
the County as evidenced in writing. Any change order which causes an increase or
decrease in the cost or time for completion shall require formal amendment to this
Agreement.
26. The employment of unauthorized aliens by any Contractor/vendor is considered a
violation of Section 274A(e) of the Immigration and Nationality Act. If the
Contractor/vendor knowingly employs unauthorized aliens, such violation shall be
cause for unilateral cancellation of this Agreement. The Contractor shall be
responsible for including this provision in all subagreements, work orders, etc. with
private organizations and individuals issued as a result of this Agreement. The
County shall be responsible for including this provision in the only subagreement that
it is authorized to issue, under paragraph 16.A, as a result of this Agreement.
27. The Contractor and the County covenant that they have the procedures and capability
to ensure compliance with all state and local laws, regulations, and ordinances
governing their respective responsibilities under this Agreement. The Contractor and
the County covenant that they will investigate and resolve any disputes, protests, or
complaints arising from the performance of the services described in Attachment A.
Nothing herein shall be construed as consent by the Department or subdivision of the
State of Florida to be sued by third parties in any matter arising out of any agreement.
DEP Agreement No. SP527, Page 8 of 10
28. 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.
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DEP Agreement No. SP527, Page 9 of 10
IN WITNESS WHEREOF, the parties have caused this Agreement to be duly
executed, the day and year last written below.
MONROE COUNTY BOARD OF STATE OF FLORIDA DEPARTMENT
COUNTY COMMISSIONERS ~ OF ENVI~O~MENTAL PROTECTION
BY:~I:J~~R.~ -vd....cu "'~~Y: ~ J1.J
Mayor Director, Division of Water
Resource Management
Date:N 0 V',
3> I J99'
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Approved as to for and legality:
STATE OF FLORIDA DEPARTMENT
OF HEALTH
By:
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Monroe County .
Health Department Administrator
Date:
12. ~ - 9 9
Approved as to form and legality:
DOH Attorney
Date:
9-/~-'1q
Approved as to form and legality:
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DEP Attorney
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DEP Contracts Admi istrator
List of attachments/exhibits included as part of this Agreement:
Type Letter Descriotion (include number of oages)
Attachment A Scope of Services (5 Pages)
Attachment B Comptroller Contract Payment Requirements (1 Page)
Attachment C Special Audit Requirements ( 10 Pages)
Attachment D Property Reporting Form (1 Page)
DEP Agreement No. SP527, Page 10 of 10
ATTACHMENT A
Scope of Services
1. The County shall provide services, pursuant to Item 5.A below and the Contractor
shall provide services, pursuant to Item 5.B below to achieve the objectives of this
Agreement in compliance with the following:
A. Rule 28-20.100 of the Florida Administrative Code, as amended.
B. Memorandum of Understanding between the County and the Florida Keys
Aqueduct Authority, as amended.
2. The Contractor shall establish the following relating to assistance to both single family
and multi-family, private residential property owners in Monroe County in eliminating
illegal and inadequate OSTDS:
A. Procedures for the selection of property owners to receive financial assistance
via the Contractor under this Agreement.
B. The amount of financial assistance to be given to property owners under this
Agreement, by the Contractor, in eliminating illegal and inadequate OSTDS.
The assistance shall be comparable with the level of financial assistance
estimated, at the time of the Department's acceptance of the initial report under
Item 6.A below, to be realized by the residents of the Little Venice area to be
served by centralized wastewater transmission, treatment, and disposal
facilities resulting from the US Environmental Protection Agency Grant
C120602-04.
3. The Contractor shall implement a property value-based sliding scale grant assistance
program, using the County's funds, to supplement the assistance made available
under this Agreement to Monroe County private property owners for eliminating illegal
and inadequate OSTDS if the County finds such additional assistance is desirable to
carryout the purposes of Rule 28-20.100 of the Florida Administrative Code. Such a
sliding scale grant program would emphasize assistance to financially needy
households.
4. The Contractor shall establish procedures for procurement of equipment, materials,
and services relating to elimination of illegal and inadequate OSTDS and replacement
with OWNRS, the funding of which is wholly or partly provided under this Agreement.
Procurement procedures shall assure that only OWNRS meeting the statutorily
required treatment levels are furnished and installed using funds made available under
this Agreement. The Department recognizes the Contractor's regulatory
determination in the issuance of the construction permit and the issuance of the
operating permit to ensure that the installed OSTDS eliminates the illegal and
inadequate OSTDS. Alternatively, procurement procedures may allow for
DEP Agreement No. SP527, Attachment A, Page 1 of 5
replacement of illegal and inadequate OSTDS with centralized wastewater
transmission, treatment, and disposal facilities. Procurement procedures shall not
arbitrarily preclude responsible firms and companies possessing the ability to
successfully perform services related to elimination of illegal and inadequate OSTDS
and meeting other requirements pursuant to this agreement from providing such
services. In conjunction with these procedures, a standardized subagreement or work
order authorizing specific costs to be incurred by third parties and incorporating
appropriate requirements set forth in this Agreement shall be developed; similarly,
standardized documentation of costs incurred or invoiced by third parties shall be
developed.
5. As consideration for the services to be rendered under the terms of this Agreement,
the Department shall authorize disbursements as described below.
A. An amount not to exceed $150,000 shall be made available by the County to
the Florida Keys Aqueduct Authority (FKAA) under a subagreement for the
performance of administrative duties associated with the operation of the Little
Venice wastewater management system during the one-year period
immediately following start-up of system operation. Administrative duties
include legal, technical, fiscal, clerical, and managerial activities necessary for a
financially self-sufficient wastewater management system to be fully
operational. Disbursements under this Agreement shall be made to the County
and on a reimbursement basis and no more frequently than monthly. Invoices
shall be accompanied by supporting documentation and shall be subject to
limitations and requirements as follows:
i. Agreement - The County shall not be reimbursed for direct salaries and
multipliers (i.e. fringe benefits, overhead, and/or general and
administrative rates) of its employees.
ii. SubaQreement - Reimbursement requests for payments to the FKAA
must be substantiated by documentation in conformance with
Attachment B. Disbursement by the Department shall be contingent on
the County's approval of FKAA's invoices.
iii. Travel - No travel expenses are authorized under the terms of this
agreement.
B. An amount not to exceed $850,000 shall be made available as the State's
share of the eligible cost to eliminate illegal and inadequate OSTDS located on
privately owned residential properties classified as either single family or multi-
family residential properties. Eligible costs include abandonment of illegal and
inadequate OSTDS; furnishing and installing OWNRS, including any required
disinfection facilities; providing centralized wastewater transmission, treatment,
and disposal facilities; and required technical services excepting those required
DEP Agreement No. SP527, Attachment A, Page 2 of 5
to be performed by a governmental entity (e.g., Contractor's permitting
activities). Reimbursement for the purchase of equipment and materials for the
furnishing and installing of OWNRS on private property is specifically
authorized. Such equipment and materials may be retained by property owners
provided the equipment is to be properly operated and maintained. A Property
Reporting Form (Attachment D) shall not be required by the Department. The
Contractor shall retain the documentation listed below for each illegal and
inadequate OSTDS eliminated using funds made available under this
agreement.
i. Identification of each property location, including the individual area
designated in the County's Rate of Growth Ordinance, at which an illegal
and inadequate OSTDS was eliminated.
ij Description of each OWNRS or the connection to centralized wastewater
transmission, treatment, and disposal facilities provided as part of the
illegal and inadequate OSTDS elimination.
iii. For each property location under Item i above, the identification of the
brand name or manufacturer of the OWNRS furnished; the name of the
contractor that installed the OWNRS or that made the connection to
centralized wastewater transmission, treatment, and disposal facilities;
and the engineer responsible for preparation of construction drawings
and specifications.
iv. Certification by the appropriate permitting authority that the OWNRS,
designed to meet the required treatment levels was furnished, installed
and made operational or that the connection to centralized wastewater
transmission, treatment, and disposal facilities was made.
v. Identification of the total cost of each operational OWNRS or connection
to centralized wastewater transmission, treatment, and disposal facilities;
the share due under this Agreement; the share of the cost paid due from
the County funds (if any); and the local resident's share.
vi. Certification of no double benefits (i.e., no part of the costs invoiced for
disbursement by the Department under this Agreement has been or will
be requested to be paid, reimbursed, or otherwise funded by another
agency).
vii. Certification that the initial report under Item 6.A below and all quarterly
reports due under Items 6.C and 6.D below have been submitted to the
Department.
DEP Agreement No. SP527, Attachment A, Page 3 of 5
viii. Certification by the owner of the property on which an OWNRS was
installed that the OWNRS will be properly operated and maintained on a
continuing basis.
C. Neither the Contractor nor the County shall use State funds made available
under this Agreement for direct salaries and multipliers (i.e., fringe benefits,
overhead, and/or general and administrative rates) for its employees or for any
of its employees travel expenses.
6. The Contractor or the County, as appropriate, shall submit, or cause to be submitted,
deliverables to the Department. The Department shall have 20 days to review and
accept reports or return reports to the Contractor or County, as appropriate, for
correction. The deliverables are as follows:
A. An initial report (ten copies) to be submitted to the Department no later than
December 31, 1999, documenting the following:
i. The selection procedures and the assistance level determination under
Item 2 above.
ii. The details of any sliding-scale grant program proposed under Item 3
above.
iii. A description of the procurement procedures required under Item 4
above.
iv. The subagreement between the County and the Florida Keys Aqueduct
Authority pursuant to 5.A above.
B. Invoices from the County for completed work under its subagreement with the
Florida Keys Aqueduct Authority.
C. Progress reports from the Contractor for the calendar year quarterly periods
ending September 30, December 31, March 31, and June 30 of each year
beginning January 1, 2000, and continuing throughout the remainder of the
period during which this Agreement is in effect. Progress reports shall be
submitted to the Department within 20 days after the end of the period and
shall contain the following information relating to the elimination of illegal and
inadequate OSTDS:
i. The number of OSTDS eliminated and their location indicating, at a
minimum, the County's Rate of Growth Ordinance (ROGO) area and a
description of either the OWNRS installed or the connection to
centralized wastewater transmission, treatment, and disposal facilities.
DEP Agreement No. SP527, Attachment A, Page 4 of 5
ii. The number and status of OSTDS for which elimination is underway.
iii. The projected schedule to complete all project work under this
Agreement.
iv. The funds expended during the reporting period and the funds remaining
to be disbursed for OSTDS elimination under this Agreement.
D. Progress reports from the County relating to activities under Item 5.A above, for
the calendar year quarterly periods ending September 30, December 31, March
31, and June 30 beginning one-year immediately preceding projected start-up
of the Little Venice wastewater collection, treatment, and disposal facilities and
ending one year after the actual start-up. Progress reports shall be submitted
to the Department within 20 days after the end of each quarterly period. The
status of the effort to identify the permanent funding source(s) for all of Florida
Keys Aqueduct Authority's wastewater operation and maintenance costs,
including all administrative costs relating to the Little Venice project, and the
projected date for imposing the fees and charges necessary for a financially
self-sufficient wastewater management system specifically shall be addressed
in the progress reports.
E. A completion report (ten copies) from both the Contractor and the County to be
received by the Department no later than July 12, 2003, summarizing the
quarterly reports prepared by each party.
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DEP Agreement No. SP527, Attachment A, Page 5 of 5
ATTACHMENT B
Comptroller Contract Payment Requirements
Department of Banking and Finance, Bureau of Auditing Manual (10/07/97)
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 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.
Pursuant to 216.346, Florida Statutes, a contract between state agencies including any
contract involving the State University system or the State Community College system,
the agency receiving the contract or grant moneys shall charge no more than 5 percent
of the total cost of the contract or grant for overhead or indirect cost or any other cost
not required for the payment of direct costs.
DEP Contract No. SP527, Attachment B, Page 1 of 1
ATTACHMENT C
Special Audit Requirements
The administration of funds awarded by the Department of Environmental Protection 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 section.
MONITORING
In addition to reviews of audits conducted in accordance with OMB Circular A-B3, 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-B3, 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.
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-B3, as revised.
1. In the event that the recipient expends $300,000 or more in Federal awards in its fiscal year,
the recipient must have an audit conducted in accordance with the provisions of OMB
Circular A-133, as revised. EXHffiIT 1 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 funds 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-B3, as revised. The recipient is responsible for
the procurement of an independent auditor to conduct the audit required by this part. The
recipient is required to follow the auditor procurement standards specified in Section .305,
OMB Circular A-B3, as revised. An audit ofthe recipient conducted by the Auditor General
in accordance with the provisions of OMB Circular A-B3, as revised, will meet the
requirements of this part.
2. In connection with the audit requirements addressed in paragraph 1., the recipient shall fulfill
the requirements relative to auditee responsibilities, financial statements, audit findings
follow-up, and report submission as provided in Sections .300, .310, .315, and .320 ofOMB
Circular A-B3, as revised. This includes, but is not limited to, preparation of financial
statements, a schedule of expenditures of Federal awards, a summary schedule of prior audit
findings, and a corrective action plan.
DEP Contract No. SPS27, Attachment C, Page 1 of 10
3. If not otherwise disclosed as required by Section .310 (b)(2) of OMB Circular A-133, as
revised, the schedule of expenditures of Federal awards shall identify expenditures by
contract number for each contract with the Department of Environmental Protection in effect
during the audit period.
4. If the recipient expends less than $300,000 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 $300,000 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 ofthe audit must be paid from non-Federal and non-State
funds (i.e., the cost of such an audit must be paid from recipient funds obtained from other
than Federal/State entities).
PART II: STATE GRANTS AND AIDS
1. This part is applicable if the recipient is a local government or a non-profit or for profit
organization as defined in Chapter 10.600, Rules of the Auditor General.
2. In the event that the recipient receives more than $25,000 in State grants and aids in its fiscal
year, the recipient must have a limited scope audit conducted in accordance with Section
216.349, Florida Statutes, and Chapter 10.600, Rules of the Auditor General. EXHffiIT 1 to
this Attachment indicates State grants and aids amounts awarded through the Department of
Environmental Protection by this agreement. In determining the grants and aids received in
its fiscal year, the recipient shall consider aggregate grants and aids received directly from
State agencies, including grants and aids funds received from the Department of
Environmental Protection.
The audit report must include an auditor's examination attestation report, management
assertion report (alternatively, management's assertion may be included in the management
representation letter), and a schedule of State financial assistance. EXHffiITS 2, 3, and 4 to
this Attachment provide examples of these reports/schedule.
The auditor's examination attestation report must indicate whether management's assertion as
to compliance with the following requirements is fairly stated, in all material respects:
. activities allowed or unallowed
. allowable costs/cost principles
. matching (if applicable)
. reporting
3. In the event that the recipient receives State grants and aids totaling $25,000 or less in its
fiscal year, the head of the recipient entity or organization must provide a written attestation,
under penalty of perjury, that the recipient has complied with the allowable cost provisions
(or other applicable provisions) of the State grants and aids contract. EXHffiIT 5 to this
Attachment provides an example attestation document that should be used by the agency
head to attest to compliance with grants and aids provisions.
DEP Contract No. SP527, Attachment C, Page 2 of 10
'p ART III: OTHER AUDIT REQUIREMENTS
(This part is reserved to specify any additional audit requirements imposed, if applicable, by the
State agency that are solely a matter of that State agency'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).)
PART IV: REPORT SUBMISSION
1. Copies of audit reports 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, or when required by number 2 below, by
or on behalf of the recipient directly to each ofthe following:
A. The Department of Environmental Protection at each of the following addresses:
Richard W. Smith
Florida Department of Environmental Protection
Bureau of Water Facilities Funding
2600 Blair Stone Road, MS3505
Tallahassee, Florida 32399-2400
Audit Director
Florida Department of Environmental Protection
Office of Inspector General
2600 Blair Stone Road, MS40
Tallahassee, Florida 32399-2400
B. The Federal Audit Clearinghouse designated in OMB Circular A-133, as revised (the
number of copies required by Sections .320 (d)(1) and (2), OMB Circular A-133, as
revised, should be submitted to the Federal Audit Clearinghouse), at the following
address:
Federal Audit Clearinghouse
Bureau of the Census
1201 East 10th Street
Jeffersonville, IN 47132
C. Other Federal agencies and pass-through entities in accordance with Sections .320 (e) and
(f), OMB Circular A-133, as revised.
D. The State of Florida Auditor General at the following address:
Audit Manager
Office of the Auditor General
P.O. Box 1735
Tallahassee, Florida 32302-1735
DEP Contract No. SP527, Attachment C, Page 3 of 10
2. Pursuant to Section .320 (f), OMB Circular A-133, as revised, the recipient shall submit a
copy of the reporting package described in Section .320 (c), OMB Circular A-133, as revised,
and any management letters issued by the auditor, to each of the following:
Richard W. Smith
Florida Department of Environmental Protection
Bureau of Water Facilities Funding
2600 Blair Stone Road, MS3505
Tallahassee, Florida 32399-2400
Audit Director
Florida Department of Environmental Protection
Office of Inspector General
2600 Blair Stone Road, MS40
Tallahassee, Florida 32399-2400
Audit Manager
Office of the Auditor General
P.O. Box 1735
Tallahassee, Florida 32302-1735
3. Copies of reports required by PART II of this Attachment, and management letters prepared
in conducting audits related to State grants and aids audits 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 each of the following addresses:
Richard W. Smith
Florida Department of Environmental Protection
Bureau of Water Facilities Funding
2600 Blair Stone Road, MS3505
Tallahassee, Florida 32399-2400
Audit Director
Florida Department of Environmental Protection
Office of Inspector General
2600 Blair Stone Road, MS40
Tallahassee, Florida 32399-2400
B. The Office ofthe Auditor General at the following address:
Audit Manager
Office ofthe Auditor General
P.O. Box 1735
Tallahassee, Florida 32302-1735
DEP Contract No. SP527, Attachment C, Page 4 of 10
4. Copies of reports or management letters required by PART III of this Attachment shall be
submitted by or on behalf ofthe recipient directly to:
A. The Department of Environmental Protection at each ofthe following addresses:
Richard W. Smith
Florida Department of Environmental Protection
Bureau of Water Facilities Funding
2600 Blair Stone Road, MS3505
Tallahassee, Florida 32399-2400
Audit Director
Florida Department of Environmental Protection
Office of Inspector General
2600 Blair Stone Road, MS40
Tallahassee, Florida 32399-2400
5. Any reports, management letters, attestations, or other information required to be submitted
to the Department of Environmental Protection pursuant to this agreement shall be submitted
within 180 days ofthe recipient's fiscal year end (or as otherwise allowed by Florida Statutes)
or within 30 days of the recipient's receipt of the audit report, whichever occurs first. Other
submissions should be timely in accordance with OMB Circular A-B3 and/or Florida
Statutes, as applicable.
6. Recipients, when submitting audit reports to the Department of Environmental Protection for
audits done in accordance with OMB Circular A-B3, should indicate the date that the
recipient received the audit report in correspondence accompanying the audit report.
PART V: RECORD RETENTION
The recipient shall ensure that audit working papers are made available to the Department of
Environmental Protection, or its designee, upon request for a period of 3 {specify appropriate
number of years, should be at least 3 years] years from the date the audit report is issued, unless
extended in writing by the Department of Environmental Protection.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
DEP Contract No. SP527, Attachment C, Page 5 of 10
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EXHIBIT - 2
INDEPENDENT AUDITOR'S REPORT ON
EXAMINATION OF MANAGEMENT'S ASSERTION
ABOUT COMPLIANCE WITH SPECIFIED REQUIREMENTS
(SAS Codification Section AT 500.55)
[Date]
Dear [Name]:
We have examined management's assertionl about [name of entity]'s compliance with the
allowable cost requirements [or other applicable requirements] established in the grant
agreement(s) applicable to the State grants and aids appropriations identified on Schedule of
State Financial Assistance for the year ended [indicate the applicable fiscal year] included in the
accompanying [title of management report].2 Management is responsible for [name of entity]'s
compliance with those requirements. Our responsibility is to express an opinion on
management's assertion about the [name of entity]'s compliance based on our examination.
Our examination was made in accordance with attestation standards established by the American
Institute of Certified Public Accountants and, accordingly, included examining, on a test basis,
evidence about [name of entity]'s compliance with those requirements and performing such other
procedures as we considered necessary in the circumstances. We believe that our examination
provides a reasonable basis for our opinion. Our examination does not provide a legal
determination on [name of entity]'s compliance with specified requirements.
In our opinion, management's assertion [identify management's assertion - for example, that
complied with the aforementioned requirements during the fiscal year ended
] is fairly stated, in all material respects.3 4
Sincerely,
Notes:
1. If the entity does not present its assertion in a separate report accompanying the practitioner's report, refer to
SAS Codification Sections AT 500.56 and .57.
2. The practitioner should identify the management assertion report examined by reference to the report title used
by management in its report. Further, he or she should use the same description of the compliance
requirements as management uses in its report.
3. The specific compliance requirements, and related criteria (if applicable), will be specified and/or referred to in
the grant agreement. As such, it should not be necessary to repeat the compliance requirements, and related
criteria (if applicable) in the practitioner's report.
4. Instances of noncompliance should be reported in the manner prescribed in SAS Codification Sections AT
500.61 through .68.
DEP Contract No. SP527, Attachment C, Page 7 of 10
EXHIBIT - 3
MANAGEMENT ASSERTION REPORT
I,
, hereby assert that,
(head of recipient entity)
(recipient entity name)
complied with allowable cost requirements [or other applicable requirements] of the grants and
aids appropriations identified on the attached Schedule of State Financial Assistance during the
fiscal year ended
(month, day, year)
(signature)
(title)
(date)
If this assertion report is used, one copy shall be submitted after the recipient's fiscal year end to
each of the parties designated in the contracts/grants for the identified grants and aids
appropriations.
This statement does not need to be notarized.
DEP Contract No. SP527, Attachment C, Page 8 of 10
EXHIBIT - 4
Sample Organization
Schedule of State Financial Assistance
For the year ended 9/30/97
State Federal Federal
State Agency Contract! CFDA Through
And Grant Number State State Total
Program Title Number Note A Receipts Receipts Receipts
Department
of Health
Head Start GH501 93.600 50,000 (1) 50,000 (1) 100,000
Women, ABI0l 93.245 100,000 (1) 150,000 250,000
Infant &
Children
Department
of Elder
Affairs
Community GC501 Not 200,000 (1) 0 200,000
Care for the Applicable
Elderly
Community GC601 93.003 0 150,000 (1) 150,000
Care for the
Elderly
Elder Care GC777 93.666 60,000 60,000 120,000
Total 410,000 410,000 (2) 820,000
(1) State Grants and Aids Appropriations moneys. The grand total of State Grants and Aids
Appropriations moneys is $550,000.
(2) $390,000 of this amount is included in the expenditures presented in the Schedule of
Expenditures of Federal Awards. The remaining $20,000 was received under contract
number GC601 but was not expended.
NOTE A:
Federal CFDA numbers apply only to Federal programs.
CAUTION: The purpose of this schedule is format illustration only. The contract or
grant numbers, CFDA numbers and program titles are not intended to
represent actual data.
DEP Contract No. SP527, Attachment C, Page 9 of 10
EXHIBIT - 5
MANAGEMENT ATTESTATION STATEMENT
CONTRACT/GRANT NUMBER(S)
I,
, hereby attest, under penalties of perjury, that,
(head of recipient entity)
complied with allowable cost requirements [or
(recipient entity name)
other applicable requirements] of the grants and aids appropriations contracts/grants identified
above during the fiscal year ended
(month, day, year)
(signature)
(title)
(date)
One copy of this attestation statement shall be submitted after the recipient's fiscal year end to
each of the parties designated in the contracts/grants for the identified grants and aids
appropriations.
This statement does not need to be notarized.
DEP Contract No. SP527, Attachment C, Page 10 of 10
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